Citation
The personal philosophy of Nathaniel Hawthorne ..

Material Information

Title:
The personal philosophy of Nathaniel Hawthorne ..
Creator:
White, William M
Publisher:
[s.n.]
Language:
English

Subjects

Subjects / Keywords:
Beauty ( jstor )
Death ( jstor )
Human nature ( jstor )
Humanity ( jstor )
Nature ( jstor )
Novelists ( jstor )
Poetry ( jstor )
Religion ( jstor )
Soul ( jstor )
Women ( jstor )
Genre:
bibliography ( marcgt )
non-fiction ( marcgt )

Record Information

Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
Copyright William M. White. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
021959849 ( ALEPH )
18296928 ( OCLC )
AFB9971 ( NOTIS )

Downloads

This item has the following downloads:


Full Text












THE PERSONAL PHILOSOPHY OF

NATHANIEL HAWTHORNE












By

WILLIAM M. WHITE, JR.











A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA
IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY











UNIVERSITY OF FLORIDA
June, 1953


/
























DEDICATION


To Dr. Harry R. Warfel., my teacher,

and to Ann, my wife.


ii























Life is made up of marble and mud.


-Nathaniel Hawthorne












If it be true that human nature is evil, we shall gain nothing by blinking the fact.

-Julian Hawthorne


iii















PREFACE


It is the aim of this study to select, classify, and interpret those statements from the complete writings of Nathaniel Hawthorne which indicate the novelist's personal philosophy. Even though he did not adhere to a formal philosophy, he did express his opinions often enough and with consistency enough that the pattern of his thought may be ascertained. When the scattered bits of Hawthornian opinion are brought together under a subject classification, and

handled chronologically, they present a clear statement of the novelist's orientation to those phases of life which were of permanent interest to him. The pattern thus formed constitutes the mental substance of which the fiction is the end product.

This study shows the development of specific beliefs, the relationship between different sets of beliefs, and some of the subtleties which underlie them. While it is not proposed that the Havthornian system of thought is of sufficient import to lift the novelist into the realm of great thinkers, I believe that this systematic analysis does establish his thought pattern as intrinsically significant. Indeed, the developed pattern elucidates the key ideas of one of America's major novelists.

The primary material for this study is taken from Hawthorne's published works, his journals, and his letters. The evidence I have used consists of 562 statements, which range in length from a single


iv












short sentence to a passage of several sentences. These selections, which stand out boldly as attempts at interpreting life, usually against the background of an event, a characterization, or a feeling, are sententious, figurative, and decidely moral. One quality of these statements must be mentioned. They are characteristically orotund, oracular, and universal rather than hesitant, uncertain, or particular. They are the "truths" with which Hawthorne elevates his writings above a merely local significance. In effect, they serve as a distillation of the pure essence of the man.

When explicating several phases of the thought pattern it is necessary to recall pertinent events in Hawthorne's life. It is assumed that the reader is not unfamiliar with these events. Since this study does not purport to be biographical in nature, references to Hawthorne's life are employed only when biography relates quite definitely to the ideas under consideration. These ideas or individual segments of Hawthornian thought are studied as fractions of the broader concepts of which they are a part rather than for their unique interest. Once the novelist's commentary in the various thought areas is assimilated, and once these several areas are taken in combination, the total thought pattern thus brought into being affords an invaluable background for a surer critical understanding of Hawthorne's mind and art.


v
















ACKNOTLEDGMENTS


I can express but imperfectly my indebtedness to the overall directing genius of Dr. Harry R. Warfel. His firm understanding of the "lights and shadows" of Hawthorne's mind was of inestimable aid. His continued encouragement was challenging. To Dr. George D. Bartlett I am similarly grateful. His keen and determined probing of the Hawthornian concepts which I attempted to explore repeatedly brought those concepts into a sharper focus. For the careful readings and suggestions of Dr. Ants Oras, Dr. Robert H. Bowers, and Dr. Gordon E. Bigelow I am deeply appreciative. The experience with Hawthorne was in every way made more rich and more delightful by the painstaking and tender tutelage of this group of men.


vi















TABLE OF CONTENTS


Page
PREFACE . iv

Chapter

I. SIN . *

The Nature of Sin Brotherhood in Sin
Concealed Sin
The Devil and Evil
The Transmission of Sin
Sin and Purity
The Effects of Sin
Unpardonable Sin

II. THE DANCE OF LIFE . 19

Part One. THE TEXTURE OF LIFE: MARBLE AND MUD 20

The Approach The Compound
The Ephemeral Quality of Life's Texture
Observations on the Texture of Life

Part Two. DEATH . 27

Grief and Sorrow

Part Three. FORTUNE AND FAITH 30

The Nature of Fortune
The Governing Power of Fortune

Part Four. NATURE . 38

As God's Poetry
As a Goddess
Nature as Refuge Nature as Symbol

III. SENSITIVITY AND SOLITUDE .

The Sensitive Soul The Solitary Soul


vii











IV. RAITY AND RELIGION ................ 54

Part One. REALITY 54

Part Twro. RELIGION . 61

Soul
Immortality
God
Aspects of Religion
Formal Religion

V. SOCIETY . 80

Tradition
Society at Large
Political Society

VI. WOMEN ........................ 96

The Function of Women
Young Women
Mother
Old Women
Public Women
Women in General
Marriage and the Home
Children
Love

VII. ART AND THE ARTIST . 123

Architecture
Sculpture Painting
Poetry Fiction
Hathorne and Fiction
Taste
Talent and Genius
The Audience
Fame
The Artist's Ideal
Methods and Problems of Art

VIII. HUMAN NATURE . 165

Limitations on Mankind
Man's Nature
Individual Natures


viii












Interactions
The Nature of the Public
The Nature of the Sick
The Twilight Zone Purpose and Power
The Nature of a Hero
Proverbs on Human Nature

IX. NATIONAL NATURES .

The English
The Scots
The French
The Italians
The Americans
The Puritans New England
Similarity of Natures

X. PROGRESS, REFORM, BROTHERHOOD,

Part One. PROGRESS .

Part Tffo. REORM .

Part Three. BROTHERHOOD .

The Lack of Brotherhood

Part Four. WAR .

XI. THE SYNTHESIS .. .

The Emotional Equation
The Synthesis


. 0 0 .


AND WAR .

. .0

. 0 .0

. 0 .*


. .

. .*


BIBLIOGRAPHY . .

APPENDIX: CITATION OF PRIMARY SOURCES .


ix


202


223

224

233

239


245 250


269 273
















CHAPTER I


SIN


Sin is prenatal to Hawthorne's world. It is not adopted by him merely as entertaining subject matter for fiction. Neither is the Hawthornian interest in sin a manifestation of an abnormal predilection for the seamier side of human nature, for his interest springs from an intuitive acceptance of what the novelist felt to be an indisputable actuality. Any serious attempt at establishing the system of opinions which underlies Hawthorne's fiction and which constitutes the personal philosophy of the man must immediately accept the onmipresence of sin, for such an acceptance necessarily precedes a critical understanding of the various aspects of life upon which Hawthorne reflected and wrote.

All questionings of the cause of the novelist's interest in sin remain in the conjectural realm, nor do they belie that interest.

Why Hawthorne thus wrote, why the theme of sin so fascinated
him, dominating his writings and inspiring his efforts from a
moral motivation, is, since no one single trait or definite cause
is obviously accountable, is to be charged, I suppose to
"temperament.1

Hawthorne posited the existence of sin and consistently called it to the foreground, while he never once questioned either the assumption or the reasons behind that assumption. Melville explores sin; Hawthorne states it as a fact of life beyond dispute. Sin's certain power was


1Carlos Kling, "Hawthorne's View of Sin," Personalist, XIII (April 1932), 120.









2


ever-present to the Hawthorne mind. From that mental awareness it broadened outward into his fiction with an astonishing fullness.


The Nature of Sin

But what is the nature of sin as Hawthorne viewed it? "In the very depths of every heart there is a tomb and a dungeon, though the lights, the music, and revelry above may cause us to forget their existence, and the buried ones, or prisoners, whom they hide."(1)2 The certainty of evil is absolute. "There is evil in every human heart, which may remain latent, perhaps, through the whole of life; but circumstances may rouse it to activity."(2) Sin and evil are a natural disposition of man, a coiled serpent awaiting action at the snap of a twig.

Among the old problems of Puritanism the most exalted is sin.

Hawthorne had inherited the problem but not the accompanying answers of election, atonement, and irresistible grace. For the study of Hawthorne's mind it is necessary to cut back immediately into the principles of Calvinism, for in rejecting Calvinism as a religion he retained it as the raw material of his intellectual probings. "As Franklin translated into secular terms the moral discipline of New England, so Hawthorne translated into empirical truths the essential doctrines of Calvinism.'3 Hawthorne had broken through the heavy


2Arabic numbers within parentheses refer to the primary sources of this study, that is, the 562 quotations. The citation of their location in Hawthorne literature is in the appendix entitled "Citations of Primary Sources."

3Herbert W. Schneider, The Puritan Mind (New York, 1930), p. 256.








3


Calvinistic tapestry, but he was unable to shake himself free from the encircling strands of its shattered fibers. It is patent from the Hawthornian commentary that the sin-cloud is latent in every heart. Moreover, corrupted mankind is forced to act, and when it acts it sins. "For our nature is not only destitute of all good, but is so fertile in all evils that it cannot remain inactive."h Hawthorne's statements rest snugly in Calvinistic teaching.

"What is Guilt? A stain upon the soul."(3) Guilt proceeds inevitably from a sinful act; it is one with sin. Whereas, formally, sin may be understood to imply any want of conformity unto, or transgression of, the laws of God, Hawthorne notes in a brief but forceful manner that it is "a stain upon man's soul."

Hawthorne is not displeased to personify sin as the evil

mistress to whose call all mankind harkens. "But Sin, alasl is careful of her bond-slaves; they hear her voice, perhaps, at the holiest moment, and are constrained to go whither she summons them."(h) Again, he comments on the unlimited quantity and unmanageable quality

of the sin present in everyday life.

Perhaps, if we could penetrate Nature's secrets, we could find
that what we call weeds are more essential to the well-being of
the world than the most precious fruit or grain. This may be doubted, however; for there is an unmistakeable [sic] analogy
between these wicked weeds and the bad habits and sinful
propensities which have overrun the moral world; and we may as well
imagine that there is good in one as in the other.(5)

Cotton Mather voiced the wrath of God in his Magnalia Christi


4John Calvin, Institutes of the Christian Religion, trans. John Allen (Philadelphia, 1936), I, 275.











Americana, a work not unfamiliar to Hawthorne.5

Every sin both original and actual being a transgression of
the righteous law of God, and .contrary thereunto, doth, in its own
nature, bring guilt upon the sinner, whereby he is bound over to
the wrath of God, and the curse of the law, and so made subject to
death, with all its, miseries spiritual, temporal and eternal.0

The novelist's ideas appear in accord with the expressed theological

sentiment. "0 Judgement Seat, not by the pure in heart wast thou

established, nor in the simplicity of nature; but by hard and wrinkled

men, and upon the accumulated .heap of earthly wrong. Thou art the

very symbol of man's perverted state."(6)

Sin and evil permit neither balance nor repair in this life.

And be the stern and sad truth spoken, that the breach which
guilt has once made into the human .soul is never, in this mortal
state, repaired. It may be watched and guarded; so that the enenr shall not force his way again into the citadel, and might even, in
his subsequent assaults, select some other avenue, in preference to that where he had formerly succeeded. But there is still the
ruined wall, and, near it, the stealthy tread of the foe that would
win over again his unforgotten triumph.(7)

Calvin's statements on the nature of original .sin express a similar

belief.

Original sin, therefore, appears to be an hereditary pravity
and corruption of our nature, diffused through all the parts of
the soul, rendering us obnoxious to the Divine wrath, and producing
in us those works which the Scripture calls "works of the flesh."?

Hawthorne, with precedent in Calvinism, and in the great majority of

Christian dogmas, meets sin by intensifying its heinous aspects and by


SMarion L. Kesselring, Hawthorne's Reading: 1828-1850 (New York, 1949), p. 56.

6Cotton Mather, Magnalia Christi Americana (Hartford, 1820), II, 162.


7Calvin, Institutes, I, 274.











insisting on the irreparable breach in human affections occasioned by an evil action.

"So it ever is, whether thus typified or no, that an evil deed invests itself with the character of doom."(8) Sin, evil, and doom are an unholy synonymous trinity. "What is there so ponderous in evil, that a thumb's bigness of it should outweigh the mass of things not evil which were heaped into the other scalel"(9) Here, in a word, is the one incontestible truth. Hawthorne here as elsewhere exclaims; he neither doubts nor questions. The blot on man's soul may not be eradicated, may not be ignored.

"It must be very tedious to listen, day after day, to the

minute and commonplace iniquities of the multitude of penitents, and it cannot be often that these are redeemed by the treasure-trove of a great sin."(10) Rarely, indeed, is Hawthorne in as playful a mood over so serious a subject. Herein lies the grim root of the moralist's humor--that sin is so basic to life that it may occasionally be jested about. Sin is the form giving cause from which life's substance evolves. It is so mixed with the sundry aspects of life that mortal man may

function only within its shadows.

Basic to Puritan theology were the doctrines of original sin and human depravity. Christianity tends to offer an outlet for sin with penance, sacrifice, repentance, or by a combination thereof. Hawthorne failed to see a ready and easy exit to the problem; he continued to reflect instead upon the nature of sin, its effect on the individual and the group, and on the subtle and miraculous manner in







6


which it tempers the whole of life. To the certain knowledge of Hawthorne, the nature of sin is self-evident to all who would look at life unflinchingly. Sin is decidedly more vivid than that which falls before the eye of man, for it is intuitive and, to a degree, experienced by all the senses.


Brotherhood in Sin

It is inherent in the very nature of sin that each individual must fall heir to an indistinguishable brotherhood. "Man must not disclaim his brotherhood, even with the guiltiest, since, though his hand be clean, his heart has surely been polluted by the flitting phantoms of iniquity."(ll) Hawthorne lashes out occasionally at the holier-than-thou attitude encountered in bigots and hypocrites. "In Godts name, which of us miserable sinners does deserve anything?"(12) We are alike sinners before God, for the encircling sweep of sin brings all within her orbit.

No sin is individual and ended in time; rather, it creeps like concentric circles from a splash in the millpond. "It is a terrible thought, that an individual wrong-doing melts into the great mass of human crime, and makes us,-who dreamed only of our own little separate sin,--makes us guilty of the whole."(13) Individual instances have universal reverberations in that each specific enactment of a sinful deed echoes the depravity of the race. "Every crime destroys more Edens than our own!"(l4) No human being, however agile, may leap free of the far-reaching splash of sin. 'Whereas it is scarcely a frolicking and optimistic fraternity, this brotherhood in








7


sin, sorrow and death, there is every indication that Hawthorne thought it, sad though it be, the only legitimate one.


Concealed Sin

One noteworthy aspect of sin is that a scarlet "S" is seldom stamped on the foreheads of mankind. "Nothing is more remarkable than the various deceptions by which guilt conceals itself from the perpetrator's conscience, and oftenest, perhaps, by the splendor of its garments."(15) Attention is again called to the splendid but hollow delusion so frequently referred in Hawthorne's fiction. "Decency and external conscience often produce a far fairer outside than is

warranted by the stain within."(16) Sin often wears a fair exterior and is no longer sought out and exposed to shame. Were secret sins to be unmasked, life's thoroughfares would abound in a swarming mass of bearers. It is the nature of sin, however, that it should eat inward instead of being merely an outward burden.

The corrosive nature of sin leads to attempts to hide guilt. Concealment causes hypocrisy, and hypocrisy leads the errant one into the region of shadows. "To the untrue man, the whole universe is false,--it is ipalpable,-it shrinks to nothing within his grasp. And he himself, in so far as he shows himself in a false light, becomes a shadow, or, indeed, ceases to exist."(17) Hypocrisy also leads to

confusion. "No man, for any considerable period, can wear one face to himself, and another to the multitude, without finally getting bewildered as to which may be the true."(18)

Through the ages man has become deft in the art of concealment.











"At no time are people so sedulously careful to keep their trifling appointments, attend to their ordinary occupations, and thus put a commonplace aspect on life, as when conscious of some secret that if suspected would make them look monstrous in the general eye."(19)

Both the external, or sociological, and internal, or spiritualpsychological aspects of concealed sin indicate that the majority of human sins are hidden from view, and that this practiced concealment of an acknowledged evil is in the seeds of the race and necessitates a deterioration of the inner man. The assumption is, too, that social intercourse reflects the same unhealthy concealment.?


The Devil and Evil

Satan is not alive to Hanthorne in the sense that he smells of sulphur and brimstone. He does exist, however, as a metaphor for sin. "The fiend in his own shape is less hideous than when he rages in the breast of man."(20) "Unfathomable to mere mortals is the lore of fiends."(21) "Every human being, when given over to the Devil, is sure to have the wizard mark upon him, in one form or another."(22) It is possible that the novelist adopts the Devil as the convenient and logical symbol for sin and evil, or it is also possible that he conceives of him as pride.8 Hawthorne frequents shadowy realms in more than one piece of fiction, and it is indeed probable that he had not completely shaken off the world of Increase Mather. "And as there are many tremendous instances confirming the truth hereof, so that of


8Hawthorne presents the Devil as Pride in "Egotism; or, the Bosom Serpent."








9


Satan's taking bodily possession of men is none of the least.":9

There are no letter or journal references to the Devil. Indeed, he furnishes Hawthorne's imagination with scant reflective material. Although a flesh and blood Satan does appeal to Hawthorne the romancerthe struggle for a man's soul reaches the height of romance and drama,-he did not attract Hawthorne the man. Hawthorne's mind examined in detail the problems of sin, God, and immortality, and while it held tenaciously to and repeatedly probed these concepts, it cared little for the preacher's Hell with its living Satan. It is not likely that a Hawthorne detached from the threads of formal religion would give much credulity to a Biblical or to a Miltonic Satan. 1fhether specifically named, or whether referred to as the "fiend," "foe," or enemy, the devil does play a leading role in several pieces of Hawthorne's fiction. Creative writers work within a limited and somewhat conventional frame of reference, but they need not always believe, for their own part, in the traditional concepts which they express in fiction. It may be doubted whether or not Hawthorne cherished an actual belief in the Devil. Indeed, his lack of reflection on the subject would indicate that he was not interested in the devil, or that he did not believe in him.


The Transmission of Sin

Red-haired children are frequently born of red-haired parents. Sin is transmitted from one generation to the next with a greater


91ncrease ather, Remarkable Providences, (London, 1890), p. 120.








10


certainty. "t. the weaknesses and defects, the bad passions, the mean tendencies, and the moral diseases which lead to crime are handed down from one generation to another, by a far surer process of transmission than human law has been able to establish in respect to the riches and honors which it seeks to entail upon posterity."(23) Mortality is never allowed a fresh start, for it must awaken always to the burden of the past. "To the thoughtful mind there will be no tinge of superstition in what we figuratively express, by affirming that the ghost of a dead progenitor--perhaps as a portion of his own punishment--is often doomed to become the Evil Genius of his family."(24) Sin, then, may be transmitted through the blood in much the manner of

hereditary social diseases. Hawthorne is here stating a rather traditional concept--that is, the sins of the father are visited on the son. The consequence of an evil deed does not cease with the death of its perpetrator, but continues to rankle in generations of offspring.


Sin and Purity

Good and bad angels have long been a commonplace in literature. The conflict in which these two entities perpetually engage is seen by Hawthorne in terms of the relationship existing between sin and purity. Purity wears the halo; its touch is miraculous and holy. "With stronger truth be it said, that a devout heart may consecrate a den of thieves, as an evil one may convert a temple to the same."(25) "Thus it is, that, bad as the world is said to have grown, innocence continues to make a paradise around itself, and keep it still unfallen." (26) Purity, Hawthorne fears, is but an early, temporary









11


alcove in the Gothic structure of life. Although some few persons survive in a white innocence, the great majority are besmeared with the mud of sin.

Hawthorne's conception of man's brotherhood in sin does not permit the innocent to shun the guilty for the sake of maintaining a cloistered virtue.10

Who more need the tender succor of the innocent, than
wretches stained with guilt! And must a selfish care for the
spotlessness of our own garments keep us from pressing the guilty
ones close to our hearts, wherein, for the very reason that we are innocent, lies their securest refuge from further ill?(27) Innocence or purity serves as a buffer for iniquity. It is clear enough, however, that man's predisposition to sin is overwhelming, and that purity's pedestal is a tenuous one.

In his vision of purity Hawthorne does allow a brief sunbeam

to penetrate life's darkened pattern. In the same breath, however, the

writer resigns himself to the inevitable awakening of the pure by the world evil.

It was that dismal certainty of the existence of evil in the
world, which, though we may fancy ourselves fully assured of the
sad mystery long before, never becomes a portion of our practical
belief until it takes substance and reality from the sin of some
guide, whom we have deeply trusted and revered, or some friend
whom we have dearly loved.(28)

Childhood's innocence is destroyed in turn.

It is a very miserable epoch, when the evil necessities of life,
in our tortuous world, first get the better of us so far as to
compel us to attempt throwing a cloud over our transparency.


10Hawthorne would appear to condemn Hilda in The Marble Faun on the grounds that she fails to comfort the guilty iriam.









12


Simplicity increases in value the longer we can keep it, and the
further we carry it onward into life; the loss of a child's simplicity, in the inevitable lapse of years, causes but a
natural sigh or two, because even his mother feared that he could
not keep it always. But after a young man has brought it through
his childhood, and has still worn it in his bosom, not as an early
dew-drop, but as a diamond of pure, white, lustre,--it is a pity
to lose it, then.(29)

fhen speaking of the awakening to evil, Hawthorne gives moral warning for the necessity of a good life. "Let us reflect, that the highest path is pointed out by the pure Ideal of those who look up to us, and who, if we tread less loftily, may never look so high again."(30) Yet, innocence must learn through direct observation of life the eternal presence of evil.

The young and pure are not apt to find out that miserable truth
until it is brought home to them by the guiltiness of some trusted
friend. They may have heard much of the evil of the world, and seem to know it, but only as an impalpable theory. In due time, some mortal, whom they reverence too highly, is commissioned by
Providence to teach them this direful lesson; he perpetrates a sin; and Adam falls anew, and Paradise, heretofore in unfaded bloom, is
lost again, and closed forever, with the fiery swords gleaming at
its gates.(31)

Whereas Hawthorne does not question, and shows comparatively little interest in the fact that the pure are inevitably awakened to evil, he shows a permanent interest in the psychological readjustments accompanying that awakening.

"Hence come angels or fiends into our twilight musings,

according as we may have peopled them in by-gone years."(32) Here again we recognize the dual possibility of the human personality.

Although the "good life,t which Hawthorne recognized as a rarity, may prove an effective ballast, nonetheless man's true leanings are toward sin.









13


The Effects of Sin

If the act of sinning held little interest, the consequences of that act hypnotized Hawthorne's mind. Actual sin normally precedes the opening of a Hawthorne tale, and is more often hinted at than specifically described. The temporary exaltation of sinning, the iron link of a mutual sin, the blunting effect, the subsequent isolation-these, rather than the event itself, stir the inner recesses of Hawthorne's imagination. The nether world of the sinner beckons to the inquisitive author. "Fain would I search out the meaning of' words, faintly gasped with intermingled sobs and broken sentences, half audibly spoken between earth and the judgement seat."(33) It is in this tortured realm that much of Hawthorne's best fiction finds its

expression.

Actual performance of a sin is a matter of strength and

resolution, not of temerity. "Crime is for the iron-nerved, who have

their choice either to endure it, or, if it press too hard, to exert their fierce and savage strength for a good purpose, and fling it off at onceP"(34) Once the sin has been enacted, the initial resolve subsides rapidly, only to be replaced by a variety of perplexing impulses.

But there is a fatality, a feeling so irresistible and
inevitable that it has the force of doom, which almost invariably
compels human beings to linger around and haunt, ghostlike, the
spot where some great and marked event has given the color to
their lifetime; and still the more irresistibly, the darker the
tinge that saddens it.(35)

The sinner returns to the scene of his deed--drawn by a magnetic inner compulsion.









14


Hawthorne pondered the effects of sin as they evidenced

themselves in two distinct directions. "For, what other dungeon is so dark as one's own heart! What jailer so inexorable as one's self!"(36) The internal eating, here alluded to, and the social manifestations of sin both provide ample food for an observer psychologically alert.

"For, guilt has its moment of rapture too. The foremost result of a broken law is ever an ecstatic sense of freedom."(37) Once more the matter of a temporary rapture is alluded to. A great sin Hawthorne finds exciting, its effects on human nature dynamic.

Momentary passions are delusive, however.

Yet how tame and wearisome is the impression of all ordinary
things in the contrast with such a fact! How sick and tremulous,
the next morning, is the spirit that has dared so much only the night before! How icy cold is the heart, when the fervor, the
wild ecstasy of passion, has faded away, and sunk down among the
dead ashes of the fire that blazed so fiercely, and was fed by the
very substance of its life! How faintly does a criminal stagger
onward, lacking the impulse of that strong madness that hurried
him into guilt, and treacherously deserts him in the midst of
it!(38)

"Possibly, moreover, the nice action of the mind is set ajar by any violent shock, as of great misfortune or great crime, so that the finer perceptions may be blurred thenceforth, and the effect be traceable in all the minutest conduct of life."(39) Ordinary life is duller now, for the power of the moment melts immediately and man's sensibilities remain henceforth in a blunted condition.

Beyond all else there is manifest an interest in the isolating effect of sin.

For it is one of the chief earthly incommodities of some
species of misfortune, or of a great crime, that it makes the
actor in the one, or the sufferer of the other, an alien in the












world, by interposing a wholly unsympathetic medium betwixt
himself and those whom he yearns to meet.(40)

The normal, the good people of society whose company the sinner might wish to enjoy are now beyond reach. The sinner, by virtue of his sin, is alienated from society.

Psychological observations on the effect of sin offer a

mottled but striking opportunity for the complex turns of Hawthorne's mind. The over-all impression derived from a study of these observations is a gloomy one, and it may appear to a reader of Hawthorne that this seemingly undue dwelling on sin is abnormal. It is both a blemish and a blessing of the Hawthorne intellect that it held fast to its concepts. Unwillingly it turned an idea loose; by preference it retained and continued to examine each idea from every conceivable angle.

Representative writers of various Christian sects help to

substantiate Hawthorne's acceptance of sin. "Let us notice now some of the bad effects that mortal sin produces in the soul. It leaves a hideous stain in the soul, deforms it, and makes it hateful in the sight of heaven. It renders man a slave of sin, and of his evil desires."1 Catholicism recognizes "the stain upon the soul," and also notes that man is a "slave" to mistress sin.

Calvin, the Presbyterian Creed, the Lutheran Creed, and the Roman Catholic Creed are in basic agreement on the nature of sin.


11J. FAA' Di Bruno, Catholic Belief (New York, 1922), p. 68.









16


Our perdition therefore proceeds from the sinfulness of our
flesh, not from God; it being only a consequence of our
degenerating from our primitive condition.12

In proportion as God is great and glorious Calvinism
recognizes the sin of man to be heinous and fatal.13

The Lutheran church has always regarded the doctrine of human
depravity as a fundamental article of the Christian System. .
The doctrine is, moreover, so frequently and forcibly inculcated in the word of God, that no man ought to profess to be a believer
in the Scriptures, who denies its truths.1

Of original sin, in which we are born, we are not personally
guilty with our own personal will, but our nature is guilty by the
will of Adam our head, with whom we form one moral body through
the human nature which we derive from him.15

Man's soul and man's body, his whole nature, are vitiated by original sin. This depravity is an ordained fact of experience behind which Hawthorne does not go. He finds it necessary on traditional, intuitive, and empirical grounds to accept the fact-a fact stated emphatically in the majority of Christian doctrines--without entering into the theological niceties of those doctrines.


Unpardonable Sin

Unpardonable sins violate the sacredness of God's temple, the human heart. "Supposing that the power arises from the transfusion of one spirit into another, it seems to me that the sacredness of an individual is violated by it; there would be an intruder into the holy

12Calvin, Institutes, I, 277.

13Egbert Watson Smith, The Creed of Presbyterians (Richmond, Virginia, 1901), p. 48.

14S. S. Schmucker, Lutheran Manual on Scriptural Principles (Philadelphia, 1855), P. 56.

15Di Bruno, Catholic Belief, p. 20.









17


of holies. ." (41) A genuine concern with sin appears old-fashioned when set beside the monstrous creations and expectations of twentieth century America. Such a concern is no longer fashionable.16 Hawthorne was vitally concerned with the sacredness of the heart, the soul, the spirit, the personality.17 The personalists, a contemporary group represented by B. P. Bowne and Edgar Brightman, present one interesting corollary to Hawthorne's interpretation of the unpardonable sin. "For the personalist, then, the moral will is at the center of personality and hence of religion. Any violation of or disrespect for the moral will is wrong, even if committed in the name of religion.1"18 17hereas the personalists deplore an intrusion into the personality by social, political, or theological forces, Hawthorne condemns the violation of one personality by another.

The energizing subject of Hawthorne's art was the subject of

all great art; for human life in all its wayward complexity. Sin is not the cardinal subject of Havrthorne's fiction; it is but a keyhole, an approach through which to view life. All writers have an approach to their material; Hawthorne's approach is through sin. It is necessary to emphasize properly the naturalness, the complete assurance with


16However, a comparatively recent religious movement in this country designates itself "Christian realism" or "realistic theology." It insists upon the doctrine that man is a sinner. For a discussion, see Mary Frances Thelen, Man as a Sinner (New York, 1946).

17Both Ethan Brand and Roger Chillingworth commit the unpardonable sin of violating an individual personality.

18H. N. Wieman and B. E. Meland, American Philosophies of Religion (Chicago, 1936), p. 143.












which Hawthorne follows out his approach. Sin is the coloring agent in the Hawthornian vision.

Christian theology places on sin an emphasis which is often

strikingly Pauline. Following Saint Paul, Saint Augustine wove at the same loom. Both Calvin and Luther patterned their interpretation of sin on the writings of Saint Paul and Saint Augustine. The Mather dynasty carried forward Calvints lamentation of man's depravity. Though a' child of the liberation, Hawthorne is still of Puritan stock, and, more important, of Puritan instinct. The Hawthorne who is somewhat shocked by the sculpturing of nakedness evidences the same Puritan instinct which could never question the eternal presence of sin. It is only through acknowledging the universality of sin that one may begin to enter the Hawthornian pattern of thought.















CHAPI'ER II


THE DANCE OF LIFE


Hawthorne was an interested observer of the pure and unyielding substance of which the daily course of mortal existence is composed. Life, considered as an entity, is seen to have a specific nature or constitution which is present to a like degree at all times. In the physical process of living, man performs a brief dance whose every step is dictated by this constitution-which, though. it is infinitely complex, is definable within limits. The Hawthornian view of life formed itself around intangible elements, yet these elements are presented in a remarkably concrete terminology. It is well to study those basic ingredients which Hawthorne saw in life before attempting to bring man into the developing thought pattern.

Four phases of life upon which the novelist formed a definite set of opinions are: the texture of life, fortune and fate, death, and nature. These components are actualities to be reckoned with, in much the manner that sin was reckoned with, for they too are assumed by the

Hawthorne mind to be prenatal. The significance of sin lies in the background of all Hawthornian thought. To assume the existence of sin, for example, is to assume at the same time that the dance of life is scarcely a festal one. Once it is understood what Hawthorne meant by sin and what he meant by the rock-ribbed dance of life-once this concept is seen and felt in all its dark rigidity-then and only then 19








20


may a reader comprehend the native trend of Hawthornets thought.


1

THE TEXTURE OF LIFE: MARBLE AIM MUD

The actual texture of life was envisioned by Hawthorne in bold outlines. He manages, from his point of view, to observe, reflect upon, and state succinctly with a scientific deftness and self-certainty this texture wherein the nature of life resides. In essence, the concept is one of marble and mud. Although the texture is not destitute of actual evil, as the Emersonian would see it, neither is it totally devoid of good. It is constituted instead of balanced ingredients which the mind of Hawthorne perceived and commented upon with an ever-increasing clarity.


The Approach

Since the actualities of life are to be faced and fronted rather than avoided, in what manner is man to make his approach?

How much mud and mire, how many pools. of unclean water, how
many slippery footsteps, and perchance heavy tumbles, might be
avoided, if we could but tread six inches above the crust of this
world? Physically, we cannot do this; our bodies cannot; but it
seems to me that our hearts and minds may keep themselves above
moral mud-puddles and other discomforts of the soul's pathway.(t42) It is a necessity of man's physical nature, the necessity of Adam's flesh, that our bodies are besmeared with the world's mud. Hawthorne advances the possibility, however, that the spirit may dwell above and beyond this actuality. He advances this possibility with some small optimism; yet he is extremely reluctant to state it as a fact of experience. The moral gloom so pronouncedly perceived by Hawthorne ultimately overpowers all. This being the case, the greatest possible








21


folly in approaching life would be to counterfeit or in any manner add to the inevitable world sorrows.

There are so many unsubstantial sorrows which the necessity of
our mortal state begets on idleness, that an observer, casting
aside sentiment, is sometimes led to question whether there be any
real woe, except absolute physical suffering and the loss of
closest friends.(43)

"Is not the world sad enough, in genuine earnest, without making a pastime of mock-sorrows?"(44) Yet there remains a reasonable approach to the predominantly solemn dance which all mortals perform.

"But there is a wisdom that looks grave, and sneers at

merriment; and again a deeper wisdom, that stoops to be gay as often as occasion serves, and oftenest avails itself of shallow and trifling grounds of mirth; because, if we wait for more substantial ones, we seldom can be gay at all."(45) Here is the approach which Hawthorne feels to be the only sensible one. Here is a maxim to jot down in the commonplace book, to frame on the wall, though it appears incongruous amidst the practical aphorisms of Franklin and casts an occasional shadow on the sunshiny certainty of an Emersonian dictum. It

represents, nonetheless, the ,Hawthornian approach-one thoroughly consistent with his lifelong opinions.


The Compound

Considered in its simplest form, life, may be reduced to a

formula or compound. This chemical compound is gray, a mixture of the dark with the light. Moreover, it is decidedly a dark gray.

The world is so sad and solemn, that things meant in jest are
liable, by an overpowering influence, to become dreadful earnest,gayly dressed fantasies turning to ghostly and black-clad images








22


of themselves.(46)

The movement of physical life is persistently walking into increasing

darkness. Color, it may be noted, plays an important metaphorical role in Hawthorne's attempt to make vivid his compound.

Life's mixed and intermingled texture is nowhere more clearly pronounced than in this statement:

Nevertheless, if we look through all the heroic .fortunes of
mankind, we shall find this same entanglement of something mean and trivial with whatever is noblest in Joy or sorrow. Life is
made up of marble and. mud. And, without all the deeper trust in
a comprehensive sympathy above us, we might hence be led to
suspect the insult of a sneer, as well as an immitigable frown, on the iron countenance of fate. What is called poetic insight is the gift of discerning, .in this sphere of strangely mingled
elements, the beauty and the majesty which are compelled to assume
a garb so sordid.(47)

The compound with which man is forced to contend places limitations upon him which are in every way as exacting as those imposed by the existence of sin.. The good,.the pure, the beautiful are present, but there is great difficulty in extracting them from the strangely mingled ensemble.

It is difficult for Hawthorne to believe in man's ability to

dwell six inches above the earth's surface. Some hasty and thoughtless soul will unfailingly splash the passer-by. "This contrast, or intermingling of tragedy with mirth, happens. daily, hourly, momently."(48) "Human destinies look ominous without some perceptible intermixture of the sable or the gray."(49) Constantly, the mind returns to dwell, perhaps reluctantly, on the actual compound.

"Troubles (as I myself have experienced, and many others before me) are a sociable sisterhood; they love to come hand in hand, or









23


sometimes, even, to come side by side with long looked-for and hoped-for good fortune.".(50) The balance is rarely if ever on the side of jollity, for all merges finally into the darkening grayness. "When we find ourselves fading into shadows and. unrealities, it seems

hardly worth while to be sad, but rather to laugh as gayly as we may, and ask little reason wherefore."(51) Since the transition may neither be stayed nor denied, it is well, once the compound is accepted, to find whatever little pleasure is possible.

Gloom, by its nature, spreads itself readily over the crust of existence.

Unquestionably, a care-stricken mortal has no business abroad,
when the rest of mankind are at high carnival; they must either pelt him and absolutely martyr him with jests, and finally bury
him beneath the aggregate heap; or else the potency of his darker
mood, because the tissue of human life takes a sad dye more
readily than a gay one, will quell their holiday humors,. like the
aspect of a death's-head at a. banquet.(52)

Life's laughter is but a hair's breadth from its tears, and frequent tears represent the more permanent state.

For it is thus, that with only an inconsiderable change, the
gladdest objects and existences become the saddest; hope fading
into, disappointment; joy darkening into grief, and festal splendor
into funereal duskiness; and all evolving, as their moral, a grim identity between gay things and sorrowful ones.. Only give them a
little time, and they turn out to be just alike'(53) Life evolves to sadness.

Here, in his elaboration of the compound, Hawthorne has spoken in terms of dark-light, mirth-tragedy, gaiety-sadness, and marble-mud. Both qualitatively and quantitatively the balance tends toward darkness. While the transcendentalist saw the selfsame world, his balance lay with the light and optimistic. Hawthorne's compound, one












filtered through .sin, is certainly the more pessimistic of the two. Yet, despite its awful solemnity, it is fundamentally based on observation and experience.


The Ephemeral Quality of Life's Texture

Hawthorne felt the pressures of life keenly; he felt also the fleeting quality of the moment, but he always insisted that man must concentrate on the now rather than the yet to be.

In this world we are things of a moment, and are made to
pursue momentary things, with here and there a thought that
stretches mistily towards eternity, and perhaps may endure as
long. All philosophy that would abstract-mankind from the
present is no more than words.(54)

Though the marble is inextricably united ith mud, still it is imperative that man dwell .on earth and speak only of what may be actually known rather than depart the earth in a mystical flight.

"And what are the haughtiest of us. but the ephemeral

aristocrats of a summer's day?"(55) Man's vainglory is denounced by Hawthorne in the manner of an eighteenth century graveyard poet, and frequently with the same schoolmaster tone.

But, after all, the most fascinating employment is simply to
write your name in the sand. Draw the letters gigantic, so that
two strides may barely measure them, and three for the long
strokes Cut deep that the record may be permanent! Statesmen
and warriors and poets have spent their strength in no better
cause then this. It is accomplished? Return then in an hour or two and seek for this mighty record of a name. The sea will have
swept over it, .even. as time rolls its effacing waves over the
names of statesmen and warriors and poets. Hark, the surf wave
laughs at you!(56)

Occasionally, Hawthorne advances a private commentary on life.

These brief glimpses allow the personality of the man to step into and








25


blend itself with the more theoretical world of ideas. "I, likewise, am greedy of the summer-days for my own sake; the life of man does not contain so many of them that. even one can be spared without regret."(57)


Observations on the Texture

Now that the approach to life, an awareness of its cold

compound, and the ephemeral quality of that compound, are taken into account, what may be deduced from a detailed observation? First of all, the texture does not permit the purely accidental, the meaningless; each incident of life is directly moral. "Thought has always its efficacy, and every striking incident its moral."(58) Although the world is of a solid moral substance in which all has significance, it is, paradoxically enough, a shadow. "Time-where man lives not--what is it but eternity?"(59)

This present life has hardly substance and tangibility enough
to be the image of eternity;-the future too soon becomes the
present, which, before we can grasp it, looks back upon us as the past;--it must, I think, be only the image of an image. Our next
state of existence, we may hope, will be more real-that is to say, it may be only one remove from a reality. But, as yet, we
dwell in the shadow cast by Time, which is itself the shadow cast
by Eternity. (60)

The physical texture of life is but of the thickness of a spider's web; from a spiritual point of view it is flimsy indeed. Rather than placing Hawthorne in the transcendental stream, these reflections on shadows offer a decidedly moralistic observation on the ephemeral nature of life's texture.

Man dances to an old jig and accomplishes but little.

Possibly some cynic, at once merry and bitter, has desired to
signify, in this pantomimic scene, that we mortals, whatever our








26


business or amusement,--however serious, however trifling,-all
dance to one identical tune, and, in spite of our ridiculous
activity bring nothing finally to pass.(61)

Hawthorne habitually regarded the immediate effectiveness of any one action or any group of actions with much skepticism. Mud is scarcely so plastic as a reformer might tend to believe. Man must await God's designs, for the texture of life is far too tough to be handled and shaped by mere mortals. The balance has eternally resided with sadness, and there is little indeed that man can effect which will substantially alter the compound.

"But real life never arranges itself exactly like a

romance."(62) "Who can tell where happiness may come; or where, though an expected 'guest, it may never show its face?"(63) Real life does not live happily ever after, for there is a something much greater than man in control. The dark hue of life does not whiten at man's call, but merrily continues in a stubborn and often inexplicable manner.

In lieu of the fast fleeting and, from man's point of view, unmanageable direction of life, Hawthorne marvels that the present should appear so fixed. "How wonderful that this our narrow foothold of the Present should hold its own so constantly, and, while every moment changing, should still be like a rock betwixt the encountering tides of the Past and the infinite To-come!'(6h)

The infinitely complex nature of life is at the same time an amazingly.simple-one. It is preferable to drift with it, enjoy it whenever possible, and nowise attempt to direct it. Man is not the









27


master of his fate; he is a being who must recognize his own limits, and who must recognize and accept at the same time life's limit-marble and mud. Hawthorne's analysis of life's texture was not, for him, moral speculation, so much as it was a reporting of experienced truths.


2

DEATH

Hawthorne views death primarily as the only certain release from the life compound, and secondarily as a phase of the texture

itself. If it were not for death, life would be unbearable. "Curious to imagine what murmurings and discontent would be excited, if any of the great so called calamities of human beings were to be abolished,-as, for instance, death."(65) Mach of life is continually in mourning for dead hopes; if there were no release through the purifying aspects of death, life would soon be immersed and ossified in a world-wide mud.

"Wte sometimes congratulate ourselves at the moment of waking from a troubled dream; it may be so the moment after death."(66) Life is a strife-torn excursion to Hawthorne, a briar patch of countless thorns, whose only sure exit is death. "How invariably, throughout all the forms of life, do we find these intermingled memorials of death!"(67) Death, as it presents itself in everyday life, grays the compound.

In the second sentence of The Scarlet Letter, in a spot

prominent enough to forewarn the reader of the novel of the unfolding








28


drama, and with a marked degree of emphasis, the novelist records that:

The founders of a new colony, whatever Utopia of human virtue
and happiness they might originally project, have invariably
recognized it among their earliest practical necessities. to allot a portion of the virgin soil as a cemetery, and another portion as
the site of a prison.(68)

Throughout his lifetime Hawthorne was something of a haunter of

graveyards. He was drawn, perhaps, not so much through morbidity as

by the eternal and basic recognition of death tugging at his intellect.

Death, moreover, is seen to contain the blessing of rest and

completion. It has lost its sting. "The best of us being unfit to

die, what an inexpressible absurdity to put the worst to death."(69)

An individual is not significant in the long look.

It may be remarked, however, that of all the events which
constitute a person's biography, there is scarcely one-none,
certainly, of anything like a similar importance-to which the
world so easily reconciles itself-as to his death.. In most cases
and contingencies, the individual is present among us, mixed up
with the daily revolution of affairs, and affording a definite
point for observation. At his decease, there is only a vacancy, and a momentary eddy,-very small, as compared with the apparent
magnitude of the ingurgitated object,-and a bubble or two,
ascending out of the black depth and bursting at the -surface.(70)

Hawthorne's concern over death has many facets. In a

philosophical or religious sense he sees spiritual release and

completion; accompanying the event he observes genuine grief and

sorrow; finally, subsequent to the event, he notes the psychological

impact of death on life.

It is very singular, how the fact of a man's death often seems
to give people a truer idea of his character, whether for good or evil, than they have ever possessed while he was living and acting
among them. Death is so genuine a fact that it excludes
falsehood, or betrays its emptiness; it is a touchstone that
proves the gold, and dishonors the baser metal. Could the
departed, whoever he may be, return in a week after his decease,








29


he would almost invariably find himself at a higher or lower
point than he had formerly occupied, on the scale of public
appreciation.(71)

More in keeping with philosophical interests .lies the recognition of

a mysterious purifying aspect. "What a trustful guardian of secret

matters fire isi What should we do without Fire and Death?"(72)

In the final reckoning, death is viewed in a thoroughly

Christian manner.

The dying melt into the great multitude of the Departed as
quietly as a drop of water into the ocean, and, it may be, are conscious of no unfamiliarity with their new circumstances, but immediately become aware of an insufferable strangeness in the world which they have quitted. Death has not taken them away,
but brought them home. (73)

Here is the sure and shining exit from the grayness of life.


Grief and Sorrow

Numerous of Hawthorne's reflections on the effects of death,

that is, grief and sorrow, are quite obviously of the graveyard school

of thought.

But when we ridicule the triteness of monumental verses, we
forget that Sorrow reads far deeper in them than we can, and finds
a profound and individual purport in what seems so vague and
inexpressive, unless interpreted by her. She makes the epitaph
anew, though the selfsame words may have served for a thousand
graves.(74)

It is an old theme of satire, the falsehood and vanity of
monumental eulogies; but when affection and sorrow grave the letters
with their own painful labor, then we may be sure that they copy
from the record on their hearts.(75)

Grief is such a leveller, with its own dignity and its own
humility, that the noble and the peasant, the beggar and the
monarch, will waive their pretensions to external rank without
the officiousness of interference on our part.(76)









30


Illustrious unfortunates attract a wider sympathy, not because
their griefs are more intense, but because, being set on lofty
pedestals, they the better serve mankind as instances and by-words
of calamity. (77)

These commonplace notations are of little intrinsic worth, yet they do show to some degree the sensitive, thoroughly human, and at times almost sentimental nature of the reflective Hawthorne.

Finally, the detached observation of which Hawthorne is extremely capable brings the matter into perspective.

Thus it is that the grief of the passing moment takes upon
itself an individuality, and a character of climax, which it is destined to lose after a while, and to fade into the dark gray
tissue common to the grave or glad events of many years ago. It is but for a moment, comparatively, that anything looks strange
or startling,-a truth that has the bitter and. the sweet in it.(78) There is no reason to suspect an unhealthy delight in death on the

part of Hawthorne; there is every reason to suppose that he accepted it, along with sin, as one of the inevitables.


3

FORTUNE AND FATE

Hawthorne has been accused quite unfairly, by various

interpreters, of fatalism and cynicism. Any writer who employs the terms "fortune," chancee" "necessity," "fate," and "providence" runs the. risk of being damned as a pagan worshiper of the "Goddess Fortuna." With Hawthorne, however, the matter is entirely a Christian one. Never is he more orthodox than in his concept of the operation of Providence. Whichever of the synonyms for Providence Hawthorne employs, it is always clear from the context of the statement that the precepts of Calvinism are not being violated.








31


The Nature of Fortune

Fortune is present in and concerned with the affairs of men. "Then might I exemplify how an influence beyond our control lays its strong hand on every deed we do, and weaves its consequences into an iron tissue of necessity."(79) Hawthorne, had he been a theologian rather than a romancer, would have been careful to use the technical term: Providence.

First, then let the readers know that what is called
providence describes God, not as idly beholding from heaven the transactions which happen in the world, but as holding the helm
of the universe, and regulating all events.19

The idea of man as a bit actor in a cosmic drama intrigues Hawthorne, not so much that he is amazed that it is so, but that the absolute truth of the concept is brought home so forcibly in everyday life.

We can be but partially acquainted even with the events which
actually influence our course through life, and our final destiny.
There are innumerable other events-if such they may be called-which come close upon us, yet pass away without actual results, or even betraying their near approach, by the reflection of any.
light or shadow across our minds. Could we know all the
vicissitudes of our fortunes, life would be too full of hope and fear, exultation or disappointment, to afford us a single hour of
true serenity.(80)

It is far better, Hawthorne believes, that man should not be acquainted with his destiny. "Life figures itself to me as a festal or funereal procession. All of us have our places, and are to move onward under the direction of the Chief Marshal." (81) Festal and funereal are but vivid synonyms of the light and the dark, .the marble


19Calvin, Institutes, I, 222.









32


and the mud. Man is not a free agent but follows instead a

predetermined course. This predetermination tends to make man feel

at home in his universe, assures him that the Chief Marshal is in

full control, and need nowise lead to fatalism and a gloony

resignation.

Providence is an accomplished wrecker of man's imperfect

plans and aspirations.

How often is the case that, when impossibilities have come to
pass and dreams have condensed their misty substance into
tangible realities, we find ourselves calm, and even coldly
self-possessed, amid circumstances which it would have been a
delirium of joy or agony to anticipate! Fate delights to thwart
us thus. Passion will choose his own time to rush upon the
scene, and lingers sluggishly behind when an appropriate
adjustment of events would seem to summon his.appearance.(82)

Destinal forces, it must be realized, are in complete control. It is

a prime characteristic of fortune that she scowls when we need her

smile, and smiles when we least expect it. Happiness, like the other

niceties of life, is God-sent not man-made.

Happiness, in this world, if it comes at all, comes
incidentally. Make it the object of pursuit, and it leads us a
wild-goose chase, and is never attained. Follow some other object,
and very possibly we may find that we have caught happiness
without dreaming of such luck; but, likely enough, it is gone the moment we say to ourselves--"Here it is!"--like the chest of gold
that treasure-seekers find.(83)

Hawthorne's remarks on the nature of fortune, taken

individually, appear to smack of defeatism.

Chance and change love to deal with men's settled plans, not
with their idle vagaries. If we desire unexpected and
unimaginable events, we should contrive an iron framework, such as we fancy may compel the future to take one inevitable shape;
then comes in the unexpected, and shatters our design in
fragments.(84)









33


It is wisdom not to tempt the plan-wrecker, for mortals can never stay the capricious twists of fortune.

In spite of the seeming waywardness of fortune the tenets of Calvinism offer assurance to the doubter. "All future things being uncertain to us, we hold them in suspense, as though they might happen one way or another. Yet this remains a fixed principle in our hearts,

that there will be no event which God has not ordained.t20 Hawthorne is cognizant of the fact that man fails to comprehend this miraculous element in life. "The actual experience of even the most ordinary life is full of events that never explain themselves, either as regards their origin or their tendency."(85) An over-all view is above and beyond man's limited vision.

No human effort, on a grand scale, has ever yet resulted according to the purpose of its projectors. The advantages are always incidental. Man's accidents are God's purposes. We miss the good we sought, and do the good we little cared for."(86) Here is a basic Hawthorne precept, and admonition. Man desires pure government, reform, or any other good, yet he inevitably fails the quest. "A dragon always waits on everything that is very good."(87) An angel also waits on evil schemes. After a time the two balance each other, but this balance is beyond the boundaries of the individual's view.


The Governing Power of Fortune

Fortune's government is a planned religious one in which chaos

20Ibid., I, 230.












receives no portion. This rigid concept Hawthorne embraces intuitively and immediately-embraces it with the same lack of astonishment with which he accepts sin. The mind of Hamthorne is complex in that it is highly inquisitive, frequently skeptical of generally accepted truths, normally empirical and imaginative, and

nearly always acute to the point of profundity. Yet at the same time it is seldom swayed by cold logic, but believes instead with a

childlike unshakeable faith.

"Does it not argue a superintending Providence that, while viewless and unexpected events thrust themselves continually athwart

our path, there should still be regularity enough in mortal life to render foresight even partially available?"(88) Hawthorne is not a

thoroughgoing Puritan; he holds firmly to certain beliefs which would have made the Mathers shudder. In his basic orientation to life, however, in his forthright promulgation of the doctrines of sin and Providence, he is thoroughly traditional.

God the creator of all things, doth uphold, direct, dispose
and govern all creatures, actions and things, from the greatest
even to the least, by his most wise and holy Providence, according to his infallible foreknowledge, and the free immutable counsel of
his own will to the praise of the glory of his wisdom, power,
justice, goodness and mercy.21

Omnipotent Providence has taken on the additional duties of assigning tasks and of establishing the basic balance of life.

But when the ethereal portion of a man of genius is obscured,
the earthly part assumes an influence the more uncontrollable,
because the character is now thrown off the balance to which


21Cotton ather, Magnalia Christi Americana, II, 161.












Providence had so nicely adjusted it, and which, in coarser
natures, is adjusted by some other method.(89)

So long as we love life for itself, we seldom dread the losing
it. When we desire life for the attainment of an object, we
recognize the frailty of its texture. But, side by side with this sense of insecurity, there is a vital faith in our invulnerability
to the shaft of death while engaged in any task that seems
assigned by Providence as the proper thing to do, and which the
world would have cause to mourn for should we leave it
unaccomplished.(90)

These statements are but outspoken corollaries of a religious faith.

"Providence was the expression of His inner determination, and though the lesson of some 'divine providences' could be read with ease, the teaching of others remained obscure."22 The voicings of God's decrees, or providence, is a matter of some concern. "It was, indeed, a majestic idea, that the destiny of nations should be revealed, in these awful hieroglyphics, on the cope of heaven. A

scroll so wide might not be deemed too expansive for Providence to write a people's doom upon."(91) Perhaps Hawthorne would like to be able to glance at the heavens and read for himself the gigantic assurances of a communicative deity. Although he no longer believes in superstitious omens, he is not as incredulous .of the miraculous as many of his contemporaries.

Hawthorne has observed fortune's daily performances in our mundane span. He has, in fact, become the spokesman of its powers and its ways.

Destiny, it may be,--the most skilful of stage-managers,-seldom chooses to arrange its scenes, and carry forward its drama,


22Perry Miller, The New England Mind (New York, 1939), p. 39.









36


without securing the presence of at least one calm observer. It
is his office to give applause when due, and sometimes an
inevitable tear, to detect the final fitness of incident to
character, and distil in his long-brooding thought the whole
morality of the performance.(92)

Through the calm observations, and calm reflections of destiny's observer, Nathaniel Hathorne, American literature was vastly enriched.

The Presbyterian creed offers a formal statement of Providence's administration of the affairs of mankind.

God is Sovereign. He reigns Supreme in fact as well as in
the right. The universe to him is not a surprise, a defeat, a
failure, but a development of his eternal purpose. That purpose
is Predestination. That development is Providence. The one is
the all-wise predetermined plan in the mind of God; the other is
the all-powerful execution of that plan in the administration of
the universe.23

The final and ultimately fair balance of Providence is accepted by Hawthorne on faith.

Yet the ways of Providence are utterly inscrutable; and many
a murder has been done, and many an innocent virgin has lifted her white arms, beseeching its aid in her extremity, and all in vain; so that, though Providence is infinitely good and wise,-and perhaps for that very reason,-it may be half an eternity
before the great circle of its scheme shall bring us the
super-abundant recompense for all these sorrows!(93)

Calvinism, Puritanism, Presbyterianism have frequently been misinterpreted and misquoted on their beliefs in Providence and predestination; have been misunderstood for the same reasons that Hawthorne has been erroneously stamped a fatalist. A statement from the Presbyterian creed may help to rectify this misapprehension.

The doctrine of our Standards is not that "whatever must be,

23Smith, The Creed of Presbyterians, p. 157.









37


must be," but that whatever God has decreed and purposed shall be.
The one expression attributes the course of events to a blind
mechanical necessity, the other to the intelligent purpose of a
personal God. The one is fatalism, the other Foreordination,
Predestination, Providence.24

There is no attempt to suggest that Hawthorne's mind kept a

literal allegiance to the tenets of Calvin. The doctrine of "election"

was repugnant to him, and "irresistible grace" scarcely warmed his heart. Hawthorne did observe certain intangibles--sin and fortune-in the daily dance of life. These he saw, these he understood, these he never shook off. The essential problem of Calvinism, man as a sinner, and the majestic destinal force, Providence, play principal roles in

Hawthorne's personal philosophy.

H. W. Schneider states the truth of the matter most effectively:

Needless to say, Hawthorne used the theological terminology
metaphorically. He did not need to believe in Puritanism, for
he understood it. He saw the empirical truth behind the
Calvinist symbols. He recovered what Puritans professed but
seldom practiced--the spirit of piety, humility and tragedy in
the face of the inscrutable ways of God.25

Sin and the inscrutable ways of Providence provide the musical accompaniment to which man performs his stately waltz. Hawthorne's final reckoning with these actualities constitutes the complete story of his systematized orientation to life. It is sufficient for the

moment to insist that they are the obvious mental framework on which all future speculation must be hung.

24hbid., p. 166.

25Schneider, The Puritan Mind, p. 262.








38


14

NATURE

A fourth and final component of the dance of life, nature, Hawthorne conceived of as poetry, goddess, refuge, and symbol. Essentially, She is viewed as a participating backdrop to life's little dramas. Her role is only slightly subordinate to that of sin and fortune. Although nature is much more than a mechanical externality or mere scenery to Hawthorne, he never saw in Her what Emerson and Thoreau were seeing. She never spoke aloud to him. In Hawthorne's fiction nature plays a very substantial, at times a dynamic and symbolic, role. Nature is never inert matter alone, but

in the long view She is, like her interpreter, more of a moralist than a mystic.


As God's Poetry

"It is strange what humble offices may be.performed in a

beautiful scene without destroying its poetry."(94) "It is strange what prosaic lines men thrust in amid the poetry of nature. 0"(95) There is no indication of an artistic deafness to the melodious rhythms of nature. Man, in contrast, is viewed, more often than not, as a black blemish to the beauty of the natural scene. Had. Hawthorne continued to write poetry after his seventeenth year,26 he would scarcely have developed into a nature poet in the Wordsworthian sense.

26Hawthornels early attempts at nature poetry show little promise. For a reprint of the poems see: Elizabeth L. Chandler, editor, "Hawthornets Spectator," New England Quarterly, IV (April 1931), 288-330.








39


For Hawthorne saw in nature a moral force which blends with, sometimes echoes, and sometimes shapes the texture of life. Nature is but an ingredient of a greater compound; her poetry is thereby provocative but hardly rhapsodic.


As a Goddess

"The reason of the minute superiority of Nature's work over man's is, that the former works from the innermost germ, while the latter works merely superficialy."(96) Nature is wedded in a mysterious manner to fortune; she is a Goddess moving forward from spiritual origins in a predetermined manner. She is not to be identified with Providence, for She is a more immediate and warmer administrator of the affairs of man.

It was the fatal flaw of humanity which Nature, in one shape
or another, stamps ineffaceably on all her productions, either to imply that they are temporary and finite, or that their perfection
must be wrought by toil and pain.(97)
"Nature sometimes displays a little tenderness for our vanity, but is never careful for our pride. She is willing that we should look foolish in the eyes of others; but keeps our little nonsensicalities from ourselves."(98) Nature may be seen, then, to have something of the warmth and personality of a Goddess. Man is but a child to be cuddled or scolded.
Behind this warmth, in sharp relief to the implied tenderness, lies the more deliberate wantonness of nature.

Nothing comes amiss to Nature-all is fish that come to her
net. If there be a living form of perfect beauty instinct with
soul-why, it is all very well, and suits Nature well enough. But
she would just as lief have that same beautiful, soul-illumined body, to make worm's meat of, and to manure the earth with.(99)








40


In this instance, She is the fickle.goddess, Fortuna, in all her pagan trimmings.

How Nature seems to love us! And how readily, nevertheless,
without a sigh or a complaint, she converts us to a meaner
purpose, when her highest one-that of a conscious intellectual
life and sensibility-has been untimely balked!(100)

More often than not, nature, charged with planting various

seeds in man, is seen as a second gardener to fortune. "How strange, how strange it is, this deep, wild passion that nature has implanted in us to be the death of .our fellow-creatures, and which coexists at the same time with horror!"(101) Nature, though more immediate than fortune, is at times identified with her. She is, in fact, in one of her aspects, a personal executer of the divine will. Hawthorne does not deify nature, nor does he pledge himself to her. mysterious messages, for he reads her as a moral rather than an emotional divine scroll.


Nature as Refuge

Hawthorne, more than most men, seems to have felt the cross

and crude pressures encountered in earning a living. In his youth he had romped in the Maine woods with notorious happiness. In young manhood he took long walks into nature and was fond of ice skating. In his maturity and in his auturnal years he continued the habit of nature walks with close friends. He died while on an excursion with Pierce. Ralph Waldo Emerson had attended Hawthorne on more than one walking tour; it was perhaps all they had in common, this love for walking.








41


The sailor blood in Hawthorne was never happy far inland, for he found in the coastal wilds and the ocean's roar an escape, a relief from civilized pressures. "Oh that Providence would build me the merest little shanty, and mark me out a rood or two of garden-ground, near the sea-coast."(102) Salem and Liverpool were seaports, whereas Concord was too far inland for the descendant of Captain Nathaniel Hathorne, "Bold" Daniel Hathorne, and other sea-going men.

Nature affords an uncorrupted retreat from "the perverted ingenuity of the race." Especially in the autumn is .she apt to coddle those who come unto her.

If nw readers should decide to give up civilized life, cities,
houses, and whatever moral or material. enormities in addition to
these the perverted ingenuity of our race has contrived, let it
be in the early autumn. Then Nature will love him better than at
any other season, and will take him to her bosom with a more
motherly tenderness. (103)

It was to nature that Hawthorne was wont to go when life's pressures

tormented.

But perhaps it is necessary for the health of the human mind
and heart that there should be a possibility .of taking refuge in
what is wild, and uncontaminated by any culture; and so it has been ordained that science shall never alter the aspect of the sky, whether stern, angry, or beneficent, nor of the awful sea,
either in calm or tempest, nor of these rude Highlands.(104) Nature as Symbol

Finally there exists in the renewing aspect of nature a symbol of the purification-rebirth cycle of life. "Will the world ever be so decayed that spring may not renew its greenness? Can man be so dismally age-stricken that no faintest sunshine of his youth may revisit him once a year? It is impossible."(105) Each spring








42


brings life out of death with an endless yet eternally beautiful regularity.

By and large the symbolism of nature is unreadable to the

intellect. "When God expressed himself in the landscape to mankind, He did not intend that it should be translated into any tongue save his own immediate one."(106) Her beauty may be felt in the heart but never fully comprehended. She is the painting of an artistically adept God, a hieroglyph which man may neither uncover or emulate with any degree of success.

Hawthorne's symbolical nature .is one of varying aspects. "One

touch of Nature makes not only the whole world, but all time, akin."(107) Nature is gigantic and beautiful, a manifestation of Godfs plan, but, above all, a moral force in the life of man. She is the catalyst for the compound of life, although she frequently enters that compound.

Life as an entity, apart from the people who live it, has stamped itself in bold relief on the mind of Hawthorne. Life's texture is one which may be felt between the fingers, stretched and probed, yet it always reverts to the same pattern. Hawthorne is not repelled by the harshness of that pattern. Death, for example, is taken as an integral aspect of life. It is everywhere present as a solemn reminder of mortality, yet Hawthorne views it as a great awakening-an awakening far greater than the one associated with Jonathan Edwards. Fate, Fortune, Chance, Destiny, Necessity, Providence and Nature are fused in Hawthornets observation into the dynamic, yet unfathomable, directional forces hovering above life' s












surfaces. They are seen by the "calm observer" as detached yet meaningful hieroglyphs, if one can read them, of God's .divine plan.

Puritan existence was a predetermined one-one in which man relinquished God's matters to God and went zestfully to fulfill his own obligations. Few systems emphasizing the free will of man have evidenced a like vitality. The Puritan dance of life is essentially the one which Hawthorne observed. It is solemn, rigid, and a bit forbidding. At the same time it is the dance of assurance in an ordered universe. Though there are few strains of light and airy music, neither is there the staccato of hesitation. It is the Puritan's world; it is God's world; it is Hawthorne's world. It is a world tutored by morality. It moves to the pipings of sin, for flesh is sinful, but occasionally it looks upward from the dark texture of

physical life to the brighter texture of a spiritual one.














CHAPTER III


SENSITIVITY AND SOLITUDE


If there is one personal and at the same time social problem

which confounded Hawthorne time and again it is to be discovered in that necessity which forces a sensitive person to find solace in an insensitive world. The romantic, misleading account of Hawthorne's life between 1825 and 1837, one depicting a sensitive and secluded artist in a dismal chamber, has been justifiably amended by more recent biographers.27 Yet Hawthorne was basically both a sensitive and a solitary soul. Had it not been for the pressures exerted by Sophia, Nathaniel would have been eagerly content to dwell a little apart socially. Following his marriage on July 9, 1842, and the subsequent political appointments which befell him, it became mandatory that the reluctant author assume social burdens in an institutionalized society. Once he entered the outer world, especially during the -iverpool years,

he became more accustomed to the social role which all men must play to some degree. The Hawthorne of 1855 shouldered with some ease social obligations which would have set the Hawthorne of 1835 all atremble.

In one sense of the word, Hawthorne entered late into society, although he had never been so far out of it as early biographers were prone to believe; yet in a more abstract sense he never entered at all.

27Robert Cantwell, Nathaniel Hawthorne: The American Years (New York, 19h8), p. viii ff.












He was essentially a family man, a warm friend to not over a half dozen people. "Hawthorne was never a very social person, in the sense that he liked to have a lot of people around him. This was due, in all

probability, not only to the circumstances of his childhood, but to his own nature as we11.n28

Prior to 1842 Hawthorne preferred an individual form of

seclusion, which became after 1842 a kind of domestic. seclusion, from social fanfare. He, like Jonathan Swift, enjoyed the individual but not the group. Yet in the midst of his personal struggle with the problem of society he was internally possessed of two basic ideas: first, man is essentially alone in the world in that he can never break through the invisible barrier to his fellow man; and, second,

the world will not let a man alone but eternally insists that he participate in its affairs as a social being. Intimately related with these beliefs are the problems which they father: the solitary soul who is doomed to the cold outer fringe of society, and the sensitive soul whose cross of living lies unbearably heavy upon him.


The Sensitive Soul

The notion of a soul too sensitive to endure the harsh

strictures of life is a central one to the Hawthorne philosophy. It persists in the fiction, journals, and letters. If there are but two types of man, the sensitive and the insensitive, the former is invariably trampled upon by the latter. Life's burdens overwhelm the


28Manning Hawthorne, "Hawthorne's Early Years," Essex Institute Historical Collections, LXXIV (1938), 11.









46


sensitive being; the group becomes a vicious animal; he desires above all things to be left alone, to withdraw from the clamor of a busy and unconcerned world. "Mercy on us, what a noisy world we quiet people live in!"(108) Playfully but with a certain seriousness, the reader is made aware of that gulf existing between a quiet inner world and a

boisterous external one.

"But there are natures too indolent, or too sensitive, to

endure the dust, the sunshine, or the rain, the turmoil of moral and physical elements, to which all the wayfarers of the world expose themselves."(109) It is tragic that there are beings, often with imaginative and fertile minds, who are constantly impaled upon the

indifferences and open hostility of the external world. Hawthorne was enough of a sensitive soul in his own right to feel the wounds keenly. The readiest way out is to create an internal world, a world, however,

which proves a dangerous substitute. "A dreamer may dwell so long among fantasies, that the things without him will seem as unreal as those within." (210)

Hawthorne's sensitivity was far removed from that of a mild-mannered Casper Milquetoast. He enjoyed good cigars, good liqueurs, and good company as much as any man, nor was he blind to the charms of the fairer sex. At the same time he was quite hesitant about intruding on people. "It is very painful to me to disturb and derange anybody in the world." (111) Although frequently imposed upon by others,29 Hawthorne was instinctively retiring, and somewhat reluctant


29Throughout the notebooks there is ample evidence that









47


to ask a favor.

A sensitive person may withdraw from life as much as possible,

he may play leech to a stronger personality, or he may relinquish the

struggle altogether.

In moods of heavy despondency, one feels as if it would be
delightful to sink down in some quiet spot, and lie there forever,
letting the soil gradually accumulate and form a little hillock
over us, and the grass and perhaps flowers gather over it. At such times, death is too much of an event to be wished for;--we
have not spirits to encounter it; but choose to pass out of
existence in this sluggish way.(112)

The easily wounded person is hard pressed to find the wherewithal to

resist the blunting effect of life.

There are chaotic, blind, or drunken moments, in the lives of
persons who lack real force of character,-moments of test, in
which courage would most assert itself,-but where these
individuals, if left to themselves, stagger aimlessly along, or
follow implicitly whatever guidance may befall them, even if it be
a child's.. No matter how preposterous or insane, a purpose is a
God-send to them.(113)

Weak, shy, and sensitive creatures need to rely on the guidance

of others, for once they have encountered the "mud of life" they are

not again eager to step forward. Self-justifications with which shyness

attempts to excuse itself are on shaky grounds.

It is a very genuine admiration, that with which persons too
shy or too awkward to take a due part in the bustling world regard
the real actors in life's stirring scenes; so genuine, in fact, that the former are usually fain to .make it palatable to their
self-love, by assuming that these active and forcible qualities are incompatible with others, which they choose to deem higher and more
important.(11h)


Hawthorne was frequently imposed on. Beggars found him an easy mark; his friends found him ready to lend money when he had any; several
Americans stranded in Eigland borrowed but never repaid return passage money.












Frequently, and this was somewhat the choice of Hawthorne, the sensitive individual contrives an inner world to act as a buffer to the outer, which in turn gradually fades from vision. "I need monotony, too, an eventless exterior life, before I can live in the world within."(1l5) This inner world is felt to be of greater significance than the artificial structure of social life.

There is little reason to assume that Hawthorne may be

legitimately characterized as a sensitive soul. His sensitivity represents but a minor phase of his total personality, and, as is often

the case with artists, it tends to lack stability. Other components of his intellectual and emotional make-up are much more sharply defined. Nevertheless, the author's fictionalization of a sensitive soul mirrors one aspect of his inmost self. Sensitivity, as Hawthorne lived it and wrote it, appears as that reaction which the idealistic and introverted person feels when thrust into a materialistic and extroverted world.


The Solitary Soul

It is part and parcel of an observer of life that he should be cut off from the humanity subjected to his .gaze.

The most desirable mode of existence might be that of a
spiritualized Paul Pry, hovering invisible round man and woman,
witnessing their deeds, searching into their hearts, borrowing
brightness from their felicity and shade from their sorrow, and
retaining no emotion peculiar to himself.(116)

The role which Hawthorne proposes, that of a Paul Pry, provides the detached observer with ample material for reflection and fiction, but chills him with a cold and clanny aftermath. While a role of this









49


type enables an author to supply himself with raw material for his writings, it promotes an unfortunate breach between author and subject.

While solitude is to be feared and avoided as a permanent condition of life, while man's appetite for society is intuitive, still there is an occasional longing for the refreshing calm which

solitude affords. "What would a man do, if he were compelled to live always in the sultry heat of society, and could never bathe himself in solitude?"(117)

The ill effects of solitude overbalance its advantages, and the isolated individual, the man cut off by the group or left behind by it, is to be pitied among mortals. "Some old people have a dread of solitude, and when better company may not be had, rejoice even to hear the quiet breathing of a babe, asleep upon the carpet."(118) Solitude is to be dreaded above all other waters in which a man may drown himself. Perspective grows into a distorted ideal.

It is not good for man to cherish a solitary ambition. Unless
there be those around him by whose example he may regulate himself,
his thoughts, desires, and hopes will become extravagant, and be
the semblance, perhaps the reality of a madman. (119)

In a letter to Longfellow in 1837, Hawthorne referred to his so-called solitary period and stated the problem of one who has cut the warm ties of humanity and drifted into bleak isolation.

You tell me that you have met with troubles and changes. I
know not what they may have been; but I can assure you that trouble
is the next best thing to enjoyment, and that there is no fate in
the world so horrible as to have no share in either its joys or its
sorrows.30


30Samuel Longfellow, Life of Henry Wadsworth Longfellow (Boston, 1891), I, 264.












There were no great sorrows plaguing Hawthornes twelve years of literary apprenticeship, neither were there the pleasures of love and success. Perhaps the novelist's romantic self-estimate is overly

dramatic. Assuredly, though, it has some basis in fact.

At the very moment when Hawthorne felt himself to be in

isolation he longed for the crowd. His acceptance of solitude both as a personal problem and as a concern of mankind recognized that a reluctant fear of the crowd must eventually give way before the greater evils of solitude. He was continually forced to battle a nature which yearned for seclusion and the freedom to think and dream and feel.31

By the time of his marriage, Hawthorne had come to look upon the solitude of his early years as a loathsome disease. Henceforth he conceives of the solitary way in the blackest of terms. "In a forest, solitude would be life; in a city, it is death." (120)

Herein lies the strongest statement of an ill-starred course: "The worst possible fate would be to remain behind, shivering in the solitude of time, while all the world is on the move towards eternity."(121) "To persons whose pursuits are insulated from the common business of life--who are either in advance of mankind or apart from it-there often comes a sensation of moral cold that makes the spirit shiver as if it had reached the frozen solitudes around the pole."(122) Physical separation does not enter into the Hawthorne


31Nathaniel Hawthorne, Love Letters of Nathaniel Hawthorne, preface by Roswell Field (Chicago, 1907), I, 213.












concept; he speaks rather of a complete mental and emotional alienation from one's fellow beings. The outcast desires nothing more than a return to the human fold. "Persons who have wandered, or been expelled, out of the common track of things, even were it for a better system, desire nothing so much as to be led back. They shiver in their loneliness, be it on a mountain-top or in a dungeon."(123)

Repeatedly, Hawthorne refers to that dreary region of

isolation as being one of a physical and mental .coldness. Society is the heat; solitude the ice of life.

Generosity is a very fine thing, at a proper time and within
due limits. But it is an insufferable bore to see one man
engrossing every thought of all the women, and leaving his friend
to shiver in outer seclusion, without even the alternative of
solacing himself with what the more fortunate individual has
rejected.(124)

Even when recording sentiments of this kind on the lighter side of the ledger, Hawthorne evinces an abounding sympathy for those who are by-passed by life.

Seclusion, the state of being utterly alone with one's self, rapidly grows insufferable.

A secluded man often grasps at any opportunity of communicating
with his kind, when it is casually offered to him, and for the
nonce is surprisingly familiar, running out towards his
chance-companion with the gush of a dammed-up torrent, suddenly
unlocked.(125)

Especially in the more extreme moments of life does the insufficient solitude of self seek out the common herd for solace.

In circumstances of profound feeling and passion, there is
often a sense that too great a seclusion can not be endured; there is an indefinite dread of being quite alone with the object of our
deepest interest. The species of solitude that a crowd harbors












within itself is felt to be preferable, in certain conditions of
the heart, to the remoteness of a desert or the depths of an
untrodden wood. Hatred, love, or whatever kind of too intense
emotion, -or even indifference, where emotion has once been,
instinctively seeks to interpose some barrier between itself and
the corresponding passion in another breast.(126)

Hawthorne's chief concern is with the individual who has been

shut off by mankind, or with the one who, by virtue of his own nature, in the midst of companions is unable to break the barrier between personalities. The man who is alone when in a crowd, alone when with friends or family, is the true solitary figure. Thomas wolfe, some sixty-five years after Hawthorne's death, began to write long and earnest novels dealing in part with that invisible barrier separating man from man. He too felt keenly that solitude, in its more abstract sense, is a permanent state of man. Hawthorne, although he recognizes man as a social being, continues to believe that the cocoon of self surrounding the individual, however transparent it may appear, is scarcely penetrable.

Sensitivity and solitude are phases of personality rather than a primal element of life. 'Whereas sin and the dance of life are empirical essences present prior to the emergence of the individual, the sensitive and solitary man reflects one aspect of that emergence. It is on the reluctantly emerging individual that the prenatal realities and institutional influences of life cut their deepest mark. He is the eternally exposed, nerve-filled figure which Hawthorne pushes back and forth in his mind with curiosity and with sympathy.

Hawthorne is fully aware that all men are not as delicately









53


constituted as the unfortunates which he envisions. At the other end of the scale there are crassly social, unemotional beings who are repugnant to the artist, while the great majority fall into a middle range. Although Hawthorne, in his ovn life, tended to move toward a more balanced social state during his middle years, although he looked back with special dread upon isolated existence, he never lost that natural sympathy for the sensitive and solitary soul.

The struggle within an individual between his desire for

isolation and his desire for society sets forth a problem central to Hawthornian philosophy. Solitary life, a contentment with one's own self, has about it a cold but wholesome quality which is difficult to maintain in group living. At the same time, however, society offers a warmth and companionship which is essential to man's well-being. The continual dilemma of those individuals whose native sympathies would lead them along the quiet and lonely pathway emphasizes the struggle. When emerging into the social order the individual encounters mass imperfection; yet, emergence is mandatory. There can be little doubt that Hawthorne's preoccupation with this problem reflects a struggle contained writhin his oym personality. For Hawthorne's part, the question was never completely resolved. The conflict lessened, but it did not cease. For mankind, Hawthorne urges a full participation in the social way. The imperfect nature of society makes mere association an imperfect solution, but the gregarious appetite of man makes it the only possible one.















CHAPTER IV


REALITY AND RELIGION


At the heart of the Hawthornian world view are two intangible interests which are formed upon faith and which supersede in a calm fashion other concepts developed from observation and reflection. These dual essences, "reality" and religion, are frequently fused, because Hawthorne's conception of actuality falls within a religious framework. At other times, the nature .of the actual becomes a unique problem in Hawthorne's conquest of ideas. For the most part, however, the commentary on "reality" serves as prefatory material for a systematized analysis of.his religious thought.


1

REALITY

Although it may appear both personal and intuitive at first

glance, Hawthorne's vision of "reality" is not essentially a mystical one. Ultimately, it is highly impersonal, completely natural, and thoroughly unspectacular. This vision, dealt with on two planes, concerns a single essence. The superficial voicings of polite society often counterfeit the hidden thoughts of the social participants in the same manner that the perception of sensory phenomena cloaks life's spiritual values. An underlying "reality" may be detected on both these levels, in the first instance on a limited or human plane and in

s












the second on a limitless or spiritual one.

Earthly things do not possess finality.

On being transported to strange scenes, we feel as if all were
unreal. This is but the perception of the true unreality of earthly things, made evident by the want of congruity between
ourselves and them.(127)

An attempt to discover a true and direct knowledge of the material world in which man lives lies beyond Hawthorne's desire. Such a knowledge, if ascertainable, would prove of little worth. "But then, as I have said above, the grosser life is a dream, and the spiritual life a reality."(128)

Nothing in worldly life constitutes "reality" in a greater sense; for a prime ingredient of the life compound is that it shall be ephemeral and shadowy.

Indeed, we are but shadows--we are not endowed with real life,
and all that seems most real about us is but the thinnest
substance of a dream-till the heart is touched. That touch
creates us-then we begin to be-thereby we are beings of reality,
and inheritors of eternity.(129)

Several seemingly Platonic reflections, reminiscent of Plato's cave symbolism, when considered in conjunction with other facets of Hawthorne's total conception, are seen in their true light as moral assertions of a spiritual truth rather than as elevated metaphysical speculation for its own sake.

In truth, words fail when attempting to define "reality," for it is experienced through the feelings and not through the intellect. "Who has not been conscious of mysteries within his mind, mysteries of truth and reality, which will not wear the chains of language?"(130) While a statement on the exact nature of actuality is never advanced,












it may be averred that what the great body of mankind clutches as "reality" is but delusive externality. "Human nature craves a certain materialism, and clings pertinaciously to what is tangible, as if that were of more importance than the spirit accidentally involved in it."(131)

That which is actual is also immortal, timeless, indestructible. Pure beauty, of the type which Shelley poetized, possesses these qualities. "Not that beauty is worthy of less than immortality; no, the beautiful should live forever--and thence, perhaps, the sense of impropriety when we see it triumphed over by time."(132) Earthly

beauty, though it be a deserving reflection of a perfect spiritual beauty, is unfortunately bounded. Celestial beauty is unblemished and infinite; the world's beauty is finite.

Sophistication, however delicately it is contrived, often

brings its observer to an awareness of the obvious incongruity between

what is said and what is thought.- Polite conversation perpetually borders on deceit. "Strange spectacle in human life where it is the instinctive effort of one and all to hide those sad realities, and leave them undisturbed beneath a heap of superficial topics which

consitute the materials of intercourse between.man and man!"(133) Social intercourse, as Hawthorne observes it, partakes too often of the purely artificial.

Two paths to "reality"-one man-centered, one God-centeredseemed worthy of investigation by Hawthorne. The first and more artistic medium, one which man may attempt, is that of the imagination. "It is only through the medium of the imagination that we can lessen













those iron fetters, which we call truth and reality, and make ourselves even partially sensible what prisoners we are."(134) A heightened imagination, then, may cut through the outer layers of life and into "reality." Imagination is a man-centered, active medium which pierces and reveals. Although Hawthorne frequently employed this method in his fiction, he discussed it but little. Instead, he allowed the work to be the final testimony of the efficacy of this approach.

The second medium of perception is passive, intuitive, and God-centered. "There is something truer and more real than what we can see with the eyes and touch with the finger."(135) God, in his wise Providence, occasionally permits the actual to break through the deceptive externality of life. This breakthrough may occur in the rugged beauties of nature or in the delicately contrived, man-made arts. When viewing majestic and awesome beauty, a person may instantly intuit, with no effort on his own part, the existence of those universal forces and truths to which he is normally blinded. Thus it is that a sunset or a Raphael painting tends to reassure man of that full and final acquaintance with "reality" which awaits the close of physical life.

"Realities keep to the rear, and put forward an advance-guard of show and humbug."(136) Repeatedly, the novelist refers to that lesser plane of deception-one on which the unreal quality of the daily events of life is too apparent. Many of the artificialities which confront man in society are intuitively fathomed by sensitive












observers. "But yet, in some indescribable way (as is the case with all that has deluded us when once found out), the poor reality was felt beneath the cunning artifice."(137)

The manner in which idealism works is intimately related to

the quest for "reality." Since the "realities" of life are all important, he who falls short of knowing them, he who never attains his ideals, has still advanced further than the man who manages to accumulate the merely material goods of life.

Yet, after all, let us acknowledge it wiser, if not more
sagacious, to follow out one's day-dream to its final consummation,
although, if the vision have been worth the having, it is certain never to be consummated otherwise than by a failure. And what of
that? Its airiest fragments, impalpable as they may be, will
possess a value that lurks not in the most ponderous realities of
any practicable scheme. They are not the rubbish of the mind.(138) Meaningful success can be gained in striving for those indescribable yet permanent truths just beyond man's immediate reach. "I think I might yield to higher poetry of heavenlier wisdom than mortals in the flesh have ever sung or uttered."(139) Continually though, man is called away from his yearnings for truth and forced to dwell among a humanity largely dedicated to surface values. A person inclined

toward artificiality presents an outer appearance beneath which his true being loses its original force. "It is the effect of anything completely and consummately artificial, in human shape, that the person impresses us as an unreality and as having hardly pith enough to cast a shadow upon the floor."(1h0)

Man, in this life, is curtained off from eternal essences; yet he retains nrsterious inklings of prior happenings. "Scenes and events












that had once stained themselves, in deep colors, on the curtain that Time hangs around us, to shut us in from eternity, cannot be quite effaced by the succeeding phantasmagoria, and sometimes, by a palimpsest, show more strongly than they."(141) For the most part, man is unable to comprehend the inmost nature of those forces which are functioning all around him. Only on rare occasions does providential light break through man's dark enclosure. It is even more difficult for mortals to push aside momentarily that heavy tapestry. In truth, there is but one solution which man may himself effect.

Facts, as we really find them, whatever poetry they may
involve, are covered with a stony excrescence of prose, resembling
the crust on a beautiful sea-shell, and they never show their
most delicate and divinest colors until we shall have dissolved
away their grosser actualities by steeping them long in a
powerful menstruum of thought.(142)

Hawthorne felt no need to question his faith in spiritual substances, for though the nature of actuality is difficult to define its presence is undeniable. It is blandly assumed and blandly revealed; for "reality" is a matter of feeling and faith, not one of intellect and logic.

Through glimpses of an eternal essence present in the inmost nature of this world, man may come to understand a true essence. There is, then, a fundamental spirituality permeating all. It may be seen, but imperfectly, as through a mist, for man's nature is a corrupted one. Our world is but a shadow of a greater spirituality in that its tangibles are ephemeral and do not constitute "reality." Although this world exists as but a moment in eternity, it is of








60


primary importance in that it must consume man's total effort while he dwells thereon.

Those visionaries who would neglect the duties of earthly life in an effort to achieve total idealism are in for a rude awakening. Hawthorne, thoroughly cognizant of the necessity of earthly living, has no leisure for mystical philosophies whose aim is to elevate man above this world. In truth, his entire philosophy is a caveat on detached and oblivious idealism. Although his perceptions are taken by him as natural assurances of that ultimate knowledge beginning with death, although he emphasizes that "reality," or spiritual life, does await man, he makes it quite clear that man's achievement of a spiritual state belongs to another world. Man's first duty is to the

mortal world.

One opportunity of viewing naked actuality while still residing in this world is to be found in those glimmerings which God allows to filter through life. Conversely, man may, through empirical stimuli distilled by the imagination, break through to that selfsame inner truth. "Reality"--that all-engulfing presence which surrounds, is present within, and occasionally darts through the external crust of life-may be arrived at in either fashion-through the strivings of man or through the beneficences of God. Hawthorne's comments on "reality" are wholly intuitive, but he assumes that mankind is potentially capable of an identical intuition. "Reality" is an undeniable natural phenomenon of which all men may partake as they are individually capable. The novelist did not assume that he alone held a private








61


telephone line with divinity.

Hawthorne's understanding of "reality" blends readily with his acceptance of sin and with the general tenor of his moral and religious thought; for although he believes that an ideal world transcends the phenomenal one, he insists that man's life is a pilgrimage through the material world and that man's chief concern must remain in that immediate realm where the will to goodness is feeble and the propensity to evil staggering. At the same time, the novelist would offer a severe warning to those individuals who would shirk the obligations of mortal life. Although Hathorne's belief in the existence of an underlying "reality" is firmly rooted, his commentary on the exact nature of that "reality" is not explicit. Taken as a group, his assertions of "reality" stand more as a preface to his ideas on

religion than as pure philosophical strictures.


2

RELIGION

Religious faith is possible not because man is good, an image of the divine, but because God is powerful and unduly benevolent. A religious attitude may exist in spite of man's inherent evil and weakness. Of all the thought areas with which Hawthorne concerned himself, that of religion is the most clearly and consistently defined. Despite the lack of a specific name with which to label Hawthornets religious concepts, the nature of his religious thought is easily understood.

"Hawthorne never made any mention of his or his sisters'









62


attending church while they were children, and his days at Bowdoin were filled with fines imposed for cutting prayers and Sunday chapel."32 Like manrr another religious man he had no Sunday religion. Nominally a Unitarian, wedded to the daughter of a devout Unitarian, .Hawthorne cared little or nothing for specific creeds. He was too keenly aware of man as a sinner to accept in toto the optimistic Unitarianism of his generation. When Hawthorne reflected on Jesus, -His goodness .seemed less significant than the evil things which men had done to Him.33 An hereditary and instinctive awareness of evil prevented Hawthorne's accepting an easy religion.


Soul

Hawthorne's belief in that spiritual essence which Christianity has designated man's soul was unshakeable.

We do wrong to our departed friends, and clog our own
heavenward aspirations, by connecting the idea of the grave with
that of death. Our thoughts should follow the celestial soul, and
not the earthly corpse.(1h3)

A first acquaintance with one's soul may come through suffering.

Any sort of bodily and earthly torment may serve to make us
sensible that we have a soul that is not within the jurisdiction of
such shadowy demons,-it separates the immortal within us from the
mortal.(144)I

Sufferings of the body are but haircloths which quicken the soul's stirrings.


32Manning Hawthorne, "Parental and Family Influences on
Hawthorne," Essex Institute Historical Collections, LXXVI (1940), 6.

33Cantwell, The American Years, p. 90.








63


Yet words are not without their use, even for purposes of
explanation,-but merely for explaining outward acts, and all sorts
of external things, leaving the soul's life and action to explain
itself in its own way.(15)

Man's soul is not his property, but functions as a thing apart with directions all its own. Frequently, souls are squeezed, perhaps by sin, until their flutterings become enfeebled. "For there are states of our spiritual system when the throb of the souls life is too faint and weak to render us capable of. religious aspiration." (16) Although a soul may fall becalmed in individual instances, it still retains full potentiality for goodness.

All souls belong to God.

It takes down the solitary pride of man, beyond most other
things, to find the impracticability of flinging aside affections that have grown irksome. The bands that were silken once are apt
to become iron fetters when we desire to shake them off. Our souls,
after all, are not our own. W'e convey a property in them to those
with whom we associate; but to what extent can never be known,
until we feel the tug, the agony, of our abortive effort to resume
an exclusive sway over ourselves. (17)

"It is because the spirit is inestimable that the lifeless body is so little valued."(148) Hawthorne's conception of man's soul, while conventionally Christian, is also conventionally vague. There is no attempt to ferret out the secrets of a soul. beyond the fact that there is a something which resides within the body during life and leaves it upon death for higher regions. It is viewed as a bit of divine property temporarily housed by a beneficent Creator in physical beings.


Imortality

Actions in this life serve as a springboard for imortality. "The soul shall survive its frail earthly tenement; and if we have












conducted ourselves justly here, there will be a reward for us in another, and a better world."t(149) "And whatever may be the duration of this earthly existence, le it ever be in our minds, that another comes hastening on-which is eternal."(150) This basic notion of eternal life does not deviate appreciably from the standard body of Christian teachings.

Heaven is a joyous place only a breath away; yet human nature strives too frequently for less substantial rewards. "A man will undergo great toil and hardship for ends that must be many years distant,-as wealth or fame,-but none for an end that may be close at hand,-as the joys of heaven."(151) Man should fasten his gaze upon firmly rooted eternality, rather than a fluctuating worldly life.

Has it talked for so many ages and meant nothing all the while?
No; for those ages find utterance in the seats unchanging voice,
and warn the listener to withdraw his interest from moral
vicissitudes, and let the infinite idea of eternity pervade his
soul.(152)

Good deeds and faith thrust aside the curtain between the momentary and the eternal. "And thus we, night wanderers through a story and dismal world, if we bear the lamp of Faith, enkindled at a celestial fire, it will surely lead us home to that heaven whence its radiance was borrowed."(153) There is little to be perceived in Hawthorne's presentation of inmortality which would not be acceptable to the majority of Christian believers. His declaration of faith in an afterlife, though it is made with certainty, nowise balances the darker aspects of his life philosophy.

Somehow, the novelist had picked up the idea that mental labor












will find its completion in the next life. "It seems a greater pity that an accomplished worker with the hand should perish prematurely, than a person of great intellect; because intellectual arts may be cultivated in the next world, but not physical ones."(15 ) This sort of conjecture on the exact nature of a soul, or on the heaven in which it dwells, points out once more that Hawthorne's religion did not always evolve from that rationalism so intimately linked with Unitarianism.

In one way, an anthropomorphic one, the necessity for

immortality is affirmed. "Thus ever does the gross fatality of earth exult in its invariable triumph over the immortal essence which, in this dim sphere of half development, demands the completeness of a higher state."(155) Heaven affords Utopian fulfillment for earth's projects. Moreover, it appears as a mecca for total personalitiesloved ones are united, poets round off their poems, all is brought to completion.

The existence of a higher life is thus proclaimed: first, God is benevolent; second, there is sense and order to man's existence; third, the nature of physical life is incomplete; fourth, since this

life is incomplete and since God is just and good, there must be a heaven.

This so frequent abortion of man's dearest projects must be
taken as a proof that the deeds of earth, however etherealized by
piety or genius, are without value, except as exercises and
manifestations of the spirit. In heaven, all ordinary thought is higher and more melodious than Milton's song. Then, would he add another verse to any strain that he had left unfinished here?(156) Hawthorne begins empirically with a hard world-centered texture and







66


ascends intuitively to celestial heights.

But God would not have made the close so dark and wretched, if
there were nothing beyond; for then it would have been a fiend that created us, and measured out our existence, and not God. It would be something beyond wrong-it would be insult-to be thrust out of life into annihilation in this miserable way. So, out of the very bitterness of death, I gather the sweet assurance of a better state
of being.(157)

In one instance, Hawthorne questions his own naivete/ in

assuming the existence of heaven with such wishful logic.

If we consider the lives of the lower animals, we shall see in
them a close parallelism to those of mortals;-toil, struggle,
danger, privation, mingled with glimpses of peace and ease; enmity, affection, a continual hope of bettering themselves, although their objects lie at less distance before them than our own do. Thus, no
argument from the imperfect character of our existence, and its
delusory promises, and its injustice, can be drawn in reference to
our immortality, without, in a degree, being applicable to our
brute brethren.(158)

It is highly probable that immortality has become so fixed a concept

that it, like sin, may occasionally be treated with levity. On the

other hand, this one statement may reflect an earnest doubt, one soon

merged in a sea of certainty.

Mortal life's grim limitations forewarn eventual perfection.

God himself cannot compensate to us for being born, in any
period short of eternity. All the misery we endure here
constitutes a claim for another life;-and, still more, all the
happiness, because all true happiness involves something more than
the earth owns, and something more than a mortal capacity for the
enjoyment of it.(159)

And it is the promise of a blessed eternity; for our creator
would never have made such lovely days and have given us the deep hearts to enjoy them, above and beyond all thought, unless we were
meant to be immortal. This sunshine is a golden pledge thereof.
It beams through the gates of paradise and shows us glimpses far
inward.(160)

Beauty, "reality," immortality, though they are kindred terms to

Hawthorne, are not identical in connotation. Beauty, as a state of









67


taste, may be thought of as relative and amoral. Yet beauty, as man knows it, is but the symbol of a permanent essence. Since genuine beauty descends from another world, it tends to be confused as a symbol with the condition which it symbolizes. The conceptions of "reality" and immortality are closely allied in that immortality is merely the return of the soul to a state of permanent "reality"l-a "reality" which can be only imperfectly known in physical life, but which immortality perpetuates.

In the midst of more objective voicings there rings always a personal note. "Yet I am not loath to go away; impatient rather; for, taking no root, I soon weary of any soil in which I may be temporarily deposited. The same impatience I sometimes feel or conceive of as regards this earthly life. ."(161) Hawthorne dreaded that he might die without leaving ample provision for his wife and children, but there is no evidence in his writings of a personal fear of death. Immortality is accepted as a natural legacy. At fifty-five, Hawthorne was old and tired; Una's severe illness in Italy had especially depleted his strength., When he returned to America in 1860, the fire and zest of ten years previous had thoroughly chilled. Death wore a kindly face.

"Now, the very knowledge of God sufficiently proves the

immortality of the soul, which rises above the world, since an evanescent breath or inspiration could not arrive at the fountain of life."3h The Calvinistic concept of the after life is proved by the


3hCalvin, Institutes, I, 204.








68


very fact that God exists. For Hawthorne, heaven is intuitive. "We have strongly within us the sense of an undying principle, and we

transfer that true sense to this life and to the body, instead of interpreting it justly as the promise of spiritual inmortality."(162) It is the incurable disease of a corrupted humanity that it perverts and mischannels its longing for immortality.

If man performs good deeds and keeps faith he will be awarded a niche in heaven. Heaven, where human aspirations are culminated on a divine level, is thought of as a more perfect world. Here man is compensated for the mud of his earthly life. The existence of a spiritual life is known through an undeniable intuition. Taken as a group, these Hawthornian reflections on immortality are more notable for their number than for their variety.


God

God is presented in surprisingly warm terms. Hawthorne speaks of a personal deity, a loving caretaker, whose chief attribute is goodness. It is true that an equally strong conception of fortune emphasizes the complete and awesome sovereignty of God.

Calvin had stressed the ruling powers of the Creator.

Therefore, since God claim a power unknown to us of governing
the world, let this be to us the law of sobriety and modesty, to acquiesce to his supreme dominion, to account his will the on25 rule of righteousness, and most righteous cause of all things.X'

Puritan divines had likewise singled out the sovereignty of God as the one attribute which could be rendered most vivid to human


351bid., I, 235.







69


intelligence.36 While Hawthorne is a thoroughgoing Puritan in his clear-cut recognition of the governing power of God, or Providence, he leans toward an abstract optimism when he reflects on the nature of God. Similarly, Calvinism, while it preaches the attribute of sovereignty for the most part, makes it plain enough in its dogma that through His beneficence God is a warm and munificent father to each and all.

To Hawthorne, God is inmeasurably good.

Thus it appears that all the external beauty of the universe is
a free gift from God over and above what is necessary to our
comfort. How grateful, then, should we be to that divine Benevolence,
which showers even superfluous bounties upon us l (163)

While God's goodness is bountiful in an absolute or final sense, immediate actions remain inscrutable. "God has imparted to the human soul a marvelous strength in guarding its secrets, and he keeps at least the deepest and most inward record for his own perusal."(164) He reads souls as readily as man reads a newspaper, and He gives each a just and thorough reading.

There is no mention, when dealing with that infinite

disembodied primal spirit, of anger or harshness. Providence is necessarily severe in that it mingles with a corrupted world, and is viewed as it works upon that world; but God, although he institutes Providence, is not besmeared with earth's mire.

A paternal God actively loves and cares for all mankind.

It is a comfortable thought, that the smallest and most turbid
mud-puddle can contain its own picture of Heaven. Let us remember
this, when we feel inclined to deny all spiritual life to some

36killiam Warren Sweet, Religion in Colonial America (New York, 1951), p. 98.








70


people, in whom, nevertheless, our Father may perhaps see the image
of his face.(165)

Manifestations of that loving care are felt in mortal life. "God does not let us live anywhere or anyhow on earth, without placing something of Heaven close at hand, by rightly using and considering which, the

earthly darkness or trouble will vanish, and all be Heaven."(166) Trinitarians stress the qualities of goodness and mercy when speaking of Christ. The Puritans had thought in terms of "irresistible grace." Hawthorne, since he intellectually rejects the divinity of Jesus, may well have shifted back to God those attributes which Trinitarians find personified in Christ. That is not to say that Trinitarians do not attribute supreme goodness and mercy to God, for they do; yet they frequently treat God as a rather distant supreme Deity and view Christ

as an immediate and warm Savior. While Providence is seen as a comparatively cold force by Hawthorne, God, by contrast, takes on a warmth not typical of the Puritan's God.

Calvinism assures man of the active directive energies of God.

For he is accounted omnipotent, not because he is able to act,
yet sits down in idleness, or continues by a general instinct the
order of nature originally appointed by him; but because he governs
heaven and earth by his providence, and regulates all things in
such a manner that nothing happens but according to his counsel.37 Hawthorne, in like vein, writes of a supreme caretaker. "But God, who made us, knows, and will not leave us on our toilsome and doubtful march, either to wander in infinite uncertainty, or perish by the wayl" (167) Once again there is a recognition of a warm dominion. As the recipient of paternal care, man owes prayer for what is so


37Calvin, Institutes, I, 220.









71


gratuitously given. "The air, with God's sweetest and tenderest sunshine in it, was meant for mankind to breathe into their hearts, and send forth again as the utterance of prayer."(168)

Prayer is one expression of man's dutiful allegiance to God; humility is another. "This is the true way to do; a man ought not to be too proud to let his eyes be moistened in the presence of God and of a friend."(169) "God knows best; but I wish He had so ordered it that our mortal bodies, when we have done with them, might vanish out of sight and sense, like bubbles."(170) Whether in jest or in earnest, Hawthorne does not question divine intelligence; he remains humble before it. Feeling and faith provide sufficient grounds for belief. "But he never discussed religion in set terms either in his writings or in his talk. He 'believed' in God but never sought to define him."38

In contrast to the dark affirmation of Providence, Hawthorne's

warm assertion of God comes as a pleasant surprise. The dominant impression of God, if God may be separated from his own providential

nature, is more Unitarian than Puritan. While Hawthorne had almost nothing to say on the subject of mercy itself, he does pay full homage to God's goodness.

38Julian Hawthorne, The Memoirs of Julian Hawthorne, ed. Edith G. Hawthorne (New York, 1938), p. 16. It is interesting to speculate on the nature of the God in which Hawthorne believed. It would seem from the commentary on man's soul and on immortality that the God he envisioned did not differ greatly from the Christian God as presented in the Scriptures. However, since Hawthorne does differ from the majority of Christians in that he rejects the Trinity and in that he seems to have had little belief in the devil or in hell, it may well be that his conception of God is not nearly so conventional as it might at first appear.








72


Aspects of Religion

Religion is an unlettered institution in that it requires

simplicity and humility of its subjects rather than erudition. In the most trivial workings of life, religion reaches out to man. "No fountain is so small but that Heaven may be imaged in its bosom."(171) No creature is left dry by the outflowing religious tide.

"Purity and simplicity hold converse at ever moment with their Creator."(172) It is a consistent belief of Hawthorne's that simplicity and purity are intimately connected with divinity. Just as there is an undeniable chain of evil running throughout life, even so is there a corresponding chain of goodness.

In every good action there is a divine quality, which does not
end with the completion of that particular deed, but goes on to
bring forth good works in an infinite series. It is seldom
possible, indeed, for human eyes to trace out the chain of blessed
consequences, that extends from a man's simple and conscientious
act, here on earth, and connects it with those labors of love
which the angels make it their joy to perform, in heaven above.(173)

Assertions of goodness appear as a minority report however, when placed beside the vivid and immense body of recognized evil. Although goodness holds equal qualitative strength with evil, the former is overwhelmed by the quantity of the latter. Hawthorne's commentary on the various aspects of religion, in its repeated emphasis of goodness, tends to neglect for the moment the sterner phase of religion-God's indefeasible sovereignty.

Unless the believer have an unquestioning faith, religion

provides a free play for his imagination. Hawthorne is numbered among those who have faith; yet he inserts a rather daring thought of what conceivably might be.








73


Perhaps there are higher intelligences that look upon all the
manifestations of the human mind-metaphysics, ethics, histories, politics, poems, stories etc etc-with the same interest as we do
on flowers, or any other humble production of nature; finding a
beauty and fitness even in the poorest of them which we cannot see
in the best.(174)

It is a fanciful idea, not a serious one.

"Generally, I suspect, when people throw off the faith they were born in, the best soil of their hearts is apt to cling to its roots."(175) In England, in Rome, however far from the land of his ancestors Hawthorne journeyed, he never relinquished his birthright. The roots were in Puritanism and they were infinitely deep.

Calvin was certain that the day of judgment would see numerous souls fallen into Hell. "For those whom the Lord does not favour with the government of his Spirit, he abandons, in righteous judgement, to the influence of Satan."39 While there are abundant comments by Hawthorne affirming his mental and emotional acceptance of God and Heaven, there is little or no evidence, outside of fictional representations, that the novelist countenanced a-literal belief in Satan and Hell. At times, he seems to take what is tantamount to the existentialist view that man is his own hell. "At the last day-I presume, that is, in all future days, when we see ourselves as we areman's only inexorable judge will be himself, and the punishment of his sins will be the perception of them."(176) Satan and Hell find little room in Hawthorne's world of ideas, yet it is true that he utilized them as dramatic features of his tales. It is conceivable that Satan


39Calvin, Institutes, I, 335.








74


and Hell, in their traditional employment as fictional entities, are known to the Hathorne intellect as convenient metaphors for evil; even though they are not wholly discarded from an emotional standpoint.

A blacksmith may perform his tasks in a religious manner.

Calvin and the Puritan fathers had preached the doctrine that work is worship. "Ve do ourselves wrong, and too meanly estimate the Holiness above us, when we deem that any act or enjoyment, good in itself, is not good to do religiously."(177)

Hawthorne chose to comment on the brighter aspects of religion rather than the darker ones. Religion is seen as more than a way of life; it becomes life itself. Purity, goodness, humility are commended as earthly manifestations of divinity.


Formal Religion

Hawthorne's irreligion consisted in his not attending church: as a child, he was rarely present at Sunday services; during his courtship, Sophia could not prevail upon him to hear visiting ministers; in England, he sent the children to church and felt much better thereby, but did not go himself. There was no one sect with sufficient answers for Hawthornets questioning mind. He had cast off some vital Puritan beliefs as untenable, but he failed to find comfort in the rationalistic program of New England Unitarianism. The eternal wrangling over minute doctrinal points, which formal religions frequently engage in, was especially repugnant. Hawthorne dwelt in a subjective religious world which felt no need for the objective act of church going.











"0, but the church is the symbol of religion. May its site, which was consecrated on the day when the first tree was felled, be kept holy forever, a spot of solitude and peace, amid the trouble and vanity of our week-day worldl"(178) While the church had slight appeal to Hawthorne the individual, he heartily recommends it for the rest of mankind. The Church, however, may be found in the individual heart with more certainty than in the visible church building.

Clerical people, with their dust-destined volumes, failed to make a favorable impression. "I find that my respect for clerical people as such, and my faith in the utility of their office, decreases daily. We certainly do need a new revelation-a new system-for there seems to be no life in the old one."(179) There is more than one appeal by Hawthorne for a new apostle to rescue Protestantism from stagnant waters.

One of the most disconcerting aspects of formal religion is that it rapidly grows intolerant. This schismatic tendency of Protestantism is as old as, time. Sects tend to pull apart rather than draw together in a mutual effort for a common cause.

Each sect surrounds its own righteousness with a hedge of
thorns. It is difficult for the good Christian to acknowledge the
good Pagan; almost impossible for the good Orthodox to grasp the
hand of the good Unitarian, leaving to their Creator to settle the
matters in dispute, and giving their mutual efforts strongly and
trustingly to whatever right thing is too evident to be
mistaken. (180)

Simplicity is the keynote of religion. Books of religion, many of which Hawthorne had thumbed, seemed to him to miss the heart of the matter.

Books of religion, however, cannot be considered a fair test








76


of the enduring and vivacious properties of human thought, because
such books so seldom really touch upon their ostensible subject,
and have, therefore, so little business to be written at all. So
long as an unlettered soul can attain to saving grace, there would
seem to be no deadly error in holding theological libraries to be accumulations of, for the most part, stupendous impertinence.(181)

Notwithstanding an evident disdain of theological tomes, there is every indication that Hawthorne held the Bible to be the inspired word of God. In a letter to his publisher, James T. Fields, in 1860, there is a tribute to the saving powers of the Scriptures:

Did I not suggest to you, last summer, the publication of the
Bible in ten or twelve 12 mo volumes? I think it would have great success, and, at least (but as a publisher, I suppose this is the very smallest of your cares5, it would result in the salvation of a great many souls, who would never find their way to heaven, if left to leapn it from the inconvenient editions of the Scriptures
now in use.

By 1858, Hawthorne had increasingly come to feel that

Protestantism needed rejuvenation. "Protestantism needs a new apostle to convert it into something positive. ."(182) In the same year he made his first real acquaintance with CatholicismoJ and was both attracted and repelled by what he found. "What better use could be made of life, after middle-age, when the accumulated sins are many and the remaining temptations few, than to spend it all in kissing the black cross of the Coliseum!"(183) While Catholicism, especially the Roman Popes, evoked rather harsh criticism and satirical thrusts from Hawthorne, he discovered that certain practices of the Catholic faith, notably the confessional, deeply appealed to him.


40James T. Fields, Yesterday with Authors (Boston, 1900), p. 95.

U-Hawthornels youngest daughter, Rose, became a Catholic convert some years after her father's death.








77


The Catholic Church is praiseworthy in that it keeps religion present to the daily life of man.

Whatever may be the iniquities of the papal system, it was a
wise and lovely sentiment that set up the frequent shrine and cross
along the roadside. No wayfarer, bent on whatever worldly errand, can fail to be reminded at every mile or two, that this is not the business which most concerns him. The pleasure-seeker is silently admonished to look heavenward for a joy infinitely greater than he now possesses. The wretch in temptation beholds the cross, and is
warned that, if he yield, the Saviour's agony for his sake will
have been endured in vain.(18h)

Catholicism continually reminds her followers of life's deeper meanings. Hawthorne is more than superficially attracted by Catholicism, but it is extremely doubtful that he would have ever become a convert. His energy for any sort of outer participation in religion was quite feeble.

Since the universe in which he found himself was predominantly moral, Hawthorne felt man's chief business and urgent problem to be a sufficient morality.42 Calvinism had provided an intellectual background steeped in morality.

Calvinism in fact is not essentially a systematic body of
doctrine. Its essence is revealed in that which Calvin consistently
strove to effect and actually succeeded in effecting in no small
degree-the moralisation of all life by religion.43

Hawthorne's religion is not formally Calvinistic in that it is not Trinitarian, and in that it finds no faith in election" and

"irresistible grace." Literal Satans, literal Hells, and the angry God of early New England are not taken seriously. Hawthorne did


42Vernon L. Parrington, Main Currents in American Thought (New York, 1927), II, h2.

43A. Mitchell Hunter, The Teaching of Calvin (London, 1950), p. 298.








78


believe in the soul, in immortality, in a God with the attributes which Christian theology reiterates, and in the saving power of the Holy Writ. Goodness in this life is to be rewarded by heaven; man's sins are to be punished, possibly through a persistently conscious dwelling with those very sins. Heaven is to compensate man for an imperfect earthly life.

"Hawthorne's religious faith was of an almost childlike simplicity, though it was as deeply rooted as his life itself."4 Religion is not. that urge which brings man to church on Sunday, but it is that, instead, which gives meaning and color to. all life's actions. Inklings of doubt, if they occurred, were quickly lost in the certainty of a naive but admirable faith. Sophia' unstinting belief in God must have given added impetus to that intuitive faith which her husband possessed. "He deeply accepted his wife's rejoicing faith, and perceived the limitations of reason.uh5

God in his pure form, considered apart from Providence, is far more of the paternal being and less of the almighty spirit than might be suspected. The further Hawthorne moved into abstraction and away from the dance of life, the more optimistic he became. Thus Providence, as the chief protagonist of the texture of life, is seen in rigid gray

lines. The workings of Providence are visible to the Hawthorne eye; hence they are instinctively intellectualized with immediate pessimism, although the long look at Providence, unobtainable in this sphere, is


"Julian Hawthorne "Hawthorne's Philosophy," The Century Magazine, XXXII (May, 1886$, 91.

4Julian Hawthorne, Memoirs, p. 16.








79


an optimistic one. To God, on the other hand, felt through the unlettered heart, is ascribed warm and personal, almost sunshiny attributes.

Jesus affords a special interpretative problem. He enters

Hawthorne's writings only in brief and scattered passages. Nowhere is the Hawthorne intellect seriously concentrated on the question of his divinity. However, in a letter to Sophia, written the 24th of December 1839, the would-be husband in alluding to the fact that the Custom House employees must work on Christmas day, makes warm mention of Jesus. "The holiest of holydays-the day that brought ransom to all other sinners--leaves us in slavery still."16 Although he had discarded a belief in the divinity of Jesus, possibly Hawthorne had not completely shaken it from his mind.

Religion is traditionally one of the most significant

institutions confronting man in society. All life is a religious reflection, for religion as an institution casts its shadow over the whole scope of human activity. It is not suggested that Hawthorne was pious, notably devout, or in any way a proselytizer of the good life; but rather that he saw the ephemeral procession of life as a somber one, and that he recognized religious faith as the one necessary accompaniment to mortal man's procession.


Love Letters,, I, 118.















CHAPTER V


SOCIETY


Social and civic institutions, Hawthorne scans with a practical but slightly jaundiced eye. Society in its greater sense, and political society more specifically, are to be interpreted as earthly actualities, conceived and perpetuated by man out of his need for cooperation and for his own convenience. In contrast to the imponderable presence of a religious force which dwells both above man and within his individual heart, and which renders every action both moral and meaningful, society emerges as a gross superficiality. This is not to imply that institutionalized social forces are not central to earthly life--for they are indeed a prime concern--but rather that they are not spiritual in essence.

Religion, while it is simultaneously the most immediate and the most ultimate of actualities, and while it enters somehow into all actions, allows man free rein to work out his social living in his own limited and blundering way. Somehow, man, with all his spiritual shortsightedness, caught up in marble. and mud-man who goes wrong more often than right--somehow, he constructs upon the social appetite a formalized mode of life which regulates his earthly intercourse and which he recognizes as society. The social way is the natural way-in so far as the urge to group is as dominant as the urge to mate-yet, when seen in its refined form, institutionalized and standardized 80








81


society may be viewed as a monument to man's tendency to err.

In close conjunction with the social process, tradition looms ominous. In effect, it is tradition which nourishes and hands forward the more formalized and the more habitual aspects of the communal way. Man, wherever he might seek release, continually stumbles beneath the heavy weight of tradition. At times, tradition appears to the Hawthorne mind as an insidious pressure, distinct from yet intimately linked to social living. Less frequently it is seen as a worthwhile agent of conservatism.


Tradition

The Hawthornian analysis of tradition is overwhelmingly

consistent to the point of monotony. The principal concern is for the decay, the sterility, the effeteness accompanying tradition. Life requires periodical renewing, for "Human nature will not flourish, any more than a potato, if it be planted and replanted, for too long a series of generations, in the same worn-out soil."(185) Even though tradition propagates and increases the oppressive weight on man's shoulder, its conservative influence is a utilitarian one. "This long

connection of a family with one spot, as its place of birth and burial, creates a kindred between the human being and the locality, quite independent of any charm in the scenery or moral circumstances that surround him. It is not love, but instinct."(186) An appetite for the land, of the kind expressed in Tennyson's "Northern Farmer Old

Style,"' presents the nobler countenance of tradition. Unfortunately, as is the case with many a pure desire, evil adheres to its practical








82


evolution.

Undoubtedly, the five generations of Puritan ancestors which had preceded Nathaniel Hawthorne, as well as the spirit of Salem itself, were in his blood. He could not rid himself of this profound influence.h7 It is this sort of tradition-the double-barreled internal pressure of heredity and environment--which confounds Hawthorne. To escape from tradition is to escape from one's physical self.

"The evil of these departed years would naturally have sprung up again, in such rank weeds (symbolic of the transmitted vices of society) as are always prone to root themselves about human dwellings." (187) There is a heavy insistence that decay and vice invariably

follow the passage of time and that a dwelling enriched by age evinces the mouldy face of evil. Tradition transmits that evil.

Hence, too, might be drawn a weighty lesson from the little
regarded truth, that the act of the passing generation is the germ
which may and must produce good or evil fruit in a far-distant
time; that, together with the seed of the merely temporary crop,
which mortals term expediency, they inevitably sow the acorns of a more enduring growth, which may darkly overshadow their posterity.
(188)

Good, which may theoretically be transmitted, tends to melt before the glare of its darkened antithesis.

Vice is robust and free roaming, not caged and sickly; it is an untamed entity swept .forward by tradition.

Not to be deficient in this particular, the author has
provided himself with a moral,-the truth, namely that the
wrong-doing of one generation lives into the successive ones, and,


hManning Hawthorne, "Hawthorne's Early Years," Essex Institute Historical Collections, LXXIV, 21.








83


divesting itself of every temporary advantage, becomes a pure and
uncontrollable mischief; and he would feel it a singular
gratification if this romance might effectually convince mankindor, indeed, any one man-of the folly of tumbling down an
avalanche of ill-gotten gold, or real estate, on the heads of an unfortunate posterity, thereby to maim and crush them, until the
accumulated mass shall be scattered abroad in its original
atoms.(189)

Each generation, if it is to breathe a pure air and labor with any degree of freedom, must somehow find release from the ever-increasing pressures of its past. From the point of pure theory, in the purely abstract realm, Hawthorne is seen as a would-be reformer of society, as a reader of Rousseau. He is seen as one who wishes man freed from the accumulated artifice of civilization. Actually, however, Hawthorne's practical recognition of the incorrigible yet necessary

nature of man's physical sojourn belies the ideal.

"Tradition,--which sometimes brings down truth that history has let slip, but is oftener the wild babble of the time, such as was formerly spoken at the fireside and now congeals in the newspapers,tradition is responsible for all contrary averments." (190) Tradition, in whatever manner it is perpetuated, speaks with an absolute voice. Yet, mere age fails to impress Hawthorne. He is interested in values

rather than the purely antique. "An old thing is no better than a new thing, unless it Ebe a symbol of something, or have some value in itself." (191)

Complete detachment from the past is impossible. Individuals

and nations may change their minds, but they cannot change their history. Apparent change and newness is somehow connected with past events. Man continues to build onto the material and mental structures











of past ages, and in so doing drags behind him, like the chambered nautilus, an outgrown past.

The fact is, the world is accumulating too many materials for
knowledge. We do not recognize for rubbish what is really rubbish; and under this head might be reckoned almost everything one sees in the British Museum; and as each generation leaves its fragments and
potsherds behind it such will finally be the desperate conclusion
of the learned.(192)

The present is burthened too much with the past. We have not
time, in our earthly existence, to appreciate what is warm with
life, and immediately around us; yet we heap up all these old
shells, out of which human life has long emerged, casting them off forever. I do not see how future ages are to stagger onward under all this dead weight, with the additions that will be continually
made to it.(193)

If only man were allowed to start afresh, though Hawthorne sees no effective means of casting aside outmoded paraphernalia, then and only then would the transmitted sears of society heal in the new enthusiasm of fresh conquest. It is a young idea, a liberal idea, but scarcely a well-rounded one. When Hawthorne cries out that dead weight makes progress difficult, that society should amputate its withered limbs, he begins and ends with the same lament, but fails to provide the

necessary surgical implements.

"But methinks it must be weary, weary, weary, this rusty

unchangeable village-life, where men grow up, grow old, and die, in their fathers dwellings, and are buried in their grandsirest very graves, the old skulls, and cross-bones being thrown out to make room for them, and shovelled in on the tops of their coffins."(194) The spectacle of a traditional life led in an unthinking manner is a depressing one, for it is felt that the person observed never comes alive. Hawthorne admits his own need for a physical rut, for a calm








85


external routine, to free his mind for action. The observed failure of a mind lost in traditional ways to once flex its muscles is most deplorable; mental fixedness is to be avoided at all costs.

Man's only release from tradition comes through fire and death. These two purifying agents are applied by Hawthorne to both the individual and the group problem. "All towns should be made capable of purification by fire, or of decay, within each half-century. Otherwise, they become the hereditary haunts of vermin and noisomeness, besides standing apart from the possibility of such improvements as are constantly introduced into the rest of man's contrivances and accommodations."(195) It is criminal to foist tha present onto unborn generations-to pass on old homes, old ways, and old evils. Ideally, man should be allowed a new cycle each fifty years.

Late in his life, in 1862, the graying novelist appears to contradict his earlier conclusions. Such reversals of position are exceedingly rare, for Hawthorne normally probes and elaborates his ideas in an amazingly consistent manner. It is not his wont to jump from a considered opinion to its very opposite. Frequently, the Hawthornian paradox is nonexistent when the surface contradiction is evaluated in terms of the over-all thought pattern. In other instances, the intellectual phase of the writer's personality gives ground to temporary emotional outbursts or even to petty grievances. Then, too, Hawthorne is known to have occasionally spoken with tongue in cheek.

The sentiment expressed but two years prior to the novelist's









86


death is readily seen as a more conservative and perhaps a more reasoned approach to the problem.

It may seem to be paying dear for what many will reckon but a
worthless weed; but the more historical associations we can link with our localities, the richer will be the daily life that feeds
upon the past, and the more valuable the things that have been
long established: so that our children will be less prodigal than
their fathers in sacrificing good institutions to passionate
impulses and impracticable theories.(196)

The bulk of Hawthorne's criticism of tradition decries the immense burden of a perpetuated evil. It fails to recognize that "good" may be transmitted to any worthwhile degree; it fails to give full recognition to tradition as a stabilizing element in society. Finally, when the author comes to speak of "good institutions," it is with the voice of an old man--one made more malleable and more conservative by a long and

sharp engagement with life. The more balanced view, arrived at late in life, scarcely represents the dominant Hawthorne notion.

Nathaniel Hawthorne was born into a town overladen with old

houses, old customs, old legends, and old evils. He inherited the rich and shadowy past of the Hawthorne family. On his maternal side, the Mannings were equally tradition-conscious. Mary Manning, the youth's aunt, had steeped him in New England lore. Then, too, from infancy he was made aware that certain accomplishments were expected of a

Hawthorne. He rebelled against those expectations in taking up the pen. Perhaps the constant nagging of grandmother Manning and the Manning uncles had much to do with that rebellion. In any event, Hawthorne never quite came to a balanced understanding of tradition. His rebellion, for all its vinegar and impishness, is not an entirely








87


illogical one when viewed in the light of the youth's upbringing.

One too keenly attuned to the world's evil could not help

feeling that any carry-over from the past is essentially an evil one. Tradition gives rise to social as well as personal problems. Intellectually and emotionally Hawthorne is repeatedly called on to face tradition. He recognized it for what it appeared to him, scrutinized it in the dark light of lifes's prenatal influences, but never quite knew what to make of it.


Society at Large

"Man is naturally a sociable being; not formed for himself

alone, but destined to bear a part in the great scheme of nature. All his pleasures are heightened, and all his griefs are lessened, by participation. It is only in Society that the full energy of the mind is aroused, and all its powers drawn forth."(197) At age sixteen, some years before the artistic Hawthorne was to hesitate sensitively on the brink of society, the adolescent Hawthorne offers a lucid statement of social necessity. Together with a recognition of that

necessity, the youth unhesitatingly affirms the nature of the social problem and the inevitable choice of answers which an individual must make. "Perhaps life may pass more tranquilly, estranged from the pursuits and the vexations of the multitude, but all the hurry and whirl of passion is preferable to the cold calmness of indifference." (198) After endless encounters with the crass actuality of social existence, after numerous cries of pain, Hawthorne is led, through living and through observing the life pattern of others, to accept in









88


his later years the prophetic statement of his adolescent self.

Though the appetite for society is genuine enough, the edifices

erected on that urge are shallow and vain. "Alas that the vanity of dress should extend even to the grave!"(199) With all deference to the English poets of the eighteenth century, Havrthorne takes up the theme of man's vainglory. When the visible workings of society are seen apart from the shining theory which mandates them, they wear conspicuously the stamp of man's imperfectibility.

"Amid the seeming confusion of our mysterious world,

individuals are so nicely adjusted to a system, and systems to one another and to a whole, that, by stepping aside for a moment, a man exposes himself to the fearful risk of losing his place forever."(200) Society mechanically thrusts itself forward on an uncharted track.

Once the individual withdraws from its intricate train of movement he never regains his former seat. Those who remain "shivering behind" can but marvel at the unfeeling complexity of that in which they once participated. Hawthorne unquestionably believes, at this stage in his development, that a functional society, moulded by man of artificial ingredients, lacks spiritual substance. Society is binding on man in that acquiescence to it is necessary for a balanced participation in this life, yet it is factitious in that it is born of man's short and shallow view.

By the sheer force of its routine, the social way provides a needed fortress for the individual. Yet at the same time it is so superficially fashioned, so lacking in spiritual fiber, that it can scarcely withstand a sharp interruption of its order.








89


A revolution, or anything that interrupts social order, may
afford opportunities for the individual display of eminent virtues;
but its effects are pernicious to general morality. Most people
are so constituted that they can be virtuous only in a certain routine, and an irregular course of public affairs demoralizes
them. (201)

Society does render surface satisfaction in providing a necessary stabilization, for "It is one great advantage of a gregarious mode of life that each person rectifies his mind by other minds, and squares his conduct to that of his neighbors, so as seldom to be lost in eccentricity."(202) It is through social interplay that balance and perspective are attained and that an adjustment to group living is secured.

Social life's entire structure, however ordered on its crust, stands out to the Hawthornian eye as little more than an ingenuous personification of man's depravity. "We who are born into the world's artificial system can never adequately know how little in our present

state and circumstances is natural, and how much is merely the interpolation of the perverted mind and heart of man."(203) Julian Hawthorne, although normally blind to the inner workings of his father's mind, was astute enough to recognize that "Another of Hawthorne's strongest perceptions was of the artificiality of our present civilization and of the superfluities and absurdities to which custom has insensibly blinded us.",8 As a novelist, Hawthorne was uniquely qualified to write on the necessary adjustment of the individual to society; for having remained on the outer rim of social activity for


48Julian Hawthorne, "Hawthorne's Philosophy," Century, XXXII, 90.









90


twelve years, he saw the problem of participation with an excessively sharp focus.

"The advance of man from a savage and animal state may be as well measured by his mode and morality of dining, as by any other circumstance."(204) Society's plane is a cultivated and refined one. The exact state of a civilization may be observed in its outer manners, for society at large is so constituted that its degree of perfectibility may be taken on a surface reading. Hawthorne is not certain, when he carefully considers the possibilities of man in society, that there has been any internal advancement beyond the primitive state.

It is the impersonal and essentially heartless quality of the social order that Hawthorne most abhors.

In this republican country, amid the fluctuating waves of our
social life, somebody is always at the drowning-point. The tragedy
is enacted with as continual a repetition as that of a popular
drama on a holiday; and nevertheless, is felt as deeply, perhaps,
as when an hereditary noble sinks below his order. More deeply;
since, with us, rank is the grosser substance of wealth and a
splendid establishment, and has no spiritual existence after the
death of these, but dies hopelessly along with them.(205)

The American social tendency toward an aristocracy of wealth is lamented as the peculiar shortcoming of a people keyed to materialistic

values.

Although Hawthorne censures what seems to him an artificial

mode of social conduct, he hastens to accept as valid the appetite upon which that mode has arisen. He speaks of a great chain of belonging. Mankind's gregarious inclinations lead him to look askance on those who

attempt to stand apart. "But the sympathy or magnetism among human beings is more subtile and universal than we think; it exists, indeed,








91


among different classes of organized life, and vibrates from one to another."(206) If humanity would but allow its brotherhood to assert itself in a natural way, then all things would be possible. But there is a still more powerful force in man yet to be reckoned with--one which never changes, one which makes impossible a genuine social union. Noble theories fall short of their mark when actuated by a selfish and evil humanity. Nonetheless, in spite of the corrupt practice through which it becomes manifest, the gregarious inclination exists in a pure form.

This then is the nature of that institution governing man's conduct, that it beats down upon him, wearies him, yet demands his participation. Man must assume his function in a society propagated by tradition and grounded in superficiality. He must remain a helpless witness to the world's vanity "For, has not the world come to an awfully sophisticated pass, when, after a certain degree of acquaintance with it, we cannot even put ourselves to death in whole-hearted simplicity?"(207) Man must come to realize that society has progressed away from native joy and simplicity and into a realm of unwholesome artifice.

Not that the modes and seeming possibilities of human enjoyment
are rarer in our refined and softened era,--on the contrary, they
never before were nearly so abundant,--but that mankind are getting
so far beyond the childhood of their race that they scorn to be
happy any longer. A simple and joyous character can find no place
for itself among the sage and sombre figures that would put his
unsophisticated cheerfulness to shame. The entire system of man's
affairs, as at present established, is built up purposely to
exclude the careless and happy soul. The very children would
upbraid the wretched individual who should endeavor to take life
and the world as-what we might naturally suppose them meant for-a place and opportunity for enjoyment.(208)




Full Text
xml version 1.0 encoding UTF-8
REPORT xmlns http:www.fcla.edudlsmddaitss xmlns:xsi http:www.w3.org2001XMLSchema-instance xsi:schemaLocation http:www.fcla.edudlsmddaitssdaitssReport.xsd
INGEST IEID E7FSFFDCS_UO6E0M INGEST_TIME 2017-11-02T16:55:27Z PACKAGE UF00025923_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES



PAGE 1

7+( 3(5621$/ 3+,/2623+< 2) 1$7+$1,(/ +$:7+251( %\ :,//,$0 0 :+,7( -5 $ ',66(57$7,21 35(6(17(' 72 7+( *5$'8$7( &281&,/ 2) 7+( 81,9(56,7< 2) )/25,'$ ,1 3$57,$/ )8/),/0(17 2) 7+( 5(48,5(0(176 )25 7+( '(*5(( 2) '2&725 2) 3+,/2623+< 81,9(56,7< 2) )/25,'$ -XQH

PAGE 2

'(',&$7,21 7R 'U +DUU\ 5 :DUIHO P\ WHDFKHU DQG WR $QQ P\ ZLIH LL

PAGE 3

OLIH LV PDGH XS RI PDUEOH DQG PXG 1DWKDQLHO +DZWKRUQH ,I LW EH WUXH WKDW KXPDQ QDWXUH LV HYLO ZH VKDOO JDLQ QRWKLQJ E\ EOLQNLQJ WKH IDFW -XOLDQ +DZWKRUQH LLL

PAGE 4

35()$&( ,W LV WKH DLP RI WKLV VWXG\ WR VHOHFW FODVVLI\ DQG LQWHUSUHW WKRVH VWDWHPHQWV IURP WKH FRPSOHWH ZULWLQJV RI 1DWKDQLHO +DZWKRUQH ZKLFK LQGLFDWH WKH QRYHOLVWnV SHUVRQDO SKLORVRSK\ (YHQ WKRXJK KH GLG QRW DGKHUH WR D IRUPDO SKLORVRSK\ KH GLG H[SUHVV KLV RSLQLRQV RIWHQ HQRXJK DQG ZLWK FRQVLVWHQF\ HQRXJK WKDW WKH SDWWHUQ RI KLV WKRXJKW PD\ EH DVFHUWDLQHG :KHQ WKH VFDWWHUHG ELWV RI +DZWKRUQLDQ RSLQLRQ DUH EURXJKW WRJHWKHU XQGHU D VXEMHFW FODVVLILFDWLRQ DQG KDQGOHG FKURQRORJLFDOO\ WKH\ SUHVHQW D FOHDU VWDWHPHQW RI WKH QRYHOLVWn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nV PDMRU QRYHOLVWV 7KH SULPDU\ PDWHULDO IRU WKLV VWXG\ LV WDNHQ IURP +DZWKRUQHnV SXEOLVKHG ZRUNV KLV MRXUQDOV DQG KLV OHWWHUV 7KH HYLGHQFH KDYH XVHG FRQVLVWV RI VWDWHPHQWV ZKLFK UDQJH LQ OHQJWK IURP D VLQJOH LY

PAGE 5

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fV OLIH ,W LV DVVXPHG WKDW WKH UHDGHU LV QRW XQIDPLOLDU ZLWK WKHVH HYHQWV 6LQFH WKLV VWXG\ GRHV QRW SXUSRUW WR EH ELRJUDSKLFDO LQ QDWXUH UHIHUHQFHV WR +DZWKRUQHfV OLIH DUH HPSOR\HG RQO\ ZKHQ ELRJUDSK\ UHODWHV TXLWH GHILQLWHO\ WR WKH LGHDV XQGHU FRQVLGHUDWLRQ 7KHVH LGHDV RU LQGLYLGXDO VHJPHQWV RI +DZWKRPLDQ WKRXJKW DUH VWXGLHG DV IUDFWLRQV RI WKH EURDGHU FRQFHSWV RI ZKLFK WKH\ DUH D SDUW UDWKHU WKDQ IRU WKHLU XQLTXH LQWHUHVW 2QFH WKH QRYHOLVWnV FRPPHQWDU\ LQ WKH YDULRXV WKRXJKW DUHDV LV DVVLPLODWHG DQG RQFH WKHVH VHYHUDO DUHDV DUH WDNHQ LQ FRPELQDWLRQ WKH WRWDO WKRXJKW SDWWHUQ WKXV EURXJKW LQWR EHLQJ DIIRUGV DQ LQYDOXDEOH EDFNJURXQG IRU D VXUHU FULWLFDO XQGHUVWDQGLQJ RI +DZWKRUQHfV PLQG DQG DUW Y

PAGE 6

$&.12:/('*0(176 FDQ H[SUHVV EXW LPSHUIHFWO\ P\ LQGHEWHGQHVV WR WKH RYHUDOO GLUHFWLQJ JHQLXV RI 'U +DUU\ 5 :DUIHO +LV ILUP XQGHUVWDQGLQJ RI WKH fOLJKWV DQG VKDGRZV RI +DZWKRUQHf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

PAGE 7

7$%/( 2) &217(176 35()$&( &KDSWHU 6,1 7KH 1DWXUH RI 6LQ %URWKHUKRRG LQ 6LQ &RQFHDOHG 6LQ 7KH 'HYLO DQG (YLO 7KH 7UDQVPLVVLRQ RI 6LQ 6LQ DQG 3XULW\ 7KH (IIHFWV RI 6LQ 8QSDUGRQDEOH 6LQ ,, 7+( '$1&( 2) /,)( 3DUW 2QH 7+( 7(;785( 2) /,)(r 0$5%/( $1' 08' 7KH $SSURDFK 7KH &RPSRXQG 7KH (SKHPHUDO 4XDOLW\ RI /LIHnV 7H[WXUH 2EVHUYDWLRQV RQ WKH 7H[WXUH RI /LIH 3DUW 7ZR '($7+ *ULHI DQG 6RUURZ 3DUW 7KUHH )25781( $1' )$,7+ 7KH 1DWXUH RI )RUWXQH 7KH *RYHUQLQJ 3RZHU RI )RUWXQH 3DUW )RXU 1$785( $V *RGnV 3RHWU\ $V D *RGGHVV 1DWXUH DV 5HIXJH 1DWXUH DV 6\PERO ,,, 6(16,7,9,7< $1' 62/,78'( 7KH 6HQVLWLYH 6RXO 7KH 6ROLWDU\ 6RXO 3DJH LY KK YLL

PAGE 8

,95($/,7< $,p 5(/,*,21 N 3DUW 2QH 5($/,7< N 3DUW 7ZR 5(/,*,21 O 6RXO ,PPRUWDOLW\ *RG $VSHFWV RI 5HOLJLRQ )RUPDO 5HOLJLRQ 962&,(7< 7UDGLWLRQ 6RFLHW\ DW /DUJH 3ROLWLFDO 6RFLHW\ 9, :20(1 7KH )XQFWLRQ RI :RPHQ
PAGE 9

,QWHUDFWLRQV 7KH 1DWXUH RI WKH 3XEOLF 7KH 1DWXUH RI WKH 6LFN 7KH 7ZLOLJKW =RQH 3XUSRVH DQG 3RZHU 7KH 1DWXUH RI D +HUR 3URYHUEV RQ +XPDQ 1DWXUH ,;1$7,21$/ 1$785(6 7KH (QJOLVK 7KH 6FRWV 7KH )UHQFK 7KH ,WDOLDQV 7KH $PHULFDQV 7KH 3XULWDQV 1HZ (QJODQG 6LPLODULW\ RI 1DWXUHV ;352*5(66 5()250 %527+(5+22' $1' :$5 3DUW 2QH 352*5(66 A 3DUW 7ZR 5()250 3DUW 7KUHH %527+(5+22' 7KH /DFN RI %URWKHUKRRG 3DUW )RXU :$5 K6 ;,7+( 6<17+(6,6 e 7KH (PRWLRQDO (TXDWLRQ 7KH 6\QWKHVLV %,%/,2*5$3+< $33(1',; &,7$7,21 2) 35,0$5< 6285&(6 L[

PAGE 10

&+$37(5 6,1 6LQ LV SUHQDWDO WR +DZWKRUQHnV ZRUOG ,W LV QRW DGRSWHG E\ KLP PHUHO\ DV HQWHUWDLQLQJ VXEMHFW PDWWHU IRU ILFWLRQ 1HLWKHU LV WKH +DZWKRPLDQ LQWHUHVW LQ VLQ D PDQLIHVWDWLRQ RI DQ DEQRUPDO SUHGLOHFWLRQ IRU WKH VHDPLHU VLGH RI KXPDQ QDWXUH IRU KLV LQWHUHVW VSULQJV IURP DQ LQWXLWLYH DFFHSWDQFH RI ZKDW WKH QRYHOLVW IHOW WR EH DQ LQGLVSXWDEOH DFWXDOLW\ $Q\ VHULRXV DWWHPSW DW HVWDEOLVKLQJ WKH V\VWHP RI RSLQLRQV ZKLFK XQGHUOLHV +DZWKRUQHnV ILFWLRQ DQG ZKLFK FRQVWLWXWHV WKH SHUVRQDO SKLORVRSK\ RI WKH PDQ PXVW LPPHGLDWHO\ DFFHSW WKH RPQLSUHVHQFH RI VLQ IRU VXFK DQ DFFHSWDQFH QHFHVVDULO\ SUHFHGHV D FULWLFDO XQGHUVWDQGLQJ RI WKH YDULRXV DVSHFWV RI OLIH XSRQ ZKLFK +DZWKRUQH UHIOHFWHG DQG ZURWH $OO TXHVWLRQLQJV RI WKH FDXVH RI WKH QRYHOLVWn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nV FHUWDLQ SRZHU ZDV fn&DUORV ./LQJ +DZWKRUQHnV 9LHZ RI 6LQ 3HUVRQDOLVW ;,+ $SULO f

PAGE 11

HYHUSUHVHQW WR WKH +DZWKRUQH PLQG )URP WKDW PHQWDO DZDUHQHVV LW EURDGHQHG RXWZDUG LQWR KLV ILFWLRQ ZLWK DQ DVWRQLVKLQJ IXOOQHVV 7KH 1DWXUH RI 6LQ %XW ZKDW LV WKH QDWXUH RI VLQ DV +DZWKRUQH YLHZHG LW" ,Q WKH YHU\ GHSWKV RI HYHU\ KHDUW WKHUH LV D WRPE DQG D GXQJHRQ WKRXJK WKH OLJKWV WKH PXVLF DQG UHYHOU\ DERYH PD\ FDXVH XV WR IRUJHW WKHLU H[LVWHQFH DQG WKH EXULHG RQHV RU SULVRQHUV ZKRP WKH\ KLGHOfA 7KH FHUWDLQW\ RI HYLO LV DEVROXWH 7KHUH LV HYLO LQ HYHU\ KXPDQ KHDUW ZKLFK PD\ UHPDLQ ODWHQW SHUKDSV WKURXJK WKH ZKROH RI OLIH EXW FLUFXPVWDQFHV PD\ URXVH LW WR DFWLYLW\f 6LQ DQG HYLO DUH D QDWXUDO GLVSRVLWLRQ RI PDQ D FRLOHG VHUSHQW DZDLWLQJ DFWLRQ DW WKH VQDS RI D WZLJ $PRQJ WKH ROG SUREOHPV RI 3XULWDQLVP WKH PRVW H[DOWHG LV VLQ +DZWKRUQH KDG LQKHULWHG WKH SUREOHP EXW QRW WKH DFFRPSDQ\LQJ DQVZHUV RI HOHFWLRQ DWRQHPHQW DQG LUUHVLVWLEOH JUDFH )RU WKH VWXG\ RI +DZWKRUQHfV PLQG LW LV QHFHVVDU\ WR FXW EDFN LPPHGLDWHO\ LQWR WKH SULQFLSOHV RI &DOYLQLVP IRU LQ UHMHFWLQJ &DOYLQLVP DV D UHOLJLRQ KH UHWDLQHG LW DV WKH UDZ PDWHULDO RI KLV LQWHOOHFWXDO SURELQJV $V )UDQNOLQ WUDQVODWHG LQWR VHFXODU WHUPV WKH PRUDO GLVFLSOLQH RI 1HZ (QJODQG VR +DZWKRUQH WUDQVODWHG LQWR HPSLULFDO WUXWKV WKH HVVHQWLDO GRFWULQHV RI &DOYLQLVP +DZWKRUQH KDG EURNHQ WKURXJK WKH KHDY\ A$UDELF QXPEHUV ZLWKLQ SDUHQWKHVHV UHIHU WR WKH SULPDU\ VRXUFHV RI WKLV VWXG\ WKDW LV WKH e TXRWDWLRQV 7KH FLWDWLRQ RI WKHLU ORFDWLRQ LQ +DZWKRUQH OLWHUDWXUH LV LQ WKH DSSHQGL[ HQWLWOHG &LWDWLRQV RI 3ULPDU\ 6RXUFHV A+HUEHUW g 6FKQHLGHU 7KH 3XULWDQ 0LQG 1HZ
PAGE 12

&DOYLQLVWLF WDSHVWU\ EXW KH ZDV XQDEOH WR VKDNH KLPVHOI IUHH IURP WKH HQFLUFOLQJ VWUDQGV RI LWV VKDWWHUHG ILEHUV ,W LV SDWHQW IURP WKH +DZWKRUQLDQ FRPPHQWDU\ WKDW WKH VLQFORXG LV ODWHQW LQ HYHU\ KHDUW 0RUHRYHU FRUUXSWHG PDQNLQG LV IRUFHG WR DFW DQG ZKHQ LW DFWV LW VLQV nf)RU RXU QDWXUH LV QRW RQO\ GHVWLWXWH RI DOO JRRG EXW LV VR IHUWLOH LQ DOO HYLOV WKDW LW FDQQRW UHPDLQ LQDFWLYH+DZWKRUQHfV VWDWHPHQWV UHVW VQXJO\ LQ &DOYLQLVWLF WHDFKLQJ f:KDW LV *XLOW" $ VWDLQ XSRQ WKH VRXOff *XLOW SURFHHGV LQHYLWDEO\ IURP D VLQIXO DFWM LW LV RQH ZLWK VLQ :KHUHDV IRUPDOO\ VLQ PD\ EH XQGHUVWRRG WR LPSO\ DQ\ ZDQW RI FRQIRUPLW\ XQWR RU WUDQVJUHVVLRQ RI WKH ODZV RI *RG +DZWKRUQH QRWHV LQ D EULHI EXW IRUFHIXO PDQQHU WKDW LW LV fD VWDLQ XSRQ PDQfV VRXOf +DZWKRUQH LV QRW GLVSOHDVHG WR SHUVRQLI\ VLQ DV WKH HYLO PLVWUHVV WR ZKRVH FDOO DOO PDQNLQG KDUNHQV ff%XW 6LQ DODV LV FDUHIXO RI KHU ERQGVODYHV WKH\ KHDU KHU YRLFH SHUKDSV DW WKH KROLHVW PRPHQW DQG DUH FRQVWUDLQHG WR JR ZKLWKHU VKH VXPPRQV WKHPf8f $JDLQ KH FRPPHQWV RQ WKH XQOLPLWHG TXDQWLW\ DQG XQPDQDJHDEOH TXDOLW\ RI WKH VLQ SUHVHQW LQ HYHU\GD\ OLIH 3HUKDSV LI ZH FRXOG SHQHWUDWH 1DWXUHfV VHFUHWV ZH FRXOG ILQG WKDW ZKDW ZH FDOO ZHHGV DUH PRUH HVVHQWLDO WR WKH ZHOOEHLQJ RI WKH ZRUOG WKDQ WKH PRVW SUHFLRXV IUXLW RU JUDLQ 7KLV PD\ EH GRXEWHG KRZHYHU IRU WKHUH LV DQ XQPLVWDNHDEOH >VLF@ DQDORJ\ EHWZHHQ WKHVH ZLFNHG ZHHGV DQG WKH EDG KDELWV DQG VLQIXO SURSHQVLWLHV ZKLFK KDYH RYHUUXQ WKH PRUDO ZRUOGV DQG ZH PD\ DV ZHOO LPDJLQH WKDW WKHUH LV JRRG LQ RQH DV LQ WKH RWKHUf &RWWRQ 0DWKHU YRLFHG WKH ZUDWK RI *RG LQ KLV 0DJQDOLD &KULVWL A-RKQ &DOYLQ ,QVWLWXWHV RI WKH &KULVWLDQ 5HOLJLRQ WUDQV -RKQ $OOHQ 3KLODGHOSKLD f }

PAGE 13

$PHULFDQD D ZRUN QRW XQIDPLOLDU WR +DZWKRUQHAr (YHU\ VLQ ERWK RULJLQDO DQG DFWXDO EHLQJ D WUDQVJUHVVLRQ RI WKH ULJKWHRXV ODZ RI *RG DQG FRQWUDU\ WKHUHXQWR GRWK LQ LWV FUZQ QDWXUH EULQJ JXLOW XSRQ WKH VLQQHU ZKHUHE\ KH LV ERXQG RYHU WR WKH ZUDWK RI *RG DQG WKH FXUVH RI WKH ODZ DQG VR PDGH VXEMHFW WR GHDWK ZLWK DOO LWV PLVHULHV VSLULWXDO WHPSRUDO DQG HWHUQDO 7KH QRYHOLVWnV LGHDV DSSHDU LQ DFFRUG ZLWK WKH H[SUHVVHG WKHRORJLFDO VHQWLPHQW -XGJHPHQW 6HDW QRW E\ WKH SXUH LQ KHDUW ZDVW WKRX HVWDEOLVKHG QRU LQ WKH VLPSOLFLW\ RI QDWXUH EXW E\ KDUG DQG ZULQNOHG PHQ DQG XSRQ WKH DFFXPXODWHG KHDS RI HDUWKO\ ZURQJ 7KRX DUW WKH YHU\ V\PERO RI PDQnV SHUYHUWHG VWDWHff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f &DOYLQnV VWDWHPHQWV RQ WKH QDWXUH RI RULJLQDO VLQH[SUHVV D VLPLODU EHOLHI 2ULJLQDO VLQ WKHUHIRUH DSSHDUV WR EH DQ KHUHGLWDU\ SUDYLW\ DQG FRUUXSWLRQ RI RXU QDWXUH GLIIXVHG WKURXJK DOO WKH SDUWV RI WKH VRXO UHQGHULQJ XV REQR[LRXV WR WKH 'LYLQH ZUDWK DQG SURGXFLQJ LQ XV WKRVH ZRUNV ZKLFK WKH 6FULSWXUH FDOOV ZRUNV RI WKH IOHVK +DZWKRUQH ZLWK SUHFHGHQW LQ &DOYLQLVP DQG LQ WKH JUHDW PDMRULW\ RI &KULVWLDQ GRJPDV PHHWV VLQ E\ LQWHQVLI\LQJ LWV KHLQRXV DVSHFWV DQG E\ A0DULRQ / .HVVHOULQJ +DZWKRUQHnV 5HDGLQJ 1HZ
PAGE 14

LQVLVWLQJ RQ WKH LUUHSDUDEOH EUHDFK LQ KXPDQ DIIHFWLRQV RFFDVLRQHG E\ DQ HYLO DFWLRQ 6R LW HYHU LV ZKHWKHU WKXV W\SLILHG RU QR WKDW DQ HYLO GHHG LQYHVWV LWVHOI ZLWK WKH FKDUDFWHU RI GRRPff 6LQ HYLO DQG GRRP DUH DQ XQKRO\ V\QRQ\PRXV WULQLW\ :KDW LV WKHUH VR SRQGHURXV LQ HYLO WKDW D WKXPEfV ELJQHVV RI LW VKRXOG RXWZHLJK WKH PDVV RI WKLQJV QRW HYLO ZKLFK ZHUH KHDSHG LQWR WKH RWKHU VFDOHOf +HUH LQ D ZRUG LV WKH RQH LQFRQWHVWLEOH WUXWK +DZWKRUQH KHUH DV HOVHZKHUH H[FODLPVA KH QHLWKHU GRXEWV QRU TXHVWLRQV 7KH EORW RQ PDQfV VRXO PD\ QRW EH HUDGLFDWHG PD\ QRW EH LJQRUHG ,W PXVW EH YHU\ WHGLRXV WR OLVWHQ GD\ DIWHU GD\ WR WKH PLQXWH DQG FRPPRQSODFH LQLTXLWLHV RI WKH PXOWLWXGH RI SHQLWHQWV DQG LW FDQQRW EH RIWHQ WKDW WKHVH DUH UHGHHPHG E\ WKH WUHDVXUHWURYH RI D JUHDW VLQO2f 5DUHO\ LQGHHG LV +DZWKRUQH LQ DV SOD\IXO D PRRG RYHU VR VHULRXV D VXEMHFW +HUHLQ OLHV WKH JULP URRW RI WKH PRUDOLVWfV KXPRUf§WKDW VLQ LV VR EDVLF WR OLIH WKDW LW PD\ RFFDVLRQDOO\ EH MHVWHG DERXW 6LQ LV WKH IRUP JLYLQJ FDXVH IURP ZKLFK OLIHf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

PAGE 15

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f +DZWKRUQH ODVKHV RXW RFFDVLRQDOO\ DW WKH KROLHUWKDQWKRX DWWLWXGH HQFRXQWHUHG LQ ELJRWV DQG K\SRFULWHV ,Q *RGfV QDPH ZKLFK RI XV PLVHUDEOH VLQQHUV GRHV GHVHUYH DQ\WKLQJ"f :H DUH DOLNH VLQQHUV EHIRUH *RG IRU WKH HQFLUFOLQJ VZHHS RI VLQ EULQJV DOO ZLWKLQ KHU RUELW 1R VLQ LV LQGLYLGXDO DQG HQGHG LQ WLPH UDWKHU LW FUHHSV OLNH FRQFHQWULF FLUFOHV IURP D VSODVK LQ WKH PLOOSRQG ,W LV D WHUULEOH WKRXJKW WKDW DQ LQGLYLGXDO ZURQJGRLQJ PHOWV LQWR WKH JUHDW PDVV RI KXPDQ FULPH DQG PDNHV XVf§ZKR GUHDPHG RQO\ RI RXU RZQ OLWWOH VHSDUDWH VLQf§PDNHV XV JXLOW\ RI WKH ZKROHf ,QGLYLGXDO LQVWDQFHV KDYH XQLYHUVDO UHYHUEHUDWLRQV LQ WKDW HDFK VSHFLILF HQDFWPHQW RI D VLQIXO GHHG HFKRHV WKH GHSUDYLW\ RI WKH UDFH (YHU\ FULPH GHVWUR\V PRUH (GHQV WKDQ RXU RZQOOOMf 1R KXPDQ EHLQJ KRZHYHU DJLOH PD\ OHDS IUHH RI WKH IDUUHDFKLQJ VSODVK RI VLQ :KHUHDV LW LV VFDUFHO\ D IUROLFNLQJ DQG RSWLPLVWLF IUDWHUQLW\ WKLV EURWKHUKRRG LQ

PAGE 16

VLQ VRUURZ DQG GHDWK WKHUH LV HYHU\ LQGLFDWLRQ WKDW +DZWKRUQH WKRXJKW LW VDG WKRXJK LW EH WKH RQO\ OHJLWLPDWH RQH &RQFHDOHG 6LQ 2QH QRWHZRUWK\ DVSHFW RI VLQ LV WKDW D VFDUOHW 6Q LV VHOGRP VWDPSHG RQ WKH IRUHKHDGV RI PDQNLQG ff1RWKLQJ LV PRUH UHPDUNDEOH WKDQ WKH YDULRXV GHFHSWLRQV E\ ZKLFK JXLOW FRQFHDOV LWVHOI IURP WKH SHUSHWUDWRUfV FRQVFLHQFH DQG RIWHQHVW SHUKDSV E\ WKH VSOHQGRU RI LWV JDUPHQWVff $WWHQWLRQ LV DJDLQ FDOOHG WR WKH VSOHQGLG EXW KROORZ GHOXVLRQ VR IUHTXHQWO\ UHIHUUHG LQ +DZWKRUQHnV ILFWLRQ 'HFHQF\ DQG H[WHUQDO FRQVFLHQFH RIWHQ SURGXFH D IDU IDLUHU RXWVLGH WKDQ LV ZDUUDQWHG E\ WKH VWDLQ ZLWKLQf 6LQ RIWHQ ZHDUV D IDLU H[WHULRU DQG LV QR ORQJHU VRXJKW RXW DQG H[SRVHG WR VKDPH :HUH VHFUHW VLQV WR EH XQPDVNHG OLIHnV WKRURXJKIDUHV ZRXOG DERXQG LQ D VZDUPLQJ PDVV RI EHDUHUV ,W LV WKH QDWXUH RI VLQ KRZHYHU WKDW LW VKRXOG HDW LQZDUG LQVWHDG RI EHLQJ PHUHO\ DQ RXWZDUG EXUGHQ 7KH FRUURVLYH QDWXUH RI VLQ OHDGV WR DWWHPSWV WR KLGH JXLOW &RQFHDOPHQW FDXVHV K\SRFULV\ DQG K\SRFULV\ OHDGV WKH HUUDQW RQH LQWR WKH UHJLRQ RI VKDGRZV 7R WKH XQWUXH PDQ WKH ZKROH XQLYHUVH LV IDOVHf§LW LV LPSDOSDEOHf§LW VKULQNV WR QRWKLQJ ZLWKLQ KLV JUDVS $QG KH KLPVHOI LQ VR IDU DV KH VKRZV KLPVHOI LQ D IDOVH OLJKW EHFRPHV D VKDGRZ RU LQGHHG FHDVHV WR H[LVWOf +\SRFULV\ DOVR OHDGV WR FRQIXVLRQ 1R PDQ IRU DQ\ FRQVLGHUDEOH SHULRG FDQ ZHDU RQH IDFH WR KLPVHOI DQG DQRWKHU WR WKH PXOWLWXGH ZLWKRXW ILQDOO\ JHWWLQJ EHZLOGHUHG DV WR ZKLFK PD\ EH WKH WUXHOf 7KURXJK WKH DJHV PDQ KDV EHFRPH GHIW LQ WKH DUW RI FRQFHDOPHQW

PAGE 17

$W QR WLPH DUH SHRSOH VR VHGXORXVO\ FDUHIXO WR NHHS WKHLU WULIOLQJ DSSRLQWPHQWV DWWHQG WR WKHLU RUGLQDU\ RFFXSDWLRQV DQG WKXV SXW D FRPPRQSODFH DVSHFW RQ OLIH DV ZKHQ FRQVFLRXV RI VRPH VHFUHW WKDW LI VXVSHFWHG ZRXOG PDNH WKHP ORRN PRQVWURXV LQ WKH JHQHUDO H\HOf %RWK WKH H[WHUQDO RU VRFLRORJLFDO DQG LQWHUQDO RU VSLULWXDO SV\FKRORJLFDO DVSHFWV RI FRQFHDOHG VLQ LQGLFDWH WKDW WKH PDMRULW\ RI KXPDQ VLQV DUH KLGGHQ IURP YLHZ DQG WKDW WKLV SUDFWLFHG FRQFHDOPHQW RI DQ DFNQRZOHGJHG HYLO LV LQ WKH VHHGV RI WKH UDFH DQG QHFHVVLWDWHV D GHWHULRUDWLRQ RI WKH LQQHU PDQ 7KH DVVXPSWLRQ LV WRR WKDW VRFLDO LQWHUFRXUVH UHIOHFWV WKH VDPH XQKHDOWK\ FRQFHDOPHQW` 7KH 'HYLO DQG (YLO 6DWDQ LV QRW DOLYH WR +DZWKRUQH LQ WKH VHQVH WKDW KH VPHOOV RI VXOSKXU DQG EULPVWRQH +H GRHV H[LVW KRZHYHU DV D PHWDSKRU IRU VLQ 7KH ILHQG LQ KLV RZQ VKDSH LV OHVV KLGHRXV WKDQ ZKHQ KH UDJHV LQ WKH EUHDVW RI PDQf 8QIDWKRPDEOH WR PHUH PRUWDOV LV WKH ORUH RI ILHQGVf (YHU\ KXPDQ EHLQJ ZKHQ JLYHQ RYHU WR WKH 'HYLO LV VXUH WR KDYH WKH ZL]DUG PDUN XSRQ KLP LQ RQH IRUP RU DQRWKHUf ,W LV SRVVLEOH WKDW WKH QRYHOLVW DGRSWV WKH 'HYLO DV WKH FRQYHQLHQW DQG ORJLFDO V\PERO IRU VLQ DQG HYLO RU LW LV DOVR SRVVLEOH WKDW KH FRQFHLYHV RI KLP DV SULGH +DZWKRUQH IUHTXHQWV VKDGRZ\ UHDOPV LQ PRUH WKDQ RQH SLHFH RI ILFWLRQ DQG LW LV LQGHHG SUREDEOH WKDW KH KDG QRW FRPSOHWHO\ VKDNHQ RII WKH ZRUOG RI ,QFUHDVH 0DWKHU $QG DV WKHUH DUH PDQ\ WUHPHQGRXV LQVWDQFHV FRQILUPLQJ WKH WUXWK KHUHRI VR WKDW RI n A+DZWKRUQH SUHVHQWV WKH 'HYLO DV 3ULGH LQ (JRWLVP RU WKH %RVRP 6HUSHQW

PAGE 18

6DWDQfV WDNLQJ ERGLO\ SRVVHVVLRQ RI PHQ LV QRQH RI WKH OHDVW 7KHUH DUH QR OHWWHU RU MRXUQDO UHIHUHQFHV WR WKH 'HYLO ,QGHHG KH IXUQLVKHV +DZWKRUQHfV LPDJLQDWLRQ ZLWK VFDQW UHIOHFWLYH PDWHULDO $OWKRXJK D IOHVK DQG EORRG 6DWDQ GRHV DSSHDO WR +DZWKRUQH WKH URPDQFHUf§ WKH VWUXJJOH IRU D PDQfV VRXO UHDFKHV WKH KHLJKW RI URPDQFH DQG GUDPDf§ KH GLG QRW DWWUDFW +DZWKRUQH WKH PDQ +DZWKRUQHnV PLQG H[DPLQHG LQ GHWDLO WKH SUREOHPV RI VLQ *RG DQG LPPRUWDOLW\ DQG ZKLOH LW KHOG WHQDFLRXVO\ WR DQG UHSHDWHGO\ SUREHG WKHVH FRQFHSWV LW FDUHG OLWWOH IRU WKH SUHDFKHUnV +HOO ZLWK LWV OLYLQJ 6DWDQ ,W LV QRW OLNHO\ WKDW D +DZWKRUQH GHWDFKHG IURP WKH WKUHDGV RI IRUPDO UHOLJLRQ ZRXOG JLYH PXFK FUHGXOLW\ WR D %LEOLFDO RU WR D 0LOWRQLF 6DWDQ :KHWKHU VSHFLILFDOO\ QDPHG RU ZKHWKHU UHIHUUHG WR DV WKH ILHQGf IRHf RU HQHP\f WKH GHYLO GRHV SOD\ D OHDGLQJ UROH LQ VHYHUDO SLHFHV RI +DZWKRUQHf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f S

PAGE 19

FHUWDLQW\ f WKH ZHDNQHVVHV DQG GHIHFWV WKH EDG SDVVLRQV WKH PHDQ WHQGHQFLHV DQG WKH PRUDO GLVHDVHV ZKLFK OHDG WR FULPH DUH KDQGHG GRZQ IURP RQH JHQHUDWLRQ WR DQRWKHU E\ D IDU VXUHU SURFHVV RI WUDQVPLVVLRQ WKDQ KXPDQ ODZ KDV EHHQ DEOH WR HVWDEOLVK LQ UHVSHFW WR WKH ULFKHV DQG KRQRUV ZKLFK LW VHHNV WR HQWDLO XSRQ SRVWHULW\f 0RUWDOLW\ LV QHYHU DOORZHG D IUHVK VWDUW IRU LW PXVW DZDNHQ DOZD\V WR WKH EXUGHQ RI WKH SDVW f7R WKH WKRXJKWIXO PLQG WKHUH ZLOO EH QR WLQJH RI VXSHUVWLWLRQ LQ ZKDW ZH ILJXUDWLYHO\ H[SUHVV E\ DIILUPLQJ WKDW WKH JKRVW RI D GHDG SURJHQLWRUf§SHUKDSV DV D SRUWLRQ RI KLV RZQ SXQLVKPHQWf§LV RIWHQ GRRPHG WR EHFRPH WKH (YLO *HQLXV RI KLV IDPLO\fO_f 6LQ WKHQ PD\ EH WUDQVPLWWHG WKURXJK WKH EORRG LQ PXFK WKH PDQQHU RI KHUHGLWDU\ VRFLDO GLVHDVHV +DZWKRUQH LV KHUH VWDWLQJ D UDWKHU WUDGLWLRQDO FRQFHSWf§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ff 7KXV I LW LV WKDW EDG DV WKH ZRUOG LV VDLG WR KDYH JURZQ LQQRFHQFH FRQWLQXHV WR PDNH D SDUDGLVH DURXQG LWVHOI DQG NHHS LW VWLOO XQIDOOHQff 3XULW\ +DZWKRUQH IHDUV LV EXW DQ HDUO\ WHPSRUDU\

PAGE 20

DOFRYH LQ WKH *RWKLF VWUXFWXUH RI OLIH $OWKRXJK VRPH IHZ SHUVRQV VXUYLYH LQ D ZKLWH LQQRFHQFH WKH JUHDW PDMRULW\ DUH EHVPHDUHG ZLWK WKH PXG RI VLQ +DZWKRUQHnV FRQFHSWLRQ RI PDQnV EURWKHUKRRG LQ VLQ GRHV QRW SHUPLW WKH LQQRFHQW WR VKXQ WKH JXLOW\ IRU WKH VDNH RI PDLQWDLQLQJ D FORLVWHUHG YLUWXHA 9-KR PRUH QHHG WKH WHQGHU VXFFRU RI WKH LQQRFHQW WKDQ ZUHWFKHV VWDLQHG ZLWK JXLOW $QG PXVW D VHOILVK FDUH IRU WKH VSRWOHVVQHVV RI RXU RWR JDUPHQWV NHHS XV IURP SUHVVLQJ WKH JXLOW\ RQHV FORVH WR RXU KHDUWV ZKHUHLQ IRU WKH YHU\ UHDVRQ WKDW ZH DUH LQQRFHQW OLHV WKHLU VHFXUHVW UHIXJH IURP IXUWKHU LOO"f ,QQRFHQFH RU SXULW\ VHUYHV DV D EXIIHU IRU LQLTXLW\ ,W LV FOHDU HQRXJK KRZHYHU WKDW PDQnV SUHGLVSRVLWLRQ WR VLQ LV RYHUZKHOPLQJ DQG WKDW SXULW\nV SHGHVWDO LV D WHQXRXV RQHf ,Q KLV YLVLRQ RI SXULW\ +DZWKRUQH GRHV DOORZ D EULHI VXQEHDP WR SHQHWUDWH OLIHnV GDUNHQHG SDWWHUQ ,Q WKH VDPH EUHDWK KRZHYHU WKH ZULWHU UHVLJQV KLPVHOI WR WKH LQHYLWDEOH DZDNHQLQJ RI WKH SXUH E\ WKH ZRUOG HYLO ,W ZDV WKDW GLVPDO FHUWDLQW\ RI WKH H[LVWHQFH RI HYLO LQ WKH ZRUOG ZKLFK WKRXJK ZH PD\ IDQF\ RXUVHOYHV IXOO\ DVVXUHG RI WKH VDG P\VWHU\ ORQJ EHIRUH QHYHU EHFRPHV D SRUWLRQ RI RXU SUDFWLFDO EHOLHI XQWLO LW WDNHV VXEVWDQFH DQG UHDOLW\ IURP WKH VLQ RI VRPH JXLGH ZKRP ZH KDYH GHHSO\ WUXVWHG DQG UHYHUHG RU VRPH IULHQG ZKRP ZH KDYH GHDUO\ ORYHGf &KLOGKRRGnV LQQRFHQFH LV GHVWUR\HG LQ WXUQ ,W LV D YHU\ PLVHUDEOH HSRFK ZKHQ WKH HYLO QHFHVVLWLHV RI OLIH LQ RXU WRUWXRXV ZRUOG ILUVW JHW WKH EHWWHU RI XV VR IDU DV WR FRPSHO XV WR DWWHPSW WKURZLQJ D FORXG RYHU RXU WUDQVSDUHQF\ A+DZWKRUQH ZRXOG DSSHDU WR FRQGHPQ +LOGD LQ 7KH 0DUEOH )DXQ RQ WKH JURXQGV WKDW VKH IDLOV WR FRPIRUW WKH JXLOW\ 0LULDP

PAGE 21

6LPSOLFLW\ LQFUHDVHV LQ YDOXH WKH ORQJHU ZH FDQ NHHS LW DQG WKH IXUWKHU ZH FDUU\ LW RQZDUG LQWR OLIH WKH ORVV RI D FKLOGnV VLPSOLFLW\ LQ WKH LQHYLWDEOH ODSVH RI \HDUV FDXVHV EXW D QDWXUDO VLJK RU WZR EHFDXVH HYHQ KLV PRWKHU IHDUHG WKDW KH FRXOG QRW NHHS LW DOZD\V %XW DIWHU D \RXQJ PDQ KDV EURXJKW LW WKURXJK KLV FKLOGKRRG DQG KDV VWLOO ZRUQ LW LQ KLV ERVRP QRW DV DQ HDUO\ GHZGURS EXW DV D GLDPRQG RI SXUH ZKLWH OXVWUHf§LW LV D SLW\ WR ORVH LW WKHQf :KHQ VSHDNLQJ RI WKH DZDNHQLQJ WR HYLO +DZWKRUQH JLYHV PRUDO ZDUQLQJ IRU WKH QHFHVVLW\ RI D JRRG OLIH /HW XV UHIOHFW WKDW WKH KLJKHVW SDWK LV SRLQWHG RXW E\ WKH SXUH ,GHDO RI WKRVH ZKR ORRN XS WR XV DQG ZKR LI ZH WUHDG OHVV ORIWLO\ PD\ QHYHU ORRN VR KLJK DJDLQf
PAGE 22

7KH (IIHFWV RI 6LQ ,I WKH DFW RI VLQQLQJ KHOG OLWWOH LQWHUHVW WKH FRQVHTXHQFHV RI WKDW DFW K\SQRWL]HG +DZWKRUQHnV PLQG $FWXDO VLQ QRUPDOO\ SUHFHGHV WKH RSHQLQJ RI D +DZWKRUQH WDOH DQG LV PRUH RIWHQ KLQWHG DW WKDQ VSHFLILFDOO\ GHVFULEHG 7KH WHPSRUDU\ H[DOWDWLRQ RI VLQQLQJ WKH LURQ OLQN RI D PXWXDO VLQ WKH EOXQWLQJ HIIHFW WKH VXEVHTXHQW LVRODWLRQf§ WKHVH UDWKHU WKDQ WKH HYHQW LWVHOI VWLU WKH LQQHU UHFHVVHV RI +DZWKRUQHnV LPDJLQDWLRQ 7KH QHWKHU ZRUOG RI WKH VLQQHU EHFNRQV WR WKH LQTXLVLWLYH DXWKRU )DLQ ZRXOG VHDUFK RXW WKH PHDQLQJ RI ZRUGV IDLQWO\ JDVSHG ZLWK LQWHUPLQJOHG VREV DQG EURNHQ VHQWHQFHV KDOI DXGLEO\ VSRNHQ EHWZHHQ HDUWK DQG WKH MXGJHPHQW VHDWf ,W LV LQ WKLV WRUWXUHG UHDOP WKDW PXFK RI +DZWKRUQHnV EHVW ILFWLRQ ILQGV LWV H[SUHVVLRQ $FWXDO SHUIRUPDQFH RI D VLQ LV D PDWWHU RI VWUHQJWK DQG UHVROXWLRQ QRW RI WHPHULW\ &ULPH LV IRU WKH LURQQHUYHG ZKR KDYH WKHLU FKRLFH HLWKHU WR HQGXUH LW RU LI LW SUHVV WRR KDUG WR H[HUW WKHLU ILHUFH DQG VDYDJH VWUHQJWK IRU D JRRG SXUSRVH DQG IOLQJ LW RII DW RQFHOLf 2QFH WKH VLQ KDV EHHQ HQDFWHG WKH LQLWLDO UHVROYH VXEVLGHV UDSLGO\ RQO\ WR EH UHSODFHG E\ D YDULHW\ RI SHUSOH[LQJ LPSXOVHV %XW WKHUH LV D IDWDOLW\ D IHHOLQJ VR LUUHVLVWLEOH DQG LQHYLWDEOH WKDW LW KDV WKH IRUFH RI GRRP ZKLFK DOPRVW LQYDULDEO\ FRPSHOV KXPDQ EHLQJV WR OLQJHU DURXQG DQG KDXQW JKRVWOLNH WKH VSRW ZKHUH VRPH JUHDW DQG PDUNHG HYHQW KDV JLYHQ WKH FRORU WR WKHLU OLIHWLPHA DQG VWLOO WKH PRUH LUUHVLVWLEO\ WKH GDUNHU WKH WLQJH WKDW VDGGHQV LW "f 7KH VLQQHU UHWXUQV WR WKH VFHQH RI KLV GHHGf§GUDZQ E\ D PDJQHWLF LQQHU FRPSXOVLRQ

PAGE 23

OLW +DZWKRUQH SRQGHUHG WKH HIIHFWV RI VLQ DV WKH\ HYLGHQFHG WKHPVHOYHV LQ WZR GLVWLQFW GLUHFWLRQV )RU ZKDW RWKHU GXQJHRQ LV VR GDUN DV RQHnV RYQL KHDUW :KDW MDLOHU VR LQH[RUDEOH DV RQHnV VHOIf 7KH LQWHUQDO HDWLQJ KHUH DOOXGHG WR DQG WKH VRFLDO PDQLIHVWDWLRQV RI VLQ ERWK SURYLGH DPSOH IRRG IRU DQ REVHUYHU SV\FKRORJLFDOO\ DOHUW )RU JXLOW KDV LWV PRPHQW RI UDSWXUH WRR 7KH IRUHPRVW UHVXOW RI D EURNHQ ODZ LV HYHU DQ HFVWDWLF VHQVH RI IUHHGRPf 2QFH PRUH WKH PDWWHU RI D WHPSRUDU\ UDSWXUH LV DOOXGHG WR $ JUHDW VLQ +DZWKRUQH ILQGV H[FLWLQJ LWV HIIHFWV RQ KXPDQ QDWXUH G\QDPLF 0RPHQWDU\ SDVVLRQV DUH GHOXVLYH KRZHYHU
PAGE 24

ZRUOG E\ LQWHUSRVLQJ D ZKROO\ XQV\PSDWKHWLF PHGLXP EHWZL[W KLPVHOI DQG WKRVH ZKRP KH \HDUQV WR PHHWrf 7KH QRUPDO WKH JRRG SHRSOH RI VRFLHW\ ZKRVH FRPSDQ\ WKH VLQQHU PLJKW ZLVK WR HQMR\ DUH QRZ EH\RQG UHDFK 7KH VLQQHU E\ YLUWXH RI KLV VLQ LV DOLHQDWHG IURP VRFLHW\ 3V\FKRORJLFDO REVHUYDWLRQV RQ WKH HIIHFW RI VLQ RIIHU D PRWWOHG EXW VWULNLQJ RSSRUWXQLW\ IRU WKH FRPSOH[ WXUQV RI +DZWKRUQHnV PLQG 7KH RYHUDOO LPSUHVVLRQ GHULYHG IURP D VWXG\ RI WKHVH REVHUYDWLRQV LV D JORRP\ RQH DQG LW PD\ DSSHDU WR D UHDGHU RI +DZWKRUQH WKDW WKLV VHHPLQJO\ XQGXH GZHOOLQJ RQ VLQ LV DEQRUPDO ,W LV ERWK D EOHPLVK DQG D EOHVVLQJ RI WKH +DZWKRUQH LQWHOOHFW WKDW LW KHOG IDVW WR LWV FRQFHSWV 8QZLOOLQJO\ LW WXUQHG DQ LGHD ORRVH E\ SUHIHUHQFH LW UHWDLQHG DQG FRQWLQXHG WR H[DPLQH HDFK LGHD IURP HYHU\ FRQFHLYDEOH DQJOH 5HSUHVHQWDWLYH ZULWHUV RI YDULRXV &KULVWLDQ VHFWV KHOS WR VXEVWDQWLDWH +DZWKRUQHnV DFFHSWDQFH RI VLQ /HW XV QRWLFH QRZ VRPH RI WKH EDG HIIHFWV WKDW PRUWDO VLQ SURGXFHV LQ WKH VRXO ,W OHDYHV D KLGHRXV VWDLQ LQ WKH VRXO GHIRUPV LW DQG PDNHV LW KDWHIXO 9 LQ WKH VLJKW RI KHDYHQ ,W UHQGHUV PDQ D VODYH RI VLQ DQG RI KLV HYLO GHVLUHV &DWKROLFLVP UHFRJQL]HV WKH VWDLQ XSRQ WKH VRXO DQG DOVR QRWHV WKDW PDQ LV D VODYH WR PLVWUHVV VLQ &DOYLQ WKH 3UHVE\WHULDQ &UHHG WKH /XWKHUDQ &UHHG DQG WKH 5RPDQ &DWKROLF &UHHG DUH LQ EDVLF DJUHHPHQW RQ WKH QDWXUH RI VLQ +)$$n 'L %UXQR &DWKROLF %HOLHI 1HZ
PAGE 25

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fV VRXO DQG PDQfV ERG\ KLV ZKROH QDWXUH DUH YLWLDWHG E\ RULJLQDO VLQ 7KLV GHSUDYLW\ LV DQ RUGDLQHG IDFW RI H[SHULHQFH EHKLQG ZKLFK +DZWKRUQH GRHV QRW JR +H ILQGV LW QHFHVVDU\ RQ WUDGLWLRQDO LQWXLWLYH DQG HPSLULFDO JURXQGV WR DFFHSW WKH IDFWf§D IDFW VWDWHG HPSKDWLFDOO\ LQ WKH PDMRULW\ RI &KULVWLDQ GRFWULQHVf§ZLWKRXW HQWHULQJ LQWR WKH WKHRORJLFDO QLFHWLHV RI WKRVH GRFWULQHV 8QSDUGRQDEOH 6LQ 8QSDUGRQDEOH VLQV YLRODWH WKH VDFUHGQHVV RI *RGnV WHPSOH WKH KXPDQ KHDUW 6XSSRVLQJ WKDW WKH SRZHU DULVHV IURP WKH WUDQVIXVLRQ RI RQH VSLULW LQWR DQRWKHU LW VHHPV WR PH WKDW WKH VDFUHGQHVV RI DQ LQGLYLGXDO LV YLRODWHG E\ LW WKHUH ZRXOG EH DQ LQWUXGHU LQWR WKH KRO\ OA&DOYLQ ,QVWLWXWHV } (JEHUW :DWVRQ 6PLWK 7KH &UHHG RI 3UHVE\WHULDQV 5LFKPRQG 9LUJLQLD Of S LM b 6 6FKPXFNHU /XWKHUDQ 0DQXDO RQ 6FULSWXUDO 3ULQFLSOHV 3KLODGHOSKLD f S G %UXQR &DWKROLF %HOLHI S

PAGE 26

RI KROLHV ,OOf $ JHQXLQH FRQFHUQ ZLWK VLQ DSSHDUV ROGIDVKLRQHG ZKHQ VHW EHVLGH WKH PRQVWURXV FUHDWLRQV DQG H[SHFWDWLRQV RI WZHQWLHWK FHQWXU\ $PHULFD 6XFK D FRQFHUQ LV QR ORQJHU IDVKLRQDEOHA +DZWKRUQH ZDV YLWDOO\ FRQFHUQHG ZLWK WKH VDFUHGQHVV RI WKH KHDUW WKH VRXO WKH VSLULW WKH SHUVRQDOLW\ 7KH SHUVRQDOLVWV D FRQWHPSRUDU\ JURXS UHSUHVHQWHG E\ % 3 %RZQH DQG (GJDU %ULJKWPDQ SUHVHQW RQH LQWHUHVWLQJ FRUROODU\ WR +DZWKRUQHfV LQWHUSUHWDWLRQ RI WKH XQSDUGRQDEOH VLQ )RU WKH SHUVRQDOLVW WKHQ WKH PRUDO ZLOO LV DW WKH FHQWHU RI SHUVRQDOLW\ DQG KHQFH RI UHOLJLRQ $Q\ YLRODWLRQ RI RU GLVUHVSHFW IRU WKH PRUDO ZLOO LV ZURQJ HYHQ LI FRPPLWWHG LQ WKH QDPH RI UHOLJLRQ:KHUHDV WKH SHUVRQDOLVWV GHSORUH DQ LQWUXVLRQ LQWR WKH SHUVRQDOLW\ E\ VRFLDO SROLWLFDO RU WKHRORJLFDO IRUFHV +DZWKRUQH FRQGHPQV WKH YLRODWLRQ RI RQH SHUVRQDOLW\ E\ DQRWKHU 7KH HQHUJL]LQJ VXEMHFW RI +DZWKRUQHnV DUW ZDV WKH VXEMHFW RI DOO JUHDW DUW IRU KXPDQ OLIH LQ DOO LWV ZD\ZDUG FRPSOH[LW\ 6LQ LV QRW WKH FDUGLQDO VXEMHFW RI +DZWKRUQH r V ILFWLRQ LW LV EXW D NH\KROH DQ DSSURDFK WKURXJK ZKLFK WR YLHZ OLIH $OO ZULWHUV KDYH DQ DSSURDFK WR WKHLU PDWHULDO +DZWKRUQHfV DSSURDFK LV WKURXJK VLQ ,W LV QHFHVVDU\ WR HPSKDVL]H SURSHUO\ WKH QDWXUDOQHVV WKH FRPSOHWH DVVXUDQFH ZLWK OA+RZHYHU D FRPSDUDWLYHO\ UHFHQW UHOLJLRXV PRYHPHQW LQ WKLV FRXQWU\ GHVLJQDWHV LWVHOI &KULVWLDQ UHDOLVP RU UHDOLVWLF WKHRORJ\ ,W LQVLVWV XSRQ WKH GRFWULQH WKDW PDQ LV D VLQQHU )RU D GLVFXVVLRQ VHH 0DU\ )UDQFHV 7KHOHQ 0DQ DV D 6LQQHU 1HZ
PAGE 27

ZKLFK +DZWKRUQH IROORZV RXW KLV DSSURDFK 6LQ LV WKH FRORULQJ DJHQW LQ WKH +DZWKRUQLDQ YLVLRQ &KULVWLDQ WKHRORJ\ SODFHV RQ VLQ DQ HPSKDVLV ZKLFK LV RIWHQ VWULNLQJO\ 3DXOLQH )ROORZLQJ 6DLQW 3DXO 6DLQW $XJXVWLQH ZRYH DW WKH VDPH ORRP %RWK &DOYLQ DQG /XWKHU SDWWHUQHG WKHLU LQWHUSUHWDWLRQ RI VLQ RQ WKH ZULWLQJV RI 6DLQW 3DXO DQG 6DLQW $XJXVWLQH 7KH 0DWKHU G\QDVW\ FDUULHG IRUZDUG &DOYLQnV ODPHQWDWLRQ RI PDQfV GHSUDYLW\ 7KRXJK D FKLOG RI WKH OLEHUDWLRQ +DZWKRUQH LV VWLOO RI 3XULWDQ VWRFN DQG PRUH LPSRUWDQW RI 3XULWDQ LQVWLQFW 7KH +DZWKRUQH ZKR LV VRPHZKDW VKRFNHG E\ WKH VFXOSWXULQJ RI QDNHGQHVV HYLGHQFHV WKH VDPH 3XULWDQ LQVWLQFW ZKLFK FRXOG QHYHU TXHVWLRQ WKH HWHUQDO SUHVHQFH RI VLQ ,W LV RQO\ WKURXJK DFNQRZOHGJLQJ WKH XQLYHUVDOLW\ RI VLQ WKDW RQH PD\ EHJLQ WR HQWHU WKH +DZWKRUQLDQ SDWWHUQ RI WKRXJKW

PAGE 28

&+$37(5 ,, 7+( '$1&( 2) 8)( +DZWKRUQH ZDV DQ LQWHUHVWHG REVHUYHU RI WKH SXUH DQG XQ\LHOGLQJ VXEVWDQFH RI ZKLFK WKH GDLO\ FRXUVH RI PRUWDO H[LVWHQFH LV FRPSRVHG /LIH FRQVLGHUHG DV DQ HQWLW\ LV VHHQ WR KDYH D VSHFLILF QDWXUH RU FRQVWLWXWLRQ ZKLFK LV SUHVHQW WR D OLNH GHJUHH DW DOO WLPHV ,Q WKH SK\VLFDO SURFHVV RI OLYLQJ PDQ SHUIRUPV D EULHI GDQFH ZKRVH HYHU\ VWHS LV GLFWDWHG E\ WKLV FRQVWLWXWLRQf§ZKLFK WKRXJK LW LV LQILQLWHO\ FRPSOH[ LV GHILQDEOH ZLWKLQ OLPLWV 7KH +DZWKRUQLDQ YLHZ RI OLIH IRUPHG LWVHOI DURXQG LQWDQJLEOH HOHPHQWV \HW WKHVH HOHPHQWV DUH SUHVHQWHG LQ D UHPDUNDEO\ FRQFUHWH WHUPLQRORJ\ ,W LV ZHOO WR VWXG\ WKRVH EDVLF LQJUHGLHQWV ZKLFK +DZWKRUQH VDZ LQ OLIH EHIRUH DWWHPSWLQJ WR EULQJ PDQ LQWR WKH GHYHORSLQJ WKRXJKW SDWWHUQ )RXU SKDVHV RI OLIH XSRQ ZKLFK WKH QRYHOLVW IRUPHG D GHILQLWH VHW RI RSLQLRQV DUH WKH WH[WXUH RI OLIH IRUWXQH DQG IDWH GHDWK DQG QDWXUH 7KHVH FRPSRQHQWV DUH DFWXDOLWLHV WR EH UHFNRQHG ZLWK LQ PXFK WKH PDQQHU WKDW VLQ ZDV UHFNRQHG ZLWK IRU WKH\ WRR DUH DVVXPHG E\ WKH +DZWKRUQH PLQG WR EH SUHQDWDO 7KH VLJQLILFDQFH RI VLQ OLHV LQ WKH EDFNJURXQG RI DOO +DZWKRUQLDQ WKRXJKW 7R DVVXPH WKH H[LVWHQFH RI VLQ IRU H[DPSOH LV WR DVVXPH DW WKH VDPH WLPH WKDW WKH GDQFH RI OLIH LV VFDUFHO\ D IHVWDO RQH 2QFH LW LV XQGHUVWRRG ZKDW +DZWKRUQH PHDQW E\ VLQ DQG ZKDW KH PHDQW E\ WKH URFNULEEHG GDQFH RI OLIHf§RQFH WKLV FRQFHSW LV VHHQ DQG IHOW LQ DOO LWV GDUN ULJLGLW\f§WKHQ DQG RQO\ WKHQ

PAGE 29

PD\ D UHDGHU FRPSUHKHQG WKH QDWLYH WUHQG RI +DZWKRUQHf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fV SDWKZD\rf ,W LV D QHFHVVLW\ RI PDQfV SK\VLFDO QDWXUH WKH QHFHVVLW\ RI $GDPnV IOHVK WKDW RXU ERGLHV DUH EHVPHDUHG ZLWK WKH ZRUOGnV PXG +DZWKRUQH DGYDQFHV WKH SRVVLELOLW\ KRZHYHU WKDW WKH VSLULW PD\ GZHOO DERYH DQG EH\RQG WKLV DFWXDOLW\ +H DGYDQFHV WKLV SRVVLELOLW\ ZLWK VRPH VPDOO RSWLPLVP \HW KH LV H[WUHPHO\ UHOXFWDQW WR VWDWH LW DV D IDFW RI H[SHULHQFH 7KH PRUDO JORRP VR SURQRXQFHGO\ SHUFHLYHG E\ +DZWKRUQH XOWLPDWHO\ RYHUSRZHUV DOO 7KLV EHLQJ WKH FDVH WKH JUHDWHVW SRVVLEOH

PAGE 30

IROO\ LQ DSSURDFKLQJ OLIH ZRXOG EH WR FRXQWHUIHLW RU LQ DQ\ PDQQHU DGG WR WKH LQHYLWDEOH ZRUOG VRUURZV 7KHUH DUH VR PDQ\ XQVXEVWDQWLDO VRUURZV ZKLFK WKH QHFHVVLW\ RI RXU PRUWDO VWDWH EHJHWV RQ LGOHQHVV WKDW DQ REVHUYHU FDVWLQJ DVLGH VHQWLPHQW LV VRPHWLPHV OHG WR TXHVWLRQ ZKHWKHU WKHUH EH DQ\ UHDO ZRH H[FHSW DEVROXWH SK\VLFDO VXIIHULQJ DQG WKH ORVV RI FORVHVW IULHQGVf f,V QRW WKH ZRUOG VDG HQRXJK LQ JHQXLQHHDUQHVW ZLWKRXW PDNLQJ D SDVWLPH RI PRFNVRUURZV"88f
PAGE 31

RI WKHPVHOYHV OLf 7KH PRYHPHQW RI SK\VLFDO OLIH LV SHUVLVWHQWO\ ZDONLQJ LQWR LQFUHDVLQJ GDUNQHVV &RORU LW PD\ EH QRWHG SOD\V DQ LPSRUWDQW PHWDSKRULFDO UROH LQ +DZWKRUQHnV DWWHPSW WR PDNH YLYLG KLV FRPSRXQG /LIHf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f 7KH FRPSRXQG ZLWK ZKLFK PDQ LV IRUFHG WR FRQWHQG SODFHV OLPLWDWLRQV XSRQ KLP ZKLFK DUH LQ HYHU\ ZD\ DV H[DFWLQJ DV WKRVH LPSRVHG E\ WKH H[LVWHQFH RI VLQ 7KH JRRG WKH SXUH WKH EHDXWLIXO DUH SUHVHQW EXW WKHUH LV JUHDW GLIILFXOW\ LQ H[WUDFWLQJ WKHP IURP WKH VWUDQJHO\ PLQJOHG HQVHPEOH ,W LV GLIILFXOW IRU +DZWKRUQH WR EHOLHYH LQ PDQnV DELOLW\ WR GZHOO VL[ LQFKHV DERYH WKH HDUWKfV VXUIDFH 6RPH KDVW\ DQG WKRXJKWOHVV VRXO ZLOO XQIDLOLQJO\ VSODVK WKH SDVVHUE\ 7KLV FRQWUDVW RU LQWHUPLQJOLQJ RI WUDJHG\ ZLWK PLUWK KDSSHQV GDLO\ KRXUO\ PRPHQWO\ OMf +XPDQ GHVWLQLHV ORRN RPLQRXV ZLWKRXW VRPH SHUFHSWLEOH LQWHUPL[WXUH RI WKH VDEOH RU WKH JUD\Ef &RQVWDQWO\ WKH PLQG UHWXUQV WR GZHOO SHUKDSV UHOXFWDQWO\ RQ WKH DFWXDO FRPSRXQG 7URXEOHV DV P\VHOI KDYH H[SHULHQFHG DQG PDQ\ RWKHUV EHIRUH PHf DUH D VRFLDEOH VLVWHUKRRG WKH\ ORYH WR FRPH KDQG LQ KDQG RU

PAGE 32

VRPHWLPHV HYHQ WR FRPH VLGH E\ VLGH ZLWK ORQJ ORRNHGIRU DQG KRSHGIRU JRRG IRUWXQHfef 7KH EDODQFH LV UDUHO\ LI HYHU RQ WKH VLGH RI MROOLW\ IRU DOO PHUJHV ILQDOO\ LQWR WKH GDUNHQLQJ JUD\QHVV :KHQ ZH ILQG RXUVHOYHV IDGLQJ LQWR VKDGRZV DQG XQUHDOLWLHV LW VHHPV KDUGO\ ZRUWK ZKLOH WR EH VDG EXW UDWKHU WR ODXJK DV JD\O\ DV ZH PD\ DQG DVN OLWWOH UHDVRQ ZKHUHIRUHfOf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fVKHDG DW D EDQTXHWef /LIHfV ODXJKWHU LV EXW D KDLUnV EUHDGWK IURP LWV WHDUV DQG IUHTXHQW WHDUV UHSUHVHQW WKH PRUH SHUPDQHQW VWDWH )RU LW LV WKXV WKDW ZLWK RQO\ DQ LQFRQVLGHUDEOH FKDQJH WKH JODGGHVW REMHFWV DQG H[LVWHQFHV EHFRPH WKH VDGGHVW KRSH IDGLQJ LQWR GLVDSSRLQWPHQW MR\ GDUNHQLQJ LQWR JULHI DQG IHVWDO VSOHQGRU LQWR IXQHUHDO GXVNLQHVV DQG DOO HYROYLQJ DV WKHLU PRUDO D JULP LGHQWLW\ EHWZHHQ JD\ WKLQJV DQG VRUURZIXO RQHV 2QO\ JLYH WKHP D OLWWOH WLPH DQG WKH\ WXUQ RXW WR EH MXVW DOLNHf /LIH HYROYHV WR VDGQHVV +HUH LQ KLV HODERUDWLRQ RI WKH FRPSRXQG +DZWKRUQH KDV VSRNHQ LQ WHUPV RI GDUNOLJKW PLUWKWUDJHG\ JDLHW\VDGQHVV DQG PDUEOHPXG %RWK TXDOLWDWLYHO\ DQG TXDQWLWDWLYHO\ WKH EDODQFH WHQGV WRZDUG GDUNQHVV :KLOH WKH WUDQVFHQGHQWDOLVW VDZ WKH VHOIVDPH ZRUOG KLV EDODQFH OD\ ZLWK WKH OLJKW DQG RSWLPLVWLF +DZWKRUQHfV FRPSRXQG RQH

PAGE 33

ILOWHUHG WKURXJK VLQ LV FHUWDLQO\ WKH PRUH SHVVLPLVWLF RI WKH WZR
PAGE 34

EOHQG LWVHOI ZLWK WKH PRUH WKHRUHWLFDO ZRUOG RI LGHDV OLNHZLVH DP JUHHG\ RI WKH VXPPHUGD\V IRU P\ RZQ VDNH WKH OLIH RI PDQ GRHV QRW FRQWDLQ VR PDQ\ RI WKHP WKDW HYHQ RQH FDQ EH VSDUHG ZLWKRXW UHJUHWf 2EVHUYDWLRQV RQ WKH 7H[WXUH 1RZ WKDW WKH DSSURDFK WR OLIH DQ DZDUHQHVV RI LWV FROG FRPSRXQG DQG WKH HSKHPHUDO TXDOLW\ RI WKDW FRPSRXQG DUH WDNHQ LQWR DFFRXQW ZKDW PD\ EH GHGXFHG IURP D GHWDLOHG REVHUYDWLRQ" )LUVW RI DOO WKH WH[WXUH GRHV QRW SHUPLW WKH SXUHO\ DFFLGHQWDO WKH PHDQLQJOHVV HDFK LQFLGHQW RI OLIH LV GLUHFWO\ PRUDO 7KRXJKW KDV DOZD\V LWV HIILFDF\ DQG HYHU\ VWULNLQJ LQFLGHQW LWV PRUDOf $OWKRXJK WKH ZRUOG LV RI D VROLG PRUDO VXEVWDQFH LQ ZKLFK DOO KDV VLJQLILFDQFH LW LV SDUDGR[LFDOO\ HQRXJK D VKDGRZ 7LPHf§ZKHUH PDQ OLYHV QRWf§ZKDW LV LW EXW HWHUQLW\" f 7KLV SUHVHQW OLIH KDV KDUGO\ VXEVWDQFH DQG WDQJLELOLW\ HQRXJK WR EH WKH LPDJH RI HWHUQLW\f§WKH IXWXUH WRR VRRQ EHFRPHV WKH SUHVHQW ZKLFK EHIRUH ZH FDQ JUDVS LW ORRNV EDFN XSRQ XV DV WKH SDVWf§LW PXVW WKLQN EH RQO\ WKH LPDJH RI DQ LPDJH 2XU QH[W VWDWH RI H[LVWHQFH ZH PD\ KRSH ZLOO EH PRUH UHDOf§WKDW LV WR VD\ LW PD\ EH RQO\ RQH UHPRYH IURP D UHDOLW\ %XW DV \HW ZH GZHOO LQ WKH VKDGRZ FDVW E\ 7LPH ZKLFK LV LWVHOI WKH VKDGRZ FDVW W\ (WHUQLW\f 7KH SK\VLFDO WH[WXUH RI OLIH LV EXW RI WKH WKLFNQHVV RI D VSLGHUfV ZHE IURP D VSLULWXDO SRLQW RI YLHZ LW LV IOLPV\ LQGHHG 5DWKHU WKDQ SODFLQJ +DZWKRUQH LQ WKH WUDQVFHQGHQWDO VWUHDP WKHVH UHIOHFWLRQV RQ VKDGRZV RIIHU D GHFLGHGO\ PRUDOLVWLF REVHUYDWLRQ RQ WKH HSKHPHUDO QDWXUH RI OLIHnV WH[WXUH 0DQ GDQFHV WR DQ ROG MLJ DQG DFFRPSOLVKHV EXW OLWWOH 3RVVLEO\ VRPH F\QLF DW RQFH PHUU\ DQG ELWWHU KDV GHVLUHG WR VLJQLI\ LQ WKLV SDQWRPLPLF VFHQH WKDW ZH PRUWDOV ZKDWHYHU RXU

PAGE 35

EXVLQHVV RU DPXVHPHQWf§KRZHYHU VHULRXV KRZHYHU WULIOLQJf§DOO GDQFH WR RQH LGHQWLFDO WXQH DQG LQ VSLWH RI RXU ULGLFXORXV DFWLYLW\ EULQJ QRWKLQJ ILQDOO\ WR SDVVOf +DZWKRUQH KDELWXDOO\ UHJDUGHG WKH LPPHGLDWH HIIHFWLYHQHVV RI DQ\ RQH DFWLRQ RU DQ\ JURXS RI DFWLRQV ZLWK PXFK VNHSWLFLVP 0XG LV VFDUFHO\ VR SODVWLF DV D UHIRUPHU PLJKW WHQG WR EHOLHYH 0DQ PXVW DZDLW *RGfV GHVLJQV IRU WKH WH[WXUH RI OLIH LV IDU WRR WRXJK WR EH KDQGOHG DQG VKDSHG E\ PHUH PRUWDOV 7KH EDODQFH KDV HWHUQDOO\ UHVLGHG ZLWK VDGQHVV DQG WKHUH LV OLWWOH LQGHHG WKDW PDQ FDQ HIIHFW ZKLFK ZLOO VXEVWDQWLDOO\ DOWHU WKH FRPSRXQG ff%XW UHDO OLIH QHYHU DUUDQJHV LWVHOI H[DFWO\ OLNH D URPDQFHff f:KR FDQ WHOO ZKHUH KDSSLQHVV PD\ FRPHM RU ZKHUH WKRXJK DQ H[SHFWHGnJXHVW LW PD\ QHYHU VKRZ LWV IDFH"f 5HDO OLIH GRHV QRW OLYH KDSSLO\ HYHU DIWHU IRU WKHUH LV D VRPHWKLQJ PXFK JUHDWHU WKDQ PDQ LQ FRQWURO 7KH GDUN KXH RI OLIH GRHV QRW ZKLWHQ DW PDQnV FDOO EXW PHUULO\ FRQWLQXHV LQ D VWXEERUQ DQG RIWHQ LQH[SOLFDEOH PDQQHU ,Q OLHX RI WKH IDVW IOHHWLQJ DQG IURP PDQnV SRLQW RI YLHZ XQPDQDJHDEOH GLUHFWLRQ RI OLIH +DZWKRUQH PDUYHOV WKDW WKH SUHVHQW VKRXOG DSSHDU VR IL[HG +RZ ZRQGHUIXO WKDW WKLV RXU QDUURZ IRRWKROG RI WKH 3UHVHQW VKRXOG KROG LWV RZQ VR FRQVWDQWO\ DQG ZKLOH HYHU\ PRPHQW FKDQJLQJ VKRXOG VWLOO EH OLNH D URFN EHWZL[W WKH HQFRXQWHULQJ WLGHV RI WKH 3DVW DQG WKH LQILQLWH 7RFRPHONf 7KH LQILQLWHO\ FRPSOH[ QDWXUH RI OLIH LV DW WKH VDPH WLPH DQ DPD]LQJO\VLPSOH RQH ,W LV SUHIHUDEOH WR GULIW ZLWK LW HQMR\ LW ZKHQHYHU SRVVLEOH DQG QRZLVH DWWHPSW WR GLUHFW LW 0DQ LV QRW WKH

PAGE 36

PDVWHU RI KLV IDWH KH LV D EHLQJ ZKR PXVW UHFRJQL]H KLV RZQ OLPLWV DQG ZKR PXVW UHFRJQL]H DQG DFFHSW DW WKH VDPH WLPH OLIHnV OLPLWf§ PDUEOH DQG PXG +DZWKRUQHfV DQDO\VLV RI OLIHfV WH[WXUH ZDV QRW IRU KLP PRUDO VSHFXODWLRQ VR PXFK DV LW ZDV D UHSRUWLQJ RI H[SHULHQFHG WUXWKV '($7+ +DZWKRUQH YLHZV GHDWK SULPDULO\ DV WKH RQO\ FHUWDLQ UHOHDVH IURP WKH OLIH FRPSRXQG DQG VHFRQGDULO\ DV D SKDVH RI WKH WH[WXUH LWVHOI ,I LW ZHUH QRW IRU GHDWK OLIH ZRXOG EH XQEHDUDEOH ff&XULRXV WR LPDJLQH ZKDW PXUPXULQJV DQG GLVFRQWHQW ZRXOG EH H[FLWHG LI DQ\ RI WKH JUHDW VR FDOOHG FDODPLWLHV RI KXPDQ EHLQJV ZHUH WR EH DEROLVKHGf§ DV IRU LQVWDQFH GHDWKfAf 0XFK RI OLIH LV FRQWLQXDOO\ LQ PRXUQLQJ IRU GHDG KRSHVM LI WKHUH ZHUH QR UHOHDVH WKURXJK WKH SXULI\LQJ DVSHFWV RI GHDWK OLIH ZRXOG VRRQ EH LPPHUVHG DQG RVVLILHG LQ D ZRUOGZLGH PXG 77H VRPHWLPHV FRQJUDWXODWH RXUVHOYHV DW WKH PRPHQW RI ZDNLQJ IURP D WURXEOHG GUHDP LW PD\ EH VR WKH PRPHQW DIWHU GHDWKff /LIH LV D VWULIHWRUQ H[FXUVLRQ WR +DZWKRUQH D EULDU SDWFK RI FRXQWOHVV WKRUQV ZKRVH RQO\ VXUH H[LW LV GHDWK +RZ LQYDULDEO\ WKURXJKRXW DOO WKH IRUPV RI OLIH GR ZH ILQG WKHVH LQWHUPLQJOHG PHPRULDOV RI GHDWKf 'HDWK DV LW SUHVHQWV LWVHOI LQ HYHU\GD\ OLIH JUD\V WKH FRPSRXQG ,Q WKH VHFRQG VHQWHQFH RI 7KH 6FDUOHW /HWWHU LQ D VSRW SURPLQHQW HQRXJK WR IRUHZDUQ WKH UHDGHU RI WKH QRYHO RI WKH XQIROGLQJ

PAGE 37

GUDPD DQG ZLWK D PDUNHG GHJUHH RI HPSKDVLV WKH QRYHOLVW UHFRUGV WKDWV 7KH IRXQGHUV RI D QHZ FRORQ\ ZKDWHYHU 8WRSLD RI KXPDQ YLUWXH DQG KDSSLQHVV WKH\ PLJKW RULJLQDOO\ SURMHFW KDYH LQYDULDEO\ UHFRJQL]HG LW DPRQJ WKHLU HDUOLHVW SUDFWLFDO QHFHVVLWLHV WR DOORW D SRUWLRQ RI WKH YLUJLQ VRLO DV D FHPHWHU\ DQG DQRWKHU SRUWLRQ DV WKH VLWH RI D SULVRQf 7KURXJKRXW KLV OLIHWLPH +DZWKRUQH ZDV VRPHWKLQJ RI D KDXQWHU RI JUDYH\DUGV +H ZDV GUDZQ SHUKDSV QRW VR PXFK WKURXJK PRUELGLW\ DV E\ WKH HWHUQDO DQG EDVLF UHFRJQLWLRQ RI GHDWK WXJJLQJ DW KLV LQWHOOHFW 'HDWK PRUHRYHU LV VHHQ WR FRQWDLQ WKH EOHVVLQJ RI UHVW DQG FRPSOHWLRQ ,W KDV ORVW LWV VWLQJ WW7KH EHVW RI XV EHLQJ XQILW WR GLH ZKDW DQ LQH[SUHVVLEOH DEVXUGLW\ WR SXW WKH ZRUVW WR GHDWKff $Q LQGLYLGXDO LV QRW VLJQLILFDQW LQ WKH ORQJ ORRN ,W PD\ EH UHPDUNHG KRZHYHU WKDW RI DOO WKH HYHQWV ZKLFK FRQVWLWXWH D SHUVRQnV ELRJUDSK\ WKHUH LV VFDUFHO\ RQHf§QRQH FHUWDLQO\ RI DQ\WKLQJ OLNH D VLPLODU LPSRUWDQFHf§WR ZKLFK WKH ZRUOG VR HDVLO\ UHFRQFLOHV LWVHOIDV WR KLV GHDWK ,Q PRVW FDVHV DQG FRQWLQJHQFLHV WKH LQGLYLGXDO LV SUHVHQW DPRQJ XV PL[HG XS ZLWK WKH GDLO\ UHYROXWLRQ RI DIIDLUV DQG DIIRUGLQJ D GHILQLWH SRLQW IRU REVHUYDWLRQ $W KLV GHFHDVH WKHUH LV RQO\ D YDFDQF\ DQG D PRPHQWDU\ HGG\f§YHU\ VPDOO DV FRPSDUHG ZLWK WKH DSSDUHQW PDJQLWXGH RI WKH LQJXUJLWDWHG REMHFWf§DQG D EXEEOH RU WZR DVFHQGLQJ RXW RI WKH EODFN GHSWK DQG EXUVWLQJ DW WKH VXUIDFH f +DZWKRUQHnV FRQFHUQ RYHU GHDWK KDV PDQ\ IDFHWV ,Q D SKLORVRSKLFDO RU UHOLJLRXV VHQVH KH VHHV VSLULWXDO UHOHDVH DQG FRPSOHWLRQM DFFRPSDQ\LQJ WKH HYHQW KH REVHUYHV JHQXLQH JULHI DQG VRUURZ ILQDOO\ VXEVHTXHQW WR WKH HYHQW KH QRWHV WKH SV\FKRORJLFDO LPSDFW RI GHDWK RQ OLIH ,W LV YHU\ VLQJXODU KRZ WKH IDFW RI D PDQnV GHDWK RIWHQ VHHPV WR JLYH SHRSOH D WUXHU LGHD RI KLV FKDUDFWHU ZKHWKHU IRU JRRG RU HYLO WKDQ WKH\ KDYH HYHU SRVVHVVHG ZKLOH KH ZDV OLYLQJ DQG DFWLQJ DPRQJ WKHP 'HDWK LV VR JHQXLQH D IDFW WKDW LW H[FOXGHV IDOVHKRRG RU EHWUD\V LWV HPSWLQHVV LW LV D WRXFKVWRQH WKDW SURYHV WKH JROG DQG GLVKRQRUV WKH EDVHU PHWDO &RXOG WKH GHSDUWHG ZKRHYHU KH PD\ EH UHWXUQ LQ D ZHHN DIWHU KLV GHFHDVH

PAGE 38

KH ZRXOG DOPRVW LQYDULDEO\ ILQG KLPVHOI DW D KLJKHU RU ORZHU SRLQW WKDQ KH KDG IRUPHUO\ RFFXSLHG RQ WKH VFDOH RI SXEOLF DSSUHFLDWLRQf 0RUH LQ NHHSLQJ ZLWK SKLORVRSKLFDO LQWHUHVWV OLHV WKH UHFRJQLWLRQ RI D P\VWHULRXV SXULI\LQJ DVSHFW .KDW D WUXVWIXO JXDUGLDQ RI VHFUHW PDWWHUV ILUH LVO :KDW VKRXOG ZH GR ZLWKRXW )LUH DQG 'HDWK"ff ,Q WKH ILQDO UHFNRQLQJ GHDWK LV YLHZHG LQ D WKRURXJKO\ &KULVWLDQ PDQQHU 7KH G\LQJ PHOW LQWR WKH JUHDW PXOWLWXGH RI WKH 'HSDUWHG DV TXLHWO\ DV D GURS RI ZDWHU LQWR WKH RFHDQ DQG LW PD\ EH DUH FRQVFLRXV RI QR XQIDPLOLDULW\ ZLWK WKHLU QHZ FLUFXPVWDQFHV EXW LPPHGLDWHO\ EHFRPH DZDUH RI DQLQVXIIHUDEOH VWUDQJHQHVV LQ WKH ZRUOG ZKLFK WKH\ KDYH TXLWWHG 'HDWK KDV QRW WDNHQ WKHP DZD\ EXW EURXJKW WKHPKRPHf +HUH LV WKH VXUH DQG VKLQLQJ H[LW IURP WKH JUD\QHVV RI OLIH *ULHI DQG 6RUURZ 1XPHURXV RI +DZWKRUQHfV UHIOHFWLRQV RQ WKH HIIHFWV RI GHDWK WKDW LV JULHI DQG VRUURZ DUH TXLWH REYLRXVO\ RI WKH JUDYH\DUG VFKRRO RI WKRXJKW %XW ZKHQ ZH ULGLFXOH WKH WULWHQHVV RI PRQXPHQWDO YHUVHV ZH IRUJHW WKDW 6RUURZ UHDGV IDU GHHSHU LQ WKHP WKDQ ZH FDQ DQG ILQGV D SURIRXQG DQG LQGLYLGXDO SXUSRUW LQ ZKDW VHHPV VR YDJXH DQG LQH[SUHVVLYH XQOHVV LQWHUSUHWHG E\ KHU 6KH PDNHV WKH HSLWDSK DQHZ WKRXJK WKH VHOIVDPH ZRUGV PD\ KDYH VHUYHG IRU D WKRXVDQG JUDYHVKf ,W LV DQ ROG WKHPH RI VDWLUH WKH IDOVHKRRG DQG YDQLW\ RI PRQXPHQWDO HXORJLHV EXW ZKHQ DIIHFWLRQ DQG VRUURZ JUDYH WKH OHWWHUV ZLWK WKHLU RZQ SDLQIXO ODERU WKHQ ZH PD\ EH VXUH WKDW WKH\ FRS\ IURP WKH UHFRUG RQ WKHLU KHDUWVf *ULHI LV VXFK D OHYHOOHU ZLWK LWV RZQ GLJQLW\ DQG LWV RZQ KXPLOLW\ WKDW WKH QREOH DQG WKH SHDVDQW WKH EHJJDU DQG WKH PRQDUFK ZLOO ZDLYH WKHLU SUHWHQVLRQV WR H[WHUQDO UDQN ZLWKRXW WKH RIILFLRXVQHVV RI LQWHUIHUHQFH RQ RXU SDUWf

PAGE 39

,OOXVWULRXV XQIRUWXQDWHV DWWUDFW D ZLGHU V\PSDWK\ QRW EHFDXVH WKHLU JULHIV DUH PRUH LQWHQVH EXW EHFDXVH EHLQJ VHW RQ ORIW\ SHGHVWDOV WKH\ WKH EHWWHU VHUYH PDQNLQG DV LQVWDQFHV DQG E\ZRUGV RI FDODPLW\f 7KHVH FRPPRQSODFH QRWDWLRQV DUH RI OLWWOH LQWULQVLF ZRUWK \HW WKH\ GR VKRZ WR VRPH GHJUHH WKH VHQVLWLYH WKRURXJKO\ KXPDQ DQG DW WLPHV DOPRVW VHQWLPHQWDO QDWXUH RI WKH UHIOHFWLYH +DZWKRUQHr )LQDOO\ WKH GHWDFKHG REVHUYDWLRQ RI ZKLFK +DZWKRUQH LV H[WUHPHO\ FDSDEOH EULQJV WKH PDWWHU LQWR SHUVSHFWLYH 7KXV LW LV WKDW WKH JULHI RI WKH SDVVLQJ PRPHQW WDNHV XSRQ LWVHOI DQ LQGLYLGXDOLW\ DQG D FKDUDFWHU RI FOLPD[ ZKLFK LW LV GHVWLQHG WR ORVH DIWHU D ZKLOH DQG WR IDGH LQWR WKH GDUN JUD\ WLVVXH FRPPRQ WR WKH JUDYH RU JODG HYHQWV RI PDQ\ \HDUV DJR ,W LV EXW IRU D PRPHQW FRPSDUDWLYHO\ WKDW DQ\WKLQJ ORRNV VWUDQJH RU VWDUWOLQJf§D WUXWK WKDW KDV WKH ELWWHU DQG WKH VZHHW LQ LWf 7KHUH LV QR UHDVRQ WR VXVSHFW DQ XQKHDOWK\ GHOLJKW LQ GHDWK RQ WKH SDUW RI +DZWKRUQH WKHUH LV HYHU\ UHDVRQ WR VXSSRVH WKDW KH DFFHSWHG LW DORQJ ZLWK VLQ DV RQH RI WKH LQHYLWDEOHV )25781( $1' )$7( +DZWKRUQH KDV EHHQ DFFXVHG TXLWH XQIDLUO\ E\ YDULRXV LQWHUSUHWHUV RI IDWDOLVP DQG F\QLFLVP $Q\ ZULWHU ZKR HPSOR\V WKH WHUPV ffIRUWXQHf FKDQFHf ffQHFHVVLW\f ffIDWHf DQG fSURYLGHQFHf UXQV WKH ULVN RI EHLQJ GDPQHG DV D SDJDQ ZRUVKLSHU RI WKH ff*RGGHVV )RUWXQDf :LWK +DZWKRUQH KRZHYHU WKH PDWWHU LV HQWLUHO\ D &KULVWLDQ RQH 1HYHU LV KH PRUH RUWKRGR[ WKDQ LQ KLV FRQFHSW RI WKH RSHUDWLRQ RI 3URYLGHQFH :KLFKHYHU RI WKH V\QRQ\PV IRU 3URYLGHQFH +DZWKRUQH HPSOR\V LW LV DOZD\V FOHDU IURP WKH FRQWH[W RI WKH VWDWHPHQW WKDW WKH SUHFHSWV RI &DOYLQLVP DUH QRW EHLQJ YLRODWHG

PAGE 40

7KH 1DWXUH RI )RUWXQH )RUWXQH LV SUHVHQW LQ DQG FRQFHUQHG ZLWK WKH DIIDLUV RI PHQ 7KHQ PLJKW H[HPSOLI\ KRZ DQ LQIOXHQFH EH\RQG RXU FRQWURO OD\V LWV VWURQJ KDQG RQ HYHU\ GHHG ZH GR DQG ZHDYHV LWV FRQVHTXHQFHV LQWR DQ LURQ WLVVXH RI QHFHVVLW\f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f§LI VXFK WKH\ PD\ EH FDOOHGf§ ZKLFK FRPH FORVH XSRQ XV \HW SDVV DZD\ ZLWKRXW DFWXDO UHVXOWV RU HYHQ EHWUD\LQJ WKHLU QHDU DSSURDFK E\ WKH UHIOHFWLRQ RI DQ\ OLJKW RU VKDGRZ DFURVV RXU PLQGV &RXOG ZH NQRZ DOO WKH YLFLVVLWXGHV RI RXU IRUWXQHV OLIH ZRXOG EH WRR IXOO RI KRSH DQG IHDU H[XOWDWLRQ RU GLVDSSRLQWPHQW WR DIIRUG XV D VLQJOH KRXU RI WUXH VHUHQLW\f ,W LV IDU EHWWHU +DZWKRUQH EHOLHYHV WKDW PDQ VKRXOG QRW EH DFTXDLQWHG ZLWK KLV GHVWLQ\ /LIH ILJXUHV LWVHOI WR PH DV D IHVWDO RU IXQHUHDO SURFHVVLRQ $OO RI XV KDYH RXU SODFHV DQG DUH WR PRYH RQZDUG WLQGHU WKH GLUHFWLRQ RI WKH &KLHI 0DUVKDOOf )HVWDO DQG IXQHUHDO DUH EXW YLYLG V\QRQ\PV RI WKH OLJKW DQG WKH GDUN WKH PDUEOH &DOYLQ ,QVWLWXWHV

PAGE 41

DQG WKH PXG 0DQ LV QRW D IUHH DJHQW EXW IROORZV LQVWHDG D SUHGHWHUPLQHG FRXUVH 7KLV SUHGHWHUPLQDWLRQ WHQGV WR PDNH PDQ IHHO DW KRPH LQ KLV XQLYHUVH DVVXUHV KLP WKDW WKH &KLHI 0DUVKDO LV LQ IXOO FRQWURO DQG QHHG QRZLVH OHDG WR IDWDOLVP DQG D JORRP\ UHVLJQDWLRQ 3URYLGHQFH LV DQ DFFRPSOLVKHG ZUHFNHU RI PDQn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f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f§+HUH LW LVff§OLNH WKH FKHVW RI JROG WKDW WUHDVXUHVHHNHUV ILQGf +DZWKRUQHnV UHPDUNV RQ WKH QDWXUH RI IRUWXQH WDNHQ LQGLYLGXDOO\ DSSHDU WR VPDFN RI GHIHDWLVP &KDQFH DQG FKDQJH ORYH WR GHDO ZLWK PHQnV VHWWOHG SODQV QRW ZLWK WKHLU LGOH YDJDULHV ,I ZH GHVLUH XQH[SHFWHG DQG XQLPDJLQDEOH HYHQWV ZH VKRXOG FRQWULYH DQ LURQ IUDPHZRUN VXFK DV ZH IDQF\ PD\ FRPSHO WKH IXWXUH WR WDNH RQH LQHYLWDEOH VKDSH WKHQ FRPHV LQ WKH XQH[SHFWHG DQG VKDWWHUV RXU GHVLJQ LQ IUDJPHQWV ,f

PAGE 42

,W LV ZLVGRP QRW WR WHPSW WKH SODQZUHFNHU IRU PRUWDOV FDQ QHYHU VWD\ WKH FDSULFLRXV WZLVWV RI IRUWXQH ,Q VSLWH RI WKH VHHPLQJ ZD\ZDUGQHVV RI IRUWXQH WKH WHQHWV RI &DOYLQLVP RIIHU DVVXUDQFH WR WKH GRXEWHU $OO IXWXUH WKLQJV EHLQJ XQFHUWDLQ WR XV ZH KROG WKHP LQ VXVSHQVH DV WKRXJK WKH\ PLJKW KDSSHQ RQH ZD\ RU DQRWKHU
PAGE 43

K UHFHLYHV QR SRUWLRQ 7KLV ULJLG FRQFHSW +DZWKRUQH HPEUDFHV LQWXLWLYHO\ DQG LPPHGLDWHO\f§HPEUDFHV LW ZLWK WKH VDPH ODFN RI DVWRQLVKPHQW ZLWK ZKLFK KH DFFHSWV VLQ 7KH PLQG RI +DZWKRUQH LV FRPSOH[ LQ WKDW LW LV KLJKO\ LQTXLVLWLYH IUHTXHQWO\ VNHSWLFDO RI JHQHUDOO\ DFFHSWHG WUXWKV QRUPDOO\ HPSLULFDO DQG LPDJLQDWLYH DQG QHDUO\ DOZD\V DFXWH WR WKH SRLQW RI SURIXQGLW\
PAGE 44

3URYLGHQFH KDG VR QLFHO\ DGMXVWHG LW DQG ZKLFK LQ FRDUVHU QDWXUHV LV DGMXVWHG E\ VRPH RWKHU PHWKRGf 6R ORQJ DV ZH ORYH OLIH IRU LWVHOI ZH VHOGRP GUHDG WKH ORVLQJ LW :LHQ ZH GHVLUH OLIH IRU WKH DWWDLQPHQW RI DQ REMHFW ZH UHFRJQL]H WKH IUDLOW\ RI LWV WH[WXUH %XW VLGH E\ VLGH ZLWK WKLV VHQVH RI LQVHFXULW\ WKHUH LV D YLWDO IDLWK LQ RXU LQYXOQHUDELOLW\ WR WKH VKDIW RI GHDWK ZKLOH HQJDJHG LQ DQ\ WDVN WKDW VHHPV DVVLJQHG E\ 3URYLGHQFH DV WKH SURSHU WKLQJ WR GR DQG ZKLFK WKH ZRUOG ZRXOG KDYH FDXVH WR PRXUQ IRU VKRXOG ZH OHDYH LW XQDFFRPSOLVKHG f 7KHVH VWDWHPHQWV DUH EXW RXWVSRNHQ FRUROODULHV RI D UHOLJLRXV IDLWK 3URYLGHQFH ZDV WKH H[SUHVVLRQ RI +LV LQQHU GHWHUPLQDWLRQ DQG WKRXJK WKH OHVVRQ RI VRPH fGLYLQH SURYLGHQFHVf FRXOG EH UHDG ZLWK HDVH WKH WHDFKLQJ RI RWKHUV UHPDLQHG REVFXUH 7KH YRLFLQJV RI *RGfV GHFUHHV RU SURYLGHQFH LV D PDWWHU RI VRPH FRQFHUQ ,W ZDV LQGHHG D PDMHVWLF LGHD WKDW WKH GHVWLQ\ RI QDWLRQV VKRXOG EH UHYHDOHG LQ WKHVH DZIXO KLHURJO\SKLFV RQ WKH FRSH RI KHDYHQ $ VFUROO VR ZLGH PLJKW QRW EH GHHPHG WRR H[SDQVLYH IRU 3URYLGHQFH WR ZULWH D SHRSOHfV GRRP XSRQf 3HUKDSV +DZWKRUQH ZRXOG OLNH WR EH DEOH WR JODQFH DW WKH KHDYHQV DQG UHDG IRU KLPVHOI WKH JLJDQWLF DVVXUDQFHV RI D FRPPXQLFDWLYH GHLW\ $OWKRXJK KH QR ORQJHU EHOLHYHV LQ VXSHUVWLWLRXV RPHQV KH LV QRW DV LQFUHGXORXVRI WKH PLUDFXORXV DV PDQ\ RI KLV FRQWHPSRUDULHV +DZWKRUQH KDV REVHUYHG IRUWXQHfV GDLO\ SHUIRUPDQFHV LQ RXU PXQGDQH VSDQ +H KDV LQ IDFW EHFRPH WKH VSRNHVPDQ RI LWV SRZHUV DQG LWV ZD\V 'HVWLQ\ LW PD\ EHf§WKH PRVW VNLOIXO RI VWDJHPDQDJHUVf§ VHOGRP FKRRVHV WR DUUDQJH LWV VFHQHV DQG FDUU\ IRUZDUG LWV GUDPD SHUU\ 0LOOHU 7KH +HZ (QJODQG +LQG 1HZ
PAGE 45

ZLWKRXW VHFXULQJ WKH SUHVHQFH RI DW OHDVW RQH FDOP REVHUYHU ,W LV KLV RIILFH WR JLYH DSSODXVH ZKHQ GXH DQG VRPHWLPHV DQ LQHYLWDEOH WHDU WR GHWHFW WKH ILQDO ILWQHVV RI LQFLGHQW WR FKDUDFWHU DQG GLVWLO LQ KLV ORQJEURRGLQJ WKRXJKW WKH ZKROH PRUDOLW\ RI WKH SHUIRUPDQFHf 7KURXJK WKH FDOP REVHUYDWLRQV DQG FDOP UHIOHFWLRQV RI GHVWLQ\fV REVHUYHU 1DWKDQLHO +DZWKRUQH $PHULFDQ OLWHUDWXUH ZDV YDVWO\ HQULFKHG 7KH 3UHVE\WHULDQ FUHHG RIIHUV D IRUPDO VWDWHPHQW RI 3URYLGHQFHn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
PAGE 46

PXVW EHf EXW WKDW ZKDWHYHU *RG KDV GHFUHHG DQG SXUSRVHG VKDOO EH 7KH RQH H[SUHVVLRQ DWWULEXWHV WKH FRXUVH RI HYHQWV WR D EOLQG PHFKDQLFDO QHFHVVLW\ WKH RWKHU WR WKH LQWHOOLJHQW SXUSRVH RI D SHUVRQDO *RG 7KH RQH LV IDWDOLVP WKH RWKHU )RUHRUGLQDWLRQ 3UHGHVWLQDWLRQ 3URYLGHQFH8 7KHUH LV QR DWWHPSW WR VXJJHVW WKDW +DZWKRUQHfV PLQG NHSW D OLWHUDO DOOHJLDQFH WR WKH WHQHWV RI &DOYLQ 7KH GRFWULQH RI ffHOHFWLRQf ZDV UHSXJQDQW WR KLP DQG ffLUUHVLVWLEOH JUDFHf VFDUFHO\ ZDUPHG KLV KHDUW +DZWKRUQH GLG REVHUYH FHUWDLQ LQWDQJLEOHVf§VLQ DQG IRUWXQHf§LQ WKH GDLO\ GDQFH RI OLIH 7KHVH KH VDZ WKHVH KH XQGHUVWRRG WKHVH KH QHYHU VKRRN RII 7KH HVVHQWLDO SUREOHP RI &DOYLQLVP PDQ DV D VLQQHU DQG WKH PDMHVWLF GHVWLQDO IRUFH 3URYLGHQFH SOD\ SULQFLSDO UROHV LQ +DZWKRUQHfV SHUVRQDO SKLORVRSK\ + : 6FKQHLGHU VWDWHV WKH WUXWK RI WKH PDWWHU PRVW HIIHFWLYHO\ 1HHGOHVV WR VD\ +DZWKRUQH XVHG WKH WKHRORJLFDO WHUPLQRORJ\ PHWDSKRULFDOO\ +H GLG QRW QHHG WR EHOLHYH LQ 3XULWDQLVP IRU KH XQGHUVWRRG LW +H VDZ WKH HPSLULFDO WUXWK EHKLQG WKH &DOYLQLVW V\PEROV +H UHFRYHUHG ZKDW 3XULWDQV SURIHVVHG EXW VHOGRP SUDFWLFHGf§WKH VSLULW RI SLHW\ KXPLOLW\ DQG WUDJHG\ LQ WKH IDFH RI WKH LQVFUXWDEOH ZD\V RI *RG 6LQ DQG WKH LQVFUXWDEOH ZD\V RI 3URYLGHQFH SURYLGH WKH PXVLFDO DFFRPSDQLPHQW WR ZKLFK PDQ SHUIRUPV KLV VWDWHO\ ZDOW] +DZWKRUQHfV ILQDO UHFNRQLQJ ZLWK WKHVH DFWXDOLWLHV FRQVWLWXWHV WKH FRPSOHWH VWRU\ RI KLV V\VWHPDWL]HG RULHQWDWLRQ WR OLIH ,W LV VXIILFLHQW IRU WKH PRPHQW WR LQVLVW WKDW WKH\ DUH WKH REYLRXV PHQWDO IUDPHZRUN RQ ZKLFK DOO IXWXUH VSHFXODWLRQ PXVW EH KXQJ AbELG S AA6FKQHLGHU 7KH 3XULWDQ 0LQG S

PAGE 47

K 1$785( $ IRXUWK DQG ILQDO FRPSRQHQW RI WKH GDQFH RI OLIH QDWXUH +DZWKRUQH FRQFHLYHG RI DV SRHWU\ JRGGHVV UHIXJH DQG V\PERO (VVHQWLDOO\ 6KH LV YLHZHG DV D SDUWLFLSDWLQJ EDFNGURS WR OLIHnV OLWWOH GUDPDV +HU UROH LV RQO\ VOLJKWO\ VXERUGLQDWH WR WKDW RI VLQ DQG IRUWXQH $OWKRXJK QDWXUH LV PXFK PRUH WKDQ D PHFKDQLFDO H[WHUQDOLW\ RU PHUH VFHQHU\ WR +DZWKRUQH KH QHYHU VDZ LQ +HU ZKDW (PHUVRQ DQG 7KRUHDX ZHUH VHHLQJ 6KH QHYHU VSRNH DORXG WR KLP ,Q +DZWKRUQHnV ILFWLRQ QDWXUH SOD\V D YHU\ VXEVWDQWLDO DW WLPHV D G\QDPLF DQG V\PEROLF UROH 1DWXUH LV QHYHU LQHUW PDWWHU DORQH EXW LQ WKH ORQJ YLHZ 6KH LV OLNH KHU LQWHUSUHWHU PRUH RI D PRUDOLVW WKDQ D P\VWLF $V *RGnV 3RHWU\ ,W LV VWUDQJH ZKDW KXPEOH RIILFHV PD\ EH SHUIRUPHG LQ D EHDXWLIXO VFRUH ZLWKRXW GHVWUR\LQJ LWV SRHWU\f ,W LV VWUDQJH ZKDW SURVDLF OLQHV PHQ WKUXVW LQ DPLG WKH SRHWU\ RI QDWXUH rrf 7KHUH LV QR LQGLFDWLRQ RI DQ DUWLVWLF GHDIQHVV WR WKH PHORGLRXV UK\WKPV RI QDWXUH 0DQ LQ FRQWUDVW LV YLHZHG PRUH RIWHQ WKDQ QRW DV D EODFN EOHPLVK WR WKH EHDXW\ RI WKH QDWXUDO VFHQH +DG +DZWKRUQH FRQWLQXHG WR ZULWH SRHWU\ DIWHU KLV VHYHQWHHQWK \HDU KH ZRXOG VFDUFHO\ KDYH GHYHORSHG LQWR D QDWXUH SRHW LQ WKH :RUGVZRUWKLDQ VHQVH A+DZWKRUQHnV HDUO\ DWWHPSWV DW QDWXUH SRHWU\ VKRZ OLWWOH SURPLVH )RU D UHSULQW RI WKH SRHPV VHH (OL]DEHWK &KDQGOHU HGLWRU +DZWKRUQHnV 6SHFWDWRUf 1HZ (QJODQG 4XDUWHUO\ ,9 $SULO f

PAGE 48

)RU +DZWKRUQH VDZ LQ QDWXUH D PRUDO IRUFH ZKLFK EOHQGV ZLWK VRPHWLPHV HFKRHV DQG VRPHWLPHV VKDSHV WKH WH[WXUH RI OLIH 1DWXUH LV EXW DQ LQJUHGLHQW RI D JUHDWHU FRPSRXQG KHU SRHWU\ LV WKHUHE\ SURYRFDWLYH EXW KDUGO\ UKDSVRGLF $V D *RGGHVV 7KH UHDVRQ RI WKH PLQXWH VXSHULRULW\ RI 1DWXUHfV ZRUN RYHU PDQfV LV WKDW WKH IRUPHU ZRUNV IURP WKH LQQHUPRVW JHUP ZKLOH WKH ODWWHU ZRUNV PHUHO\ VXSHUILFLDOO\f 1DWXUH LV ZHGGHG LQ D P\VWHULRXV PDQQHU WR IRUWXQH VKH LV D *RGGHVV PRYLQJ IRUZDUG IURP VSLULWXDO RULJLQV LQ D SUHGHWHUPLQHG PDQQHU 6KH LV QRW WR EH LGHQWLILHG ZLWK 3URYLGHQFH IRU 6KH LV D PRUH LPPHGLDWH DQG ZDUPHU DGPLQLVWUDWRU RI WKH DIIDLUV RI PDQ ,W ZDV WKH IDWDO IODZ RI KXPDQLW\ ZKLFK 1DWXUH LQ RQH VKDSH RU DQRWKHU VWDPSV LQHIIDFHDEO\ RQ DOO KHU SURGXFWLRQV HLWKHU WR LPSO\ WKDW WKH\ DUH WHPSRUDU\ DQG ILQLWH RU WKDW WKHLU SHUIHFWLRQ PXVW EH ZURXJKW E\ WRLO DQG SDLQf 1DWXUH VRPHWLPHV GLVSOD\V D OLWWOH WHQGHUQHVV IRU RXU YDQLW\ EXW LV QHYHU FDUHIXO IRU RXU SULGH 6KH LV ZLOOLQJ WKDW ZH VKRXOG ORRN IRROLVK LQ WKH H\HV RI RWKHUV EXW NHHSV RXU OLWWOH QRQVHQVLFDOLWLHV IURP RXUVHOYHVf 1DWXUH PD\ EH VHHQ WKHQ WR KDYH VRPHWKLQJ RI WKH ZDUPWK DQG SHUVRQDOLW\ RI D *RGGHVV 0DQ LV EXW D FKLOG WR EH FXGGOHG RU VFROGHG %HKLQG WKLV ZDUPWK LQ VKDUS UHOLHI WR WKH LPSOLHG WHQGHUQHVV OLHV WKH PRUH GHOLEHUDWH ZDQWRQQHVV RI QDWXUH 1RWKLQJ FRPHV DPLVV WR 1DWXUHf§DOO LV ILVK WKDW FRPH WR KHU QHW ,I WKHUH EH D OLYLQJ IRUP RI SHUIHFW EHDXW\ LQVWLQFW ZLWK VRXOf§ZK\ LW LV DOO YHU\ ZHOO DQG VXLWV 1DWXUH ZHOO HQRXJK %XW VKH ZRXOG MXVW DV OLHI KDYH WKDW VDPH EHDXWLIXO VRXOLOOXPLQHG ERG\ WR PDNH ZRUPnV PHDW RI DQG WR PDQXUH WKH HDUWK ZLWKf

PAGE 49

OL2 ,Q WKLV LQVWDQFH 6KH LV WKH ILFNOH JRGGHVV )RUWXQD LQ DOO KHU SDJDQ WULPPLQJV +RZ 1DWXUH VHHPV WR ORYH XVO $QG KRZ UHDGLO\ QHYHUWKHOHVV ZLWKRXW D VLJK RU D FRPSODLQW VKH FRQYHUWV XV WR D PHDQHU SXUSRVH ZKHQ KHU KLJKHVW RQHf§WKDW RI D FRQVFLRXV LQWHOOHFWXDO OLIH DQG VHQVLELOLW\f§KDV EHHQ XQWLPHO\ EDONHGLO22f 0RUH RIWHQ WKDQ QRW QDWXUH FKDUJHG ZLWK SODQWLQJ YDULRXV VHHGV LQ PDQ LV VHHQ DV D VHFRQG JDUGHQHU WR IRUWXQH Q+FZ VWUDQJH KRZ VWUDQJH LW LV WKLV GHHS ZLOG SDVVLRQ WKDW QDWXUH KDV LPSODQWHG LQ XV WR EH WKH GHDWK RI RXU IHOORZFUHDWXUHV DQG ZKLFK FRH[LVWV DW WKH VDPH WLPH ZLWK KRUURUO%Of 1DWXUH WKRXJK PRUH LPPHGLDWH WKDQ IRUWXQH LV DW WLPHV LGHQWLILHG ZLWK KHU 6KH LV LQ IDFW LQ RQH RI KHU DVSHFWV D SHUVRQDO H[HFXWHU RI WKH GLYLQH ZLOO +DZWKRUQH GRHV QRW GHLI\ QDWXUH QRU GRHV KH SOHGJH KLPVHOI WR KHU P\VWHULRXV PHVVDJHV IRU KH UHDGV KHU DV D PRUDO UDWKHU WKDQ DQ HPRWLRQDO GLYLQH VFUROO 1DWXUH DV 5HIXJH +DZWKRUQH PRUH WKDQ PRVW PHQ VHHPV WR KDYH IHOW WKH FURVV DQG FUXGH SUHVVXUHV HQFRXQWHUHG LQ HDUQLQJ D OLYLQJr ,Q KLV \RXWK KH KDG URPSHG LQ WKH 0DLQH ZRRGV ZLWK QRWRULRXV KDSSLQHVV ,Q \RXQJ PDQKRRG KH WRRN ORQJ ZDONV LQWR QDWXUH DQG ZDV IRQG RI LFH VNDWLQJ ,Q KLV PDWXULW\ DQG LQ KLV DXWXPQDO \HDUV KH FRQWLQXHG WKH KDELW RI QDWXUH ZDONV ZLWK GRVH IULHQGV +H GLHG ZKLOH RQ DQ H[FXUVLRQ ZLWK 3LHUFH 5DOSK :DOGR (PHUVRQ KDG DWWHQGHG +DZWKRUQH RQ PRUH WKDQ RQH ZDONLQJ WRXUM LW ZDV SHUKDSV DOO WKH\ KDG LQ FRPPRQ WKLV ORYH IRU ZDONLQJ

PAGE 50

7KH VDLORU EORRG LQ +DZWKRUQH ZDV QHYHU KDSS\ IDU LQODQG IRU KH IRXQG LQ WKH FRDVWDO ZLOGV DQG WKH RFHDQnV URDU DQ HVFDSH D UHOLHI IURP FLYLOL]HG SUHVVXUHV 2K WKDW 3URYLGHQFH ZRXOG EXLOG PH WKH PHUHVW OLWWOH VKDQW\ DQG PDUN PH RXW D URRG RU WZR RI JDUGHQJURXQG QHDU WKH VHDFRDVWf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f ,W ZDV WR QDWXUH WKDW +DZWKRUQH ZDV ZRQW WR JR ZKHQ OLIHnV SUHVVXUHV WRUPHQWHG %XW SHUKDSV LW LV QHFHVVDU\ IRU WKH KHDOWK RI WKH KXPDQ PLQG DQG KHDUW WKDW WKHUH VKRXOG EH D SRVVLELOLW\ RI WDNLQJ UHIXJH LQ ZKDW LV ZLOG DQG XQFRQWDPLQDWHG E\ DQ\ FXOWXUH DQG VR LW KDV EHHQ RUGDLQHG WKDW VFLHQFH VKDOO QHYHU DOWHU WKH DVSHFW RI WKH VN\ ZKHWKHU VWHUQ DQJU\ RU EHQHILFHQW QRU RI WKH DZIXO VHD HLWKHU LQ FDOP RU WHPSHVW QRU RI WKHVH UXGH +LJKODQGVO28f 1DWXUH DV 6\PERO )LQDOO\ WKHUH H[LVWV LQ WKH UHQHZLQJ DVSHFW RI QDWXUH D V\PERO RI WKH SXULILFDWLRQUHELUWK F\FOH RI OLIH :LOO WKH ZRUOG HYHU EH VR GHFD\HG WKDW VSULQJ PD\ QRW UHQHZ LWV JUHHQQHVV" &DQ PDQ EH VR GLVPDOO\ DJHVWULFNHQ WKDW QR IDLQWHVW VXQVKLQH RI KLV \RXWK PD\ UHYLVLW KLP RQFH D \HDU" ,W LV LPSRVVLEOHf (DFK VSULQJ

PAGE 51

8 EULQJV OLIH RXW RI GHDWK ZLWK DQ HQGOHVV \HW HWHUQDOO\ EHDXWLIXO UHJXODULW\ %\ DQG ODUJH WKH V\PEROLVP RI QDWXUH LV XQUHDGDEOH WR WKH LQWHOOHFW :KHQ *RG H[SUHVVHG KLPVHOI LQ WKH ODQGVFDSH WR PDQNLQG +H GLG QRW LQWHQG WKDW LW VKRXOG EH WUDQVODWHG LQWR DQ\ WRQJXH VDYH KLV RZQ LPPHGLDWH RQHf +HU EHDXW\ PD\ EH IHOW LQ WKH KHDUW EXW QHYHU IXOO\ FRPSUHKHQGHG 6KH LV WKH SDLQWLQJ RI DQ DUWLVWLFDOO\ DGHSW *RG D KLHURJO\SK ZKLFK PDQ PD\ QHLWKHU XQFRYHU RU HPXODWH ZLWK DQ\ GHJUHH RI VXFFHVV +DZWKRUQHfV V\PEROLFDO QDWXUH LV RQH RI YDU\LQJ DVSHFWV fQH WRXFK RI 1DWXUH PDNHV QRW RQO\ WKH ZKROH ZRUOG EXW DOO WLPH DNLQff 1DWXUH LV JLJDQWLF DQG EHDXWLIXO D PDQLIHVWDWLRQ RI *RGfV SODQ EXW DERYH DOO D PRUDO IRUFH LQ WKH OLIH RI PDQ 6KH LV WKH FDWDO\VW IRU WKH FRPSRXQG RI OLIH DOWKRXJK VKH IUHTXHQWO\ HQWHUV WKDW FRPSRXQG OLIH DV DQ HQWLW\ DSDUW IURP WKH SHRSOH ZKR OLYH LW KDV VWDPSHG LWVHOI LQ EROG UHOLHI RQ WKH PLQG RI +DZWKRUQH OLIHfV WH[WXUH LV RQH ZKLFK PD\ EH IHOW EHWZHHQ WKH ILQJHUV VWUHWFKHG DQG SUREHG \HW LW DOZD\V UHYHUWV WR WKH VDPH SDWWHUQ +DZWKRUQH LV QRW UHSHOOHG E\ WKH KDUVKQHVV RI WKDW SDWWHUQ 'HDWK IRU H[DPSOH LV WDNHQ DV DQ LQWHJUDO DVSHFW RI OLIH ,W LV HYHU\ZKHUH SUHVHQW DV D VROHPQ UHPLQGHU RI PRUWDOLW\ \HW +DZWKRUQH YLHZV LW DV D JUHDW DZDNHQLQJf§DQ DZDNHQLQJ IDU JUHDWHU WKDQ WKH RQH DVVRFLDWHG ZLWK -RQDWKDQ (GZDUGV )DWH )RUWXQH &KDQFH 'HVWLQ\ 1HFHVVLW\ 3URYLGHQFH DQG 1DWXUH DUH IXVHG LQ +DZWKRUQHfV REVHUYDWLRQ LQWR WKH FW\QDPLF \HW XQIDWKRPDEOH GLUHFWLRQDO IRUFHV KRYHULQJ DERYH OLIHV

PAGE 52

O VXUIDFHV 7KH\ DUH VHHQ E\ WKH ffFDOP REVHUYHU DV GHWDFKHG \HW PHDQLQJIXO KLHURJO\SKV LI RQH FDQ UHDG WKHP RI *RGnV GLYLQH SODQ 3XULWDQ H[LVWHQFH ZDV D SUHGHWHUPLQHG RQHf§RQH LQ ZKLFK PDQ UHOLQTXLVKHG *RGfV PDWWHUV WR *RG DQG ZHQW ]HVWIXOO\ WR IXOILOO KLV RZQ REOLJDWLRQV )HZ V\VWHPV HPSKDVL]LQJ WKH IUHH ZLOO RI PDQ KDYH HYLGHQFHG D OLNH YLWDOLW\ 7KH 3XULWDQ GDQFH RI OLIH LV HVVHQWLDOO\ WKH RQH ZKLFK +DZWKRUQH REVHUYHG ,W LV VROHPQ ULJLG DQG D ELW IRUELGGLQJ $W WKH VDPH WLPH LW LV WKH GDQFH RI DVVXUDQFH LQ DQ RUGHUHG XQLYHUVH 7KRXJK WKHUH DUH IHZ VWUDLQV RI OLJKW DQG DLU\ PXVLF QHLWKHU LV WKHUH WKH VWDFFDWR RI KHVLWDWLRQ ,W LV WKH 3XULWDQfV ZRUOG LW LV *RGfV ZRUOG LW LV +DZWKRUQHfV ZRUOG ,W LV D ZRUOG WXWRUHG E\ PRUDOLW\ ,W PRYHV WR WKH SLSLQJV RI VLQ IRU IOHVK LV VLQIXO EXW RFFDVLRQDOO\ LW ORRNV XSZDUG IURP WKH GDUN WH[WXUH RI SK\VLFDO OLIH WR WKH EULJKWHU WH[WXUH RI D VSLULWXDO RQH

PAGE 53

&+$37(5 ,+ 6(16,7,9,7< $1' 62/,78'( ,I WKHUH LV RQH SHUVRQDO DQG DW WKH VDPH WLPH VRFLDO SUREOHP ZKLFK FRQIRXQGHG +DZWKRUQH WLPH DQG DJDLQ LW LV WR EH GLVFRYHUHG LQ WKDW QHFHVVLW\ ZKLFK IRUFHV D VHQVLWLYH SHUVRQ WR ILQG VRODFH LQ DQ LQVHQVLWLYH ZRUOG 7KH URPDQWLF PLVOHDGLQJ DFFRXQW RI +DZWKRUQHrV OLIH EHWZHHQ DQG RQH GHSLFWLQJ D VHQVLWLYH DQG VHFOXGHG DUWLVW LQ D GLVPDO FKDPEHU KDV EHHQ MXVWLILDEO\ DPHQGHG E\ PRUH UHFHQW ELRJUDSKHUVA
PAGE 54

+H ZDV HVVHQWLDOO\ D IDPLO\ PDQ D ZDUP IULHQG WR QRW RYHU D KDOI GR]HQ SHRSOH ff+DZWKRUQH ZDV QHYHU D YHU\ VRFLDO SHUVRQ LQ WKH VHQVH WKDW KH OLNHG WR KDYH D ORW RI SHRSOH DURXQG KLP 7KLV ZDV GXH LQ DOO SUREDELOLW\ QRW RQO\ WR WKH FLUFXPVWDQFHV RI KLV FKLOGKRRG EXW WR KLV RZQ QDWXUH DV ZHOOQWX 3ULRU WR O` +DZWKRUQH SUHIHUUHG DQ LQGLYLGXDO IRUD RI VHFOXVLRQ ZKLFK EHFDPH DIWHU r D NLQG RI GRPHVWLF VHFOXVLRQ IURP VRFLDO IDQIDUH +H OLNH -RQDWKDQ 6ZLIW HQMR\HG WKH LQGLYLGXDO EXW QRW WKH JURXS
PAGE 55

VHQVLWLYH EHLQJ WKH JURXS EHFRPHV D YLFLRXV DQLPDO KH GHVLUHV DERYH DOO WKLQJV WR EH OHIW DORQH WR ZLWKGUDZ IURP WKH FODPRU RI D EXV\ DQG XQFRQFHUQHG ZRUOG 0HUF\ RQ XV ZKDW D QRLV\ ZRUOG ZH TXLHW SHRSOH OLYH LQcf 3OD\IXOO\ EXW ZLWK D FHUWDLQ VHULRXVQHVV WKH UHDGHU LV PDGH DZDUH RI WKDW JXOI H[LVWLQJ EHWZHHQ D TXLHW LQQHU ZRUOG DQG D ERLVWHURXV H[WHUQDO RQH %XW WKHUH DUH QDWXUHV WRR LQGROHQW RU WRR VHQVLWLYH WR HQGXUH WKH GXVW WKH VXQVKLQH RU WKH UDLQ WKH WXUPRLO RI PRUDO DQG SK\VLFDO HOHPHQWV WR ZKLFK DOO WKH ZD\IDUHUV RI WKH ZRUOG H[SRVH WKHPVHOYHVf ,W LV WUDJLF WKDW WKHUH DUH EHLQJV RIWHQ ZLWK LPDJLQDWLYH DQG IHUWLOH PLQGV ZKR DUH FRQVWDQWO\ LPSDOHG XSRQ WKH LQGLIIHUHQFHV DQG RSHQ KRVWLOLW\ RI WKH H[WHUQDO ZRUOG +DZWKRUQH ZDV HQRXJK RI D VHQVLWLYH VRXO LQ KLV RZQ ULJKW WR IHHO WKH ZRXQGV NHHQO\ 7KH UHDGLHVW ZD\ RXW LV WR FUHDWH DQ LQWHUQDO ZRUOG D ZRUOG KRZHYHU ZKLFK SURYHV D GDQJHURXV VXEVWLWXWH $ GUHDPHU PD\ GZHOO VR ORQJ DPRQJ IDQWDVLHV WKDW WKH WKLQJV ZLWKRXW KLP ZLOO VHHP DV XQUHDO DV WKRVH ‘ZLWKLQOO2f +DZWKRUQH r V VHQVLWLYLW\ ZDV IDU UHPRYHG IURP WKDW RI D PLOGPDQQHUHG &DVSHU 0LOTXHWRDVW +H HQMR\HG JRRG FLJDUV JRRG OLTXHXUV DQG JRRG FRPSDQ\ DV PXFK DV DQ\ PDQ QRU ZDV KH EOLQG WR WKH FKDUPV RI WKH IDLUHU VH[ $W WKH VDPH WLPH KH ZDV TXLWH KHVLWDQW DERXW LQWUXGLQJ RQ SHRSOH ,W LV YHU\ SDLQIXO WR PH WR GLVWXUE DQG GHUDQJH DQ\ERG\ LQ WKH ZRUOGLOOf $OWKRXJK IUHTXHQWO\ LPSRVHG XSRQ E\ RWKHUV +DZWKRUQH ZDV LQVWLQFWLYHO\ UHWLULQJ DQG VRPHZKDW UHOXFWDQW A7KURXJKRXW WKH QRWHERRNV WKHUH LV DPSOH HYLGHQFH WKDW

PAGE 56

WR DVN D IDYRU $ VHQVLWLYH SHUVRQ PD\ ZLWKGUDZ IURP OLIH DV PXFK DV SRVVLEOH KH PD\ SOD\ OHHFK WR D VWURQJHU SHUVRQDOLW\ RU KH PD\ UHOLQTXLVK WKH VWUXJJOH DOWRJHWKHU ,Q PRRGV RI KHDY\ GHVSRQGHQF\ RQH IHHOV DV LI LW ZRXOG EH GHOLJKWIXO WR VLQN GRZQ LQ VRPH TXLHW VSRW DQG OLH WKHUH IRUHYHU OHWWLQJ WKH VRLO JUDGXDOO\ DFFXPXODWH DQG IRUP D OLWWOH KLOORFN RYHU XV DQG WKH JUDVV DQG SHUKDSV IORZHUV JDWKHU RYHU LW $W VXFK WLPHV GHDWK LV WRR PXFK RI DQ HYHQW WR EH ZLVKHG IRUf§ZH KDYH QRW VSLULWV WR HQFRXQWHU LW EXW FKRRVH WR SDVV RXW RI H[LVWHQFH LQ WKLV VOXJJLVK ZD\f 7KH HDVLO\ ZRXQGHG SHUVRQ LV KDUG SUHVVHG WR ILQG WKH ZKHUHZLWKDO WR UHVLVW WKH EOXQWLQJ HIIHFW RI OLIH 7KHUH DUH FKDRWLF EOLQG RU GUXQNHQ PRPHQWV LQ WKH OLYHV RI SHUVRQV ZKR ODFN UHDO IRUFH RI FKDUDFWHUf§PRPHQWV RI WHVW LQ ZKLFK FRXUDJH ZRXOG PRVW DVVHUW LWVHOIf§EXW ZKHUH WKHVH LQGLYLGXDOV LI OHIW WR WKHPVHOYHV VWDJJHU DLPOHVVO\ DORQJ RU IROORZ LPSOLFLWO\ ZKDWHYHU JXLGDQFH PD\ EHIDOO WKHP HYHQ LI LW EH D FKLOGnV 1R PDWWHU KRZ SUHSRVWHURXV RU LQVDQH D SXUSRVH LV D *RGVHQG WR WKHPf :HDN VK\ DQG VHQVLWLYH FUHDWXUHV QHHG WR UHO\ RQ WKH JXLGDQFH RI RWKHUV IRU RQFH WKH\ KDYH HQFRXQWHUHG WKH PXG RI OLIH WKH\ DUH QRW DJDLQ HDJHU WR VWHS IRUZDUG 6HOIMXVWLILFDWLRQV ZLWK ZKLFK VK\QHVV DWWHPSWV WR H[FXVH LWVHOI DUH RQ VKDN\ JURXQGV ,W LV D YHU\ JHQXLQH DGPLUDWLRQ WKDW ZLWK ZKLFK SHUVRQV WRR VK\ RU WRR DZNZDUG WR WDNH D GXH SDUW LQ WKH EXVWOLQJ ZRUOG UHJDUG WKH UHDO DFWRUV LQ OLIHnV VWLUULQJ VFHQHV VR JHQXLQH LQ IDFW WKDW WKH IRUPHU DUH XVXDOO\ IDLQ WR PDNH LW SDODWDEOH WR WKHLU VHOIORYH E\ DVVXPLQJ WKDW WKHVH DFWLYH DQG IRUFLEOH TXDOLWLHV DUH LQFRPSDWLEOH ZLWK RWKHUV ZKLFK WKH\ FKRRVH WR GHHP KLJKHU DQG PRUH LPSRUWDQW +LWf +DZWKRUQH ZDV IUHTXHQWO\ LPSRVHG RQ %HJJDUV IRXQG KLP DQ HDV\ PDUN 0V IULHQGV IRXQG KLP UHDG\ WR OHQG PRQH\ ZKHQ KH KDG DQ\ VHYHUDO $PHULFDQV VWUDQGHG LQ (QJODQG ERUURZHG EXW QHYHU UHSDLG UHWXUQ SDVVDJH PRQH\

PAGE 57

)UHTXHQWO\ DQG WKLV ZDV VRPHZKDW WKH FKRLFH RI +DZWKRUQH WKH VHQVLWLYH LQGLYLGXDO FRQWULYHV DQ LQQHU ZRUOG WR DFW DV D EXIIHU WR WKH RXWHU ZKLFK LQ WXUQ JUDGXDOO\ IDGHV IURP YLVLRQ f QHHG PRQRWRQ\ WRR DQ HYHQWOHVV H[WHULRU OLIH EHIRUH FDQ OLYH LQ WKH ZRUOG ZLWKLQf 7KLV LQQHU ZRUOG LV IHOW WR EH RI JUHDWHU VLJQLILFDQFH WKDQ WKH DUWLILFLDO VWUXFWXUH RI VRFLDO OLIH 7KHUH LV OLWWOH UHDVRQ WR DVVXPH WKDW +DZWKRUQH PD\ EH OHJLWLPDWHO\ FKDUDFWHUL]HG DV D VHQVLWLYH VRXO +LV VHQVLWLYLW\ UHSUHVHQWV EXW D PLQRU SKDVH RI KLV WRWDO SHUVRQDOLW\ DQG DV LV RIWHQ WKH FDVH ZLWK DUWLVWV LW WHQGV WR ODFN VWDELOLW\ 2WKHU FRPSRQHQWV RI KLV LQWHOOHFWXDO DQG HPRWLRQDO PDNHXS DUH PXFK PRUH VKDUSO\ GHILQHG 1HYHUWKHOHVV WKH DXWKRUf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f 7KH UROH ZKLFK +DZWKRUQH SURSRVHV WKDW RI D 3DXO 3U\ SURYLGHV WKH GHWDFKHG REVHUYHU ZLWK DPSOH PDWHULDO IRU UHIOHFWLRQ DQG ILFWLRQ EXW FKLOOV KLP ZLWK D FROG DQG FODPQ\ DIWHUPDWK :KLOH D UROH RI WKLV

PAGE 58

W\SH HQDEOHV DQ DXWKRU WR VXSSO\ KLPVHOI ZLWK UDZ PDWHULDO IRU KLV ZULWLQJV LW SURPRWHV DQ XQIRUWXQDWH EUHDFK EHWZHHQ DXWKRU DQG VXEMHFW :KLOH VROLWXGH LV WR EH IHDUHG DQG DYRLGHG DV D SHUPDQHQW FRQGLWLRQ RI OLIH ZKLOH PDQnV DSSHWLWH IRU VRFLHW\ LV LQWXLWLYH VWLOO WKHUH LV DQ RFFDVLRQDO ORQJLQJ IRU WKH UHIUHVKLQJ FDOP ZKLFK VROLWXGH DIIRUGV LKDW ZRXOG D PDQ GR LI KH ZHUH FRPSHOOHG WR OLYH DOZD\V LQ WKH VXOWU\ KHDW RI VRFLHW\ DQG FRXOG QHYHU EDWKH KLPVHOI LQ VROLWXGH"f 7KH LOO HIIHFWV RI VROLWXGH RYHUEDODQFH LWV DGYDQWDJHV DQG WKH LVRODWHG LQGLYLGXDO WKH PDQ FXW RII E\ WKH JURXS RU OHIW EHKLQG E\ LW LV WR EH SLWLHG DPRQJ PRUWDOV 6RPH ROG SHRSOH KDYH D GUHDG RI VROLWXGH DQG ZKHQ EHWWHU FRPSDQ\ PD\ QRW EH KDG UHMRLFH HYHQ WR KHDU WKH TXLHW EUHDWKLQJ RI D EDEH DVOHHS XSRQ WKH FDUSHWf 6ROLWXGH LV WR EH GUHDGHG DERYH DOO RWKHU ZDWHUV LQ ZKLFK D PDQ PD\ GURZQ KLPVHOI 3HUVSHFWLYH JURZV LQWR D GLVWRUWHG LGHDO ,W LV QRW JRRG IRU PDQ WR FKHULVK D VROLWDU\ DPELWLRQ 8QOHVV WKHUH EH WKRVH DURXQG KLP E\ ZKRVH H[DPSOH KH PD\ UHJXODWH KLPVHOI KLV WKRXJKWV GHVLUHV DQG KRSHV ZLOO EHFRPH H[WUDYDJDQW DQG EH WKH VHPEODQFH SHUKDSV WKH UHDOLW\ RI D PDGPDQf ,Q D OHWWHU WR /RQJIHOORZ LQ +DZWKRUQH UHIHUUHG WR KLV VRFDOOHG VROLWDU\ SHULRG DQG VWDWHG WKH SUREOHP RI RQH ZKR KDV FXW WKH ZDUP WLHV RI KXPDQLW\ DQG GULIWHG LQWR EOHDN LVRODWLRQ
PAGE 59

7KHUH ZHUH QR JUHDW VRUURZV SODJXLQJ +DZWKRUQHnV WZHOYH \HDUV RI OLWHUDU\ DSSUHQWLFHVKLS QHLWKHU ZHUH WKHUH WKH SOHDVXUHV RI ORYH DQG VXFFHVV 3HUKDSV WKH QRYHOLVWn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f +HUHLQ OLHV WKH VWURQJHVW VWDWHPHQW RI DQ LOOVWDUUHG FRXUVH 7KH ZRUVW SRVVLEOH IDWH ZRXOG EH WR UHPDLQ EHKLQG VKLYHULQJ LQ WKH VROLWXGH RI WLPH ZKLOH DOO WKH ZRUOG LV RQ WKH PRYH WRZDUGV HWHUQLW\,Of 7R SHUVRQV ZKRVH SXUVXLWV DUH LQVXODWHG IURP WKH FRPPRQ EXVLQHVV RI OLIHf§ZKR DUH HLWKHU LQ DGYDQFH RI PDQNLQG RU DSDUW IURP LWf§WKHUH RIWHQ FRPHV D VHQVDWLRQ RI PRUDO FROG WKDW PDNHV WKH VSLULW VKLYHU DV LI LW KDG UHDFKHG WKH IUR]HQ VROLWXGHV DURXQG WKH SROHf 3K\VLFDO VHSDUDWLRQ GRHV QRW HQWHU LQWR WKH +DZWKRUQH A1DWKDQLHO +DZWKRUQH /RYH /HWWHUV RI 1DWKDQLHO +DZWKRUQH SUHIDFH E\ 5RVZHOO )LHOG &KLFDJR f

PAGE 60

FRQFHSW KH VSHDNV UDWKHU RI D FRPSOHWH PHQWDO DQG HPRWLRQDO DOLHQDWLRQ IURP RQHnV IHOORZ EHLQJV 7KH RXWFDVW GHVLUHV QRWKLQJ PRUH WKDQ D UHWXUQ WR WKH KXPDQ IROG 3HUVRQV ZKR KDYH ZDQGHUHG RU EHHQ H[SHOOHG RXW RI WKH FRPPRQ WUDFN RI WKLQJV HYHQ ZHUH LW IRU D EHWWHU V\VWHP GHVLUH QRWKLQJ VR PXFK DV WR EH OHG EDFN 7KH\ VKLYHU LQ WKHLU ORQHOLQHVV EH LW RQ D PRXQWDLQWRS RU LQ D GXQJHRQf 5HSHDWHGO\ +DZWKRUQH UHIHUV WR WKDW GUHDU\ UHJLRQ RI LVRODWLRQ DV EHLQJ RQH RI D SK\VLFDO DQG PHQWDO FROGQHVV 6RFLHW\ LV WKH KHDW VROLWXGH WKH LFH RI OLIH *HQHURVLW\ LV D YHU\ ILQH WKLQJ DW D SURSHU WLPH DQG ZLWKLQ GXH OLPLWV %XW LW LV DQ LQVXIIHUDEOH ERUH WR VHH RQH PDQ HQJURVVLQJ HYHU\ WKRXJKW RI DOO WKH ZRPHQ DQG OHDYLQJ KLV IULHQG WR VKLYHU LQ RXWHU VHFOXVLRQ ZLWKRXW HYHQ WKH DOWHUQDWLYH RI VRODFLQJ KLPVHOI ZLWK ZKDW WKH PRUH IRUWXQDWH LQGLYLGXDO KDV UHMHFWHG ,LLf (YHQ ZKHQ UHFRUGLQJ VHQWLPHQWV RI WKLV NLQG RQ WKH OLJKWHU VLGH RI WKH OHGJHU +DZWKRUQH HYLQFHV DQ DERXQGLQJ V\PSDWK\ IRU WKRVH ZKR DUH E\SDVVHG E\ OLIH 6HFOXVLRQ WKH VWDWH RI EHLQJ XWWHUO\ DORQH ZLWK RQHnV VHOI UDSLGO\ JURZV LQVXIIHUDEOH $ VHFOXGHG PDQ RIWHQ JUDVSV DW DQ\ RSSRUWXQLW\ RI FRPPXQLFDWLQJ ZLWK KLV NLQG ZKHQ LW LV FDVXDOO\ RIIHUHG WR KLP DQG IRU WKH QRQFH LV VXUSULVLQJO\ IDPLOLDU UXQQLQJ RXW WRZDUGV KLV FKDQFHFRPSDQLRQ ZLWK WKH JXVK RI D GDPPHGXS WRUUHQW VXGGHQO\ XQORFNHGf (VSHFLDOO\ LQ WKH PRUH H[WUHPH PRPHQWV RI OLIH GRHV WKH LQVXIILFLHQW VROLWXGH RI VHOI VHHN RXW WKH FRPPRQ KHUG IRU VRODFH ,Q FLUFXPVWDQFHV RI SURIRXQG IHHOLQJ DQG SDVVLRQ WKHUH LV RIWHQ D VHQVH WKDW WRR JUHDW D VHFOXVLRQ FDQ QRW EH HQGXUHG WKHUH LV DQ LQGHILQLWH GUHDG RI EHLQJ TXLWH DORQH ZLWK WKH REMHFW RI RXU GHHSHVW LQWHUHVW 7KH VSHFLHV RI VROLWXGH WKDW D FURZG KDUERUV

PAGE 61

ZLWKLQ LWVHOI LV IHOW WR EH SUHIHUDEOH LQ FHUWDLQ FRQGLWLRQV RI WKH KHDUW WR WKH UHPRWHQHVV RI D GHVHUW RU WKH GHSWKV RI DQ XQWURGGHQ ZRRG +DWUHG ORYH RU ZKDWHYHU NLQG RI WRR LQWHQVH HPRWLRQRU HYHQ LQGLIIHUHQFH ZKHUH HPRWLRQ KDV RQFH EHHQ LQVWLQFWLYHO\ VHHNV WR LQWHUSRVH VRPH EDUULHU EHWZHHQ LWVHOI DQG WKH FRUUHVSRQGLQJ SDVVLRQ LQ DQRWKHU EUHDVWf +DZWKRUQHnV FKLHI FRQFHUQ LV ZLWK WKH LQGLYLGXDO ZKR KDV EHHQ VKXW RII E\ PDQNLQG RU ZLWK WKH RQH ZKR E\ YLUWXH RI KLV RZQ QDWXUH LQ WKH PLGVW RI FRPSDQLRQV LV XQDEOH WR EUHDN WKH EDUULHU EHWZHHQ SHUVRQDOLWLHV 7KH PDQ ZKR LV DORQH ZKHQ LQ D FURZG DORQH ZKHQ ZLWK IULHQGV RU IDPLO\ LV WKH WUXH VROLWDU\ ILJXUH 7KRPDV :ROIH VRPH VL[W\ILYH \HDUV DIWHU +DZWKRUQHn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

PAGE 62

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fV RZQ VHOI KDV DERXW LW D FROG EXW ZKROHVRPH TXDOLW\ ZKLFK LV GLIILFXOW WR PDLQWDLQ LQ JURXS OLYLQJ $W WKH VDPH WLPH KRZHYHU VRFLHW\ RIIHUV D ZDUPWK DQG FRPSDQLRQVKLS ZKLFK LV HVVHQWLDO WR PDQfV ZHOOEHLQJ 7KH FRQWLQXDO GLOHPPD RI WKRVH LQGLYLGXDOV ZKRVH QDWLYH V\PSDWKLHV ZRXOG OHDG WKHP DORQJ WKH TXLHW DQG ORQHO\ SDWKZD\ HPSKDVL]HV WKH VWUXJJOH :KHQ HPHUJLQJ LQWR WKH VRFLDO RUGHU WKH LQGLYLGXDO HQFRXQWHUV PDVV LPSHUIHFWLRQ \HW HPHUJHQFH LV PDQGDWRU\ 7KHUH FDQ EH OLWWOH GRXEW WKDW +DZWKRUQHnV SUHRFFXSDWLRQ ZLWK WKLV SUREOHP UHIOHFWV D VWUXJJOH FRQWDLQHG ZLWKLQ KLV RZQ SHUVRQDOLW\ )RU +DZWKRUQHnV SDUW WKH TXHVWLRQ ZDV QHYHU FRPSOHWHO\ UHVROYHG 7KH FRQIOLFW OHVVHQHG EXW LW GLG QRW FHDVH )RU PDQNLQG +DZWKRUQH XUJHV D IXOO SDUWLFLSDWLRQ LQ WKH VRFLDO ZD\ 7KH LPSHUIHFW QDWXUH RI VRFLHW\ PDNHV PHUH DVVRFLDWLRQ DQ LPSHUIHFW VROXWLRQ EXW WKH JUHJDULRXV DSSHWLWH RI PDQ PDNHV LW WKH RQO\ SRVVLEOH RQH

PAGE 63

&+$37(5 ,9 5($/,7< $1' 5(/,*,21 $W WKH KHDUW RI WKH +DZWKRUQLDQ ZRUOG YLHZ DUH WZR LQWDQJLEOH LQWHUHVWV ZKLFK DUH IRUPHG XSRQ IDLWK DQG ZKLFK VXSHUVHGH LQ D FDOP IDVKLRQ RWKHU FRQFHSWV GHYHORSHG IURP REVHUYDWLRQ DQG UHIOHFWLRQ 7KHVH GXDO HVVHQFHV fUHDOLW\ DQG UHOLJLRQ DUH IUHTXHQWO\ IXVHG EHFDXVH +DZWKRUQHfV FRQFHSWLRQ RI DFWXDOLW\ IDOOV ZLWKLQ D UHOLJLRXV IUDPHZRUN $W RWKHU WLPHV WKH QDWXUH RI WKH DFWXDO EHFRPHV D XQLTXH SUREOHP LQ +DZWKRUQHfV FRQTXHVW RI LGHDV )RU WKH PRVW SDUW KRZHYHU WKH FRPPHQWDU\ RQ UHDOLW\ VHUYHV DV SUHIDWRU\ PDWHULDO IRU D V\VWHPDWL]HG DQDO\VLV RI KLV UHOLJLRXV WKRXJKW 5($/,7< $OWKRXJK LW PD\ DSSHDU ERWK SHUVRQDO DQG LQWXLWLYH DW ILUVW JODQFH +DZWKRUQHnV YLVLRQ RI UHDOLW\ LV QRW HVVHQWLDOO\ D P\VWLFDO RQH 8OWLPDWHO\ LW LV KLJKO\ LPSHUVRQDO FRPSOHWHO\ QDWXUDO DQG WKRURXJKO\ XQVSHFWDFXODU 7KLV YLVLRQ GHDOW ZLWK RQ WZR SODQHV FRQFHUQV D VLQJOH HVVHQFH 7KH VXSHUILFLDO YRLFLQJV RI SROLWH VRFLHW\ RIWHQ FRXQWHUIHLW WKH KLGGHQ WKRXJKWV RI WKH VRFLDO SDUWLFLSDQWV LQ WKH VDPH PDQQHU WKDW WKH SHUFHSWLRQ RI VHQVRU\ SKHQRPHQD FORDNV OLIHfV VSLULWXDO YDOXHV $Q XQGHUO\LQJ UHDOLW\ PD\ EH GHWHFWHG RQ ERWK WKHVH OHYHOV LQ WKH ILUVW LQVWDQFH RQ D OLPLWHG RU KXPDQ SODQH DQG LQ

PAGE 64

WKH VHFRQG RQ D OLPLWOHVV RU VSLULWXDO RQH (DUWKO\ WKLQJV GR QRW SRVVHVV ILQDOLW\ 2Q EHLQJ WUDQVSRUWHG WR VWUDQJH VFHQHV ZH IHHO DV LI DOO ZHUH XQUHDO 7KLV LV EXW WKH SHUFHSWLRQ RI WKH WUXH XQUHDOLW\ RI HDUWKO\ WKLQJV PDGH HYLGHQW E\ WKH ZDQW RI FRQJUXLW\ EHWZHHQ RXUVHOYHV DQG WKHPOf $Q DWWHPSW WR GLVFRYHU D WUXH DQG GLUHFW NQRZOHGJH RI WKH PDWHULDO ZRUOG LQ ZKLFK PDQ OLYHV OLHV EH\RQG +DZWKRUQHfV GHVLUH 6XFK D NQRZOHGJH LI DVFHUWDLQDEOH ZRXOG SURYH RI OLWWOH ZRUWK %XW WKHQ DV KDYH VDLG DERYH WKH JURVVHU OLIH LV D GUHDP DQG WKH VSLULWXDO OLIH D UHDOLW\ff 1RWKLQJ LQ ZRUOGO\ OLIH FRQVWLWXWHV ffUHDOLW\ LQ D JUHDWHU VHQVHL IRU D SULPH LQJUHGLHQW RI WKH OLIH FRPSRXQG LV WKDW LW VKDOO EH HSKHPHUDO DQG VKDGRZ\ ,QGHHG ZH DUH EXW VKDGRZVf§ZH DUH QRW HQGRZHG ZLWK UHDO OLIH DQG DOO WKDW VHHPV PRVW UHDO DERXW XV LV EXW WKH WKLQQHVW VXEVWDQFH RI D GUHDPf§WLOO WKH KHDUW LV WRXFKHG 7KDW WRXFK FUHDWHV XVf§WKHQ ZH EHJLQ WR EHf§WKHUHE\ ZH DUH EHLQJV RI UHDOLW\ DQG LQKHULWRUV RI HWHUQLW\ f 6HYHUDO VHHPLQJO\ 3ODWRQLF UHIOHFWLRQV UHPLQLVFHQW RI 3ODWRfV FDYH V\PEROLVP ZKHQ FRQVLGHUHG LQ FRQMXQFWLRQ ZLWK RWKHU IDFHWV RI +DZWKRUQHfV WRWDO FRQFHSWLRQ DUH VHHQ LQ WKHLU WUXH OLJKW DV PRUDO DVVHUWLRQV RI D VSLULWXDO WUXWK UDWKHU WKDQ DV HOHYDWHG PHWDSK\VLFDO VSHFXODWLRQ IRU LWV RZQ VDNH ,Q WUXWK ZRUGV IDLO ZKHQ DWWHVWLQJ WR GHILQH UHDOLW\ IRU LW LV H[SHULHQFHG WKURXJK WKH IHHOLQJV DQG QRW WKURXJK WKH LQWHOOHFW 9LKR KDV QRW EHHQ FRQVFLRXV RI P\VWHULHV ZLWKLQ KLV PLQG P\VWHULHV RI WUXWK DQG UHDOLW\ ZKLFK ZLOO QRW ZHDU WKH FKDLQV RI ODQJXDJH" f
PAGE 65

LW PD\ EH DYHUUHG WKDW ZKDW WKH JUHDW ERG\ RI PDQNLQG FOXWFKHV DV UHDOLW\ LV EXW GHOXVLYH H[WHUQDOLW\ +XPDQ QDWXUH FUDYHV D FHUWDLQ PDWHULDOLVP DQG FOLQJV SHUWLQDFLRXVO\ WR ZKDW LV WDQJLEOH DV LI WKDW ZHUH RI PRUH LPSRUWDQFH WKDQ WKH VSLULW DFFLGHQWDOO\ LQYROYHG LQ LWOOf 7KDW ZKLFK LV DFWXDO LV DOVR LPPRUWDO WLPHOHVV LQGHVWUXFWLEOH 3XUH EHDXW\ RI WKH W\SH ZKLFK 6KHOOH\ SRHWL]HG SRVVHVVHV WKHVH TXDOLWLHV 1RW WKDW EHDXW\ LV ZRUWK\ RI OHVV WKDQ LPPRUWDOLW\A QR WKH EHDXWLIXO VKRXOG OLYH IRUHYHUf§DQG WKHQFH SHUKDSV WKH VHQVH RI LPSURSULHW\ ZKHQ ZH VHH LW WULXPSKHG RYHU E\ WLPHf (DUWKO\ EHDXW\ WKRXJK LW EH D GHVHUYLQJ UHIOHFWLRQ RI D SHUIHFW VSLULWXDO EHDXW\ LV XQIRUWXQDWHO\ ERXQGHG &HOHVWLDO EHDXW\ LV XQEOHPLVKHG DQG LQILQLWHM WKH ZRUOGnV EHDXW\ LV ILQLWH 6RSKLVWLFDWLRQ KRZHYHU GHOLFDWHO\ LW LV FRQWULYHG RIWHQ EULQJV LWV REVHUYHU WR DQ DZDUHQHVV RI WKH REYLRXV LQFRQJUXLW\ EHWZHHQ ZKDW LV VDLG DQG ZKDW LV WKRXJKW 3ROLWH FRQYHUVDWLRQ SHUSHWXDOO\ ERUGHUV RQ GHFHLW 6WUDQJH VSHFWDFOH LQ KXPDQ OLIH ZKHUH LW LV WKH LQVWLQFWLYH HIIRUW RI RQH DQG DOO WR KLGH WKRVH VDG UHDOLWLHV DQG OHDYH WKHP XQGLVWXUEHG EHQHDWK D KHDS RI VXSHUILFLDO WRSLFV ZKLFK FRQVLWXWH WKH PDWHULDOV RI LQWHUFRXUVH EHWZHHQ PDQ DQG PDQ O f 6RFLDO LQWHUFRXUVH DV +DZWKRUQH REVHUYHV LW SDUWDNHV WRR RIWHQ RI WKH SXUHO\ DUWLILFLDO 7ZR SDWKV WR UHDOLW\f§RQH PDQFHQWHUHG RQH *RGFHQWHUHGf§ VHHPHG ZRUWK\ RI LQYHVWLJDWLRQ E\ +DZWKRUQH 7KH ILUVW DQG PRUH DUWLVWLF PHGLXP RQH ZKLFK PDQ PD\ DWWHPSW LV WKDW RI WKH LPDJLQDWLRQ ,W LV RQO\ WKURXJK WKH PHGLXP RI WKH LPDJLQDWLRQ WKDW ZH FDQ OHVVHQ

PAGE 66

WKRVH LURQ IHWWHUV ZKLFK ZH FDOO WUXWK DQG UHDOLW\ DQG PDNH RXUVHOYHV HYHQ SDUWLDOO\ VHQVLEOH ZKDW SULVRQHUV ZH DUHOLrf $ KHLJKWHQHG LPDJLQDWLRQ WKHQ PD\ FXW WKURXJK WKH RXWHU OD\HUV RI OLIH DQG LQWR ffUHDOLW\ ,PDJLQDWLRQ LV D PDQFHQWHUHG DFWLYH PHGLXP ZKLFK SLHUFHV DQG UHYHDOV $OWKRXJK +DZWKRUQH IUHTXHQWO\ HPSOR\HG WKLV PHWKRG LQ KLV ILFWLRQ KH GLVFXVVHG LW EXW OLWWOH ,QVWHDG KH DOORZHG WKH ZRUN WR EH WKH ILQDO WHVWLPRQ\ RI WKH HIILFDF\ RI WKLV DSSURDFK 7KH VHFRQG PHGLXP RI SHUFHSWLRQ LV SDVVLYH LQWXLWLYH DQG *RGFHQWHUHG 7KHUH LV VRPHWKLQJ WUXHU DQG PRUH UHDO WKDQ ZKDW ZH FDQ VHH ZLWK WKH H\HV DQG WRXFK ZLWK WKH ILQJHUf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f 5HSHDWHGO\ WKH QRYHOLVW UHIHUV WR WKDW OHVVHU SODQH RI GHFHSWLRQf§RQH RQ ZKLFK WKH XQUHDO TXDOLW\ RI WKH GDLO\ HYHQWV RI OLIH LV WRR DSSDUHQW 0DQ\ RI WKH DUWLILFLDOLWLHV ZKLFK FRQIURQW PDQ LQ VRFLHW\ DUH LQWXLWLYHO\ IDWKRPHG E\ VHQVLWLYH

PAGE 67

REVHUYHUV %XW \HW LQ VRPH LQGHVFULEDEOH ZD\ DV LV WKH FDVH ZLWK DOO WKDW KDV GHOXGHG XV ZKHQ RQFH IRXQG RXWf WKH SRRU UHDOLW\ ZDV IHOW EHQHDWK WKH FXQQLQJ DUWLILFHf 7KH PDQQHU LQ ZKLFK LGHDOLVP ZRUNV LV LQWLPDWHO\ UHODWHG WR WKH TXHVW IRU UHDOLW\ 6LQFH WKH UHDOLWLHV RI OLIH DUH DOO LPSRUWDQW KH ZKR IDOOV VKRUW RI NQRZLQJ WKHP KH ZKR QHYHU DWWDLQV KLV LGHDOV KDV VWLOO DGYDQFHG IXUWKHU WKDQ WKH PDQ ZKR PDQDJHV WR DFFXPXODWH WKH PHUHO\ PDWHULDO JRRGV RI OLIH
PAGE 68

WKDW KDG RQFH VWDLQHG WKHPVHOYHV LQ GHHS FRORUV RQ WKH FXUWDLQ WKDW 7LPH KDQJV DURXQG XV WR VKXW XV LQ IURP HWHUQLW\ FDQQRW EH TXLWH HIIDFHG E\ WKH VXFFHHGLQJ SKDQWDVPDJRULD DQG VRPHWLPHV E\ D SDOLPSVHVW VKRZ PRUH VWURQJO\ WKDQ WKH\}LOOf )RU WKH PRVW SDUW PDQ LV XQDEOH WR FRPSUHKHQG WKH LQPRVW QDWXUH RI WKRVH IRUFHV ZKLFK DUH IXQFWLRQLQJ DOO DURXQG KLP 2QO\ RQ UDUH RFFDVLRQV GRHV SURYLGHQWLDO OLJKW EUDOH WKURXJK PDQnV GDUN HQFORVXUH ,W LV HYHQ PRUH GLIILFXOW IRU PRUWDOV WR SXVK DVLGH PRPHQWDULO\ WKDW KHDY\ WDSHVWU\ ,Q WUXWK WKHUH LV EXW RQH VROXWLRQ ZKLFK PDQ PD\ KLPVHOI HIIHFW )DFWV DV ZH UHDOO\ ILQG WKHP ZKDWHYHU SRHWU\ WKH\ PD\ LQYROYH DUH FRYHUHG ZLWK D VWRQ\ H[FUHVFHQFH RI SURVH UHVHPEOLQJ WKH FUXVW RQ D EHDXWLIXO VHDVKHOO DQG WKH\ QHYHU VKRZ WKHLU PRVW GHOLFDWH DQG GLYLQHVW FRORUV XQWLO ZH VKDOO KDYH GLVVROYHG DZD\ WKHLU JURVVHU DFWXDOLWLHV E\ VWHHSLQJ WKHP ORQJ LQ D SRZHUIXO PHQVWUXXP RI WKRXJKWrf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nV QDWXUH LV D FRUUXSWHG RQH 2XU ZRUOG LV EXW D VKDGRZ RI D JUHDWHUVSLULWXDOLW\ LQ WKDW LWV WDQJLEOHV DUH HSKHPHUDO DQG GR QRW FRQVWLWXWH UHDOLW\ $OWKRXJK WKLV ZRUOG H[LVWV DV EXW D PRPHQW LQ HWHUQLW\ LW LV RI

PAGE 69

SULPDU\ LPSRUWDQFH LQ WKDW LW PXVW FRQVXPH PDQn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nV DFKLHYHPHQW RI D VSLULWXDO VWDWH EHORQJV WR DQRWKHU ZRUOG 0DQnV ILUVW GXW\ LV WR WKH PRUWDO ZRUOG 2QH RSSRUWXQLW\ RI YLHZLQJ QDNHG DFWXDOLW\ ZKLOH VWLOO UHVLGLQJ LQ WKLV ZRUOG LV WR EH IRXQG LQ WKRVH JOLPPHULQJV ZKLFK *RG DOORZV WR ILOWHU WKURXJK OLIH &RQYHUVHO\ PDQ PD\ WKURXJK HPSLULFDO VWLPXOL GLVWLOOHG E\ WKH LPDJLQDWLRQ EUHDN WKURXJK WR WKDW VHOIVDPH LQQHU WUXWK 5HDOLW\f§WKDW DOOHQJXOILQJ SUHVHQFH ZKLFK VXUURXQGV LV SUHVHQW ZLWKLQ DQG RFFDVLRQDOO\ GDUWV WKURXJK WKH H[WHUQDO FUXVW RI OLIHf§PD\ EH DUULYHG DW LQ HLWKHU IDVKLRQf§WKURXJK WKH VWULYLQJV RI PDQ RU WKURXJK WKH EHQHILFHQFHV RI *RG +DZWKRUQHnV FRPPHQWV RQ UHDOLW\ DUH ZKROO\ LQWXLWLYH EXW KH DVVXPHV WKDW PDQNLQG LV SRWHQWLDOO\ FDSDEOH RI DQ LGHQWLFDO LQWXLWLRQ 5HDOLW\ LV DQ XQGHQLDEOH QDWXUDO SKHQRPHQRQ RI ZKLFK DOO PHQ PD\ SDUWDNH DV WKH\ DUH LQGLYLGXDOO\ FDSDEOH 7KH QRYHOLVW GLG QRW DVVXPH WKDW KH DORQH KHOG D SULYDWH

PAGE 70

WHOHSKRQH OLQH ZLWK GLYLQLW\ +DZWKRUQHfV XQGHUVWDQGLQJ RI fUHDOLW\ EOHQGV UHDGLO\ ZLWK KLV DFFHSWDQFH RI VLQ DQG ZLWK WKH JHQHUDO WHQRU RI KLV PRUDO DQG UHOLJLRXV WKRXJKW IRU DOWKRXJK KH EHOLHYHV WKDW DQ LGHDO ZRUOG WUDQVFHQGV WKH SKHQRPHQDO RQH KH LQVLVWV WKDW PDQfV OLIH LV D SLOJULPDJH WKURXJK WKH PDWHULDO ZRUOG DQG WKDW PDQfV FKLHI FRQFHUQ PXVW UHPDLQ LQ WKDW LPPHGLDWH UHDOP ZKHUH WKH ZLOO WR JRRGQHVV LV IHHEOH DQG WKH SURSHQVLW\ WR HYLO VWDJJHULQJ $W WKH VDPH WLPH WKH QRYHOLVW ZRXOG RIIHU D VHYHUH ZDUQLQJ WR WKRVH LQGLYLGXDOV ZKR ZRXOG VKLUN WKH REOLJDWLRQV RI PRUWDO OLIH $OWKRXJK +DZWKRUQHfV EHOLHI LQ WKH H[LVWHQFH RI DQ XQGHUO\LQJ UHDOLW\ LV ILUPO\ URRWHG KLV FRPPHQWDU\ RQ WKH H[DFW QDWXUH RI WKDW UHDOLW\ LV QRW H[SOLFLW 7DNHQ DV D JURXS KLV DVVHUWLRQV RI UHDOLW\ VWDQG PRUH DV D SUHIDFH WR KLV LGHDV RQ UHOLJLRQ WKDQ DV SXUH SKLORVRSKLFDO VWULFWXUHV 5(/,*,21 5HOLJLRXV IDLWK LV SRVVLEOH QRW EHFDXVH PDQ LV JRRG DQ LPDJH RI WKH GLYLQH EXW EHFDXVH *RG LV SRZHUIXO DQG XQGXO\ EHQHYROHQW $ UHOLJLRXV DWWLWXGH PD\ H[LVW LQ VSLWH RI PDQfV LQKHUHQW HYLO DQG ZHDNQHVV 2I DOO WKH WKRXJKW DUHDV ZLWK ZKLFK +DZWKRUQH FRQFHUQHG KLPVHOI WKDW RI UHOLJLRQ LV WKH PRVW FOHDUO\ DQG FRQVLVWHQWO\ GHILQHG 'HVSLWH WKH ODFN RI D VSHFLILF QDPH ZLWK ZKLFK WR ODEHO +DZWKRUQHfV UHOLJLRXV FRQFHSWV WKH QDWXUH RI KLV UHOLJLRXV WKRXJKW LV HDVLO\ XQGHUVWRRG +DZWKRUQH QHYHU PDGH DQ\ PHQWLRQ RI KLV RU KLV VLVWHUV

PAGE 71

DWWHQGLQJ FKXUFK ZKLOH WKH\ ZHUH FKLOGUHQ DQG KLV GD\V DW %RZGRLQ ZHUH ILOOHG 7LOWK ILQHV LPSRVHG IRU FXWWLQJ SUD\HUV DQG 6XQGD\ FKDSHOf OLNH PDQ\ DQRWKHU UHOLJLRXV PDQ KH KDG QR 6XQGD\ UHOLJLRQ 1RPLQDOO\ D 8QLWDULDQ ZHGGHG WR WKH GDXJKWHU RI D GHYRXW 8QLWDULDQ +DZWKRUQH FDUHG OLWWOH RU QRWKLQJ IRU VSHFLILF FUHHGV +H ZDV WRR NHHQO\ DZDUH RI PDQ DV D VLQQHU WR DFFHSW LQ WRWR WKH RSWLPLVWLF 8QLWDULDQLVP RI KLV JHQHUDWLRQ :KHQ +DZWKRUQH UHIOHFWHG RQ -HVXV +LV JRRGQHVV VHHPHG OHVV VLJQLILFDQW WKDQ WKH HYLO WKLQJV ZKLFK PHQ KDG GRQH WR +LP $Q KHUHGLWDU\ DQG LQVWLQFWLYH DZDUHQHVV RI HYLO SUHYHQWHG +DZWKRUQHfV DFFHSWLQJ DQ HDV\ UHOLJLRQ 6RXO +DZWKRUQHfV EHOLHI LQ WKDW VSLULWXDO HVVHQFH ZKLFK &KULVWLDQLW\ KDV GHVLJQDWHG PDQfV VRXO ZDV XQVKDNHDEOH :H GR ZURQJ WR RXU GHSDUWHG IULHQGV DQG FORJ RXU RZQ KHDYHQZDUG DVSLUDWLRQV E\ FRQQHFWLQJ WKH LGHD RI WKH JUDYH ZLWK WKDW RI GHDWK 2XU WKRXJKWV VKRXOG IROORZ WKH FHOHVWLDO VRXO DQG QRW WKH HDUWKO\ FRUSVHOOMf $ ILUVW DFTXDLQWDQFH ZLWK RQHfV VRXO PD\ FRPH WKURXJK VXIIHULQJ $Q\ VRUW RI ERGLO\ DQG HDUWKO\ WRUPHQW PD\ VHUYH WR PDNH XV VHQVLEOH WKDW ZH KDYH D VRXO WKDW LV QRW ZLWKLQ WKH MXULVGLFWLRQ RI VXFK VKDGRZ\ GHPRQVf§LW VHSDUDWHV WKH LPPRUWDO ZLWKLQ XV IURP WKH PRUWDO OO8Lf 6XIIHULQJV RI WKH ERG\ DUH EXW KDLUFORWKV ZKLFK TXLFNHQ WKH VRXOnV VWLUULQJV MMDQQLQJ +DZWKRUQH 3DUHQWDO DQG )DPLO\ ,QIOXHQFHV RQ +DZWKRUQHf (VVH[ ,QVWLWXWH +LVWRULFDO &ROOHFWLRQV /;;9, 8f FDQWZHOO 7KH $PHULFDQ
PAGE 72


PAGE 73

8 FRQGXFWHG RXUVHOYHV MXVWO\ KHUH WKHUH YGOO EH D UHZDUG IRU XV LQ DQRWKHU DQG D EHWWHU ZRUOGOOf $QG ZKDWHYHU PD\ EH WKH GXUDWLRQ RI WKLV HDUWKO\ H[LVWHQFH OHW LW HYHU EH LQ RXU PLQGV WKDW DQRWKHU FRPHV KDVWHQLQJ RQf§ZKLFK LV HWHUQDOOL!f 7KLV EDVLF QRWLRQ RI HWHUQDO OLIH GRHV QRW GHYLDWH DSSUHFLDEO\ IURP WKH VWDQGDUG ERG\ RI &KULVWLDQ WHDFKLQJV +HDYHQ LV D MR\RXV SODFH RQO\ D EUHDWK DZD\ \HW KXPDQ QDWXUH VWULYHV WRR IUHTXHQWO\ IRU OHVV VXEVWDQWLDO UHZDUGV $ PDQ ZLOO XQGHUJR JUHDW WRLO DQG KDUGVKLS IRU HQGV WKDW PXVW EH PDQ\ \HDUV GLVWDQWf§DV ZHDOWK RU IDPHf§EXW QRQH IRU DQ HQG WKDW PD\ EH FORVH DW KDQGf§DV WKH MR\V RI KHDYHQOAOf +DQ VKRXOG IDVWHQ KLV JD]H XSRQ ILUPO\ URRWHG HWHUQDOLW\ UDWKHU WKDQ D IOXFWXDWLQJ ZRUOGO\ OLIH +DV LW WDONHG IRU VR PDQ\ DJHV DQG PHDQW QRWKLQJ DOO WKH ZKLOH" 1R IRU WKRVH DJHV ILQG XWWHUDQFH LQ WKH VHDfV XQFKDQJLQJ YRLFH DQG ZDUQ WKH OLVWHQHU WR ZLWKGUDZ KLV LQWHUHVW IURP PRUDO YLFLVVLWXGHV DQG OHW WKH LQILQLWH LGHD RI HWHUQLW\ SHUYDGH KLV VRXO ,f *RRG GHHGV DQG IDLWK WKUXVW DVLGH WKH FXUWDLQ EHWZHHQ WKH PRPHQWDU\ DQG WKH HWHUQDO $QG WKXV ZH QLJKW ZDQGHUHUV WKURXJK D VWRUP\ DQG GLVPDO ZRUOG LI ZH EHDU WKH ODPS RI )DLWK HQNLQGOHG DW D FHOHVWLDOILUH LW ZLOO VXUHO\ OHDG XV KRPH WR WKDW KHDYHQ ZKQFH LWV UDGLDQFH ZDV ERUURZHGAf 7KHUH LV OLWWOH WR EH SHUFHLYHG LQ +DZWKRUQHfV SUHVHQWDWLRQ RI LPPRUWDOLW\ ZKLFK ZRXOG QRW EH DFFHSWDEOH WR WKH PDMRULW\ RI &KULVWLDQ EHOLHYHUV +LV GHFODUDWLRQ RI IDLWK LQ DQ DIWHUOLIH WKRXJK LW LV PDGH ZLWK FHUWDLQW\ QRZLVH EDODQFHV WKH GDUNHU DVSHFWV RI KLV OLIH SKLORVRSK\ 6RPHKRZ WKH QRYHOLVW KDG SLFNHG XS WKH LGHD WKDW PHQWDO ODERU

PAGE 74

" ZLOO ILQG LWV FRPSOHWLRQ LQ WKH QH[W OLIH ,W VHHPV D JUHDWHU SLW\ WKDW DQ DFFRPSOLVKHG ZRUNHU ZLWK WKH KDQG VKRXOG SHULVK SUHPDWXUHO\ WKDQ D SHUVRQ RI JUHDW LQWHOOHFW EHFDXVH LQWHOOHFWXDO DUWV PD\ EH FXOWLYDWHG LQ WKH QH[W ZRUOG EXW QRW SK\VLFDO RQHVfOLfLLf 7KLV VRUW RI FRQMHFWXUH RQ WKH H[DFW QDWXUH RI D VRXO RU RQ WKH KHDYHQ LQ ZKLFK LW GZHOOV SRLQWV RXW RQFH PRUH WKDW +DZWKRUQHfV UHOLJLRQ GLG QRW DOZD\V HYROYH IURP WKDW UDWLRQDOLVP VR LQWLPDWHO\ OLQNHG ZLWK 8QLWDULDQLVP ,Q RQH ZD\ DQ DQWKURSRPRUSKLF RQH WKH QHFHVVLW\ IRU LPPRUWDOLW\ LV DIILUPHG 7KXV HYHU GRHV WKH JURVV IDWDOLW\ RI HDUWK H[XOW LQ LWV LQYDULDEOH WULXPSK RYHU WKH LPPRUWDO HVVHQFH ZKLFK LQ WKLV GLP VSKHUH RI KDOI GHYHORSPHQW GHPDQGV WKH FRPSOHWHQHVV RI D KLJKHU VWDWHfOI!!f +HDYHQ DIIRUGV 8WRSLDQ IXOILOOPHQW IRU HDUWKnV SURMHFWV 0RUHRYHU LW DSSHDUV DV D PHFFD IRU WRWDO SHUVRQDOLWLHVf§ ORYHG RQHV DUH XQLWHG SRHWV URXQG RII WKHLU SRHPV DOO LV EURXJKW WR FRPSOHWLRQ 7KH H[LVWHQFH RI D KLJKHU OLIH LV WKXV SURFODLPHG ILUVW *RG LV EHQHYROHQW VHFRQG WKHUH LV VHQVH DQG RUGHU WR PDQnV H[LVWHQFH WKLUG WKH QDWXUH RI SK\VLFDO OLIH LV LQFRPSOHWH IRXUWK VLQFH WKLV OLIH LV LQFRPSOHWH DQG VLQFH *RG LV MXVW DQG JRRG WKHUH PXVW EH D KHDYHQ 7KLV VR IUHTXHQW DERUWLRQ RI PDQfV GHDUHVW SURMHFWV PXVW EH WDNHQ DV D SURRI WKDW WKH GHHGV RI HDUWK KRZHYHU HWKHUHDOL]HG E\ SLHW\ RU JHQLXV DUH ZLWKRXW YDOXH H[FHSW DV H[HUFLVHV DQG PDQLIHVWDWLRQV RI WKH VSLULW ,Q KHDYHQ DOO RUGLQDU\ WKRXJKW LV KLJKHU DQG PRUH PHORGLRXV WKDQ 0LOWRQnV VRQJ 7KHQ ZRXOG KH DGG DQRWKHU YHUVH WR DQ\ VWUDLQ WKDW KH KDG OHIW XQILQLVKHG KHUH"Af +DZWKRUQH EHJLQV HPSLULFDOO\ ZLWK D KDUG ZRUOGFHQWHUHG WH[WXUH DQG

PAGE 75

DVFHQGV LQWXLWLYHO\ WR FHOHVWLDO KHLJKWV %XW *RG ZRXOG QRW KDYH PDGH WKH FORVH VR GDUN DQG ZUHWFKHG LI WKHUH ZHUH QRWKLQJ EH\RQG IRU WKHQ LW ZRXOG KDYH EHHQ D ILHQG WKDW FUHDWHG XV DQG PHDVXUHG RXW RXU H[LVWHQFH DQG QRW *RG ,W ZRXOG EH VRPHWKLQJ EH\RQG ZURQJf§LW ZRXOG EH LQVXOWf§WR EH WKUXVW RXW RI OLIH LQWR DQQLKLODWLRQ LQ WKLV PLVHUDEOH ZD\ 6R RXW RI WKH YHU\ ELWWHUQHVV RI GHDWK JDWKHU WKH VZHHW DVVXUDQFH RI D EHWWHU VWDWH RI EHLQJAf ,Q RQH LQVWDQFH +DZWKRUQH TXHVWLRQV KLV RZQ QDLYHWHA LQ DVVXPLQJ WKH H[LVWHQFH RI KHDYHQ ZLWK VXFK ZLVKIXO ORJLF ,I ZH FRQVLGHU WKH OLYHV RI WKH ORZHU DQLPDOV ZH VKDOO VHH LQ WKHP D FORVH SDUDOOHOLVP WR WKRVH RI PRUWDOVf§WRLO VWUXJJOH GDQJHU SULYDWLRQ PLQJOHG ZLWK JOLPSVHV RI SHDFH DQG HDVH HQPLW\ DIIHFWLRQ D FRQWLQXDO KRSH RI EHWWHULQJ WKHPVHOYHV DOWKRXJK WKHLU REMHFWV OLH DW OHVV GLVWDQFH EHIRUH WKHP WKDQ RXU RZQ GR 7KXV QR DUJXPHQW IURP WKH LPSHUIHFW FKDUDFWHU RI RXU H[LVWHQFH DQG LWV GHOXVRU\ SURPLVHV DQG LWV LQMXVWLFH FDQ EH GUDZQ LQ UHIHUHQFH WR RXU LPPRUWDOLW\ ZLWKRXW LQ D GHJUHH EHLQJ DSSOLFDEOH WR RXU EUXWH EUHWKUHQAf ,W LV KLJKO\ SUREDEOH WKDW LPPRUWDOLW\ KDV EHFRPH VR IL[HG D FRQFHSW WKDW LW OLNH VLQ PD\ RFFDVLRQDOO\ EH WUHDWHG ZLWK OHYLW\ 2Q WKH RWKHU KDQG WKLV RQH VWDWHPHQW PD\ UHIOHFW DQ HDUQHVW GRXEW RQH VRRQ PHUJHG LQ D VHD RI FHUWDLQW\ 0RUWDO OLIHfV JULP OLPLWDWLRQV IRUHZDUQ HYHQWXDO SHUIHFWLRQ *RG KLPVHOI FDQQRW FRPSHQVDWH WR XV IRU EHLQJ ERUQ LQ DQ\ SHULRG VKRUW RI HWHUQLW\ $OO WKH PLVHU\ ZH HQGXUH KHUH FRQVWLWXWHV D FODLP IRU DQRWKHU OLIHf§DQG VWLOO PRUH DOO WKH KDSSLQHVV EHFDXVH DOO WUXH KDSSLQHVV LQYROYHV VRPHWKLQJ PRUH WKDQ WKH HDUWK RZQV DQG VRPHWKLQJ PRUH WKDQ D PRUWDO FDSDFLW\ IRU WKH HQMR\PHQW RI LWf $QG LW LV WKH SURPLVH RI D EOHVVHG HWHUQLW\ IRU RXU FUHDWRU ZRXOG QHYHU KDYH PDGH VXFK ORYHO\ GD\V DQG KDYH JLYHQ XV WKH GHHS KHDUWV WR HQMR\ WKHP DERYH DQG EH\RQG DOO WKRXJKW XQOHVV ZH ZHUH PHDQW WR EH LPPRUWDO 7KLV VXQVKLQH LV D JROGHQ SOHGJH WKHUHRI ,W EHDPV WKURXJK WKH JDWHV RI SDUDGLVH DQG VKRZV XV JOLPSVHV IDU LQZDUG Of %HDXW\ UHDOLW\WW LPPRUWDOLW\ WKRXJK WKH\ DUH NLQGUHG WHUPV WR +DZWKRUQH DUH QRW LGHQWLFDO LQ FRQQRWDWLRQ %HDXW\ DV D VWDWH RI

PAGE 76

WDVWH PD\ EH WKRXJKW RI DV UHODWLYH DQG DPRUDO
PAGE 77

YHU\ IDFW WKDW *RG H[LVWV )RU +DZWKRUQH KHDYHQ LV LQWXLWLYH :H KDYH VWURQJO\ ZLWKLQ XV WKH VHQVH RI DQ XQG\LQJ SULQFLSOH DQG ZH WUDQVIHU WKDW WUXH VHQVH WR WKLV OLIH DQG WR WKH ERG\ LQVWHDG RI LQWHUSUHWLQJ LW MXVWO\ DV WKH SURPLVH RI VSLULWXDO LPPRUWDOLW\Of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

PAGE 78

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f :KLOH *RGfV JRRGQHVV LV ERXQWLIXO LQ DQ DEVROXWH RU ILQDO VHQVH LPPHGLDWH DFWLRQV UHPDLQ LQVFUXWDEOH *RG KDV LPSDUWHG WR WKH KXPDQ VRXO D PDUYHORXV VWUHQJWK LQ JXDUGLQJ LWV VHFUHWV DQG KH NHHSV DW OHDVW WKH GHHSHVW DQG PRVW LQZDUG UHFRUG IRU KLV RWR SHUXVDOf O,Wf +H UHDGV VRXOV DV UHDGLO\ DV PDQ UHDGV D QHZVSDSHU DQG +H JLYHV HDFK D MXVW DQG WKRURXJK UHDGLQJ 7KHUH LV QR PHQWLRQ ZKHQ GHDOLQJ ZLWK WKDW LQILQLWH GLVHPERGLHG SULPDO VSLULW RI DQJHU RU KDUVKQHVV 3URYLGHQFH LV QHFHVVDULO\ VHYHUH LQ WKDW LW PLQJOHV ZLWK D FRUUXSWHG ZRUOG DQG LV YLHZHG DV LW ZRUNV XSRQ WKDW ZRUOG EXW *RG DOWKRXJK KH LQVWLWXWHV 3URYLGHQFH LV QRW EHVPHDUHG ZLWK HDUWKnV PLUH $ SDWHUQDO *RG DFWLYHO\ ORYHV DQG FDUHV IRU DOO PDQNLQG ,W LV D FRPIRUWDEOH WKRXJKW WKDW WKH VPDOOHVW DQG PRVW WXUELG PXGSXGGOH FDQ FRQWDLQ LWV RZQ SLFWXUH RI +HDYHQ /HW XV UHPHPEHU WKLV ZKHQ ZH IHHO LQFOLQHG WR GHQ\ DOO VSLULWXDO OLIH WR VRPH bLOOLDP :DUUHQ 6ZHHW 5HOLJLRQ LQ &RORQLDO $PHULFD 1HZ
PAGE 79

SHRSOH LQ ZKRP QHYHUWKHOHVV RXU )DWKHU PD\ SHUKDSV VHH WKH LPDJH RI KLV IDFHOef 0DQLIHVWDWLRQV RI WKDW ORYLQJ FDUH DUH IHOW LQ PRUWDO OLIH *RG GRHV QRW OHW XV OLYH DQ\ZKHUH RU DQ\KRZ RQ HDUWK ZLWKRXW SODFLQJ VRPHWKLQJ RI +HDYHQ FORVH DW KDQG E\ ULJKWO\ XVLQJ DQG FRQVLGHULQJ ZKLFK WKH } HDUWKO\ GDUNQHVV RU WURXEOH ZLOO YDQLVK DQG DOO EH +HDYHQf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nV *RG &DOYLQLVP DVVXUHV PDQ RI WKH DFWLYH GLUHFWLYH HQHUJLHV RI *RG )RU KH LV DFFRXQWHG RPQLSRWHQW QRW EHFDXVH KH LV DEOH WR DFW \HW VLWV GRZQ LQ LGOHQHVV RU FRQWLQXHV E\ D JHQHUDO LQVWLQFW WKH RUGHU RI QDWXUH RULJLQDOO\ DSSRLQWHG E\ KLP EXW EHFDXVH KH JRYHUQV KHDYHQ DQG HDUWK E\ KLV SURYLGHQFH DQG UHJXODWHV DOO WKLQJV LQ VXFK D PDQQHU WKDW QRWKLQJ KDSSHQV EXW DFFRUGLQJ WR KLV FRXQVHO +DZWKRUQH LQ OLNH YHLQ ZULWHV RI D VXSUHPH FDUHWDNHU %XW *RG ZKR PDGH XV NQRZV DQG ZLOO QRW OHDYH XV RQ RXU WRLOVRPH DQG GRXEWIXO PDUFK HLWKHU WR ZDQGHU LQ LQILQLWH XQFHUWDLQW\ RU SHULVK E\ WKH ZD\Of 2QFH DJDLQ WKHUH LV D UHFRJQLWLRQ RI D ZDUP GRPLQLRQ $V WKH UHFLSLHQW RI SDWHUQDO FDUH PDQ RZHV SUD\HU IRU ZKDW LV VR FDOYLQ ,QVWLWXWHV

PAGE 80

JUDWXLWRXVO\ JLYHQ 7KH DLU ZLWK *RGfV VZHHWHVW DQG WHQGHUHVW VXQVKLQH LQ LW ZDV PHDQW IRU PDQNLQG WR EUHDWKH LQWR WKHLU KHDUWV DQG VHQG IRUWK DJDLQ DV WKH XWWHUDQFH RI SUD\HUf 3UD\HU LV RQH H[SUHVVLRQ RI PDQnV GXWLIXO DOOHJLDQFH WR *RGM KXPLOLW\ LV DQRWKHU 7KLV LV WKH WUXH ZD\ WR GRM D PDQ RXJKW QRW WR EH WRR SURXG WR OHW KLV H\HV EH PRLVWHQHG LQ WKH SUHVHQFH RI *RG DQG RI D IULHQG•f *RG NQRZV EHVWM EXW ZLVK +H KDG VR RUGHUHG LW WKDW RXU PRUWDO ERGLHV ZKHQ ZH KDYH GRQH ZLWK WKHP PLJKW YDQLVK RXW RI VLJKW DQG VHQVH OLNH EXEEOHVf ZKHWKHU LQ MHVW RU LQ HDUQHVW +DZWKRUQH GRHV QRW TXHVWLRQ GLYLQH LQWHOOLJHQFHA KH UHPDLQV KXPEOH EHIRUH LW )HHOLQJ DQG IDLWK SURYLGH VXIILFLHQW JURXQGV IRU EHOLHI %XW KH QHYHU GLVFXVVHG UHOLJLRQ LQ VHW WHUPV HLWKHU LQ KLV ZULWLQJV RU LQ KLV WDON +H nEHOLHYHGr LQ *RG EXW QHYHU VRXJKW WR GHILQH KLP ,Q FRQWUDVW WR WKH GDUN DIILUPDWLRQ RI 3URYLGHQFH +DZWKRUQHnV ZDUP DVVHUWLRQ RI *RG FRPHV DV D SOHDVDQW VXUSULVH 7KH GRPLQDQW LPSUHVVLRQ RI *RG LI *RG PD\ EH VHSDUDWHG IURP KLV RZQ SURYLGHQWLDO QDWXUH LV PRUH 8QLWDULDQ WKDQ 3XULWDQ :KLOH +DZWKRUQH KDG DOPRVW QRWKLQJ WR VD\ RQ WKH VXEMHFW RI PHUF\ LWVHOI KH GRHV SD\ IXOO KRPDJH WR *RGnV JRRGQHVV -XOLDQ +DZWKRUQH 7KH 0HPRLUV RI -XOLDQ +DZWKRUQH HG (GLWK +DZWKRUQH 1HZ
PAGE 81

$VSHFWV RI 5HOLJLRQ 5HOLJLRQ LV DQ XQOHWWHUHG LQVWLWXWLRQ LQ WKDW LW UHTXLUHV VLPSOLFLW\ DQG KXPLOLW\ RI LWV VXEMHFWV UDWKHU WKDQ HUXGLWLRQr ,Q WKH PRVW WULYLDO ZRUNLQJV RI OLIH UHOLJLRQ UHDFKHV RXW WR PDQ 1R IRXQWDLQ LV VR VPDOO EXW WKDW +HDYHQ PD\ EH LPDJHG LQ LWV ERVRPQOOf 1R FUHDWXUH LV OHIW GU\ E\ WKH RXWIORZLQJ UHOLJLRXV WLGH 3XULW\ DQG VLPSOLFLW\ KROG FRQYHUVH DW HYHU PRPHQW ZLWK WKHLU &UHDWRUf ,W LV D FRQVLVWHQW EHOLHI RI +DZWKRUQHfV WKDW VLPSOLFLW\ DQG SXULW\ DUH LQWLPDWHO\ FRQQHFWHG ZLWK GLYLQLW\ -XVW DV WKHUH LV DQ XQGHQLDEOH FKDLQ RI HYLO UXQQLQJ WKURXJKRXW OLIH HYHQ VR LV WKHUH D FRUUHVSRQGLQJ FKDLQ RI JRRGQHVV ,Q HYHU\ JRRG DFWLRQ WKHUH LV D GLYLQH TXDOLW\ ZKLFK GRHV QRW HQG ZLWK WKH FRPSOHWLRQ RI WKDW SDUWLFXODU GHHG EXW JRHV RQ WR EULQJ IRUWK JRRG ZRUNV LQ DQ LQILQLWH VHULHV ,W LV VHOGRP SRVVLEOH LQGHHG IRU KXPDQ H\HV WR WUDFH RXW WKH FKDLQ RI EOHVVHG FRQVHTXHQFHV WKDW H[WHQGV IURP D PDQnV VLPSOH DQG FRQVFLHQWLRXV DFW KHUH RQ HDUWK DQG FRQQHFWV LW ZLWK WKRVH ODERUV RI ORYH ZKLFK WKH DQJHOV PDNH LW WKHLU MR\ WR SHUIRUP LQ KHDYHQ DERYHf $VVHUWLRQV RI JRRGQHVV DSSHDU DV D PLQRULW\ UHSRUW KRZHYHU ZKHQ SODFHG EHVLGH WKH YLYLG DQG LPPHQVH ERG\ RI UHFRJQL]HG HYLO $OWKRXJK JRRGQHVV KROGV HTXDO TXDOLWDWLYH VWUHQJWK ZLWK HYLO WKH IRUPHU LV RYHUZKHOPHG E\ WKH TXDQWLW\ RI WKH ODWWHU +DZWKRUQHfV FRPPHQWDU\ RQ WKH YDULRXV DVSHFWV RI UHOLJLRQ LQ LWV UHSHDWHG HPSKDVLV RI JRRGQHVV WHQGV WR QHJOHFW IRU WKH PRPHQW WKH VWHUQHU SKDVH RI UHOLJLRQf§*RGfV LQGHIHDVLEOH VRYHUHLJQW\ 8QOHVV WKH EHOLHYHU KDYH DQ XQTXHVWLRQLQJ IDLWK UHOLJLRQ SURYLGHV D IUHH SOD\ IRU KLV LPDJLQDWLRQ +DZWKRUQH LV QXPEHUHG DPRQJ WKRVH ZKR KDYH IDLWK \HW KH LQVHUWV D UDWKHU GDULQJ WKRXJKW RI ZKDW FRQFHLYDEO\ PLJKW EH

PAGE 82

3HUKDSV WKHUH DUH KLJKHU LQWHOOLJHQFHV WKDW ORRN XSRQ DOO WKH PDQLIHVWDWLRQV RI WKH KXPDQ PLQGf§PHWDSK\VLFV HWKLFV KLVWRULHV SROLWLFV SRHPV VWRULHV HWF HWFf§ZLWK WKH VDPH LQWHUHVW DV ZH GR RQ IORZHUV RU DQ\ RWKHU KXPEOH SURGXFWLRQ RI QDWXUH ILQGLQJ D EHDXW\ DQG ILWQHVV HYHQ LQ WKH SRRUHVW RI WKHP ZKLFK ZH FDQQRW VHH LQ WKH EHVWKf ,W LV D IDQFLIXO LGHD QRW D VHULRXV RQH *HQHUDOO\ VXVSHFW ZKHQ SHRSOH WKURZ RII WKH IDLWK WKH\ ZHUH ERUQ LQ WKH EHVW VRLO RI WKHLU KHDUWV LV DSW WR FOLQJ WR LWV URRWVf,I!f ,Q (QJODQG LQ 5RPH KRZHYHU IDU IURP WKH ODQG RI KLV DQFHVWRUV +DZWKRUQH MRXUQH\HG KH QHYHU UHOLQTXLVKHG KLV ELUWKULJKW 7KH URRWV ZHUH LQ 3XULWDQLVP DQG WKH\ ZHUH LQILQLWHO\ GHHS &DOYLQ ZDV FHUWDLQ WKDW WKH GD\ RI MXGJPHQW ZRXOG VHH QXPHURXV VRXOV IDOOHQ LQWR +H8 )RU WKRVH ZKRP WKH ORUG GRHV QRW IDYRXU ZLWK WKH JRYHUQPHQW RI KLV 6SLULW KH DEDQGRQV LQ ULJKWHRXV MXGJHPHQW WR WKH LQIOXHQFH RI 6DWDQ
PAGE 83

N DQG +HOO LQ WKHLU WUDGLWLRQDO HPSOR\PHQW DV ILFWLRQDO HQWLWLHV DUH NQRZQ WR WKH +DZWKRUQH LQWHOOHFW DV FRQYHQLHQW PHWDSKRUV IRU HYLO HYHQ WKRXJK WKH\ DUH QRW ZKROO\ GLVFDUGHG IURP DQ HPRWLRQDO VWDQGSRLQW $ EODFNVPLWK PD\ SHUIRUP KLV WDVNV LQ D UHOLJLRXV PDQQHU &DOYLQ DQG WKH 3XULWDQ IDWKHUV KDG SUHDFKHG WKH GRFWULQH WKDW ZRUN LV ZRUVKLS :H GR RXUVHOYHV ZURQJ DQG WRR PHDQO\ HVWLPDWH WKH +ROLQHVV DERYH XV ZKHQ ZH GHHP WKDW DQ\ DFW RU HQMR\PHQW JRRG LQ LWVHOI LV QRW JRRG WR GR UHOLJLRXVO\f +DZWKRUQH FKRVH WR FRPPHQW RQ WKH EULJKWHU DVSHFWV RI UHOLJLRQ UDWKHU WKDQ WKH GDUNHU RQHV 5HOLJLRQ LV VHHQ DV PRUH WKDQ D ZD\ RI OLIH LW EHFRPHV OLIH LWVHOI 3XULW\ JRRGQHVV KXPLOLW\ DUH FRPPHQGHG DV HDUWKO\ PDQLIHVWDWLRQV RI GLYLQLW\ )RUPDO 5HOLJLRQ +DZWKRUQHfV LUUHOLJLQ FRQVLVWHG LQ KLV QRW DWWHQGLQJ FKXUFK DV D FKLOG KH ZDV UDUHO\ SUHVHQW DW 6XQGD\ VHUYLFHV GXULQJ KLV FRXUWVKLS 6RSKLD FRXOG QRW SUHYDLO XSRQ KLP WR KHDU YLVLWLQJ PLQLVWHUV LQ (QJODQG KH VHQW WKH FKLOGUHQ WR FKXUFK DQG IHOW PXFK EHWWHU WKHUHE\ EXW GLG QRW JR KLPVHOI 7KHUH ZDV QR RQH VHFW ZLWK VXIILFLHQW DQVZHUV IRU +DZWKRUQHfV TXHVWLRQLQJ PLQG +H KDG FDVW RII VRPH YLWDO 3XULWDQ EHOLHIV DV XQWHQDEOH EXW KH IDLOHG WR ILQG FRPIRUW LQ WKH UDWLRQDOLVWLF SURJUDP RI 1HZ (QJODQG 8QLWDULDQLVP 7KH HWHUQDO ZUDQJOLQJ RYHU PLQXWH GRFWULQDO SRLQWV ZKLFK IRUPDO UHOLJLRQV IUHTXHQWO\ HQJDJH LQ ZDV HVSHFLDOO\ UHSXJQDQW +DZWKRUQH GZHOW LQ D VXEMHFWLYH UHOLJLRXV ZRUOG ZKLFK IHOW QR QHHG IRU WKH REMHFWLYH DFW RI FKXUFK JRLQJ

PAGE 84

EXW WKH FKXUFK LV WKH V\PERO RI UHOLJLRQ 0D\ LWV VLWH ZKLFK ZDV FRQVHFUDWHG RQ WKH GD\ ZKHQ WKH ILUVW WUHH ZDV IHOOHG EH NHSW KRO\ IRUHYHU D VSRW RI VROLWXGH DQG SHDFH DPLG WKH WURXEOH DQG YDQLW\ RI RXU ZHHNGD\ ZRUOGf 7LKLOH WKH FKXUFK KDG VOLJKW DSSHDO WR +DZWKRUQH WKH LQGLYLGXDO KH KHDUWLO\ UHFRPPHQGV LW IRU WKH UHVW RI PDQNLQG 7KH &KXUFK KRZHYHU PD\ EH IRXQG LQ WKH LQGLYLGXDO KHDUW ZLWK PRUH FHUWDLQW\ WKDQ LQ WKH YLVLEOH FKXUFK EXLOGLQJ &OHULFDO SHRSOH ZLWK WKHLU GXVWGHVWLQHG YROXPHV IDLOHG WR PDNH D IDYRUDEOH LPSUHVVLRQ ILQG WKDW P\ UHVSHFW IRU FOHULFDO SHRSOH DV VXFK DQG P\ IDLWK LQ WKH XWLOLW\ RI WKHLU RIILFH GHFUHDVHV GDLO\ :H FHUWDLQO\ GR QHHG D QHZ UHYHODWLRQf§D QHZ V\VWHPf§IRU WKHUH VHHPV WR EH QR OLIH LQ WKH ROG RQHf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f 6LPSOLFLW\ LV WKH NH\QRWH RI UHOLJLRQ %RRNV RI UHOLJLRQ PDQ\ RI ZKLFK +DZWKRUQH KDG WKXPEHG VHHPHG WR KLP WR PLVV WKH KHDUW RI WKH PDWWHU %RRNV RI UHOLJLRQ KRZHYHU FDQQRW EH FRQVLGHUHG D IDLU WHVW

PAGE 85

RI WKH HQGXULQJ DQG YLYDFLRXV SURSHUWLHV RI KXPDQ WKRXJKW EHFDXVH VXFK ERRNV VR VHOGRP UHDOO\ WRXFK XSRQ WKHLU RVWHQVLEOH VXEMHFW DQG KDYH WKHUHIRUH VR OLWWOH EXVLQHVV WR EH ZULWWHQ DW DOO 6R ORQJ DV DQ XQOHWWHUHG VRXO FDQ DWWDLQ WR VDYLQJ JUDFH WKHUH ZRXOG VHHP WR EH QR GHDGO\ HUURU LQ KROGLQJ WKHRORJLFDO OLEUDULHV WR EH DFFXPXODWLRQV RI IRU WKH PRVW SDUW VWXSHQGRXV LPSHUWLQHQFHOOf 1RWZLWKVWDQGLQJ DQ HYLGHQW GLVGDLQ RI WKHRORJLFDO WRPHV WKHUH LV HYHU\ LQGLFDWLRQ WKDW +DZWKRUQH KHOG WKH %LEOH WR EH WKH LQVSLUHG ZRUG RI *RG ,Q D OHWWHU WR KLV SXEOLVKHU -DPHV 7 )LHOGV LQ L WKHUH LV D WULEXWH WR WKH VDYLQJ SRZHUV RI WKH 6FULSWXUHV 'LG QRW VXJJHVW WR \RX ODVW VXPPHU WKH SXEOLFDWLRQ RI WKH %LEOH LQ WHQ RU WZHOYH PR YROXPHV" WKLQN LW ZRXOG KDYH JUHDW VXFFHVV DQG DW OHDVW EXW DV D SXEOLVKHU VXSSRVH WKLV LV WKH YHU\ VPDOOHVW RI \RXU FDUHVf LW ZRXOG UHVXOW LQ WKH VDOYDWLRQ RI D JUHDW PDQ\ VRXOV ZKR ZRXOG QHYHU ILQG WKHLU ZD\ WR KHDYHQ LI OHIW WR OHDUQ LW IURP WKH LQFRQYHQLHQW HGLWLRQV RI WKH 6FULSWXUHV QRZ LQ XVHrr %\ +DZWKRUQH KDG LQFUHDVLQJO\ FRPH WR IHHO WKDW 3URWHVWDQWLVP QHHGHG UHMXYHQDWLRQ 3URWHVWDQWLVP QHHGV D QHZ DSRVWOH WR FRQYHUW LW LQWR VRPHWKLQJ SRVLWLYH f ,Q WKH VDPH \HDU KH PDGH KLV ILUVW UHDO DFTXDLQWDQFH ZLWK &DWKROLFLVPA DQG ZDV ERWK DWWUDFWHG DQG UHSHOOHG E\ ZKDW KH IRXQG IOKDW EHWWHU XVH FRXOG EH PDGH RI OLIH DIWHU PLGGOHDJH ZKHQ WKH DFFXPXODWHG VLQV DUH PDQ\ DQG WKH UHPDLQLQJ WHPSWDWLRQV IHZ WKDQ WR VSHQG LW DOO LQ NLVVLQJ WKH EODFN FURVV RI WKH &ROLVHXPOfrOf :KLOH &DWKROLFLVP HVSHFLDOO\ WKH 5RPDQ 3RSHV HYRNHG UDWKHU KDUVK FULWLFLVP DQG VDWLULFDO WKUXVWV IURP +DZWKRUQH KH GLVFRYHUHG WKDW FHUWDLQ SUDFWLFHV RI WKH &DWKROLF IDLWK QRWDEO\ WKH FRQIHVVLRQDO GHHSO\ DSSHDOHG WR KLP A$MDPHV 7 )LHOGV
PAGE 86

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fV DJRQ\ IRU KLV VDNH ZLOO KDYH EHHQ HQGXUHG LQ YDLQO8f &DWKROLFLVP FRQWLQXDOO\ UHPLQGV KHU IROORZHUV RI OLIHfV GHHSHU PHDQLQJV +DZWKRUQH LV PRUH WKDQ VXSHUILFLDOO\ DWWUDFWHG E\ &DWKROLFLVP EXW LW LV H[WUHPHO\ GRXEWIXO WKDW KH ZRXOG KDYH HYHU EHFRPH D FRQYHUW +LV HQHUJ\ IRU DQ\ VRUW RI RXWHU SDUWLFLSDWLRQ LQ UHOLJLRQ ZDV TXLWH IHHEOH 6LQFH WKH PLYHUVH LQ ZKLFK KH IRXQG KLPVHOI ZDV SUHGRPLQDQWO\ PRUDO +DZWKRUQH IHOW PDQfV FKLHI EXVLQHVV DQG XUJHQW SUREOHP WR EH D VXIILFLHQW PRUDOLW\A &DOYLQLVP KDG SURYLGHG DQ LQWHOOHFWXDO EDFNJURXQG VWHHSHG LQ PRUDOLW\ &DOYLQLVP LQ IDFW LV QRW HVVHQWLDOO\ D V\VWHPDWLF ERG\ RI GRFWULQH ,WV HVVHQFH LV UHYHDOHG LQ WKDW ZKLFK &DOYLQ FRQVLVWHQWO\ VWURYH WR HIIHFW DQG DFWXDOO\ VXFFHHGHG LQ HIIHFWLQJ LQ QR VPDOO GHJUHHf§WKH PRUDOLVDWLRQ RI DOO OLIH E\ UHOLJLRQK +DZWKRUQHfV UHOLJLRQ LV QRW IRUPDOO\ &DOYLQLVWLF LQ WKDW LW LV QRW 7ULQLWDULDQ DQG LQ WKDW LW ILQGV QR IDLWK LQ HOHFWLRQ DQG LUUHVLVWLEOH JUDFH OLWHUDO 6DWDQV OLWHUDO +HOOV DQG WKH DQJU\ *RG RI HDUO\ 1HZ (QJODQG DUH QRW WDNHQ VHULRXVO\ +DZWKRUQH GLG A9HPRQ / 3DUULQJWRQ 0DLQ &XUUHQWV LQ $PHULFDQ 7KRXJKW 1HZ
PAGE 87

EHOLHYH LQ WKH VRXO LQ LPPRUWDOLW\ LQ D *RG ZLWK WKH DWWULEXWHV ZKLFK &KULVWLDQ WKHRORJ\ UHLWHUDWHV DQG LQ WKH VDYLQJ SRZHU RI WKH +RO\ :ULW *RRGQHVV LQ WKLV OLIH LV WR EH UHZDUGHG E\ KHDYHQ PDQnV VLQV DUH WR EH SXQLVKHG SRVVLEO\ WKURXJK D SHUVLVWHQWO\ FRQVFLRXV GZHOOLQJ ZLWK WKRVH YHU\ VLQV +HDYHQ LV WR FRPSHQVDWH PDQ IRU DQ LPSHUIHFW HDUWKO\ OLIH +DZWKRUQHnV UHOLJLRXV IDLWK ZDV RI DQ DOPRVW FKLOGOLNH VLPSOLFLW\ WKRXJK LW ZDV DV GHHSO\ URRWHG DV KLV OLIH LWVHOIAr 5HOLJLRQ LV QRW WKDW XUJH ZKLFK EULQJV PDQ WR FKXUFK RQ 6XQGD\ EXW LW LV WKDW LQVWHDG ZKLFK JLYHV PHDQLQJ DQG FRORU WR DOO OLIHnV DFWLRQV ,QNOLQJV RI GRXEW LI WKH\ RFFXUUHG ZHUH TXLFNO\ ORVW LQ WKH FHUWDLQW\ RI D QDLYH EXW DGPLUDEOH IDLWK 6RSKLDnV XQVWLQWLQJ EHOLHI LQ *RG PXVW KDYH JLYHQ DGGHG LPSHWXV WR WKDW LQWXLWLYH IDLWK ZKLFK KHU KXVEDQG SRVVHVVHG +H GHHSO\ DFFHSWHG KLV ZLIHn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nV 3KLORVRSK\ 7KH &HQWXU\ 0DJD]LQH ;;;,, 0D\ f A-XOLDQ +DZWKRUQH 0HPRLUV S

PAGE 88

DQ RSWLPLVWLF RQH 7R *RG RQ WKH RWKHU KDQG IHOW WKURXJK WKH XQOHWWHUHG KHDUW LV DVFULEHG ZDUP DQG SHUVRQDO DOPRVW VXQVKLQ\ DWWULEXWHV -HVXV DIIRUGV D VSHFLDO LQWHUSUHWDWLYH SUREOHP +H HQWHUV +DZWKRUQHnV ZULWLQJV RQO\ LQ EULHI DQG VFDWWHUHG SDVVDJHV 1RZKHUH LV WKH +DZWKRUQH LQWHOOHFW VHULRXVO\ FRQFHQWUDWHG RQ WKH TXHVWLRQ RI KLV GLYLQLW\ +RZHYHU LQ D OHWWHU WR 6RSKLD ZULWWHQ WKH O_WK RI 'HFHPEHU WKH ZRXOGEH KXVEDQG LQ DOOXGLQJ WR WKH IDFW WKDW WKH &XVWRP +RXVH HPSOR\HHV PXVW ZRUN RQ &KULVWPDV GD\ PDNHV ZDUP PHQWLRQ RI -HVXV 7KH KROLHVW RI KRO\GD\Vf§WKH GD\ WKDW EURXJKW UDQVRP WR DOO RWKHU VLQQHUVf§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nV SURFHVVLRQ K/RYH /HWWHUV

PAGE 89

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f§IRU WKH\ DUH LQGHHG D SULPH FRQFHUQf§EXW UDWKHU WKDW WKH\ DUH QRW VSLULWXDO LQ HVVHQFH 5HOLJLRQ ZKLOH LW LV VLPXOWDQHRXVO\ WKH PRVW LPPHGLDWH DQG WKH PRVW XOWLPDWH RI DFWXDOLWLHV DQG ZKLOH LW HQWHUV VRPHKRZ LQWR DOO DFWLRQV DOORZV PDQ IUHH UHLQ WR ZRUN RXW KLV VRFLDO OLYLQJ LQ KLV RZQ OLPLWHG DQG EOXQGHULQJ ZD\ 6RPHKRZ PDQ ZLWK DOO KLV VSLULWXDO VKRUWVLJKWHGQHVV FDXJKW XS LQ PDUEOH DQG PXGf§PDQ ZKR JRHV ZURQJ PRUH RIWHQ WKDQ ULJKWf§VRPHKRZ KH FRQVWUXFWV XSRQ WKH VRFLDO DSSHWLWH D IRUPDOL]HG PRGH RI OLIH ZKLFK UHJXODWHV KLV HDUWKO\ LQWHUFRXUVH DQG ZKLFK KH UHFRJQL]HV DV VRFLHW\ 7KH VRFLDO ZD\ LV WKH QDWXUDO ZD\f§LQ VR IDU DV WKH XUJH WR JURXS LV DV GRPLQDQW DV WKH XUJH WR PDWHf§\HW ZKHQ VHHQ LQ LWV UHILQHG IRUP LQVWLWXWLRQDOL]HG DQG VWDQGDUGL]HG

PAGE 90

VRFLHW\ PD\ EH YLHZHG DV D PRQXPHQW WR PDQf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ff+XPDQ QDWXUH ZLOO QRW IORXULVK DQ\ PRUH WKDQ D SRWDWR LI LW EH SODQWHG DQG UHSODQWHG IRU WRR ORQJ D VHULHV RI JHQHUDWLRQV LQ WKH VDPH ZRUQRXW VRLOff (YHQ WKRXJK WUDGLWLRQ SURSDJDWHV DQG LQFUHDVHV WKH RSSUHVVLYH ZHLJKW RQ PDQfV VKRXOGHU LWV FRQVHUYDWLYH LQIOXHQFH LV D XWLOLWDULDQ RQH 7KLV ORQJ FRQQHFWLRQ RI D IDPLO\ ZLWK RQH VSRW DV LWV SODFH RI ELUWK DQG EXULDO FUHDWHV D NLQGUHG EHWZHHQ WKH KXPDQ EHLQJ DQG WKH ORFDOLW\ TXLWH LQGHSHQGHQW RI DQ\ FKDUP LQ WKH VFHQHU\ RU PRUDO FLUFXPVWDQFHV WKDW VXUURXQG KLP ,W LV QRW ORYH EXW LQVWLQFWff $Q DSSHWLWH IRU WKH ODQG RI WKH NLQG H[SUHVVHG LQ 7HQQ\VRQnV 1RUWKHUQ )DUPHU 2OG 6W\OH SUHVHQWV WKH QREOHU FRXQWHQDQFH RI WUDGLWLRQ 8QIRUWXQDWHO\ DV LV WKH FDVH ZLWK PDQ\ D SXUH GHVLUH HYLO DGKHUHV WR LWV SUDFWLFDO

PAGE 91

HYROXWLRQ 8QGRXEWHGO\ WKH ILYH JHQHUDWLRQV RI 3XULWDQ DQFHVWRUV ZKLFK KDG SUHFHGHG 1DWKDQLHO +DZWKRUQH DV ZHOO DV WKH VSLULW RI 6DOHP LWVHOI ZHUH LQ KLV EORRG +H FRXOG QRW ULG KLPVHOI RI WKLV SURIRXQG LQIOXHQFHA" ,W LV WKLV VRUW RI WUDGLWLRQf§WKH GRXEOHEDUUHOHG LQWHUQDO SUHVVXUH RI KHUHGLW\ DQG HQYLURQPHQWf§f:KLFK FRQIRXQGV +DZWKRUQH 7R HVFDSH IURP WUDGLWLRQ LV WR HVFDSH IURP RQHnV SK\VLFDO VHOI 7KH HYLO RI WKHVH GHSDUWHG \HDUV ZRXOG QDWXUDOO\ KDYH VSUXQJ XS DJDLQ LQ VXFK UDQN ZHHGV V\PEROLF RI WKH WUDQVPLWWHG YLFHV RI VRFLHW\f DV DUH DOZD\V SURQH WR URRW WKHPVHOYHV DERXW KXPDQ GZHOOLQJV Of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f *RRG ZKLFK PD\ WKHRUHWLFDOO\ EH WUDQVPLWWHG WHQGV WR PHOW EHIRUH WKH JODUH RI LWV GDUNHQHG DQWLWKHVLV 9LFH LV UREXVW DQG IUHH URDPLQJ QRW FDJHG DQG VLFNO\ LW LV DQ XQWDPHG HQWLW\ VZHSW IRUZDUG E\ WUDGLWLRQ 1RW WR EH GHILFLHQW LQ WKLV SDUWLFXODU WKH DXWKRU KDV SURYLGHG KLPVHOI ZLWK D PRUDOf§WKH WUXWK QDPHO\ WKDW WKH ZURQJGRLQJ RI RQH JHQHUDWLRQ OLYHV LQWR WKH VXFFHVVLYH RQHV DQG A0DQQLQJ +DZWKRUQH +DZWKRUQHnV (DUO\
PAGE 92

GLYHVWLQJ LWVHOI RI HYHU\ WHPSRUDU\ DGYDQWDJH EHFRPHV D SXUH DQG XQFRQWUROODEOH PLVFKLHI DQG KH ZRXOG IHHO LW D VLQJXODU JUDWLILFDWLRQ LI WKLV URPDQFH PLJKW HIIHFWXDOO\ FRQYLQFH PDQNLQGf§ RU LQGHHG DQ\ RQH PDQf§RI WKH IROO\ RI WXPEOLQJ GRZQ DQ DYDODQFKH RI LOOJRWWHQ JROG RU UHDO HVWDWH RQ WKH KHDGV RI DQ XQIRUWXQDWH SRVWHULW\ WKHUHE\ WR PDLP DQG FUXVK WKHP XQWLO WKH DFFXPXODWHG PDVV VKDOO EH VFDWWHUHG DEURDG LQ LWV RULJLQDO DWRPV"f (DFK JHQHUDWLRQ LI LW LV WR EUHDWKH D SXUH DLU DQG ODERU ZLWK DQ\ GHJUHH RI IUHHGRP PXVW VRPHKRZ ILQG UHOHDVH IURP WKH HYHULQFUHDVLQJ SUHVVXUHV RI LWV SDVW 3URP WKH SRLQW RI SXUH WKHRU\ LQ WKH SXUHO\ DEVWUDFW UHDOP +DZWKRUQH LV VHHQ DV D ZRXOGEH UHIRUPHU RI VRFLHW\ DV D UHDGHU RI 5RXVVHDX +H LV VHHQ DV RQH ZKR ZLVKHV PDQ IUHHG IURP WKH DFFXPXODWHG DUWLILFH RI FLYLOL]DWLRQ $FWXDOO\ KRZHYHU +DZWKRUQHfV SUDFWLFDO UHFRJQLWLRQ RI WKH LQFRUULJLEOH \HW QHFHVVDU\ QDWXUH RI PDQnV SK\VLFDO VRMRXUQ EHOLHV WKH LGHDO 7UDGLWLRQf§ZKLFK VRPHWLPHV EULQJV GRZQ WUXWK WKDW KLVWRU\ KDV OHW VOLS EXW LV RIWHQHU WKH ZLOG EDEEOH RI WKH WLPH VXFK DV ZDV IRUPHUO\ VSRNHQ DW WKH ILUHVLGH DQG QRZ FRQJHDOV LQ WKH QHZVSDSHUVf§ WUDGLWLRQ LV UHVSRQVLEOH IRU DOO FRQWUDU\ DYHUPHQWVf 7UDGLWLRQ LQ ZKDWHYHU PDQQHU LW LV SHUSHWXDWHG VSHDNV ZLWK DQ DEVROXWH YRLFH
PAGE 93

RI SDVW DJHV DQG LQ VR GRLQJ GUDJV EHKLQG KLP OLNH WKH FKDPEHUHG QDXWLOXV DQ RXWJURZQ SDVW 7KH IDFW LV WKH ZRUOG LV DFFXPXODWLQJ WRR PDQ\ PDWHULDOV IRU NQRZOHGJH :H GR QRW UHFRJQL]H IRU UXEELVK ZKDW LV UHDOO\ UXEELVKM DQG XQGHU WKLV KHDG PLJKW EH UHFNRQHG DOPRVW HYHU\WKLQJ RQH VHHV LQ WKH %ULWLVK 0XVHXPM DQG DV HDFK JHQHUDWLRQ OHDYHV LWV IUDJPHQWV DQG SRWVKHUGV EHKLQG LW VXFK ZLOO ILQDOO\ EH WKH GHVSHUDWH FRQFOXVLRQ RI WKH OHDUQHG 7KH SUHVHQW LV EXUWKHQHG WRR PXFK ZLWK WKH SDVW :H KDYH QRW WLPH LQ RXU HDUWKO\ H[LVWHQFH WR DSSUHFLDWH ZKDW LV ZDUP ZLWK OLIH DQG LPPHGLDWHO\ DURXQG XVM \HW ZH KHDS XS DOO WKHVH ROG VKHOOV RXW RI ZKLFK KXPDQ OLIH KDV ORQJ HPHUJHG FDVWLQJ WKHP RII IRUHYHU GR QRW VHH KRZ IXWXUH DJHV DUH WR VWDJJHU RQZDUG XQGHU DOO WKLV GHDG ZHLJKW ZLWK WKH DGGLWLRQV WKDW ZLOO EH FRQWLQXDOO\ PDGH WR LWf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n GZHOOLQJV DQG DUH EXULHG LQ WKHLU JUDQGVLUHVnYHU\ JUDYHV WKH ROG VNXOOV DQG FURVVERQHV EHLQJ WKURZQ RXW WR PDNH URRP IRU WKHP DQG VKRYHOOHG LQ RQ WKH WRSV RI WKHLU FRIILQVOOLf 7KH VSHFWDFOH RI D WUDGLWLRQDO OLIH OHG LQ DQ XQWKLQNLQJ PDQQHU LV D GHSUHVVLQJ RQH IRU LW LV IHOW WKDW WKH SHUVRQ REVHUYHG QHYHU FRPHV DOLYH +DZWKRUQH DGPLWV KLV RZQ QHHG IRU D SK\VLFDO UXW IRU D FDOP

PAGE 94

I! H[WHUQDO URXWLQH WR IUHH KLV PLQG IRU DFWLRQ 7KH REVHUYHG IDLOXUH RI D PLQG ORVW LQ WUDGLWLRQDO ZD\V WR RQFH IOH[ LWV PXVFOHV LV PRVW GHSORUDEOH PHQWDO IL[HGQHVV LV WR EH DYRLGHG DW DOO FRVWV 0DQnV RQO\ UHOHDVH IURP WUDGLWLRQ FRPHV WKURXJK ILUH DQG GHDWK 7KHVH WZR SXULI\LQJ DJHQWV DUH DSSOLHG E\ +DZWKRUQH WR ERWK WKH LQGLYLGXDO DQG WKH JURXS SUREOHP ILOO WRZQV VKRXOG EH PDGH FDSDEOH RI SXULILFDWLRQ E\ ILUH RU RI GHFD\ ZLWKLQ HDFK KDOIFHQWXU\ 2WKHUZLVH WKH\ EHFRPH WKH KHUHGLWDU\ KDXQWV RI YHUPLQ DQG QRLVRPHQHVV EHVLGHV VWDQGLQJ DSDUW IURP WKH SRVVLELOLW\ RI VXFK LPSURYHPHQWV DV DUH FRQVWDQWO\ LQWURGXFHG LQWR WKH UHVW RI PDQnV FRQWULYDQFHV DQG DFFRPPRGDWLRQVf ,W LV FULPLQDO WR IRLVW WKH SUHVHQW RQWR XQERUQ JHQHUDWLRQVf§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nV SHUVRQDOLW\ JLYHV JURXQG WR WHPSRUDU\ HPRWLRQDO RXWEXUVWV RU HYHQ WR SHWW\ JULHYDQFHV 7KHQ WRR +DZWKRUQH LV NQRZQ WR KDYH RFFDVLRQDOO\ VSRNHQ ZLWK WRQJXH LQ FKHHN 7KH VHQWLPHQW H[SUHVVHG EXW WZR \HDUV SULRU WR WKH QRYHOLVWnV

PAGE 95

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f 7KH EXON RI +DZWKRUQHnV FULWLFLVP RI WUDGLWLRQ GHFULHV WKH LPPHQVH EXUGHQ RI D SHUSHWXDWHG HYLO ,W IDLOV WR UHFRJQL]H WKDW JRRG PD\ EH WUDQVPLWWHG WR DQ\ ZRUWKZKLOH GHJUHH LW IDLOV WR JLYH IXOO UHFRJQLWLRQ WR WUDGLWLRQ DV D VWDELOL]LQJ HOHPHQW LQ VRFLHW\ )LQDOO\ ZKHQ WKH DXWKRU FRPHV WR VSHDN RI JRRG LQVWLWXWLRQV LW LV ZLWK WKH YRLFH RI DQ ROG PDQf§RQH PDGH PRUH PDOOHDEOH DQG PRUH FRQVHUYDWLYH E\ D ORQJ DQG VKDUS HQJDJHPHQW ZLWK OLIH 7KH PRUH EDODQFHG YLHZ DUULYHG DW ODWH LQ OLIH VFDUFHO\ UHSUHVHQWV WKH GRPLQDQW +DZWKRUQH QRWLRQ 1DWKDQLHO +DZWKRUQH ZDV ERUQ LQWR D WRZQ RYHUODGHQ ZLWK ROG KRXVHV ROG FXVWRPV ROG OHJHQGV DQG ROG HYLOV +H LQKHULWHG WKH ULFK DQG VKDGRZ\ SDVW RI WKH +DZWKRUQH IDPLO\ 2Q KLV PDWHUQDO VLGH WKH 0DQQLQJV ZHUH HTXDOO\ WUDGLWLRQFRQVFLRXV 0DU\ 0DQQLQJ WKH \RXWKnV DXQW KDG VWHHSHG KLP LQ 1HZ (QJODQG ORUH 7KHQ WRR IURP LQIDQF\ KH ZDV PDGH DZDUH WKDW FHUWDLQ DFFRPSOLVKPHQWV ZHUH H[SHFWHG RI D +DZWKRUQH +H UHEHOOHG DJDLQVW WKRVH H[SHFWDWLRQV LQ WDNLQJ XS WKH SHQ 3HUKDSV WKH FRQVWDQW QDJJLQJ RI JUDQGPRWKHU 0DQQLQJ DQG WKH 0DQQLQJ XQFOHV KDG PXFK WR GR ZLWK WKDW UHEHOOLRQ ,Q DQ\ HYHQW +DZWKRUQH QHYHU TXLWH FDPH WR D EDODQFHG XQGHUVWDQGLQJ RI WUDGLWLRQ +LV UHEHOOLRQ IRU DOO LWV YLQHJDU DQG LPSLVKQHVV LV QRW DQ HQWLUHO\

PAGE 96

LOORJLFDO RQH ZKHQ YLHZHG LQ WKH OLJKW RI WKH \RXWKfV XSEULQJLQJ n 2QH WRR NHHQO\ DWWXQHG WR WKH ZRUOGfV HYLO FRXOG QRW KHOS IHHOLQJ WKDW DQ\ FDUU\RYHU IURP WKH SDVW LV HVVHQWLDOO\ DQ HYLO RQH 7UDGLWLRQ JLYHV ULVH WR VRFLDO DV ZHOO DV SHUVRQDO SUREOHPV ,QWHOOHFWXDOO\ DQG HPRWLRQDOO\ +DZWKRUQH LV UHSHDWHGO\ FDOOHG RQ WR IDFH WUDGLWLRQ +H UHFRJQL]HG LW IRU ZKDW LW DSSHDUHG WR KLP VFUXWLQL]HG LW LQ WKH GDUN OLJKW RI OLIHVfV SUHQDWDO LQIOXHQFHV EXW QHYHU TXLWH NQHZ ZKDW WR PDNH RI LW 6RFLHW\ DW /DUJH ff0DQ LV QDWXUDOO\ D VRFLDEOH EHLQJM QRW IRUPHG IRU KLPVHOI DORQH EXW GHVWLQHG WR EHDU D SDUW LQ WKH JUHDW VFKHPH RI QDWXUH $OO KLV SOHDVXUHV DUH KHLJKWHQHG DQG DOO KLV JULHIV DUH OHVVHQHG E\ SDUWLFLSDWLRQ ,W LV RQO\ LQ 6RFLHW\ WKDW WKH IXOO HQHUJ\ RI WKH PLQG LV DURXVHG DQG DOO LWV SRZHUV GUDZQ IRUWKf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f $IWHU HQGOHVV HQFRXQWHUV ZLWK WKH FUDVV DFWXDOLW\ RI VRFLDO H[LVWHQFH DIWHU QXPHURXV FULHV RI SDLQ +DZWKRUQH LV OHG WKURXJK OLYLQJ DQG WKURXJK REVHUYLQJ WKH OLIH SDWWHUQ RI RWKHUV WR DFFHSW LQ

PAGE 97

KLV ODWHU \HDUV WKH SURSKHWLF VWDWHPHQW RI KLV DGROHVFHQW VHOI 7KRXJK WKH DSSHWLWH IRU VRFLHW\ LV JHQXLQH HQRXJK WKH HGLILFHV HUHFWHG RQ WKDW XUJH DUH VKDOORZ DQG YDLQ $ODV WKDW WKH YDQLW\ RI GUHVV VKRXOG H[WHQG HYHQ WR WKH JUDYHOf rf :LWK DOO GHIHUHQFH WR WKH (QJOLVK SRHWV RI WKH HLJKWHHQWK FHQWXU\ +DZWKRUQH WDNHV XS WKH WKHPH RI PDQnV YDLQJORU\ :KHQ WKH YLVLEOH ZRUNLQJV RI VRFLHW\ DUH VHHQ DSDUW IURP WKH VKLQLQJ WKHRU\ ZKLFK PDQGDWHV WKHP WKH\ ZHDU FRQVSLFXRXVO\ WKH VWDPS RI PDQnV LPSHUIHFWLELOLW\ $PLG WKH VHHPLQJ FRQIXVLRQ RI RXU P\VWHULRXV ZRUOG LQGLYLGXDOV DUH VR QLFHO\ DGMXVWHG WR D V\VWHP DQG V\VWHPV WR RQH DQRWKHU DQG WR D ZKROH WKDW E\ VWHSSLQJ DVLGH IRU D PRPHQW D PDQ H[SRVHV KLPVHOI WR WKH IHDUIXO ULVN RI ORVLQJ KLV SODFH IRUHYHUf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fV VKRUW DQG VKDOORZ YLHZ %\ WKH VKHHU IRUFH RI LWV URXWLQH WKH VRFLDO ZD\ SURYLGHV D QHHGHG IRUWUHVV IRU WKH LQGLYLGXDO
PAGE 98

$ UHYROXWLRQ RU DQ\WKLQJ WKDW LQWHUUXSWV VRFLDO RUGHU PD\ DIIRUG RSSRUWXQLWLHV IRU WKH LQGLYLGXDO GLVSOD\ RI HPLQHQW YLUWXHV EXW LWV HIIHFWV DUH SHUQLFLRXV WR JHQHUDO PRUDOLW\ 0RVW SHRSOH DUH VR FRQVWLWXWHG WKDW WKH\ FDQ EH YLUWXRXV RQO\ LQ D FHUWDLQ URXWLQH DQG DQ LUUHJXODU FRXUVH RI SXEOLF DIIDLUV GHPRUDOL]HV WKHPf 6RFLHW\ GRHV UHQGHU VXUIDFH VDWLVIDFWLRQ LQ SURYLGLQJ D QHFHVVDU\ VWDELOL]DWLRQ IRU ,W LV RQH JUHDW DGYDQWDJH RI D JUHJDULRXV PRGH RI OLIH WKDW HDFK SHUVRQ UHFWLILHV KLV PLQG E\ RWKHU PLQGV DQG VTXDUHV KLV FRQGXFW WR WKDW RI KLV QHLJKERUV VR DV VHOGRP WR EH ORVW LQ HFFHQWULFLW\f ,W LV WKURXJK VRFLDO LQWHUSOD\ WKDW EDODQFH DQG SHUVSHFWLYH DUH DWWDLQHG DQG WKDW DQ DGMXVWPHQW WR JURXS OLYLQJ LV VHFXUHG 6RFLDO OLIHfV HQWLUH VWUXFWXUH KRZHYHU RUGHUHG RQ LWV FUXVW VWDQGV RXW WR WKH +DZWKRUQLDQ H\H DV OLWWOH PRUH WKDQ DQ LQJHQXRXV SHUVRQLILFDWLRQ RI PDQnV GHSUDYLW\ :H ZKR DUH ERUQ LQWR WKH ZRUOGfV DUWLILFLDO V\VWHP FDQ QHYHU DGHTXDWHO\ NQRZ KRZ OLWWOH LQ RXU SUHVHQW VWDWH DQG FLUFXPVWDQFHV LV QDWXUDO DQG KRZ PXFK LV PHUHO\ WKH LQWHUSRODWLRQ RI WKH SHUYHUWHG PLQG DQG KHDUW RI PDQf -XOLDQ +DZWKRUQH DOWKRXJK QRUPDOO\ EOLQG WR WKH LQQHU ZRUNLQJV RI KLV IDWKHUnV PLQG ZDV DVWXWH HQRXJK WR UHFRJQL]H WKDW $QRWKHU RI +DZWKRUQHnV VWURQJHVW SHUFHSWLRQV ZDV RI WKH DUWLILFLDOLW\ RI RXU SUHVHQW FLYLOL]DWLRQ DQG RI WKH VXSHUIOXLWLHV DQG DEVXUGLWLHV WR ZKLFK FXVWRP KDV LQVHQVLEO\ EOLQGHG XVAp $V D QRYHOLVW +DZWKRUQH ZDV XQLTXHO\ TXDOLILHG WR ZULWH RQ WKH QHFHVVDU\ DGMXVWPHQW RI WKH LQGLYLGXDO WR VRFLHW\ IRU KDYLQJ UHPDLQHG RQ WKH RXWHU ULP RI VRFLDO DFWLYLW\ IRU -XOLDQ +DZWKRUQH +DZWKRUQHfV 3KLORVRSK\ &HQWXU\ ;;;,,

PAGE 99

WZHOYH \HDUV KH VDZ WKH SUREOHP RI SDUWLFLSDWLRQ ZLWK DQ H[FHVVLYHO\ VKDUS IRFXV 7KH DGYDQFH RI PDQ IURP D VDYDJH DQG DQLPDO VWDWH PD\ EH DV ZHOO PHDVXUHG E\ KLV PRGH DQG PRUDOLW\ RI GLQLQJ DV E\ DQ\ RWKHU FLUFXPVWDQFH f 6RFLHW\n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f 7KH $PHULFDQ VRFLDO WHQGHQF\ WRZDUG DQ DULVWRFUDF\ RI ZHDOWK LV ODPHQWHG DV WKH SHFXOLDU VKRUWFRPLQJ RI D SHRSOH NH\HG WR PDWHULDOLVWLF YDOXHVf $OWKRXJK +DZWKRUQH FHQVXUHV ZKDW VHHPV WR KLP DQ DUWLILFLDO PRGH RI VRFLDO FRQGXFW KH KDVWHQV WR DFFHSW DV YDOLG WKH DSSHWLWH XSRQ ZKLFK WKDW PRGH KDV DULVHQ +H VSHDNV RI D JUHDW FKDLQ RI EHORQJLQJ 0DQNLQGnV JUHJDULRXV LQFOLQDWLRQV OHDG KLP WR ORRN DVNDQFH RQ WKRVH ZKR DWWHPSW WR VWDQG DSDUW %XW WKH V\PSDWK\ RU PDJQHWLVP DPRQJ KXPDQ EHLQJV LV PRUH VXEWLOH DQG XQLYHUVDO WKDQ ZH WKLQN LW H[LVWV LQGHHG

PAGE 100

DPRQJ GLIIHUHQW FODVVHV RI RUJDQL]HG OLIH DQG YLEUDWHV IURP RQH WR DQRWKHUff ,I KXPDQLW\ ZRXOG EXW DOORZ LWV EURWKHUKRRG WR DVVHUW LWVHOI LQ D QDWXUDO ZD\ WKHQ DOO WKLQJV ZRXOG EH SRVVLEOH %XW WKHUH LV D VWLOO PRUH SRZHUIXO IRUFH LQ PDQ \HW WR EH UHFNRQHG ZLWKf§RQH ZKLFK QHYHU FKDQJHV RQH ZKLFK PDNHV LPSRVVLEOH D JHQXLQH VRFLDO XQLRQ 1REOH WKHRULHV IDOO VKRUW RI WKHLU PDUN ZKHQ DFWXDWHG E\ D VHOILVK DQG HYLO KXPDQLW\ 1RQHWKHOHVV LQ VSLWH RI WKH FRUUXSW SUDFWLFH WKURXJK ZKLFK LW EHFRPHV PDQLIHVW WKH JUHJDULRXV LQFOLQDWLRQ H[LVWV LQ D SXUH IRUP 7KLV WKHQ LV WKH QDWXUH RI WKDW LQVWLWXWLRQ JRYHUQLQJ PDQnV FRQGXFW WKDW LW EHDWV GRZQ XSRQ KLP ZHDULHV KLP \HW GHPDQGV KLV SDUWLFLSDWLRQ 0DQ PXVW DVVXPH KLV IXQFWLRQ LQ D VRFLHW\ SURSDJDWHG E\ WUDGLWLRQ DQG JURXQGHG LQ VXSHUILFLDOLW\ +H PXVW UHPDLQ D KHOSOHVV ZLWQHVV WR WKH ZRUOGnV YDQLW\ )RU KDV QRW WKH ZRUOG FRPH WR DQ DZIXOO\ VRSKLVWLFDWHG SDVV ZKHQ DIWHU D FHUWDLQ GHJUHH RI DFTXDLQWDQFH ZLWK LW ZH FDQQRW HYHQ SXW RXUVHOYHV WR GHDWK LQ ZKROHKHDUWHG VLPSOLFLW\" f 0DQ PXVW FRPH WR UHDOL]H WKDW VRFLHW\ KDV SURJUHVVHG DZD\ IURP QDWLYH MR\ DQG VLPSOLFLW\ DQG LQWR D UHDOP RI XQZKROHVRPH DUWLILFH 1RW WKDW WKH PRGHV DQG VHHPLQJ SRVVLELOLWLHV RI KXPDQ HQMR\PHQW DUH UDUHU LQ RXU UHILQHG DQG VRIWHQHG HUDRQ WKH FRQWUDU\ WKH\ QHYHU EHIRUH YLHUH QHDUO\ VR DEXQGDQWf§EXW WKDW PDQNLQG DUH JHWWLQJ VR IDU EH\RQG WKH FKLOGKRRG RI WKHLU UDFH WKDW WKH\ VFRUQ WR EH KDSS\ DQ\ ORQJHU $ VLPSOH DQG MR\RXV FKDUDFWHU FDQ ILQG QR SODFH IRU LWVHOI DPRQJ WKH VDJH DQG VRPEUH ILJXUHV WKDW ZRXOG SXW KLV XQVRSKLVWLFDWHG FKHHUIXOQHVV WR VKDPH 7KH HQWLUH V\VWHP RI PDQnV DIIDLUV DV DW SUHVHQW HVWDEOLVKHG LV EXLOW XS SXUSRVHO\ WR H[FOXGH WKH FDUHOHVV DQG KDSS\ VRXO 7KH YHU\ FKLOGUHQ ZRXOG XSEUDLG WKH ZUHWFKHG LQGLYLGXDO ZKR VKRXOG HQGHDYRU WR WDNH OLIH DQG WKH ZRUOG DVf§ZKDW ZH PLJKW QDWXUDOO\ VXSSRVH WKHP PHDQW IRUf§ D SODFH DQG RSSRUWXQLW\ IRU HQMR\PHQWf

PAGE 101

+XPDQLW\ LV VHOGRP YHU\ FOHYHU DW VDWLVI\LQJ WKH SRVVLELOLWLHV RI LWV ILQLWH UDQJH VRPHWLPHV DSSUHKHQG WKDW RXU LQVWLWXWLRQV PD\ SHULVK EHIRUH ZH VKDOO KDYH GLVFRYHUHG WKH PRVW SUHFLRXV RI WKH SRVVLELOLWLHV ZKLFK WKH\ LQYROYHf 6WLOO PDQ PXVW ZRUN GLOLJHQWO\ WR SHUIHFW WKLV ZRUOG KH PXVW UHLQIRUFH ZKHQHYHU DQG KRZHYHU SRVVLEOH WKH QHFHVVDU\ VWDEOH VWUXFWXUH RI VRFLHW\ ,Q WLPHV RI UHYROXWLRQ DQG SXEOLF GLVWXUEDQFH DOO DEVXUGLWLHV DUH PRUH XQUHVWUDLQHG WKH PHDVXUH RI FDOP VHQVH WKH KDELWV WKH RUGHUO\ GHFHQF\ DUH SDUWLDOO\ ORVW 0RUH SHRSOH EHFRPH LQVDQH VKRXOG VXSSRVH RIIHQFHV DJDLQVW SXEOLF PRUDOLW\ IHPDOH OLFHQVH DUH PRUH QXPHURXV VXLFLGHV PXUGHUV DOO XQJRYHUQDEOH RXWEUHDNV RI PHQnV WKRXJKWV HPERG\LQJ WKHPVHOYHV LQ ZLOG DFWV WDNH SODFH PRUH IUHTXHQWO\ DQG ZLWK OHVV KRUURU WR WKH ORRNHUVRQf 6RFLDO RUJDQL]DWLRQ WKDW UHJXODWRU\ IRUFH ZKLFK JLYHV FRPIRUW WR WKH LQGLYLGXDO LQ VSLWH RI LWV XQQDWXUDOQHVV LV IDU SUHIHUDEOH WR FKDRVf§ WR WKH ZLOGQHVV RI D SULPLWLYH VWDWH RU WR WKH LFLQHVV RI D VROLWDU\ RQH ,W LV QRW WKDW SULPLWLYH PDQ LV PRUDOO\ LQIHULRU WR KLV FXOWLYDWHG EURWKHU EXW WKDW KH LV QRW DV ZHOO RULHQWHG WR WKH RXWHU SURFHVVLRQ RI OLIH )LQDOO\ +DZWKRUQH VSHDNV ZLWK D PRGHUQ YRLFH LQ UHFRJQL]LQJ WKDW HQYLURQPHQW KHOSV GHWHUPLQH WKH ILQLVKHG VRFLDO SURGXFW 6SDFH D IUHH DWPRVSKHUH DQG FOHDQOLQHVV KDYH D YDVW GHDO WR GR ZLWK WKH SRVVLELOLWLHV RI KXPDQ YLUWXHOf 0DQ FDQQRW EH KHOG WRWDOO\ UHVSRQVLEOH IRU D IUHH VKDSLQJ RI KLV RZQ OLIH IRU WUDGLWLRQ DQG HQYLURQPHQW OLPLW KXPDQ SRWHQWLDOLWLHV +HUHGLW\ DORQH GRHV QRW VXIILFLHQWO\ DFFRXQW IRU WKH GHYHORSPHQW RI WKH LQGLYLGXDO $ PXGG\ HQYLURQPHQW UDUHO\ SURGXFHV ZKLWH PDUEOH ILJXULQHV +DZWKRUQH LV LQWHUHVWHG LQ WKH SKHQRPHQRQ RI VRFLHW\ DV WKH VXSHUILFLDO DFWXDOLW\ RI D ELQGLQJ KXPDQ SURSHQVLW\ KH LV LQWHUHVWHG

PAGE 102

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f,W LV RQO\ IDLU WR VD\ KRZHYHU WKDW KLV SROLWLFDO DFWLYLW\ ZDV PRWLYDWHG E\ ILQDQFLDO QHFHVVLW\A +DG +DZWKRUQH DFKLHYHG WKH HDUO\ UHFRJQLWLRQ PHULWHG E\ KLV VKRUW VWRULHV DQG KDG ZULWLQJ EHHQ VXIILFLHQWO\ OXFUDWLYH IRU D IDPLO\ PDQ KH ZRXOG SUREDEO\ KDYH KHVLWDWHG EHIRUH DFFHSWLQJ D SROLWLFDO DSSRLQWPHQW +H ZDV IRUFHG LQ HDUQLQJ D OLYHOLKRRG WR HQWHU WKH XQORYHO\ PDWHULDOLVWLF UHDOP RI SUDFWLFDO SROLWLFV GR GHWHVW DOO RIILFHVf§DOO DW OHDVW WKDW DUH KHOG RQ D SROLWLFDO WHQXUH $QG A5DQGDOO 6WHZDUW f+DZWKRUQH DQG 3ROLWLFV 8QSXEOLVKHG /HWWHUV WR :LOOLDP % 3LNH 1HZ (QJODQG 4XDUWHUO\ $SULO f }

PAGE 103

N ZDQW QRWKLQJ WR GR ZLWK SROLWLFLDQVf§WKH\ DUH QRW PHQ WKH\ FHDVH WR EH PHQ LQ EHFRPLQJ SROLWLFLDQVf +DZWKRUQH WRRN OLWWOH SULGH LQ KLV SROLWLFDO GXWLHV +RZ XQOLNH DODV WKH KDQJGRJ ORRN RI D UHSXEOLFDQ RIILFLDO ZKR DV WKH VHUYDQW RI WKH SHRSOH IHHOV KLPVHOI OHVV WKDQ WKH OHDVW DQG EHORZ WKH ORZHVW RI KLV PDVWHUVf $Q HIIHFWf§ZKLFK EHOLHYH WR EH REVHUYDEOH PRUH RU OHVV LQ HYHU\ LQGLYLGXDO ZKR KDV RFFXSLHG WKH SRVLWLRQf§LV WKDW ZKLOH KH OHDQV RQ WKH PLJKW\ DUP RI WKH 5HSXEOLF KLV RZQ SURSHU VWUHQJWK GHSDUWV IURP KLP +H ORVHV LQ DQ H[WHQW SURSRUWLRQHG WR WKH ZHDNQHVV RU IRUFH RI KLV RULJLQDO QDWXUH WKH FDSDELOLW\ RI VHOIVXSSRUW ,I KH SRVVHVV DQ XQXVXDO VKDUH RI QDWLYH HQHUJ\ RU WKH HQHUYDWLQJ PDJLF RI SODFH GR QRW RSHUDWH WRR ORQJ XSRQ KLP KLV IRUIHLWHG SRZHUV PD\ EH UHGHHPDEOH ,f ,Q FRQWUDVW WR :KLJ SROLF\ +DZWKRUQH DV D GHPRFUDW RI KLV WLPHV DGYRFDWHV WKH -HIIHUVRQLDQ LGHDO RI WKH OHDVW SRVVLEOH JRYHUQPHQW %RWK DV D GHPRFUDW DQG DV D SURYLQFLDO 1HZ (QJODQGHU KH SUHIHUUHG ORFDO DQG VWDWH VRYHUHLJQW\ WR D FHQWUDOL]DWLRQ RI QDWLRQDO SRZHUV 3ROLWLFDO VDODULHV DUH VHHQ WR EH VRPHZKDW WDLQWHG DQG IXOO\ FDSDEOH RI VWLIOLQJ LQLWLDWLYH 8QFOH 6DPfV JROGf§PHDQLQJ QR GLVUHVSHFW WR WKH ZRUWK\ ROG JHQWOHPDQf§KDV LQ WKLV UHVSHFW D TXDOLW\ RI HQFKDQWPHQW OLNH WKDW RI WKH 'HYLOfV ZDJHV :KRHYHU WRXFKHV LW VKRXOG ORRN ZHOO WR KLPVHOI RU KH PD\ ILQG WKH EDUJDLQ WR JR KDUG DJDLQVW KLP LQYROYLQJ LI QRW KLV VRXO \HW PDQ\ RI LWV EHWWHU DWWULEXWHV LWV VWXUG\ IRUFH LWV FRXUDJH DQG FRQVWDQF\ LWV WUXWK DQG VHOIUHOLDQFH DQG DOO WKDW JLYHV WKH HPSKDVLV WR PDQO\ FKDUDFWHUf :KLOH WKH WKHRU\ RI GHPRFUDF\ LV WKH EHVW RQH XQGHU ZKLFK D SHRSOH PD\ JRYHUQ WKHPVHOYHV GHPRFUDF\ LQ SUDFWLFH DERXQGV ZLWK VPRNHILOOHG URRPV 7KH SRSXODU YRLFH DW WKH QH[W JXEHUQDWRULDO HOHFWLRQ WKRXJK ORXG DV WKXQGHU ZLOO EH UHDOO\ EXW DQ HFKR RI ZKDW WKHVH JHQWOHPHQ VKDOO VSHDN XQGHU WKHLU EUHDWK DW \RXU IULHQGnV IHVWLYH ERDUGf

PAGE 104

-RQDWKDQ &KLOOH\ ZDV WKH ILUVW IULHQG WR SXVK +DZWKRUQH LQWR WKH SROLWLFDO DUHQD $IWHU )UDQNOLQ 3LHUFHnV HOHFWLRQ DV 3UHVLGHQW LQ WKH SROLWLFDO IXWXUH RI WKH QRYHOLVW ZDV DVVXUHG $OWKRXJK +DZWKRUQH VHUYHG FRPSHWHQWO\ DV D FRQVXO DW /LYHUSRRO KH UHDOL]HG WKDW WKH $PHULFDQ SROLWLFDO VRFLHW\ ZDV QRW HVSHFLDOO\ ZLVH LQ VHOHFWLQJ LWV UHSUHVHQWDWLYHV $Q DSSRLQWPHQW RI ZKDWHYHU JUDGH LQ WKH GLSORPDWLF RU FRQVXODU VHUYLFH RI $PHULFD LV WRR RIWHQ ZKDW WKH (QJOLVK FDOO D MRE WKDW LV WR VD\ LW LV PDGH RQ SULYDWH DQG SHUVRQDO JURXQGV ZLWKRXW D SDUDPRXQW H\H WR WKH SXEOLF JRRG RU WKH JHQWOHPDQfV HVSHFLDO ILWQHVV IRU WKH SRVLWLRQf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
PAGE 105

&+$37(5 9, :20(1 ,Q WKH YDULHW\ RI KHU WRWDO UROH DV LGRO ZLIH KRPHPDNHU DQG PRWKHU ZRPDQ VWDQGV RXW DV DQ LQVWLWXWLRQDO IRUFH LQ WKH +DZWKRPLDQ ZRUOG RI LGHDV 6KH LV VLJQLILFDQWO\ IXQFWLRQDO RQ ERWK D SK\VLFDO DQG D VSLULWXDO OHYHO UDWKHU WKDQ PHUHO\ RUQDPHQWDO 7KHUH FDQEHQR GRXEW WKDW +DZWKRUQH LGHDOL]HG ZRPDQf§WKDW KH KHOG KHU WR EH LQILQLWHO\ PRUH HWKHUHDO WKDQ KHU PDOH FRXQWHUSDUWf§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f§DQG LW LV DGPLWWHGO\ DOO RI WKHVHf§LW IXUQLVKHV DW WKH VDPH WLPH WKURXJK LWV IL[LQJ RI ZRPDQfV SODFH LQ WKH RYHUDOO VFKHPH RI EHLQJ D ZKROHVRPH DUUD\ RI LGHDV 7KH +DZWKRUQLDQ FRQFHSWLRQ RI ZRPDQKRRGKRZHYHU PXFK LW PLJKW GLVFRQFHUW WKH PRGHUQ ZRPDQ KDV LWV URRWV LQ DQ Lt)RU WKH EHVW GLVFXVVLRQ RI WKH W\SHV RI ZRPDQKRRG ZKLFK +DZWKRUQH SRUWUD\V LQ KLV ILFWLRQ VHH 5DQGDOO 6WHZDUWfV LQWURGXFWLRQ WR KLV HGLWLRQ RI 7KH $PHULFDQ 1RWHERRNV SS OYO[L

PAGE 106

LPDJLQDWLYH PRUDOLW\ UDWKHU WKDQ LQ SUHMXGLFH ,W LV QRW RXW RI KDWUHG WKDW WKH YLVLEOH IXQFWLRQ RI ZRPDQ LV WR EH OLPLWHG EXW RXW RI UHVSHFW ,Q WUXWK ZKHQ ORRNLQJ EHQHDWK WKH VXUIDFH RQH VHHV WKH JUHDWHU IXQFWLRQ RI ZRPDQKRRG RSHUDWLQJ LQ DQ DOPRVW ERXQGOHVV VSKHUH 7KHUH LV D WHPSWDWLRQ WR GLVPLVV QXPHURXV +DZWKRUQH VWDWHPHQWV UHYHDOLQJ D GLVWDVWH IRU FHUWDLQ W\SHV RI IHPLQLQLW\f§ROG ZRPHQ IDW ZRPHQ XJO\ ZRPHQ DQG DERYH DOO SXEOLF ZRPHQf§DV D PDWWHU RI SHUVRQDO WDVWH $ IDU ZLVHU YLHZ ZRXOG FRQVLGHU KLV LOOQDWXUHG UHPDUNV DV W\SLFDO UHVSRQVHV ERUQ RI D UHYHUHQFH IRU ZKDW ZDV IHOW WR EH WKH WUXH IXQFWLRQ RI ZRPDQKRRG :KHQ D +DZWKRUQLDQ SUHFHSW LV YLRODWHG WKH QRYHOLVW LV QRW ORQJ VLOHQW 7KH )XQFWLRQ RI :RPHQ :KLOH WKHUH LV FRPSDUDWLYHO\ OLWWOH LQTXLU\ LQWR ZRPDQnV ELRORJLFDO PHQWDO DQG HPRWLRQDO PDNHXS WKHUH LV DQ LQWHQVH LQWHUHVW LQ WKH RYHUDOO IXQFWLRQ RI WKH VH[ :RPDQnV LQWHOOHFW VKRXOG QHYHU JLYH WKH WRQH WR WKDW RI PDQ DQG HYHQ KHU PRUDOLW\ LV QRW H[DFWO\ WKH PDWHULDO IRU PDVFXOLQH YLUWXHf 7KH GLYLGLQJ OLQH EHWZHHQ PDOH DQG IHPDOH QDWXUH LV D KDUG DQG IDVW RQH :RPDQ DSSURDFKHV WKDW ZKLFK LV HWKHUHDOM PDQ LI OHIW WR KLPVHOI WKDW ZKLFK LV EHVWLDO ,W LV EHFDXVH ZRPDQ LV VR GLVVLPLODU WR PDQ QRW EHFDXVH VKH UHVHPEOHV KLP WKDW WKH WZR LQ XQLRQ KDQGVRPHO\ FRPSOHPHQW HDFK RWKHU :RPDQnV WDVNV DUH QRW PDQnV WDVNV KHU ZD\V DUH QRW KLV ZD\V KHU IXQFWLRQV DUH QRW KLV IXQFWLRQV 7KH PDOH WUHDGV FOXPVLO\ LQ PXG LV IRUFHG LQWR VRFLDO HFRQRPLFDO DQG SROLWLFDO WKRURXJKIDUHV WKH IHPDOH D GRPHVWLF FUHDWXUH LV FRPSDUDWLYHO\ VKHOWHUHG IURP WKH KDUVK DFWXDOLWLHV RI D

PAGE 107

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f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f§SXULI\LQJ KLV DLPV DQG GHVLUHV HQDEOLQJ KLP WR UHDOL]H WKDW WKLV LVD WUXHU ZRUOG WKDQ WKH IHYHULVK RQH DURXQG XV DQG WHDFKLQJKLP KRZ WR JDLQ GDLO\ HQWUDQFH LQWR WKDW EHWWHU ZRUOG AOORYH /HWWHUV

PAGE 108

7KH DQJHO DQG DSRVWOH RI WKH FRLQLQJ UHYHODWLRQ PXVW EH D ZRPDQ LQGHHG EXW ORIW\ SXUH DQG EHDXWLIXO DQG ZLVH PRUHRYHU QRW WKURXJK GXVN\ JULHI EXW WKH HWKHUHDO PHGLXP RI MR\ DQG VKRZLQJ KRZ VDFUHG ORYH VKRXOG PDNH XV KDSS\ E\ WKH WUXHVW WHVW RI D OLIH VXFFHVVIXO WR VXFK DQ HQG,f4f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f§WKHQ DV QRZ DOPRVW WKH RQO\ RQH ZLWKLQ D ZRPDQfV JUDVSf§RI QHHGOHZRUNOf $V D ZRPDQ PRYHV DZD\ IURP KHU DVVLJQHG UHDOP VKH EHFRPHV FRUUHVSRQGLQJO\ OHVV IHPLQLQH DQG LQILQLWHO\ OHVV DWWUDFWLYH WR +DZWKRUQH :RPHQ GHULYH D SOHDVXUH LQFRPSUHKHQVLEOH WR WKH RWKHU VH[ IURP WKH GHOLFDWH WRLO RI WKH QHHGOHf 1HHGOHZRUN LV D ZRPDQfV VSKHUH LW SURYLGHV KHU ZLWK VXIILFLHQW DUWLVWLF RXWOHW ,W LV LQFRQFHLYDEOH WKDW D ZRPDQ FRXOG GHVLUH RU QHHG DQ\WKLQJ PRUHf§WKDW VKH FRXOG EH DQ\WKLQJ OHVV WKDQ GHOLJKWHG ZLWK KHU KRPHPDNLQJ FKRUHV ,Q DGGLWLRQ WR KHU QDWLYH WDOHQW IRU VHZLQJ ZRPDQ LV HQGRZHG ZLWK WKH DELOLW\ WR UDLVH DQG FDUH IRU IORZHUV 7KLV DIIHFWLRQ DQG V\PSDWK\ IRU IORZHUV LV DOPRVW H[FOXVLYHO\ D ZRPDQnV WUDLW 0HQ LI

PAGE 109

HQGRZHG ZLWK LW E\ QDWXUH VRRQ ORVH IRUJHW DQG OHDUQ WR GHVSLVH LW LQ WKHLU FRQWDFW ZLWK FRDUVHU WKLQJV WKDQ IORZHUVff :RPDQ LV WKXV WLJKWO\ OLPLWHG LQ KHU VSKHUH RI PRUWDO DFWLYLW\f§QRW IURP D VHOILVK GHVLUH WR SURWHFW WKH PDOH SUHURJDWLYH E\ VWLIOLQJ ZRPDQnV RXWOHWV EXW LQ D YDOLDQW HIIRUW WR SURKLELW KHU FRQWDFW ZLWK WKH FUDVV JUD\ ZRUOGO\ SURFHVVLRQ 7KURXJK SURWHFWLRQ DQG QRQSDUWLFLSDWLRQ D ZRPDQ FRQWLQXHV WR IXQFWLRQ LQ D SXUH DQG VLPSOH UHDOP 0DQ IRUFHG RXW RI WKH KRPH DQG LQWR D IXOO SDUWLFLSDWLRQ ZLWK DOO WKDW LV LJQREOH LQYDULDEO\ JURZV FDOORXV E\ FRQWUDVW
PAGE 110

:RPDQfV SODFH LV SHUHQQLDOO\ DW KRPH ,Q UHWXUQ IRU WKDW VZHHW FRPSOHWHQHVV ZKLFK VKH SURYLGHV ZRPDQ LV PDQfV UHVSRQVLELOLW\ ,I VKH ZRXOG EXW ZKROHKHDUWHGO\ WUXVW KHUVHOI WR PDVFXOLQH SURWHFWLYHQHVV WKHQ PLJKW KHU QDWXUH UHDFK LWV IXOOHVW SRWHQWLDO ,Q QLQHW\QLQH FDVHV RXW RI D KXQGUHG WKH DSSUHKHQVLYHQHVV RI ZRPHQ LV TXLWH JUDWXLWRXV (YHQ DV PDWWHUV QRZ VWDQG WKH\ DUH UHDOO\ VDIHU LQ SHULORXV VLWXDWLRQV DQG HPHUJHQFLHV WKDQ PHQM DQG PLJKW EH VWLOO PRUH VR LI WKH\ WUXVWHG WKHPVHOYHV PRUH FRQILGLQJO\ WR WKH FKLYDOU\ RI PDQKRRGf :KLOH WKH IHPLQLQH IXQFWLRQ LV LQ VRPH ZD\V D OLPLWHG RQHf§ HVSHFLDOO\ LQ WKDW QHHGOHZRUN DQG IORZHUV DUH FRQVLGHUHG VXIILFLHQW RXWOHWV IRU DUWLVWLF HQHUJLHVf§VWLOO LQ LWV SULPDU\ GXW\ DV D FRPSOHPHQW WR PDVFXOLQH QDWXUH ZRPDQfV UROH LQ WKH WRWDO GUDPD ORRPV HTXDOO\ DV YLWDO DV PDQfV :RPDQ VLQFH VKH LV SUHGRPLQDWLQJO\ KHDUW DQG KHQFH PRUH VSLULWXDO VKLQHV IRUWK DV D SXULI\LQJ DJHQW IRU DOO WKDW LV FRUUXSW %\ YLUWXH RI KHU WUDGLWLRQDOO\ VKHOWHUHG ZD\ ZRPDQ UHWDLQV PRUH RU OHVV LQWDFW WKDW ZKLFK LV FKLOGOLNH DQG GLYLQH
PAGE 111

)URP FKLOGKRRG WR GHDWK +DZWKRUQH KDUERUHG DQ DOPRVW DEQRUPDO GHWHVWDWLRQ IRU WKDW ZKLFK ZDV XJO\ fn%XW VOLJKW WKH FKDQJH VZHHW PDLGV WR PDNH DQJHOV RI \RXUVHOYHVOff %HDXW\ LV ZLWKRXW FDVWH IRU LW PD\ IORXULVK LQ D FKDPEHU PDLG DV ZHOO DV D SULQFHVV :KHUHYHU LW FKDQFHV WR DSSHDU WKH +DZWKRUQH H\H KDVWHQV WR WDNH QRWH RI LW f7KHUH LV KDUGO\ DQRWKHU VLJKW LQ WKH ZRUOG VR SUHWW\ DV WKDW RI D FRPSDQ\ RI \RXQJ JLUOV DOPRVW ZRPHQ JURZQ DW SOD\ DQG VR JLYLQJ WKHPVHOYHV XS WR WKHLU DLU\ LPSXOVH WKDW WKHLU WLSWRHV EDUHO\ WRXFK WKH JURXQGf %HDXWLIXO PDLGHQV DUH RWKHU HDUWKO\ WKH\ IUROLF OLJKWO\ RQ WKH HDUWKn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
PAGE 112

SOD\ DFFRUGLQJ WR UHFRJQL]HG ODZ ROG WUDGLWLRQDU\ JDPHV SHUPLWWLQJ QR FDSULROHV RI IDQF\ EXW ZLWK VFRSH HQRXJK IRU WKH RXWEUHDN RI VDYDJH LQVWLQFWV )RU \RXQJ RU ROG LQ SOD\ RU LQ HDUQHVW PDQ LV SURQH WR EH D EUXWHf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f $ PRWKHU LV HYHQ FORVHU WR KHDYHQ WKDQ D EHDXWLIXO \RXQJ JLUOf§VKH LV LQ IDFW D YLVLEOH HPERGLPHQW RI WKH PRWKHUO\ LQVWLQFW LQ QDWXUH DQG RI WKH FDUHWDNHU LQVWLQFW LQ *RG KLPVHOI 7KH &UHDWRU DSSDUHQWO\ KDV VHW D OLWWOH RI KLV RZQ LQILQLWH ZLVGRP DQG ORYH ZKLFK DUH RQHf LQ D PRWKHUrV KHDUW VR WKDW QR FKLOG LQ WKH FRPPRQ FRXUVH RI WKLQJV VKRXOG JURZ XS ZLWKRXW VRPH KHDYHQO\ LQVWUXFWLRQf (OL]DEHWK 0DQQLQJ +DZWKRUQH 1DWKDQLHOrV PRWKHU KDV EHHQ GUDPDWLFDOO\ SUHVHQWHG LQ ELRJUDSKLFDO VWXGLHV DV D TXHHU UHFOXVH

PAGE 113

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fV DIIHFWLRQ IRU \RXQJ ZRPHQ DQG KLV GLVGDLQ IRU ROG RQHV ,Q FRQWUDVW WR WKH JORZLQJ SUDLVH KHDSHG RQ EHDXW\ DQG WR WKH VDQFWLILFDWLRQ EHVWRZHG RQ PRWKHUKRRG ROG ZRPHQ DUH FDXVWLFDOO\ GHDOW ZLWK &HUWDLQ ROG ZRPHQ ZHUH SDUWLFXODUO\ UHSXOVLYH 6RPH ROG SHRSOH HVSHFLDOO\ ZRPHQ VR DJHZRUQ DQG ZRHIXO DUH A0DQQLQJ +DZWKRUQH 3DUHQWDO DQG )DPLO\ ,QIOXHQFHV RQ +DZWKRUQH (VVH[ ,QVWLWXWH +LVWRULFDO &ROOHFWLRQV /;;9, @ 0DQQLQJ +DZWKRUQH 1DWKDQLHO +DZWKRUQH 3UHSDUHV IRU &ROOHJH 1HZ (QJODQG 4XDUWHUO\ ;, 0DUFK f }

PAGE 114

WKH\ VHHP QHYHU WR KDYH EHHQ \RXQJ DQG JD\ ,W LV HDVLHU WR FRQFHLYH WKDW VXFK JORRP\ SKDQWRPV ZHUH VHQW LQWR WKH ZRUOG DV ZLWKHUHG DQG GHFUHSLW DV ZH EHKROG WKHP QRZ ZLWK V\PSDWKLHV RQO\ IRU SDLQ DQG JULHI WR ZDWFK DW GHDWKEHGV DQG ZHHS DW IXQHUDOVf +DZWKRUQHfV VTXHDPLVKQHVV RYHU WKDW ZKLFK LV ROG IDW RU XJO\ LV DQ XQZKROHVRPH RQH ,W VKRXOG EH UHPHPEHUHG KRZHYHU WKDW \RXQJ 1DWKDQLHO ZDV UDLVHG E\ ZRPHQ XQWLO KLV FROOHJH GD\V DQG WKDW KLV DVVRFLDWLRQV ZLWK WKH 0DQQLQJV ZHUH QRW DOZD\V SOHDVDQW RQHV +H IUHTXHQWO\ ODPHQWHG WKLV XQSOHDVDQWQHVV LQ OHWWHUV WR KLV PRWKHU DP H[WUHPHO\ KRPHVLFN $XQW 0DU\ LV FRQWLQXDOO\ VFROGLQJ DW PH *UDQGPDDP KDUGO\ HYHU VSHDNV D SOHDVDQW ZRUG WR PH ,I HYHU DWWHPSW WR VSHDN LQ P\ GHIHQVH WKH\ FU\ RXW DJDLQVW Q\ LPSXGHQFHr 2OG ZRPHQ DUH LQRUGLQDWHO\ VWXSLG ,Q KLV ILFWLRQDO SUHVHQWDWLRQ RI DJHG IHPDOHV WKH QRYHOLVW HYLGHQFHV OLWWOH V\PSDWK\ IRU WKHLU IRLEOHV6LQFH ROG ZRPHQ DUH QR ORQJHU FDSDEOH RI WKHLU RUGDLQHG IXQFWLRQf§WKDW RI JLYLQJ FRPSOHWHQHVV WR PDQf§WKH\ SHUYHUW LW E\ WXUQLQJ RXW SDVWULHV DV D EULEH WR ZLQ XQGHVHUYHG DIIHFWLRQ IURP \RXWK 2OG ZRPHQ QHYHU NQRZ KRZ WR VKRZ WKHLU NLQGQHVV LQ DQ\ RWKHU ZD\ WKDQ E\ JLYLQJ D PDQ GRXJKQXWV DQG SXPSNLQ SLHV DQG VXFK LQIHUQDO WUDVKff ,W PD\ ZHOO EH WKDW +DZWKRUQHfV UHFROOHFWLRQ RI JUDQGPRWKHU 0DQQLQJ WHPSHUHG KLV FRQFHSWLRQ RI DOO DJHG ZRPHQ 6HYHUDO SRVVLEOH H[SODQDWLRQV PD\ EH VXJJHVWHG IRU +DZWKRUQHfV ORYH RI EHDXW\ DQG IRU KLV WZLVWHG KDWUHG RI WKDW ZKLFK LV XQEHDXWLIXO )LUVW WR DQ DUWLVWLF +DZWKRUQH EHDXW\ PD\ KDYH DSSHDUHG DV D IRUP RI A0DQQLQJ +DZWKRUQH 1DWKDQLHO +DZWKRUQH 3UHSDUHV IRU &ROOHJHf 1HZ (QJODQG 4XDUWHUO\ ;, +DZWKRUQH GHOLJKWV LQ SRNLQJ IXQ DW 0LVV +HSDLEDK OXQFKHRQ RI 7KH +RXVH RI 6HYHQ *DEOHV

PAGE 115

HDUWKO\ SHUIHFWLRQ DQG DOO ZKLFK GLG QRW PHDVXUH XS WR LWV VWDQGDUG RI WKH SHUIHFW ZDV DUWLVWLFDOO\ UHSXOVLYH 6HFRQG D +DZWKRUQH VSUXQJ IURP WKH 0DQQLQJ HQYLURQPHQW ZDV ZRUNHG XSRQ IURP LQIDQF\ E\ IRUFHV ZKLFK PLJKW SUHMXGLFH KLP DJDLQVW FHUWDLQ W\SHV RI ZRPHQ 7KLUG LQ D VHQVXDO +DZWKRUQHf§DQG WKHUH DUH KLQWV WKDW WKH PDQ ZDV PRUH ZDUPEORRGHG WKDQ WKH QRYHOLVWf§WKH UHSUHVVLRQV RFFDVLRQHG E\ D WKRURXJK PRUDOL]DWLRQ RI OLIH PD\ KDYH IRXQG WKHLU UHOHDVH LQ D OXVW DIWHU EHDXW\ )RXUWK WKH ZRUVKLS RI EHDXW\ PD\ EH DWWULEXWHG WR IDVWLGLRXVQHVV RU WR DQ HPRWLRQDO DEHUUDWLRQ )LQDOO\ DQG PRUH LQ NHHSLQJ ZLWK D SKLORVRSKLFDO +DZWKRUQH DOO GHYLDWLRQV IURP D FRGH RI LGHDOL]HG ZRPDQKRRGf§XJOLQHVV SOXPSQHVV DJHf§DUH VHHQ DV FRUUXSWLRQV ZKLFK PHULW DEXVH 3XEOLF :RPHQ $OWKRXJK +DZWKRUQHf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r7KH ZRPDQ UHIHUUHG WR DV D EXUGHQ WRR JULHYRXV ZDV $QQH +XWFKLQVRQ

PAGE 116

WKH PDOH SUHURJDWLYHV LV LGHDOLVWLFDOO\ VSHDNLQJ +DZWKRUQHnV ZD\ RI GHIHQGLQJ ZKDW KH FRQVLGHUHG WR EH WKH SULPDO IXQFWLRQ RI ZRPDQKRRG +H LV DWWHPSWLQJ WR SURWHFW KLV GUHDP IURP ZRXOGEH UHIRUPHUV DQG IURP WLPH LWVHOI :RPDQfV VH[ LV D VHFUHW DQG KRO\ RQH )DPH GRHV QRW LQFUHDVH WKH SHFXOLDU UHVSHFW WKLFK PHQ SD\ WR IHPDOH H[FHOOHQFH DQG WKHUH LV D GHOLFDF\ HYHQ LQ UXGH ERVRPV ZKHUH IHZ ZRXOG WKLQN WR ILQG LWf WKDW SHUFHLYHV RU IDQFLHV D VRUW RI LPSURSULHW\ LQ WKH GLVSOD\ RI ZRPDQnV QDWDO PLQG WR WKH JD]H RI WKH ZRUOG ZLWK LQGLFDWLRQV E\ ZKLFK LWV LQPRVW VHFUHWV PD\ EH VHDUFKHG RXWOsf ,W LV EDG HQRXJK IRU D PDQ WR ZULWH RI KLV LQQHU ORQJLQJV WR VSUHDG KLV VRXO RQ IRROVFDS EXW ZKHQ D ZRPDQ FRPHV QDNHG WR SULQW VKH SURVWLWXWHV DOO WKDW LV GLYLQH LQ KHU 7KDW GHHSHVW Q\VWHU\ ZRPDQnV VH[ +DZWKRUQH QHYHU IDWKRPHG KH SUHIHUUHG WR FORDN WKRVH VHFUHWV DQG WR GHFODUH WKHP VDFUHG UDWKHU WKDQ XQFRYHU WKHP :KHQ ZRPDQ FKRVH WR XQUDYHO KHUVHOI EHIRUH KLV YHU\ H\HV +DZWKRUQH ZDV DSSDOOHG 7KHQ WKH YHU\ QDWXUH RI WKH RSSRVLWH VH[ RU LWV ORQJ KHUHGLWDU\ KDELW ZKLFK KDV EHFRPH OLNH QDWXUH LV WR EH HVVHQWLDOO\ PRGLILHG EHIRUH ZRPDQ FDQ EH DOORZHG WR DVVXPH ZKDW VHHPV D IDLU DQG VXLWDEOH SRVLWLRQAf :RPDQ LV VR SK\VLFDOO\ DQG VSLULWXDOO\ FRQVWLWXWHG WKDW VKH PXVW PRGLI\ KHU WRWDO EHLQJ EHIRUH DWWHPSWLQJ WR FKDQJHf§HYHQ RQH GHJUHHf§WKH WUDGLWLRQDO EDODQFH EHWZHHQ KHUVHOI DQG PDQ $OWKRXJK +DZWKRUQH UHFRJQL]HV WKH QHHG RI D JUDGXDO LPSURYHPHQW LQ WKH VRFLDO SRVLWLRQ RI ZRPHQ KH VWDQGV ILUPO\ GHFODUHG DJDLQVW WKRVH IHPLQLVWV ZKR ZRXOG DWWHPSW LPPHGLDWH IRUFHIXO PHDVXUHV :KDW DPXVHG DQG SX]]OHG PH ZDV WKH IDFW WKDW ZRPHQ KRZHYHU LQWHOOHFWXDOO\ VXSHULRU VR VHOGRP GLVTXLHW WKHPVHOYHV DERXW WKH ULJKWV DQG ZURQJV RI WKHLU VH[ XQOHVV WKHLU RZQ LQGLYLGXDO

PAGE 117

DIIHFWLRQV FKDQFH WR OLH LQ LGOHQHVV RU WR EH LOO DW HDVH 7KH\ DUH QRW QDWXUDO UHIRUPHUV EXW EHFRPH VXFK E\ WKH SUHVVXUH RI H[FHSWLRQDO PLVIRUWXQHf $ ZRPDQ KDSSLO\ PDUULHG D PRWKHU D ZRPDQ IXOILOOLQJ KHU QDWXUDO IXQFWLRQ LV QRW FRQFHUQHG ZLWK EUHDNLQJ RXW RI KHU GHVLJQDWHG VSKHUH RI DFWLRQ EXW LV LQVWHDG WKRURXJKO\ FRQWHQWHG ,W LV RQO\ ZKHQ ZRPDQ LV IUXVWUDWHG LQ WKH SXUVXLW RI KHU ELUWKULJKW ZKHQ VKH LV HLWKHU XQILW IRU RU QHJOHFWHG E\ WKH PDWULPRQLDO VWDWH WKDW VKH VWLFNV KHU QRVH ZKHUH LW GRHV QRW EHORQJ $OWKRXJK DQ\ W\SH RI SXEOLF ZRPDQ LV FDSDEOH RI UDLVLQJ +DZWKRUQHfV LUH ZRPHQ ZKR DWWHPSW WR ZULWH SURYRNH WKH JUHDWHVW FRQWHPSW :KDW D VWUDQJH SURSHQVLW\ LW LV LQ WKHVH VFULEEOLQJ ZRPHQ WR PDNH D VKRZ RI WKHLU KHDUWV DV ZHOO DV WKHLU KHDGV XSRQ \RXU FRXQWHU IRU DQ\ERG\ WR SU\ LQWR WKDW FKRRVHVOZf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f§DQG VKRXOG EH DVKDPHG RI P\VHOI LI GLG VXFFHHGe :ULWLQJ LV D EUXWDO MRE ZKLFK ZRPHQ VLQFH WKH\ DUH WR EH SURWHFWHG IURP OLIHnV URXJKQHVV LQ QR ZD\ TXDOLI\ IRU /HW ZRPHQ VWLFN WR WKHLU A&DUROLQH 7LFNQRU +DZWKRUQH DQG +LV 3XEOLVKHU 1HZ
PAGE 118

NQLWWLQJ DQG OHDYH WKH LQGHOLFDWH SURFHVV RI FRPSRVLWLRQ WR WKH PDOH %\ +DZWKRUQH ZDV ZLOOLQJ WR DGPLW WKDW VRPH IHZ ZRPHQ ZHUH FDSDEOH RI WKH PDQO\ DUW RI ZULWLQJ +H ZDUPO\ HVSRXVHG WKH FDXVH RI 'HOLD %DFRQ DQG ILQDQFHG ZLWK FRQVLGHUDEOH SHUVRQDO ORVV WKH SXEOLFDWLRQ RI KHU FRQWURYHUVLDO ERRN RQ WKH RULJLQ RI 6KDNHVSHDUHnV SOD\V )RU WKH PRVW SDUW KRZHYHU KH FRQWLQXHG WR FKLGH IHPDOH DXWKRUV *HQHUDOO\ ZRPHQ ZULWH OLNH HPDVFXODWHG PHQ DQG DUH RQO\ WR EH GLVWLQJXLVKHG IURP PDOH DXWKRUV E\ JUHDWHU IHHEOHQHVV DQG IROO\M EXW ZKHQ WKH\ WKURZ RII WKH UHVWUDLQWV RI GHFHQF\ DQG FRPH EHIRUH WKH SXEOLF VWDUN QDNHG DV LW ZHUHf§WKHQ WKHLU ERRNV DUH VXUH WR SRVVHVV FKDUDFWHU DQG YDOXHf 7KHUH DUH WKHQ D IHZ YLJRURXV ZRPHQ ZKR DUH GLVSRVHG E\ WKHLU YHU\ QDWXUHV WR IXQFWLRQ EROGO\ DV PHQ 7KLV GRHV QRW PHDQ WR VXJJHVW WKDW WKH DYHUDJH ZRPDQ VKRXOG WU\ KHU KDQG DW ZULWLQJ :RPHQ DUH WRR JRRG IRU DXWKRUVKLS DQG WKDW LV WKH UHDVRQ LW VSRLOV WKHP VRf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

PAGE 119

7KH FXVWRPV RI DUWLVWLF OLIH EHVWRZ VXFK OLEHUW\ XSRQ WKH VH[ ZKLFK LV HOVHZKHUH UHVWULFWHG ZLWKLQ VR PXFK QDUURZHU OLPLWV\ DQG LW LV SHUKDSV DQ LQGLFDWLRQ WKDW ZKHQHYHU ZH DGPLW ZRPHQ WR D ZLGHU VFRSH RI SXUVXLWV DQG SURIHVVLRQV ZH PXVW DOVR UHPRYH WKH VKDFNOHV RI RXU SUHVHQW FRQYHQWLRQDO UXOHV ZKLFK ZRXOG EHFRPH DQ LQVXIIHUDEOH UHVWUDLQW RQ HLWKHU PDLG RU ZLIH rf 7KH FKDUDFWHU RI WUDQVFHQGHQWDO UHIRUP ZDV LOOXVWUDWHG E\ LWV IHUYHQW DJLWDWLRQ IRU WKH HQIUDQFKLVHPHQW RI ZRPHQ DQG IRU WKH HQODUJHPHQW RI WKHLU VSKHUH RI GXW\ DQG SULYLOHJHA ,Q FRQMXQFWLRQ ZLWK WKH DUULYDO RI WKH SXEOLF ZRPDQ RQWR WKH $PHULFDQ VFHQH LW LV QRW XQOLNHO\ WKDW +DZWKRUQH FDPH WR ILQG KHU V\PEROL]HGf§IRXQG WKH HPERGLPHQW RI DOO WKDW ZDV PRVW XQSDODWDEOH WR KLPf§LQ 0DUJDUHW )XOOHU 7KH XQJHQWOHPDQO\ VODQGHULQJ RI 0LVV )XOOHUDV FKDUDFWHU ZKLOH LW LV QRW HDVLO\ H[FXVHG PD\ EH SDUWLDOO\ XQGHUVWRRG LQ WKDW OLDUJDUHW PXVW KDYH DSSHDUHG WR +DZWKRUQH DV WKH PRVW IODJUDQW YLRODWRU RI KLV LGHDO ZRPDQKRRG 6KH ZDV QRW HVSHFLDOO\ QRWHG IRU SK\VLFDO EHDXW\M VKH ZURWH VKH HGLWHG VKH SUHDFKHG IHPLQLVP M VKH ZDV JDUUXORXV 7KH SUHVHQFH RI HYHQ RQH RI WKHVH DWWULEXWHV ZRXOG VFDUFHO\ LQJUDWLDWH KHU ZLWK +DZWKRUQH 3DFNDJHG WRJHWKHU WKH\ SURYHG IDU WRR PXFK 0DUJDUHWnV YLUWXH LQWHOOLJHQFH DQG OLWHUDU\ DFFRPSOLVKPHQWV IDGH IURP YLHZ ZKHQ SODFHG EHVLGH QXPHURXV RWKHU EXPSWLRXV TXDOLWLHV ZKLFK PXVW KDYH PDGH KHU H[WUHPHO\ REQR[LRXV WR RQH ZLWK +DZWKRUQHfV LGHDOV +DZWKRUQH DV D GHIHQGHU RI WKH IDLWK ZDV ORDWK WR JLYH ZD\ EHIRUH WKRVH IRUFHV ZKLFK 0DUJDUHW SHUVRQLILHGf§ IRUFHV ZKLFK ZHUH KDFNLQJ DZD\ DW WKH YHU\ EDVLV RI ZRPDQKRRG LQ DQ HIIRUW WR LPSURYH WKH ILQLVKHG SURGXFW A2FWDYLXV %URRNV )URWKLQJKDP 7UDQVFHQGHQWDOLVP LQ 1HZ (QJODQG 1HZ
PAGE 120

,OO :RPHQ LS *HQHUDO +DZWKRUQH ZDV IRQG RI UHPDUNLQJ RQ WKH VWDWXV RI SUHVHQW GD\ ZRPDQ IRQG RI UHPDUNLQJ RQ IHPLQLQH SV\FKRORJ\f§KRZHYHU OLWWOH KH PD\ KDYH XQGHUVWRRG LWf§DQG IRQG RI UHIOHFWLQJ RQ WKH QDWXUH RI ZRPHQ LQ JHQHUDO 7KHVH PLVFHOODQHRXV REVHUYDWLRQV ZKLOH WKH\ DUH VHOGRP SURIRXQG VKHG VRPH DGGLWLRQDO OLJKW RQ +DZWKRUQHnV LQTXLU\ LQWR ZRPDQKRRG 2FFDVLRQDOO\ LQ DQ HIIRUW WR EH DPXVLQJ UDWKHU WKDQ VHULRXV +DZWKRUQH WULHV KLV KDQG DW SKUDVHPDNLQJ ,Q KHU \RXWK D ZRPDQ JRHV WR WKH JODVV WR VHH KRZ SUHWW\ VKH LVM LQ KHU DJH VKH FRQVXOWV LW WR DVVXUH KHUVHOI WKDW VKH LV QRW VR KLGHRXV DV VKH PLJKW EH 6KH JHWV LQWR D SDVVLRQ ZLWK LW EXW GLHV EHIRUH VKH FDQ PDNH XS KHU PLQG WR EUHDN LW rf 7KHUH LV QR DYHUVLRQ RQ +DZWKRUQHnV SDUW WR FRPPHQWLQJ UDWKHU IUDQNO\ UDWKHU SHUVRQDOO\ RQ IHPLQLQH DSSDUHO $ ZKLWH VWRFNLQJ LV LQILQLWHO\ PRUH HIIHFWLYH WKDQ D EODFN RQHrf 1HZ (QJODQG ZRPHQ RI +DZWKRUQHn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rf $OWKRXJK WKH SUHVHQW GD\ ZRPDQ LV IDLUHU WR WKH H\H VKH KDV ZHDNHQHG LQ KHU PRUDO IXQFWLRQ DV PRWKHU DQG KRPHPDNHUf§KDV EHFRPH IHHEOH LQ WKDW ZKLFK LV PRVW YLWDO WR ZRPDQKRRG 6KDUS IXQFWLRQDO OLQHV ZKLFK IRUPHUO\ GLVWLQJXLVKHG WKH VH[HV DUH UDSLGO\ YDQLVKLQJ f:H VHOGRP PHHW ZLWK ZRPHQ QRZDGD\V DQG LQ WKLV FRXQWL\ ZKR LQJUHVV XV DV EHLQJ ZRPHQ DW DOOf§WKHLU VH[ IDGHV DZD\ DQG JRHV IRU QRWKLQJ LQ RUGLQDU\

PAGE 121

LQWHUFRXUVHAAf &HUWDLQ FRPPRQSODFH SV\FKRORJLFDO SKHQRPHQD RI WKH IHPLQLQH ZRUOG DUH UHFRUGHG IURP WLPH WR WLPH $ EULOOLDQW ZRPDQ LV RIWHQ DQ REMHFW RI WKH GHYRWHG DGPLUDWLRQf§ LW PLJKW DOPRVW EH WHUPHG ZRUVKLS RU LGRODWU\f§RI VRPH \RXQJ JLUO ZKR SHUKDSV EHKROGV WKH F\QRVXUH RQO\ DW DQ DZIXO GLVWDQFH DQG KDV DV OLWWOH KRSH RI SHUVRQDO LQWHUFRXUVH DV RI FOLPELQJ DPRQJ WKH VWDUV RI KHDYHQ :H PHQ DUH WRR JURVV WR FRPSUHKHQG LW (YHQ D ZRPDQ RI PDWXUH DJH GHVSLVHV RU ODXJKV DW VXFK D SDVVLRQ LWf ,Q RQH LQVWDQFH +DZWKRUQH WDNHV XS WKH FKDOOHQJH RI ZRPDQfV OLPLWHG RSSRUWXQLW\ IRU VHOIH[SUHVVLRQ ,W LV QRQVHQVH DQG D PLVHUDEOH ZURQJ‘WKH UHVXOW OLNH VR PDQ\ RWKHUV RI PDVFXOLQH HJRWLVPf§WKDW WKH VXFFHVV RU IDLOXUH RI ZRPDQfV H[LVWHQFH VKRXOG EH PDGH WR GHSHQG ZKROO\ RQ WKH DIIHFWLRQV DQG RQ RQH VSHFLHV RI DIIHFWLRQ ZKLOH PDQ KDV VXFK D PXOWLWXGH RI RWKHU FKDQFHV WKDW WKLV VHHPV EXW DQ LQFLGHQW )RU LWV RZQ VDNH LI LW ZLOO GR QR PRUH WKH ZRUOG VKRXOG WKURZ RSHQ DOO LWV DYHQXHV WR WKH SDVVSRUW RI D ZRPDQfV EOHHGLQJ KHDUWrf ,I KHU H[LVWHQFH LV VR LQWLPDWHO\ OLQNHG ZLWK DIIDLUV RI WKH KHDUW WKHQ D IDLOXUH LQ WKRVH DIIDLUVf§VSLQVWHUKRRG RU ZLGRZKRRGIRUIHLWV D ZRPDQfV ELUWKULJKWf§KHU WRWDO H[FXVH IRU EHLQJ 7KHUH LV HYLGHQFH WKDW WKHUH ZHUH IHZ UHVSHFWDEOH FDUHHU ZRPHQ LQ WKH ILUVW KDOI RI WKH QLQHWHHQWK FHQWXU\ 2QFH D ZRPDQ JRHV HYHU VR VOLJKWO\ ZURQJ LQ WKH PDWWHU RI VH[XDO PRUDOLW\ VKH KDV FURVVHG WKH OLQH IRU DOO HWHUQLW\ $ ZRPDQnV FKDVWLW\ FRQVLVWV OLNH DQ RQLRQ RI D VHULHV RI FRDWV
PAGE 122

$ ZRPDQ PXVW EH HLWKHU SXUHVW ZKLWH RU GHHSHVW VFDUOHW IRU WKHUH DUH QR K\EULG KXHV )OXPS PDWURQV UHFHLYH D ILQDO KDUVK XSEUDLGLQJ ZRQGHU ZKHWKHU D PLGGOHDJHG KXVEDQG RXJKW WR EH FRQVLGHUHG DV OHJDOO\ PDUULHG WR DOO WKH DFFUHWLRQV WKDW KDYH RYHUJURZQ WKH VOHQGHUQHVV RI KLV EULGH VLQFH KH OHG KHU WR WKH DOWDU DQG ZKLFK PDNH KHU VR PXFK PRUH WKDQ KH HYHU EDUJDLQHG IRUL O_f +DZWKRUQHnV XQGHUVWDQGLQJ RI ZRPHQ ZDV IDU IURP D FRPSOHWH RQH $OWKRXJK KH XQGHUVWRRG ZHOO HQRXJK ZKDW KH DGPLUHG DQG ZKDW KH KDWHG LQ WKH VH[ ZRPDQKRRGnV WUXH QDWXUH SURYHG HOXVLYH +H ZDV QHYHU TXLWH DEOH WR EUHDN WKURXJK LQ WKH PDQQHU RI D )ODXEHUW LQWR WKH LQWHUQDO PDLQVSULQJ RI IHPLQLQLW\ 3HUKDSV WKH DFWXDO ZDV KLGGHQ E\ WKH IRUPLGDEOH VWUXFWXUH RI KLV LGHDO 0DUULDJH DQG WKH +RPH 7KH IRUFH RI WKH GRPHVWLF LQVWLWXWLRQ SDUDOOHOV LQ PDQ\ ZD\V WKDW RI UHOLJLRQ DQG VRFLHW\
PAGE 123

WUXWK KRPH LV PDQUV VHFRQG ZRPE KHDYHQ KLV WKLUGr $V DQ LQWHUPHGLDWH UHDOP EHWZHHQ KHDYHQ DQG HDUWK KRPH SURYLGHV WKH EHVW UHIXJH DFFHVVLEOH WR PDQr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r 2QO\ SXW \RXUVHOI EH\RQG KD]DUG DV WR UHDO EDVLV RI PDWULPRQLDO EOLVV DQG LW LV VFDUFHO\ WR EH LPDJLQHG ZKDW PLUDFOHV LQ WKH ZD\ RI UHFRJQL]LQJ VPDOOHU LQFRQJUXLWLHV FRQQXELDO ORYH ZLOO HIIHFWf 0LQRU DGMXVWPHQWV DXWRPDWLFDOO\ HIIHFW WKHPVHOYHV ,W LV QRW VR PXFK WKDW RQH PDQ LV PDGH IRU RQH ZRPDQ EXW WKDW WKH VH[HV DUH GHVWLQHG WR IRUP RQH XQLW 7KH GRPHVWLF VWDWH WKHQ LV WKH RQO\ ILWWLQJ RQH LI WKH WZR VH[HV DUH WR fIXQFWLRQ SURSHUO\ ,W DSSHDUV WR PH WKDW PDWULPRQLDO GHDWKV DIIHFW PHQ PRUH WKDQ ZRPHQf +HUH +DZWKRUQH HOHFWV WR FRPPHQW RQ WKH LQQHU RU VSLULWXDO VWUHQJWK RI ZRPDQ ZKLFK HQDEOHV KHU WR FDUU\ RQ XQGHU VWUHVV ,Q KLV RZQ PDUULDJH ZLWK 6RSKLD WKH GHYRWHG KXVEDQG KDG FRPH WR NQRZ VXFK EOLVV WKDW HYHQ D WHPSRUDU\ DEVHQFH IURP KLV VSRXVH ZDV IHOW WR EH XQEHDUDEOH :KDW LV WKH XVH RI JRLQJ WR EHG DW DOO LQ VROLWXGH"f :KLOH +DZWKRUQH UHSHDWHGO\ LGHDOL]HV PDUULDJH KLV WRWDO FRQFHSWLRQ LV QRW ZLWKRXW LWV SK\VLFDO RULJLQV ,Q D OHWWHU WR KLV IULHQG %ULGJH D OHDS LQWR PDWULPRQ\ LV KHDUWLO\ XUJHG ,I \RX ZDQW D QHZ IHHOLQJ LQ WKLV ZHDU\ OLIH JHW PDUULHG ,W UHQHZV WKH ZRUOG IURP WKH VXUIDFH WR }O WKH FHQWUH

PAGE 124

,Q ODWHU \HDUV ZKHQ 6RSKLD ZDV GHVLJQDWHG 0RPPD UDWKHU WKDQ 'RYH LW LV SRVVLEOH WKDW WKH KXVEDQG QR ORQJHU D \RXQJ ORYHU KDG JURZQ D OLWWOH ZDU\ RI PDULWDO SHUIHFWLELOLW\ ,W LV JRRG WR VHH KRZ HYHU\ ERG\ XS WR WKLV ROG DJH RI WKH ZRUOG WDNHV DQ LQWHUHVW LQ ZHGGLQJV DQG VHHPV WR KDYH D IDLWK WKDW QRZ DW ODVW D FRXSOH KDYH FRPH WRJHWKHU WR PDNH HDFK RWKHU KDSS\ rf 7KHUH LV QR HYLGHQFH RI +DZWKRUQHn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nV KHDOWK LQ VKRUW KH DWWHPSWHG WR VSRLO WKHP ZKHQHYHU DQG KRZHYHU SRVVLEOH $OWKRXJK +DZWKRUQH XQGHUVWRRG WKH QDWXUH RI FKLOGUHQ ZHOO HQRXJK WR ZULWH VWRULHV IRU WKHPKLV FRPPHQWV A+RUDWLR %ULGJH 3HUVRQDO 5HFROOHFWLRQV RI 1DWKDQLHO +DZWKRUQH 1HZ
PAGE 125

RQ FKLOGUHQ WKRXJK WKH\ VRPHWLPHV VWULNH D GHHS SV\FKRORJLFDO QRWH DUH UDWKHU FRPPRQSODFH RQHV ,I WKHUH LV RQH LGHD WR EH IRXQG LW LV WKDW FKLOGUHQ DUH FORVHU WR KHDYHQ WKDQ DGXOWVf§QRW WKDW WKH\ DUH PRUH UHFHQWO\ ERUQ EXW WKDW WKHLU SXUH DQG MR\RXV QDWXUH LV FORVHU WR WKH GLYLQH RQH 2PLQRXV IRUFHV FHQWHUHG RQ DGXOW EHLQJV PDNH WKH GHVLUDEOH UHWHQWLRQ RI WKDW QDWXUH LPSRVVLEOH ‘:KHQ RXU LQIDQF\ LV DOPRVW IRUJRWWHQ DQG RXU ER\KRRG ORQJ GHSDUWHG WKRXJK LW VHHPV EXW DV \HVWHUGD\ ZKHQ OLIH VHWWOHV GDUNO\ GRZQ XSRQ XV DQG ZH GRXEW ZKHWKHU WR FDOO RXUVHOYHV \RXQJ DQ\ PRUH WKHQ LW LV JRRG WR VWHDO DZD\ IURP WKH VRFLHW\ RI EHDUGHG PHQ DQG HYHQ RI JHQWOHU ZRPDQ DQG VSHQG DQ KRXU RU WZR ZLWK FKLOGUHQf 7KH IUHH VWDWH RI FKLOGKRRG UHIOHFWV WKDW ZKLFK LV EDVLF DQG XQFRUUXSWHG LQ KXPDQ QDWXUH
PAGE 126

VWDWH VRPHZKDW VLPLODU WR WKDW RI KLV \RXWK ([WHUQDOO\ WKH MROOLW\ RI DJHG PHQ KDV PXFK LQ FRPPRQ ZLWK WKH PLUWK RI FKLOGUHQ WKH LQWHOOHFW DQ\ PRUH WKDQ D GHHS VHQVH RI KXPRU KDV OLWWOH WR GR ZLWK WKH PDWWHU LW LV ZLWK ERWK D JOHDP WKDW SOD\V XSRQ WKH VXUIDFH DQG LPSDUWV D VXQQ\ DQG FKHHU\ DVSHFW DOLNH WR WKH JUHHQ EUDQFK DQG JUD\ PRXOGHULQJ WUXQN ,Q RQH FDVH KRZHYHU LW LV UHDO VXQVKLQH LQ WKH RWKHU LW PRUH UHVHPEOHV WKH SKRVSKRUHVFHQW JORZ RI GHFD\LQJ ZRRGAf 6LQFH FKLOGUHQ DUH HVVHQWLDOO\ XQZRUOGO\ VLQFH WKH\ DUH D SDUW RI WKH +£ZWKRUDLDQ WULQLW\ WKHLU SV\FKRORJLFDO PDNHXS LV RQH ZKLFK DOORZV IRU H[WUHPHO\ VHQVLWLYH SHUFHSWLRQf§IRU GLUHFW NQRZOHGJH WKURXJK DQ LQWXLWLRQ RI WKH KHDUW &KLOGUHQ KDYH DOZD\V D V\PSDWK\ LQ WKH DJLWDWLRQV RI WKRVH FRQQHFWHG ZLWK WKHP DOZD\V HVSHFLDOO\ D VHQVH RI DQ\ WURXEOH RU LPSHQGLQJ UHYROXWLRQ RI ZKDWHYHU NLQG LQ GRPHVWLF FLUFXPVWDQFHVf &KLOGUHQ SRVVHVV DQ XQHVWLPDWHG VHQVLELOLW\ WR ZKDWHYHU LV GHHS RU KLJK LQ LPDJLQDWLRQ RU IHHOLQJ VR ORQJ DV LW LV VLPSOH OLNHZLVH ,W LV RQO\ WKH DUWLILFLDO DQGWKH FRPSOH[ WKDW EHZLOGHU WKHPf 7KH FKLOG LV PDQ LQ D QDWXUDO VWDWH D VWDWH FDSDEOH RI LQWXLWLQJ WKRVH VXEWLOHV ZKLFK OLH EHQHDWK WKH VXUIDFH &KLOGUHQ DUH HYHQ PRUH DSW LI SRVVLEOH WKDQ JURZQ SHRSOH WR FDWFK WKH FRQWDJLRQ RI D SDQLF WHUURUf 7KH IDWKHU RI WKUHH VSHQW HQGOHVV KRXUV UHDGLQJ WR KLV FKLOGUHQ %XW FKLOGUHQ KDYH QR PHUF\ QRU FRQVLGHUDWLRQ IRU DQ\ERG\fV ZHDULQHVV DQG LI \RX KDG EXW D VLQJOH EUHDWK OHIW WKH\ ZRXOG DVN \RX WR VSHQG LW LQ WHOOLQJ WKHP D VWRU\ Of )RU +DZWKRUQH FKLOGUHQ H[LVW LQ D VWDWH ZKLFK LW ZRXOG EH SUHIHUDEOH IRU WKHP WR UHWDLQ WKH\ GZHOO LQ ZKDW VKRXOG ULJKWIXOO\ EH PDQnV QDWXUDO VWDWH
PAGE 127

LQYDULDEO\ VHSDUDWH KLP IURP HWKHUHDO WLHV 7KXV WKH LQWURGXFWLRQ RI D FKLOG LQWR DGXOWKRRG HFKRHV WKH QHFHVVDU\ PRYHPHQW RI D VHQVLWLYH VRXO LQWR VRFLHW\ %RWK HQWUDQFHV DUH HTXDOO\ SDLQIXO /RYH 7KH ORYH RI RQH LQGLYLGXDO IRU DQRWKHU DFWXDWHV RQ D ORZHU SODQH WKH GLYLQH ORYH RI *RG IRU PDQ /RYH LV WKDW HPRWLRQDO DFWXDOLW\ XSRQ ZKLFK PDUULDJH DQG WKH KRPH DUH EDVHG ,W JLYHV PHDQLQJ WR WKH OLIH RI D ZRPDQ ,W LV LQ IDFW WKH PRVW HOHYDWHG SRVLWLYH IRUFH DW ZRUN LQ PDQfV XQLYHUVH ,Q DQ\ RI LWV IRUPVf§LQ EURWKHUKRRG RU EHWURWKDOf§LW JXLGHV PDQ WR WKH VXPPLW RI HDUWKO\ DFKLHYHPHQW ,W EULQJV WR PDQ D QHZ LQVLJKW LQ DFFRUGDQFH ZLWK ZKLFK KH PD\ EHWWHU RULHQW KLPVHOI WR OLIH 7KRXJK PDQfV SURSHQVLW\ IRU VLQ LV DQ DELGLQJ RQH ORYH HYHQ LQ LWV PRUWDO IRUP LV FDSDEOH RI HIIHFWLYHO\ EDWWOLQJ PDQfV JURVVHU WHQGHQFLHV /RYH LV QRW VHOILVKO\ ZRUVKLSHG E\ +DZWKRUQH IRU LWV RZQ VDNH EXW LV WKRXJKW RI LQVWHDG LQ WHUPV RI WKH IXQFWLRQDO JRRG ZKLFK LW PLJKW LQVSLUH ,I ORYH VKRXOG LQ VRPH GLVWDQW GD\ UHDFK WKH DVFHQGDQF\ LQ PDQfV QDWXUH WKHQ ZRXOG OLIHfV FRPSRXQG ZKLWHQ WKHQ ZRXOG WKH JODULQJ GLVFUHSDQF\ EHWZHHQ PDQnV KHDYHQO\ DQG KLV HDUWKO\ HVWDWH DSSHDU OHVV LQVXUPRXQWDEOH fK KRZ VWXEERUQO\ GRHV ORYHf§RU HYHQ WKDW FXQQLQJ VHPEODQFH RI ORYH ZKLFK IORXULVKHV LQ WKH LPDJLQDWLRQ EXW VWULNHV QR GHSWK RI URRW LQWR WKH KHDUWf§KRZ VWXEERUQO\ GRHV LW KROG LWV IDLWK XQWLO WKH PRPHQW FRPHV ZKHQ LW LV GRRPHG WR YDQLVK LQWR WKLQ PLVWf 7KH VKHHU XQVSHDNDEOH SRZHU RI ORYH ZKHQ JLYHQ IUHH UHLJQ LV DQ[LRXV WR

PAGE 128

FRPEDW HYLOnV PDOLJQDQW IRUFHV /RYHnV PDJLF FKDLQ LV D IXQFWLRQDO RQH /RYH ZKHWKHU QHZO\ ERUQ RU DURXVHG IURP D GHDWKOLNH VOXPEHU PXVW DOZD\V FUHDWH D VXQVKLQH ILOOLQJ WKH KHDUW VR IXOO RI UDGLDQFHWKDW LW RYHUIORZV XSRQ WKH RXWZDUG ZRUOGf 8QGHU WKH VSHOO RI ORYH WKH PXG DERXW PDQ WKRXJK VWLOO SUHVHQW LV QR ORQJHU VR GDUNO\ VHHQ (DFK IOLFNHULQJ VWLPXOXV RI ORYHnV JORZ UHQHZV OLIH IURP WKH LQVLGH RXW /RYH LV ZKROO\ IURP WKH KHDUW IXOO\ DV XQOHWWHUHG DV UHOLJLRQ DQG WKXV WKH ZDUQLQJ /HW PHQ WUHPEOH WR ZLQ WKH KDQG RI ZRPDQ XQOHVV WKH\ YDQ DORQJ ZLWK LW WKH XWPRVW SDVVLRQ RI KHU KHDUWLLLf :KHUHDV ORYH RULJLQDWHV LQ WKH DQLPDO KHDUW RI PDQ ZKHQ VHHQ LQ LWV PRUH VSLULWXDO IRUP LW SURYLGHV IRU WKH LQWHUPLQJOLQJ RI VRXOV ,W LV WKLV GHHSHU DVSHFW ZKLFK +DZWKRUQH VWUHVVHV LQ KLV SDVVLRQ IRU 6RSKLD $QG WKXV LW ZLOO JR RQ XQWLO ZH VKDOO EH GLYHVWHG RI WKHVH HDUWKO\ IRUPV ZKLFK DUH DW RQFH RXU PHGLXP RI H[SUHVVLRQ DQG WKH LPSHGLPHQWV WR IXOO FRPPXQLRQ 7KHQ ZH VKDOO PHOW LQWR >RQH@ DQRWKHU DQG DOO EH H[SUHVVHG RQFH DQG FRQWLQXDOO\ ZLWKRXW D ZRUGf§ZLWKRXW DQ HIIRUW 6LQFH WKH VSLULWXDOLW\ RI ORYH LV D PDWWHU RI WKH VRLO UDWKHU WKDQ WKH SK\VLFDO KHDUW PDQnV ERG\ LV DJDLQ YLHZHG DV D VWXPEOLQJ EORFN WR ILQDOLW\ $OWKRXJK HDUWKO\ ORYH UDGLDWHV D EOLVV ZKLFK JORVVHV RYHU DOO WKH JUHDWHU PLUDFOH RI VSLULWXDO ORYH SHQHWUDWHV WR WKH +DZWKRPLDQ UHDOLW\ ,Q ZKDW LV SHUKDSV KLV PRVW RSWLPLVWLF VWDWHPHQW RQ KXPDQ QDWXUH +DZWKRUQH VHHPV WR IHHO WKDW ORYH LV PRUH QDWLYH WR PDQ WKDQ KDWH 7KLV QHHG QRW LPSO\ WKDW JRRG LV PRUH QDWLYH WKDQ HYLO ,W LV WR WKH FUHGLW RI KXPDQ QDWXUH WKDW H[FHSW ZKHUH LWV /RYH /HWWHUV ,, N

PAGE 129

VHOILVKQHVV LV EURXJKW LQWR SOD\ LW ORYHV PRUH UHDGLO\ WKDQ LW KDWHV +DWUHG E\ D JUDGXDO DQG TXLHW SURFHVV ZLOO HYHQ EH WUDQVIRUPHG WR ORYH XQOHVV WKH FKDQJH EH LPSHGHG E\ D FRQWLQXDOO\ QHZ LUULWDWLRQ RI WKH RULJLQDO IHHOLQJ RI KRVWLOLW\f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f 7KHUH LV DQ LQFHVVDQW LQVLVWHQFH RQ WKH VWUHQJWK RI ORYH DQG RQ WKH SRZHU IRU JRRG ODWHQW LQ WKDW VWUHQJWK 7KH RQH ZHDNQHVV RI ORYH LV WKDW LW LV D SDVVLRQ DQG WKDW DV D SDVVLRQ LW GHSHQGV RQ D ILQLWH REMHFW WKXV ZKLOH LW IODPHV IRU WKH PRPHQW LW LV TXLFNO\ H[WLQJXLVKHG IF\ WLPH 7UXH ORYH UHDFKHV D PRUH IL[HG VWDWH EXW WUXH ORYH OLHV LQ *RGfV GRPDLQ DQ LQILQLWH RQH ,PSHUPDQHQW WKRXJK IUHTXHQWO\ FHOHVWLDO HUXSWLRQV RI ORYH DUH DOORWWHG WR PDQfV GRPLQLRQ D GHSUDYHG DQG ILQLWH RQH 6LQFH WKH GLVHDVH RI WKH OLIH FRPSRXQG LV D ODWHQW RQH KRZHYHU PXFK ZKLWHQHVV ORYH PDQDJHV WR PL[ WKHUHLQ VWLOO OLIH LV H[SHFWHG WR ODSVH LQWR LWV RULJLQDO JUD\QHVV %RWK ORYH DQG KDWUHG KDYH XQIDWKRPDEOH GHSWKV (DFK LQVWDQFH RI D GHHSHU ORYH VWDQGV IRUWK DV WKH ILUVW RI LWV NLQG WR LWV SDUWLFLSDWRUV DQG SUHFOXGHV SHQHWUDWLRQ E\ RWKHU PRUWDOV ff2QH IHHOV WKH IDFW LQ DQ LQVWDQW ZKHQ KH KDV LQWUXGHG RQ WKRVH ZKR ORYH RU

PAGE 130

WKRVH ZKR KDWH DW VRPH DFPH RI WKHLU SDVVLRQ WKDW SXWV WKHP LQWR D VSKHUH RI WKHLU RZQ ZKHUH QR RWKHU VSLULW FDQ SUHWHQG WR VWDQG RQ HTXDO JURXQG ZLWK WKHPff :KLOH *RGnV ORYH LV SHUPDQHQW DQG ZKLOH PDQ ZKHQ KH SDUWLFLSDWHV LQ VSLULWXDO ORYH JUDVSV VRPHWKLQJ RI WKDW VDPH ILQDOLW\ PDQnV ORYH LV QRUPDOO\ OLPLWHG LQ WKDW LW FHQWHUV RQ D SK\VLFDO REMHFW ,W LV WKHQ D SDVVLRQ DW LWV URRWV $OWKRXJK PDQ PD\ PRYH IURP WKLV HDUWKO\ SDVVLRQ WR D PRUH GLYLQH RQH VWLOO KH LV OLPLWHG E\ WKH RULJLQ RI KLV GHVLUH 0DQnV ORYH DV LQ WKH PDULWDO VWDWH KDV QR FODLP WR SHUPDQHQFH EXW PXVW LQVWHDG FRQWLQXDOO\ UHQHZ LWVHOI &DUHVVHV H[SUHVVLRQV RI RQH VRUW RU DQRWKHU DUH QHFHVVDU\ WR WKH OLIH RI WKH DIIHFWLRQV DV OHDYHV DUH WR WKH OLIH RI D WUHH ,I WKH\ DUH ZKROO\ UHVWUDLQHG ORYH ZLOO GLH DW WKH URRWVf +DZWKRUQH LQ KLV ZDUP FRQFHUQ ZLWK WKH VXFFHVVIXO SHUSHWXDWLRQ RI PDULWDO ORYH UHFRJQL]HV XQVWLQWLQJO\ WKDW WKH RULJLQDO IRUFH RI PDQnV ORYH LV QRW D VHOIFRQWLQXLQJ RQH WKDW LW LV E\ QDWXUH WUDQVLWRU\ &DUHVVHV DUH WKH IROLDJH RI DIIHFWLRQ WKH SODQW GLHV DW WKH URRW XQOHVV LW KDV WKHP"f ,Q VSLWH RI WKH DFNQRZOHGJHG OLPLWDWLRQV RI HDUWKO\ ORYH +DZWKRUQH ZKROHKHDUWHGO\ DIILUPV WKH LQGHVWUXFWLEOH FKDUDFWHU RI LWV VSLULWXDO FRXQWHUSDUW DQG LQ VR DIILUPLQJ UHFRJQL]HV WKDW WKH DFWXDOLW\ RI ORYH QHFHVVLWDWHVaLQ D EULJKWHU PDQQHU WKDQ WKH LPSHUIHFW TXDOLW\ RI PDQnV HDUWKO\ VWDWHf§WKH LPPRUWDOLW\ RI PDQnV VRXO 7KXV WKH SUHVHQFH RI ORYH LQ OLIH EHFRPHV DQ DVVXUDQFH RI *RG ,Q WUXWK DQ\ DQG DOO RI +DZWKRUQHnV RIW SRQGHUHG RSLQLRQV OHDG WR WKLV DVVXUDQFH ORYH SURYHV

PAGE 131

LWV LPPRUWDOLW\ E\ VKHHU IRUFH (DFK ZDUPHU DQG TXLFNHU WKURE RI WKH KHDUW ZHDUV DZD\ VR PXFK RI OLIH 7KH SDVVLRQV WKH DIIHFWLRQV DUH D ZLQH QRW WR EH LQGXOJHG LQ ORYH DERYH DOO EHLQJ LQ LWV HVVHQFH DQ LPPRUWDO WKLQJ FDQQRW EH ORQJ FRQW£LQHG LQ DQ HDUWKO\ ERG\ EXW ZRXOG ZHDU LW RXW ZLWK LWV RZQ VHFUHW SRZHU VRIWO\ LQYLJRUDWLQJ DV LW VHHPVf ,Q JHQHUDO +DZWKRUQH EHJLQV ZLWK ZKDW KH VHHV EHIRUH KLP RI PDQ DQG KLV DQWLFV ZLWK WKH DFWXDO LQJUHGLHQWV RI OLIH DQG ZLWK WKH LQVWLWXWLRQDO IRUFHV SOD\LQJ XSRQ PDQ DQG WKRVH LQJUHGLHQWV :KHQ KH LGHDOL]HV DV LQ KLV FRQFHSWLRQ RI ZRPDQKRRG KH LV VHHLQJ ZKDW LQ WKH OLJKW RI WKH JUHDWHU ZKROH DFWXDOO\ VKRXOG EH ,Q WKH GLVSDULW\ EHWZHHQ ZKDW VKRXOG EH DQG ZKDW LV YDULRXV +DZWKRUQH SUREOHPV DULVHf§ WKH SUREOHP RI WKH VHQVLWLYH VRXO WKH DUWLILFLDO VRFLDO VWUXFWXUH WKH SXEOLF ZRPDQ 7KHVH DUH SUREOHPV ULVLQJ RXW RI D FRQGLWLRQ DQG WKXV WKH\ DUH RI FRQFHUQ WR +DZWKRUQH 7KHVH SUREOHPV DUH VHHQ DQG ODPHQWHG EXW WKH FRQGLWLRQV IURP ZKLFK WKH\ DULVHf§VLQ WKH OLIH FRPSRXQG IRUWXQHf§DUH WDNHQ DV DFWXDOLWLHV GHVWLQHG WR UHPDLQ XQFKDQJHG E\ PDQfV UDWKHU SHWW\ DWWHPSWV DW VHOIUHIRUP ,W LV DOZD\V WKURXJK WKH KHDUW DQG VRXO DQG WKXV WKURXJK ORYH WKDW OLIHfV SUHQDWDO FRQGLWLRQV DUH WR EH PRVW HIIHFWLYHO\ FRPEDWHGf§QRW WKDW WKH FRQGLWLRQV WKHPVHOYHV ZLOO EH VXEVWDQWLDOO\ DOWHUHG EXW WKDW PDQ PD\ ULVH VRPHZKDW DERYH WKRVH FRQGLWLRQV E\ GLUHFWLQJ KLV HQHUJLHV WR GLYLQH FKDQQHOV

PAGE 132

&+$37(5 9,, $57 $1' 7+( $57,67 $Q DUWLVW DVFHQGV DERYH WKH HDUWKnV VXUIDFH RQ WKH ZLQJV RI KLV DUWM WKHUH KH GZHOOV LQ WKH ODQG RI WKH EHDXWLIXO $UW LV PRUH WKDQ WKH FKDQQHOHG RXWSRXULQJ RI HQHUJLHV PRUH WKDQ D GHVLJQHG HIIHFW $UW WR +DZWKRUQH LV WKDW YLWDO RXWOHW WKURXJK ZKLFK PDQ PD\ HVFDSH VXUIDFH VXEVWDQFHV E\ OLIWLQJ KLPVHOI LQWR D UHDOP RI FUHDWHG EHDXW\ 7KH DUWLVW WKHQ GLVFRYHUV WKH EHDXWLIXO DQG FUHDWHVf§LQ RQH RI WKH DUW IRUPVf§D UHSUHVHQWDWLRQ RI WKDW GLVFRYHU\ 7KLV WHQGHQF\ WR LGHDOL]H GRHV QRW OHDG +DZWKRUQH WR UHJDUG WKH DUW UHDOP DV RQH DSDUW IURP RU VXSHULRU WR RUGLQDU\ OLIH 2Q WKH FRQWUDU\ DUW LV D SUDFWLFDO FRQFHUQ ERWK LQ LWV SHULRG RI FUHDWLRQ DQG LQ LWV ILQDO IRUP 7KH PHGLXP LV D FRQVFLRXV RQH LQ ZKLFK WKH DUWLVW SLFNV XS WKH UDZ PDWWHU RI WKLV ZRUOG ILUHV DQG VKDSHV LW ZLWK KLV LPDJLQDWLRQ DQG UHWXUQV LW WR HDUWK IRU PDQnV SOHDVXUH DQG HGLILFDWLRQ $Q DFXWH FKDUDFWHUL]DWLRQ RI WKH VXQGU\ W\SHV RI DUW DQG RI WKH PHGLXPV PHWKRGV DQG LGHDOV RI DUW VWDWHV D GHILQLWH VHW RI +DZWKRPLDQ VWDQGDUGV
PAGE 133

K UHSUHVHQW WKH FRPSOHWH PDQ +RZHYHU PXFK +DZWKRUQH HPSKDVL]HV DUW KRZHYHU PXFK SRWHQWLDO KH DOORZV LW VWLOO LW PXVW EH UHPHPEHUHG WKDW KH VWUHVVHV VLQ IRUWXQH DQG VRFLHW\ ZLWK HTXDO YLJRU +DZWKRUQH ZDV QRW DQ DUW IRU DUWnV VDNH DGGLFW ,Q WUXWK DUW ZKHQ NHSW LQ LWV SURSHU SHUVSHFWLYH PD\ ZHOO EH WKRXJKW RI WRJHWKHU ZLWK ZRPHQ DV D VHFRQG JRRG LQVWLWXWLRQ DV D VHFRQG SDUWLDO HVFDSH IURP ZKDW UHPDLQVf§KRZHYHU LW PD\ EH WXUQHG DERXWf§D JUD\ FRPSRXQG $UFKLWHFWXUH +DZWKRUQH GLG QRW FRQILQH KLV FULWLTXH RI DUW WR WKH RQO\ SKDVH ZKLFK KH KLPVHOI SUDFWLFHGf§ILFWLRQ +H IHOW KLPVHOI D PHPEHU RI D FRPPXQLW\ LQ DUW IRU ZKLFK WKH VWDQGDUG PHGLXPVf§DUFKLWHFWXUH VFXOSWXUH SRHWU\ SURVH DQG SDLQWLQJf§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

PAGE 134

DQG *UHFLDQ HGLILFHV WKRXJK WKH\ VHHP FROG DQG LQWHOOHFWXDO DQG QRW WR KDYH WKHLU PRUWDU PRLVWHQHG ZLWK KXPDQ OLIHEORRG QRU WR KDYH WKH P\VWHU\ RI KXPDQOLIH LQ WKHP DV *RWKLF VWUXFWXUHV GROf 7KH *RWKLF LQ LWV LUUHJXODU P\VWHULRXV DQG VXJJHVWLYH SUHVHQFH KDV DERXW LW WKH VSLULW RI KXPDQLW\f§IRU OLIH GRHV QRW IORZ LQ QHDW DQG UHDGLO\ GLVFHUQLEOH OLQHV &ODVVLFDO DUFKLWHFWXUH ZLWK LWV UHJXODU IHDWXUHV DQG VPRRWKO\ VKDYHQ IDFH LV QHFHVVDULO\ YLHZHG DV D PDQQHTXLQ 7KHUH LV VRPHWKLQJ GR QRW NQRZ ZKDW EXW LW LV LQ WKH UHJLRQ RI WKH KHDUW UDWKHU WKDQ LQ WKH LQWHOOHFW WKDW ,WDOLDQ DUFKLWHFWXUH RI ZKDWHYHU DJH RU VW\OH QHYHU VHHPV WR UHDFKf +DZWKRUQH EULQJV KLV KHDUW DQG KHDG V\PEROLVP LQWR WKH UHDOP RI DUW &ODVVLFLVP LV RI WKH LQWHOOHFW WKXV FROG VWDWHO\ DQG DUWLILFLDO 7KH *RWKLF FRPLQJ IURP WKH KHDUW RI PDQ LV JHQXLQH DQG YLEUDQW *RWKLF DUFKLWHFWXUH ZLWK LWV LUUHJXODU GLVSURSRUWLRQHG PLQXWLDH RIIHUV D KDW UDFN IRU PDQfV IHHOLQJV ZKLOH WKH FODVVLFDO LV VR VPRRWKO\ FRQVWUXFWHG WKDW WKHUH LV OLWWOH RSSRUWXQLW\ WR IDVWHQ RQHVHOI WR LW &ODVVLFDO DUFKLWHFWXUH LV QRWKLQJ EXW DQ RXWOLQH DQG DIIRUGV QR OLWWOH SRLQWV QR LQWHUVWLFHV ZKHUH KXPDQ IHHOLQJV PD\ FOLQJ DQG RYHUJURZ LW OLNH LY\ f :KHQ ZRUNLQJ XS FHUWDLQ FODVVLFDO WDOHV IRU FKLOGUHQfV VWRULHV +DZWKRUQH ZURWH +HOGV RI KLV LQWHQWLRQ WR VXSHULPSRVH WKH *RWKLF HOHPHQW 8QOHVV JUHDWO\ PLVWDNH WKHVH ROG ILFWLRQV ZLOO ZRUN XS DGPLUDEO\ IRU WKH SXUSRVH" DQG VKDOO DLP DW VXEVWLWXWLQJ D WRQH LQ VRPH GHJUHH *RWKLF RU URPDQWLF RU DQ\ VXFK WRQH DV PD\ EHVW SOHDVH Q\VHOI LQVWHDG RI WKH FODVVLF FROGQHVV ZKLFK LV DV UHSHOOHQW DV WKH WRXFK RI PDUEOH8 A)LHOGV
PAGE 135

7KH ROG SULQFLSOH RI YDULHW\ YULWKLQ XQLIRUPLW\ LV IXQGDPHQWDO WR WKH QDWXUH RI WKH *RWKLF *RWKLF VWUXFWXUHV FDOO WR PLQG WKH LQVFUXWDEOH RUGHU RI OLIH RU WKH DSSDUHQW PDFKLQDWLRQV RI IRUWXQH ZLWKLQ WKH JUHDWHU IUDPHZRUN RI SURYLGHQWLDO JXLGDQFH 7KHUH LV HPSDWK\ RQ +DZWKRUQHfV SDUW IRU DQ DUW ZKLFK LV WUXO\ OLIHOLNH EXW DSDWK\ IRU WKRVH VW\OHV ZKLFK ZRXOG UHILQH DZD\ OLIHfV EDVLF URXJKQHVV ,Q KLV ILQHVW VWDWHPHQW RI *RWKLF VXSUHPDF\ WKH DXWKRU JURZV UKDSVRGLF RYHU ZKDW KH IHOW WR EH *RWKLFLVPnV RYHUSRZHULQJ ULFKQHVV $ *RWKLF FDWKHGUDO LV VXUHO\ WKH PRVW ZRQGHUIXO ZRUN ZKLFK PRUWDO PDQ KDV \HW DFKLHYHG VR YDVW VR LQWULFDWH DQG VR SURIRXQGO\ VLPSOH ZLWK VXFK VWUDQJH GHOLJKWIXO UHFHVVHV LQ LWV JUDQG ILJXUH VR GLIILFXOW WR FRPSUHKHQG ZLWKLQ RQH LGHD DQG \HW DOO VR FRQVRQDQW WKDW LW XOWLPDWHO\ GUDZV WKH EHKROGHU DQG KLV XQLYHUVH LQWR LWV KDUPRQ\ ,W LV WKH RQO\ WKLQJ LQ WKH ZRUOG WKDW LV YDVW HQRXJK DQG ULFK HQRXJK8f 7KHUH LV PXFK WR EH OHDUQHG IURP +DZWKRUQHfV DSSUDLVDO RI WKH *RWKLF $OWKRXJK KH FRQWLQXHV WR HPSOR\ WKH *RWKLFFODVVLFDO GLVWLQFWLRQ LQ WKH VHYHUDO ILHOGV RI DUW KLV MXGJPHQW LV VXIILFLHQWO\ HVWDEOLVKHG LQ KLV SURQRXQFHPHQWV RQ DUFKLWHFWXUH ,Q VLGLQJ ZLWK WKH *RWKLF WKH URPDQFHU SOHGJHV DOOHJLDQFH WR WKRVH HOHPHQWV ZKLFK DUH JUDQGLRVH P\VWHULRXV DQG VXJJHVWLYH LQ OLIH +H UHDFWV DJDLQVW WKDW ZKLFK LV VXSHUILFLDOO\ RUGHUHG E\ PDQfV LQWHOOHFW +H UHDFWV WRR DJDLQVW ZKDW KH IHHOV WR EH WKH FROGQHVV DQG VWHULOLW\ RI WKH FODVVLFDO IRUP +H HOHFWV WKH LPDJLQDWLRQ RYHU WKH UHDVRQ LQWXLWLRQ RYHU LQWHOOHFWLYH NQRZOHGJH ,Q DFFHSWLQJ WKH *RWKLF VWDQGDUGV +DZWKRUQH PDNHV WKH LQHYLWDEOH FKRLFH WR ZKLFK KLV SKLORVRSK\ RI OLIH SUHGHVWLQHV KLP )RU RQH ZKR ZURWH DQG LQ D VHQVH WKRXJKW DQG OLYHG LQ D SUHWHUQDWXUDO UHDOP QR RWKHU FKRLFH ZDV SRVVLEOH

PAGE 136

6FXOSWXUH $UFKLWHFWXUH VFXOSWXUH DQG SDLQWLQJ IHOO XQGHU WKH FULWLFDO H\H RI +DZWKRUQH GXULQJ WKH ODVW WHQ \HDUV RI KLV OLIH +DYLQJ DUULYHG ODWH DQG KDYLQJ SHUIHFWHG FHUWDLQ WKHRULHV RI DUW LQ KLV ILFWLRQ WKH REVHUYDWLRQV ZKLFK WKH QRYHOLVW RIIHUV DUH RI RQH VWDPS DQG QRZLVH FRQVWLWXWH D OHDUQHG FULWLFLVP RI WKH VXEMHFW DW KDQG 1RZ DQG DJDLQ WKH\ HYLGHQFH DV PLJKW ZHOO EH H[SHFWHG XQIHLJQHG 3XULWDQ SUHMXGLFHV $OO RI WKHVH FULWLFLVPV DUH VLJQLILFDQW KRZHYHU LQ WKDW WKH\ KHOS FODULI\ +DZWKRUQHrV ZDUPO\ KHOG DUW WKHRU\ GRXEW ZKHWKHU VFXOSWRUV GR QRW HUU LQ SRLQW RI WDVWH E\ PDNLQJ DOO WKHLU VWDWXHV PRGHOV RI SK\VLFDO SHUIHFWLRQ LQVWHDG RI H[SUHVVLQJ E\ WKHP WKH LQGLYLGXDO FKDUDFWHU DQG KDELWV RI WKH PDQff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f ,Q RQH LQVWDQFH +DZWKRUQH LV OHG WR KHDS SUDLVH RQ DQFLHQW VFXOSWXUH ,Q VKRUW GR UHDOO\ EHOLHYH WKDW WKHUH ZDV DQ H[FHOOHQFH LQ DQFLHQW VFXOSWXUH DQG WKDW LW KDV \HW D SRWHQF\ WR HGXFDWH DQG UHILQH WKH PLQGV RI WKRVH ZKR ORRN DW LW HYHQ VR FDUHOHVVO\ DQG FDVXDOO\ DV GRf 7KH LPPHQVH GUHDP RI SHUIHFWLELOLW\ LPSUHVVHG

PAGE 137

LQ HDFK SLHFH RI DQFLHQW VFXOSWXUH LV QRW ZLWKRXW LWV VLJQLILFDQFH
PAGE 138

ZKLFK VHUYHV KLP LQ WKH VWHDG RI VKLIWLQJ DQG WUDQVLWRU\ ODQJXDJH LV D SXUH ZKLWH XQGHFD\LQJ VXEVWDQFH ,W LQVXUHV LPPRUWDOLW\ WR ZKDWHYHU LV ZURXJKW LQ LW DQG WKHUHIRUH PDNHV LW D UHOLJLRXV REOLJDWLRQ WR FRPPLW QR LGHD WR LWV PLJKW\ JXDUGLDQVKLS VDYH VXFK DV PD\ UHSD\ WKH PDUEOH IRU LWV IDLWKIXO FDUH LWV LQFRUUXSWLEOH ILGHOLW\ E\ ZDQQLQJ LW ZLWK DQ HWKHUHDO OLIHOf )LQDOO\ +DZWKRUQH FRPHV WR UHPDUN DQG QRW ZLWKRXW VRPH MXVWLILFDWLRQ WKDW WKH URDG WR IDPH IRU WKH VFXOSWRU RU HYHQ WKH URDG WR VXUYLYDO LV D KRWO\ FRQWHVWHG RQHr :KLOH WKH QRWLRQ RI D SHQQLOHVV SRHW LV WUDGLWLRQDO HQRXJK WKH YLVLRQ RI D VWDUYLQJ VFXOSWRU ODERULQJ WKURXJKRXW D FROG DQG WKDQNOHVV OLIH LV HTXDOO\ URPDQWLF 7KXV VXFFHVV LQ DUW LV DSW WR EHFRPH SDUWO\ DQ DIIDLU RI LQWULJXHM DQG LW LV DOPRVW LQHYLWDEOH WKDW HYHQ D JLIWHG DUWLVW VKRXOG ORRN DVNDQFH DW KLV JLIWHG EURWKHUrV IDPH DQG EH FKDU\ RI WKH JRRG ZRUG WKDW PLJKW KHOS KLP WR VHOO VWLOO DQRWKHU VWDWXH RU SLFWXUH
PAGE 139

)DLQWLQJ ,I +DZWKRUQH ZDV RIWHQ MDGHG E\ WKH DUW JDOOHULHV RI ,WDO\ LW ZDV QRW GXH WR DQ\ ODFN RI WHFKQLFDO PHULW LQ WKH GLVSOD\HG SDLQWLQJV EXW WR WKH SRYHUW\ RI KLV WHFKQLFDO NQRZOHGJH
PAGE 140

LW WR WKLV QLFHW\ LW PLJKW EULQJ LW QHDUHU WR 1DWXUHff +DZWKRUQH LQVLVWV DQG KH SUDFWLFHV WKH SUHFHSW LQ KLV FXP ILFWLRQ WKDW D YHLO LV QHFHVVDU\ WR JLYH PDQ WKH IHHO RI WKH VXJJHVWLYH DQG P\VWHULRXV TXDOLW\ RI OLIH DQG WKDW D PHUH SKRWRJUDSKLQJ RI WKH SKHQRPHQDO LQ QR ZD\ VXIILFHV 6LQFH WKH WUXH QDWXUH RI OLIH LV RSDTXH H[FHSW LQ UDUH PRPHQWV RI FRQWDFW ZLWK ffUHDOLW\f WKDW DUW ZKLFK ZRXOG DOORW DQ\ GHJUHH RI ILQDOLW\ WR WKH PHUHO\ YLVXDO GHOXGHV LWVHOI $ SLFWXUH VKRXOG HPERG\ VRPHWKLQJ fPRUH UHDO WKDQ PDQ FDQ VHH ZLWK WKH H\H DQG WRXFK ZLWK WKH ILQJHUf LW VKRXOG QHYHU FRQWHQW LWVHOI ZLWK D UHSURGXFWLRQ RI WKH DSSDUHQW 2QH SURYHUELDO GLFWXP VR YDULRXVO\ SKUDVHG DQG VR RIWHQ UHSHDWHG WKDW LW JURZV ZHDULVRPH ZDUQV WKDW WDOHQW LV QRW JHQLXV ff3LFWRULDO WDOHQW VHHPV WR EH DEXQGDQW HQRXJK XS WR D FHUWDLQ SRLQW SLFWRULDO JHQLXV VKRXOG MXGJH LV DPRQJ WKH UDUHVW RI JLIWVf 7DOHQW IRU SDLQWLQJ OLNH WKH RLO ZKLFK LV HPSOR\HG LV EXW DQ LQJUHGLHQW RI WKH ILQLVKHG SURGXFW :KLOH WDOHQW LV XQGHQLDEO\ QHFHVVDU\ LW LV JHQLXV ZKLFK LQVWLOOV D VSLULWXDO OLIH LQWR DUW FUHDWLRQV} DP RI WKH RSLQLRQ WKDW JRRG SLFWXUHV DUH TXLWH DV UDUH DV JRRG SRHWV DQG GR QRW VHH ZK\ ZH VKRXOG SLTXH RXUVHOYHV RQ DGPLULQJ DQ\ EXW WKH YHU\ EHVW 2QH LQ D WKRXVDQG SHUKDSV RXJKW WR OLYH LQ WKH DSSODXVH RI PHQ IURP JHQHUDWLRQ WR JHQHUDWLRQ WLOO LWV FRORUV IDGH RU EODFNHQ RXW RI VLJKW DQG LWV FDQYDV URWV DZD\ WKH UHVW VKRXOG EH SXW LQ JDUUHWV RU SDLQWHG RYHU E\ QHZHU DUWLVWV MXVW DV WROHUDEOH SRHWV DUH VKHOYHG ZKHQ WKHLU OLWWOH GD\ LV RYHUf +DZWKRUQHfV EHZDLOLQJ RI WKH ODFN RI JHQLXV DPRQJ WKH SDLQWLQJ EURWKHUKRRG LV EXW D SDUWLFXODUL]DWLRQ RI D ODUJHU LGHD +H IHOW DQG RIWHQ JLYHV H[SUHVVLRQ WR WKLV IHHOLQJ WKDW WKH QXPEHU RI WUXH

PAGE 141

JHQLXVHV WKURXJKRXW ZRUOG KLVWRU\ PLJKW ZHOO EH FRXQWHG RQ RQHnV ILQJHUV DQG WRHV 0HGLRFULW\ DQG PHUH WDOHQW DUH DEXQGDQW HQRXJK EXW WKDW YLWDO SHUFHSWLYH VSDUN ZKLFK PRYHV WRZDUG LPPRUWDOLW\ LV D UDULW\ ,W GHSUHVVHV WKH VSLULWV WR JR IURP SLFWXUH WR SLFWXUH OHDYLQJ D SRUWLRQ RI \RXU YLWDO V\PSDWK\ DW HYHU\ RQH VR WKDW \RX FRPH L ZLWK D NLQG RI KDOIWRUSLG GHVSHUDWLRQ WR WKH HQGf (DFK JUHDW SLFWXUH SXOOV LQWHUQDOO\ RQ LWV REVHUYHU 7KH QDWXUH RI SDLQWLQJ LV VHHQ WR EH D SRZHUIXO RQHM LWV HIIHFW LV QRW XQOLNH WKH FDWKDUVLV VR ZHOO GHILQHG E\ $ULVWRWOH 2Q RFFDVLRQ +DZWKRUQH ZDV WHPSWHG WR UDQN SDLQWLQJ DV ILUVW DPRQJ WKH DUWV f,W LV P\ SUHVHQW RSLQLRQ WKDW WKH SLFWRUDO DUW LV FDSDEOH RI VRPHWKLQJ PRUH OLNH PDJLF PRUH ZRQGHUIXO DQG LQVFUXWDEOH LQ LWV PHWKRGV WKDQ SRHWU\ RU DQ\ RWKHU PRGH RI GHYHORSLQJ WKH EHDXWLIXO"f 0RUH IUHTXHQWO\ KH KDQGV WKH ODXUHO WR WKH SRHW ,W LV WKLV WKDW DOO WKH DUWV KDYH LQ FRPPRQM LW LV WKH VWULYLQJ WRZDUG WKH EHDXWLIXO ZKLFK WLHV WKH ERQG RI EURWKHUKRRG ,W VKRXOG EH UHPHPEHUHG WKDW +DZWKRUQHnV FRQFHSWLRQ RI fEHDXW\ HOHYDWHV LW DERYH PHUH VXUIDFH SUHWWLQHVVf§WKDW EHDXW\ LQ WKLV ZRUOG LV EXW D KDUELQJHU RI D UHDOLW\ RU VSLULWXDOLW\ ZKLFK LV \HW WR FRPH $ VWDWXH D SRHP RU D SDLQWLQJ ZKLFK GRHV QRW PRYH WRZDUG WKH EHDXWLIXO KDV QR ZRUWK DQG ZHUH EHWWHU OHIW XQGRQH $Q REVHUYHU QHHGV WR EH DORQH ZLWK DQ DUW REMHFW LQ RUGHU WR FRPPXQLFDWH ZLWK LW RQ LWV RZQ WHUPV ,W LV D WHUULEOH EXVLQHVV WKLV ORRNLQJ DW SLFWXUHV ZKHWKHU JRRG RU EDG LQ WKH SUHVHQFH RI WKH DUWLVWV ZKR SDLQW WKHP LW LV DV JUHDW D ERUH DV WR KHDU D SRHW UHDG

PAGE 142

KLV RZQ YHUVHVf ,W PD\ EH UHPHPEHUHG WRR WKDW +DZWKRUQH GRHV QRW DWWULEXWH LQWULQVLF PHULW WR WKH DQWLTXH (DFK JHQHUDWLRQ KDV LWV RZQ OLIH WR OHDGf§LWV RZQ SUREOHPV DQG DVSLUDWLRQV WR H[SUHVV )RUPV ZKLFK VSRNH IRUFLEO\ WR SDVW DJHV PD\ ZHOO KDYH ORVW WKHLU DELOLW\ WR VWLU WKH SUHVHQW ,Q SDLQWLQJ DV LQ OLWHUDWXUH VXVSHFW WKHUH LV VRPHWKLQJ LQ WKH SURGXFWLRQV RI WKH GD\ WKDW WDNHV WKH IDQF\ PRUH WKDQ WKH ZRUNV RI DQ\ SDVW DJHf§QRW JUHDWHU PHULW QRU QHDUO\ VR JUHDW EXW EHWWHU VXLWHG WR WKLV YHU\ SUHVHQW WLPH f f f %XW DV UHJDUGV WKH LQWHUSUHWDWLRQ RI WKLV RU RI DQ\ RWKHU SURIRXQG SLFWXUH WKHUH DUH OLNHO\ WR EH DV PDQ\ LQWHUSUHWDWLRQV DV WKHUH DUH VSHFWDWRUVf +DZWKRUQH VHWV IRUWK UHODWLYLVWLF WHQHWV LQ KLV FULWLFLVPV RQ WKH VHYHUDO DUWV 6SHFWDWRU RSLQLRQ LV KHOG WR EH UHODWLYH LQ UHJDUG WR HDFK DUW REMHFW $ ZRUN RI DUW FDQQRW GHPDQG RQH VWDQGDUG RSLQLRQ IURP LWV DXGLHQFH
PAGE 143

N 2QFH PRUH WKH PRQRWRQRXV SURFODPDWLRQ RI WKH VFDUFLW\ RI WUXH JHQLXV LV SUHVHQWHG 2QH SLFWXUH LQ WHQ WKRXVDQG SHUKDSV RXJKW WR OLYH LQ WKH DSSODXVH RI PDQNLQG IURP JHQHUDWLRQ WR JHQHUDWLRQ XQWLO WKH FRORUV IDGH DQG EODFNHQ RXW RI VLJKW RU WKH FDQYDV URW HQWLUHO\ DZD\ )RU WKH UHVW OHW WKHP EH SLOHG LQ JDUUHWV MXVW DV WKH WROHUDEOH SRHWV DUH VKHOYHG ZKHQ WKHLU OLWWOH GD\ LV RYHU ,V D SDLQWHU PRUH VDFUHG WKDQ D SRHW"f $V D ILQDO VWDWHPHQW RQ SDLQWLQJ WKH QRYHOLVW DGYDQFHV D WKHRU\ QRW XQOLNH RQH ODWHU KHOG E\ &URFH ,W LV VFDUFHO\ D QHZ LGHD HYHQ LQ L EXW +DZWKRUQH JLYHV LW D UHPDUNDEO\ IUHVK SKUDVHRORJ\ $ SLFWXUH KRZHYHU DGPLUDEOH WKH SDLQWHUnV DUW DQG ZRQGHUIXO KLV SRZHU UHTXLUHV RI WKH VSHFWDWRU D VXUUHQGHU RI KLPVHOI LQ GXH SURSRUWLRQ ZLWK WKH PLUDFOH ZKLFK KDV EHHQ ZURXJKW /HW WKH FDQYDV JORZ DV LW PD\ \RX PXVW ORRN ZLWK WKH H\H RI IDLWK RU LWV KLJKHVW H[FHOOHQFH HVFDSHV \RX 7KHUH LV DOZD\V WKH QHFHVVLW\ RI KHOSLQJ RXW WKH SDLQWHUfV DUW ZLWK \RXU RWR UHVRXUFHV RI VHQVLELOLW\ DQG LPDJLQDWLRQ 1RW WKDW WKHVH TXDOLWLHV VKDOO UHDOO\ DGG DQ\WKLQJ WR ZKDW WKH PDVWHU KDV HIIHFWHG" EXW WKH\ PXVW EH SXW VR HQWLUHO\ XQGHU KLV FRQWURO DQG ZRUN DORQJ ZLWK KLP WR VXFK DQ H[WHQW WKDW LQ D GLIIHUHQW PRRG ZKHQ \RX DUH FROG DQG FULWLFDO LQVWHDG RI V\PSDWKHWLF \RX ZLOO EH DSW WR IDQF\ WKDW WKH ORIWLHU PHULWV RI WKH SLFWXUH ZHUH RI \RXU RZQ GUHDPLQJ QRW RI KLV FUHDWLQJKf 7KH DXGLHQFH WKHQ PXVW IXOO\ XQORRVH LWV V\PSDWK\ DQG LWV LPDJLQDWLRQ LI LW LV WR GHULYH IXOO EHQHILW IURP DQ DUW ZRUN ,Q HDFK LQVWDQFH RI REVHUYDWLRQ WKH DUWLVWfV H[SHULHQFH LV KDUPRQLRXVO\ UHFUHDWHG LQ WKH FDSDEOH REVHUYHU ,W LV DW WKLV PRPHQW WKDW WKH SLFWXUH OLYHV 7KHUH LV OLWWOH HYLGHQFH WR LQGLFDWH WKDW +DZWKRUQH HYHU GHYHORSHG D OHDUQHG FULWLFDO VHQVH +H FRQWLQXHG LQ KLV RZQ ZD\ OLNLQJ WKDW ZKLFK DSSHDOHG WR KLP SHUVRQDOO\ DQG SD\LQJ VFDQW UHJDUG WR WKH FULWLFDO RSLQLRQV RI RWKHU PHQ RU RI WLPH LWVHOI ,Q ZKDWHYHU PDQQHU +DZWKRUQHnV DUW FULWLFLVPV IDLO WKH\ VXFFHHG LQ WKHLU YHU\ KRQHVW\ 7KHUH ZDV QR IHLJQHG DSSURYDO RI WKDW ZKLFK IDLOHG WR VWLU

PAGE 144

KLP LQGLYLGXDOO\ HYHQ WKRXJK KH UHDOL]HG WKDW D ODFN RI DSSURYDO PLJKW ZHOO EH LQWHUSUHWHG DV D ODFN RI WDVWH :KLOH WKH FRPPHQWDU\ RQ DUW SOD\V EXW RQH WXQH DQG LW D UDWKHU VLPSOH RQH LW SOD\V ZLWK WKH XWPRVW VLQFHULW\ 3RHWU\ $PRQJ WKH FUHDWRUV RI WKH DUWLVWLF LW LV WKH SRHW ZKR LV PRVW NHHQO\ LQ WXQH ZLWK D XQLYHUVDO EHDXW\ +H DERYH DOO WKH UHVW RI PDQNLQG LV FDSDEOH RI SHUFHLYLQJ EHDXW\ DQG RI JLYLQJ IRUP WR KLV SHUFHSWLRQ ,W LV KH ZKR GHOYHV EHQHDWK OLIHfV PDUEOH DQG PXG WR DUULYH DW D VWDEOH DQG VSLULWXDO VXEVWDQFH 7KRVH PHQ ZKR DUH OLPLWHG E\ WKHLU QDWXUHV IURP VHHLQJ EH\RQG WKH DSSDUHQW LQ QR ZD\ QHJDWH WKH YDOLGLW\ RI WKH SRHWfV YLVLRQ 6RPH LQGHHG WKHUH ZHUH ZKR WKRXJKW WR VKRZ WKH VRXQGQHVV RI WKHLU MXGJPHQW E\ DIILUPLQJ WKDW DOO WKH EHDXW\ DQG GLJQLW\ RI WKH QDWXUDO ZRUOG H[LVWHG RQO\ LQ WKH SRHWfV IDQF\ /HW VXFK PHQ VSHDN IRU WKHPVHOYHV ZKR XQGRXEWHGO\ DSSHDU WR KDYH EHHQ VSDZQHG IRUWK E\ QDWXUH ZLWK D FRQWHPSWXRXV ELWWHUQHVV VKH KDYLQJ SODVWHUHG WKHP XS RI KHU UHIXVH VWXII DIWHU DOO WKH VZLQH ZHUH PDGH $V UHVSHFWV DOO WKLQJV HOVH WKH SRHWfV LGHDO ZDV WKH WUXHVW WUXWKf ,Q OLIHfV KLHUDUFK\ WKH SRHW LV SODFHG E\ +DZWKRUQH RQO\ D OLWWOH EHORZ WKH DQJHOV :K\ DUH SRHWV VR DSW WR FKRRVH WKHLU PDWHV QRW IRU DQ\ VLPLODULW\ RI SRHWLF HQGRZPHQW EXW IRU TXDOLWLHV ZKLFK PLJKW PDNH WKH KDSSLQHVV RI WKH UXGHVW KDQGLFUDIWVPDQ DV ZHOO DV WKDW RI WKH LGHDO FUDIWVPDQ RI WKH VSLULW" %HFDXVH SUREDEO\ DW KLV KLJKHVW HOHYDWLRQ WKH SRHW QHHGV QR KXPDQ LQWHUFRXUVH EXW KH ILQGV LW GUHDU\ WR GHVFHQG DQG EH D VWUDQJHUf ,Q KLV IXQFWLRQ DV D VHHU D UHYHDOHU RI LQWHUQDO WUXWKV D SURSKHW WKH SRHW LV DERYH FRQWDFW ZLWK PHUH PRUWDOVr +LV KHLJKWV DUH FHOHVWLDO RQHV WKH WDVN ZKLFK KH DVVXPHV WKH PRVW QREOH RSHQ WR PDQNLQG
PAGE 145

HDFK PDQ LV WR VRPH GHJUHH D SRHW HVSHFLDOO\ LV WKLV WUXH RI WKH LPDJLQDWLYH EXW XQLQLWLDWHG \RXWK} 8QWLO WZHQW\ \HDUV RI DJH D \RXQJ PDQ PD\ LQGHHG EH UDWKHU EDVKIXO DERXW VKRZLQJ KLV SRHWU\ DQG KLV SURVH EXW IRU DOO WKDW KH LV SUHWW\ DSW WR WKLQN WKDW WKHVH YHU\ SURGXFWLRQV ZRXOG SODFH KLP DW WKH WLSWRS RI OLWHUDWXUH LI RQFH WKH\ FRXOG EH NQRZQf *UHDW DUW FDQQRW VSULQJf§DQ\ PRUH WKDQ WUXH YLUWXHf§IURP D FORLVWHUHG VWDWH ,W JURZV LQVWHDG RXW RI D PDWXUH DFFHSWDQFH RI OLIHf§QRW IURP DQ DFFHSWDQFH ZKLFK VWRSV ZLWK SDVVLYHQHVV EXW RXW RI RQH ZKLFK SXVKHV WR WKH OLPLWV RI KXPDQ SRWHQWLDO WKH VHDUFK IRU WKRVH KLGGHQ EHDXWLHV ZKLFK OLH MXVW EHQHDWK PDQfV ILQJHUWLSV DQG MXVW EH\RQG KLV YLVLRQ 2XU SDOH WKLQ
PAGE 146

DWPRVSKHUH RI OLIH :KDW RWKHU IDPH LV ZRUWK DVSLULQJ IRU" 2U OHW PH VSHDN LW PRUH EROGO\ ZKDW RWKHU ORQJHQGXULQJ IDPH FDQ H[LVW"f $OWKRXJK +DZWKRUQH PDNHV IHZ H[WUDYDJDQW FODLPV IRU WKH GDEEOHU LQ SURVH IRU WKH FRPSRVHU RI ILFWLRQV KH JLYHV HIIXVLYH SUDLVH WR WKH PHORGLRXV EHDXW\ RI JUHDW SRHWLF PDVWHUSLHFHV +H KROGV WKH SRHWfV LGHDO WR EH ORIWLHU WKDQ DOO RWKHUVf f,W LV IDU HDVLHU WR NQRZ DQG KRQRU D SRHW ZKHQ KLV IDPH KDV WDNHQ VKDSH LQ WKH VSRWOHVVQHVV RI PDUEOH WKDQ ZKHQ WKH DFWXDO PDQ FRPHV VWDJJHULQJ EHIRUH \RX EHVPHDUHG ZLWK WKH VRUGLG VWDLQV RI KLV GDLO\ OLIHff :KHQ WKH SRHW LV VHHQ LQ WKLV OLIHf§ZKHUH KH LV QHFHVVDULO\ FDXJKW XS LQ WKH WDUQLVKHG DFWXDOLWLHV RI WKH SK\VLFDOf§ KLV GLYLQLW\ LV VHOGRP DSSDUHQW
PAGE 147


PAGE 148

OHYHO ZLWK SRHWU\
PAGE 149

+DZWKRUQH QHYHU ZURWH KLV VHULRXV SLHFHV ZLWK JHQHUDO SRSXODULW\ DV D JRDO $Q DXWKRU PXVW ZULWH IRU WKRVH ZKR ZLOO XQGHUVWDQG KLP QRW IRU WKH JUHDW PXOWLWXGH $OO HOVH LV EXW KDFN ZRUN 7KH WUXWK VHHPV WR EH KRZHYHU WKDW ZKHQ KH FDVWV KLV OHDYHV IRUWK XSRQ WKH ZLQG WKH DXWKRU DGGUHVVHV QRW WKH PDQ\ ZKR ZLOO IOLQJ DVLGH KLV YROXPH RU QHYHU WDNH LW XS EXW WKH IHZ ZKR ZLOO XQGHUVWDQG KLP EHWWHU WKDQ PRVW RI KLV VFKRROPDWHV RU OLIHPDWHVf $ SUHWHUQDWXUDO UHDOP MXVW EH\RQG WKH SKHQRPHQDO RQH LV VXLWHG WR URPDQFH ZULWLQJ 0RRQOLJKW LQ D IDPLOLDU URRP IDOOLQJ VR ZKLWH XSRQ WKH FDUSHW DQG VKRZLQJ DOO LWV ILJXUHV VR GLVWLQFWO\f§PDNLQJ HYHU\ REMHFW VR PLQXWHO\ YLVLEOH \HW VR XQOLNH D PRUQLQJ RU QRRQWLGH YLVLELOLW\f§LV D PHGLXP WKH PRVW VXLWDEOH IRU D URPDQFHZULWHU WR JHW DFTXDLQWHG ZLWK KLV HOXVLYH JXHVWVf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f 2QFH D WUXWK LV DUULYHG DW WKHUH LV QR QHHG IRU DGGLWLRQDO HODERUDWLRQf§ WKH WUXWK DERXW VLQ IRU LQVWDQFH UHPDLQV XQFKDQJHG IURP ILUVW WR ODVW EXW WKH DLPV RI DUWf§EHDXW\ DQG UHDOLW\f§OHDG WKH PLQG HYHU RQZDUG

PAGE 150

6LQFH WUXWKV UHPDLQ HWHUQDOO\ WKH VDPH D YLJRURXV DQG LPDJLQDWLYH \RXWK PD\ SURSKHWLFDOO\ YRLFH WKH NQRZOHGJH ZKLFK DJH FRPHV WR NQRZ PRUH IXOO\ ,Q \RXWK PHQ DUH DSW WR ZULWH PRUH ZLVHO\ WKDQ WKH\ UHDOO\ NQRZ RU IHHO DQG WKH UHPDLQGHU RI OLIH PD\ EH QRW LGO\ VSHQW LQ UHDOL]LQJ DQG FRQYLQFLQJ WKHPVHOYHV RI WKH ZLVGRP ZKLFK WKH\ XWWHUHG ORQJ DJR 7KH WUXWK WKDW ZDV RQO\ LQ WKH IDQF\ WKHQ PD\ KDYH VLQFH EHFRPH D VXEVWDQFH LQ WKH PLQG DQG KHDUWf 5RPDQFH ZDV RI VSHFLDO FRQFHUQ 5RPDQFH DQG SRHWU\ LY\ OLFKHQV DQG ZDOOIORZHUV QHHG UXLQ WR PDNH WKHP JURZf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

PAGE 151

8 PHff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f )RU WKLV DQG RWKHU UHDVRQV ZULWLQJ QHYHU FHDVHG WR EH KDUG ZRUN IRU +DZWKRUQH $W WLPHV WKH FRPSRVLWLRQDO FKRUH EHFDPH DOPRVW WRR GLIILFXOW 7KH IDFW LV KDYH D QDWXUDO DEKRUUHQFH RI SHQ DQG LQN DQG QRWKLQJ VKRUW RI DEVROXWH QHFHVVLW\ GULYHV PH WR WKHPfLf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fV IDPLO\ DQG IULHQGV DQG ODVWO\ WKH VROLG FDVKAf 7KH VHQVH RI DFKLHYHPHQW DQG VDWLVIDFWLRQ DFFRPSDQ\LQJ WKH ZULWLQJ RI WKH QRYHOV DQG WDOHV DORQJ ZLWK D ORYH IRU 6RSKLD DQG WKH FKLOGUHQ YHU\ SUREDEO\ FRQVWLWXWHG +DZWKRUQHfV JUHDWHVW SOHDVXUHV

PAGE 152

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ff +DZWKRUQH UHDGLO\ DGPLWV KLV IDWH KLV SHFXOLDU GHVWLQ\ WR JR RQ ZULWLQJ VR ORQJ DV KH LV SK\VLFDOO\ DQG PHQWDOO\ DEOH
PAGE 153

OHDVW WKRXJKW KDGf" 7KH WUXWK LV WKDW D +DZWKRPLDQ DOOHJRU\ EHJLQV DQG HQGV LQ D SUHWHUQDWXUDO UHDOP DQG WKDWLW LV SHUPDQHQWO\ IL[HG LQ D VWDWH RI VXJJHVWLELOLW\ 7KHUH LV QR QHHG IRU D FRPSOHWH DQG FROG PHDQLQJ 7KH DYHUVLRQ WR SXEOLF ZRPHQ ZKR GLVSOD\ WKHLU QDWDO PLQGV LV PRUH XQGHUVWDQGDEOH ZKHQ UHODWHG WR +DZWKRUQH r V RZQ UHVHUYH 6R IDU DV DP D PDQ RI UHDOO\ LQGLYLGXDO DWWULEXWHV YHLO P\ IDFH QRU DP QRU KDYH HYHU EHHQ RQH RI WKRVH VXSUHPHO\ KRVSLWDEOH SHRSOH ZKR VHUYH XS WKHLU RZQ KHDUWV GHOLFDWHO\ IULHG ZLWK EUDLQ VDXFH DV D WLGELW IRU WKHLU EHORYHG SXEOLFf (YHQ WKRXJK WKH DXWKRU GRHV QRW UHYHDO KLPVHOI LQ D VHQWLPHQWDO ZD\ RU ZULWH RI KLV OLIH LQ WKH PDQQHU RI D %\URQ WKLV PXFK LV FHUWDLQ KH GRHV PDNH KLV SHUVRQDO WKRXJKW WKH IDEULF RI DOO WKDW KH ZULWHV DQG LQ DGGLWLRQ WR WKH VXEWOH ZD\V LQ ZKLFK KH FORDNV KLV WKRXJKW LQ ILFWLRQ KH IUHTXHQWO\ UHYHDOV KLV PHQWDO DQG HPRWLRQDO EHLQJ LQ D VHULHV RI SHUVRQDO REVHUYDWLRQV DQG DIILUPDWLRQV ,W KDV EHHQ QRWHG WKDW +DZWKRUQH GLG QRW VWULYH IRU SRSXODULW\f§ WKDW KH ZDV OLWWOH FRQFHUQHG ZLWK LW DQG WKDW KH ZDV IUHTXHQWO\ XQLPSUHVVHG E\ WKRVH ZKR KDG DFKLHYHG LW LI\ RZQ RSLQLRQ LV WKDW DP QRW UHDOO\ D SRSXODU ZULWHU DQG WKDW ZKDW SRSXODULW\ KDYH JDLQHG LV FKLHIO\ DFFLGHQWDO DQG RZLQJ WR RWKHU FDXVHV WKDQ P\ RZQ NLQG RI GHJUHH RI PHULW f +H NQHZ ZHOO HQRXJK WKDW KLV RZQ ZRUNV ZHUH WRR VRPEHU WR HYHU EH SRSXODUM WKDW WKH\ WHQGHG WR YRLFH WUXWKV ZKLFK PDQNLQG ZDV QRW IRQG RI KHDULQJ ,I ZHUH WR PHHW ZLWK VXFK ERRNV DV PLQH E\ DQRWKHU ZULWHU GRQnW EHOLHYH VKRXOG EH DEOH WR )LHOGV
PAGE 154

JHW WKURXJK WKHPff +DZWKRUQH ZURWH IURP FRPSXOVLRQ EXW UHDG IRU UHOD[DWLRQ +H SUHIHUUHG IRU KLV RZQ SOHDVXUH WR SLFN XS WKH ZKROHVRPH QRYHOV RI D 6FRWW RU D 7UROORSH ,W LV QRW VWUDQJH WKDW RQH ZKR ZURWH VR KHDYLO\ VKRXOG HQMR\ FRPSDUDWLYHO\ OLJKWHU UHDGLQJ LQ KLV IUHH PRPHQWV :KHQ ZULWLQJ WR )LHOGV IURP ,KJODQG DV ODWH DV L +DZWKRUQH VWLOO FKHULVKHG WKH GHOXVLRQ WKDW KH PLJKW VRPHGD\ VWULNH D FKHHUIXO QRWH f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f ,W ZDV D FU\ SUHGHVWLQHG WR UHPDLQ XQDQVZHUHG ,I KH VRPHWLPHV ZLVKHG WKDW KH FRXOG ZULWH RWKHUZLVH WKDQ KH GLG KH ZDV TXLWH FRQYLQFHG WKDW WKLV ZDV QRW WR EH 7UXH SDWKRV LV IRXQG LQ WKH QRYHOLVWfV UHFRJQLWLRQ WKDW WKH ,ELG S A%HUWKD )DXVW +DZWKRUQHV &RQWHPSRUDQHRXV 5HSXWDWLRQ 3KLODGHOSKLD f S OLL f

PAGE 155

DELOLW\ WR ZULWH KDG DW ORQJ ODVW GHVHUWHG KLP
PAGE 156

7DVWH -XVW DV VRFLHW\ ZDV DWWDFNHG IRU LWV VXSHUILFLDOLW\ HYHQ VR LV WDVWH FRQGHPQHG IRU WKH VDPH IDLOLQJ 7DVWH LV FXOWLYDWHG OHWWHUHG PDQFUHDWHG $Q\RQH FDQ DFTXLUH WDVWHf§SURYLGHG KH H[HUW WKH SURSHU DPRXQW RI HIIRUWf§LQ PXFK WKH VDPH ZD\ WKDW RQH OHDUQV WDEOH PDQQHUV \HW WKH DFTXLVLWLRQ VHHPV KDUGO\ ZRUWKZKLOH WR RQH ZLWK +DZWKRUQHUV XQSUHWHQWLRXV DSSURDFK WR OLIH +DZWKRUQH ZDV D VLPSOH SHUVRQ LQ PDQ\ ZD\Vf§DW KHDUW D IDPLO\ PDQ KH ZDV VFDUFHO\ D FRQQRLVVHXU ,I KH GLG QRW OLNH VRPHWKLQJf§RSHUD IRU LQVWDQFHf§KH UHVHQWHG WKH GXSOLFDWLRQ WKDW KH ZDV GHILFLHQW LQ JRRG WDVWH 'RXEWOHVV VKDOO EH DEOH WR SDVV IRU D PDQ RI WDVWH E\ WKH WLPH UHWXUD WR $PHULFD ,W LV DQ DFTXLUHG WDVWH OLNH WKDW IRU ZLQHVM DQG TXHVWLRQ ZKHWKHU D PDQ LV UHDOO\ DQ\ WUXHU ZLVHU RU EHWWHU IRU SRVVHVVLQJ LWf 7KH VKHHU ODERU LQYROYHG LQ FXOWLYDWLQJ RQHnV WDVWH FDXVHV +DZWKRUQH WR TXHVWLRQ ZKHWKHU RU QRW WKH HQG UHVXOW LV ZRUWK WKH HIIRUW ,I WKH DFTXLVLWLRQ LV GLIILFXOW LW LV VRPHZKDW UHZDUGLQJ LQ WKDW LW RSHQV WKH ZD\ WR D SHUFHSWLRQ RI KLJKO\ UHILQHG EHDXWLHV 0RXQWLQJ D IHZ VWHSV KLJKHU RQH VHHV EHDXWLHV %XW KRZ PXFK VWXG\ KRZ PDQ\ RSSRUWXQLWLHV DUH UHTXLVLWH WR IRUP DQG FXOWLYDWH D WDVWHOf $IWHU VRPH GHOLEHUDWLRQ WKH PRUDOLVW FRPHV WR WKH FRQFOXVLRQ WKDW WDVWH LV QRW QHFHVVDULO\ UHODWHG WR PRUDOLW\ 7DVWH VHHPV WR EH D GHSDUWPHQW RI PRUDO VHQVH DQG \HW LW LV VR OLWWOH LGHQWLFDO ZLWK LW DQG VR OLWWOH LPSOLHV FRQVFLHQFH WKDW VRPH RI WKH ZRUVW PHQ LQ WKH ZRUOG KDYH EHHQ WKH PRVW UHILQHG QOrf 7KH DUWLILFLDO RU

PAGE 157

LQWHOOHFWXDO WRQH RI WDVWH VXIILFLHQWO\ H[SODLQV WKH DSSDUHQW DPRUDOLW\ $ JHQXLQH ORYH RI SDLQWLQJ DQG VFXOSWXUH DQG SHUKDSV RI PXVLF VHHPV RIWHQ WR KDYH GLVWLQJXLVKHG PHQ FDSDEOH RI HYHU\ VRFLDO FULPH DQG WR KDYH IRUPHG D ILQH DQG KDUG HQDPHO RYHU WKHLU FKDUDFWHUV 3HUKDSV LW LV EHFDXVH VXFK WDVWHV DUH DUWLILFLDO WKH SURGXFW RI FXOWLYDWLRQ DQG ZKHQ KLJKO\ GHYHORSHG LPSO\ D JUHDW UHPRYH IURP QDWXUDO VLPSOLFLW\f 7KXV LW LV DV ZLWK WKH VRFLDO RUGHU WKDW WKH IXUWKHU PDQ UHPRYHV KLPVHOI IURP WKH VLPSOH ZKLVSHULQJ RI KLV KHDUW WKH PRUH FRUUXSW KLV FRQWULYDQFHV 7KHUH LV D GLVWLQFW SRVVLELOLW\ WKDW +DZWKRUQH IHOW KLPVHOI ODFNLQJ LQ ZKDW ZDV FRPPRQO\ WKRXJKW RI DV f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fV HYDOXDWLRQ RI WDVWH DQG VRFLHW\ LV WR EH LQWHUSUHWHG DV WKH RXWJURZWK RI D IHHOLQJ RI VRFLDO LQIHULRULW\ WKHQ LW DVVXUHGO\ ZRUNHG LWVHOI RXW RQ D VXEFRQVFLRXV OHYHO 7KH GLDWULEH RQ WDVWH LV EHWWHU XQGHUVWRRG LQ LWV UHODWLRQVKLS WR WKH WRWDO +DZWKRPLDQ WKRXJKW ZRUOG 7DVWH DV WKH QRYHOLVW VDZ LW ZDV D VXSHUILFLDO OHDUQHG DFFRPSOLVKPHQW SRVVLEOH WR DOO PHQ ,W ZDV QRW PRUDO QHLWKHU ZDV LW LQWXLWLYH ,W RSHUDWHG LQVWHDG XQGHU PDQnV ODZ RI WKH KHDG ,W KDG QRQH RI WKH PDWWHU RI WKH KHDUW DERXW LW LW KDG QR VSLULWXDO YDOXH

PAGE 158

7DOHQW DQG *HQLXV
PAGE 159

,62 LQGLYLGXDO LQ WKHLU QDWXUH $ WUXWK LV QRW D IDFW WR EH OHDUQHG DV PXFK DV LW LV WKH UHYHODWLRQ RI WKDW ZKLFK WKH SHUFHLYHU SUHYLRXVO\ NQHZ EXW ZDV LQFDSDEOH RI H[SUHVVLQJ +HQFH JHQLXV LQ LWV SULPDU\ IRUP PD\ EH WKRXJKW RI DV WKH NQDFN RI JLYLQJ IRUP LQ VRPH ZRUWKZKLOH PHGLXP WR XQLYHUVDO NQRZOHGJH +DZWKRUQHfV DSSUDLVDO RI JHQLXV UHSHDWV IRU WKH PRVW SDUW WKH VDPH UHIUDLQ ZKLFK KH SOD\HG RYHU DQG RYHU ZKHQ FULWLFL]LQJ SDLQWLQJ 7KHUH LV YHU\ OLWWOH WDOHQW LQ WKLV ZRUOG DQG ZKDW WKHUH LV LW VHHPV WR PH LV SUHWW\ ZHOO NQRZQ DQG DFNQRZOHGJHG :H GRQfW RIWHQ VWXPEOH XSRQ JHQLXVHV LQ REVFXUH FRUQHUVf :HVWPLQVWHU $EEH\ PDNHV PH IHHOf§QRW KRZ PDQ\ JUHDW ZLVH ZLWW\ DQG EULJKW PHQ WKHUH DUHf§EXW KRZ YHU\ IHZ LQ DQ\ DJH DQG KRZ VPDOO D KDUYHVW RI WKHP IRU DOO WKH DJHVf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f 2QO\ *RG LV EH\RQG WLPH 7KH JUHDWHVW RI PDQnV DFFRPSOLVKPHQWV LQ DUW DUH HYHQWXDOO\ ORVW LQWR WLPHM WKH JUHDW LPPRUWDO QDPHV HYHQ WKH SRHWnV VDFUHG QDPH DUH QR ORQJHU VRXQGHG 7KH $XGLHQFH $UW KDV QR H[LVWHQFH DSDUW IURP LWV DXGLHQFH $ SDLQWLQJ D

PAGE 160

6 SRHP D QRYHO DFKLHYHV QR ILQDOLW\ LQ LWV SULQWHG IRUP QRU LV LW OLPLWHG E\ WKH LQWHQWLRQV RI WKH DUWLVW ‘ZKR FUHDWHG LW $UW FRPHV DOLYH RQO\ ZKHQ LW LV SHUFHLYHG DQG UHDFKHV LWV SRWHQWLDO WR YDU\LQJ GHJUHHV LQ WKH PLQG DQG KHDUW RI LWV SHUFHLYHU %,W VHHPV WR PH WKDW D ZRUN RI DUW LV HQWLWOHG WR FUHGLW IRU DOO WKDW LW PDNHV XV IHHO LQ RXU EHVW PRPHQWVM DQG ZH PXVW MXGJH RI LWV PHULWV E\ WKH LPSUHVVLRQ LW WKHQ PDNHV DQG QRW E\ WKH FROGQHVV DQG LQVHQVLELOLW\ RI RXU OHVV JHQLDO PRRGVff 7KH EHVW WKDW RQH PD\ GLVFRYHU DW KLV KLJKHVW PRPHQWV LV SRWHQWLDO LQ DQG EHORQJV WR WKH SLHFH RI DUW XQGHU FRQVLGHUDWLRQ ,W LV QRW VR PXFK WKHQ ZKDW WKH DUWLVW KDV FRQVFLRXVO\ SXW LQWR KLV FUHDWLRQ WKDW OLPLWV LWV SRVVLELOLWLHV EXW UDWKHU ZKDW WKH DXGLHQFH LV DEOH WR ILQG WKHUHLQ 7KLV LV QRW WR LPSO\ WKDW LQIHULRU ZRUN KDV D FODLP WR JHQLXV $OO H[FHOOHQFH ZKLFK LV WR EH IRXQG LQ DUW FRPHV RULJLQDOO\ IURP WKH DUWLVW KLPVHOI EXW WKH OLPLW RI ZKDW LV WR EH IRXQG LV IL[HG E\ WKH DXGLHQFH $ ULFK SLHFH RI DUW WKURZQ RSHQ WR D KLJKO\ LPDJLQDWLYH DXGLHQFH LV DOPRVW LQILQLWH LQ LWV SRWHQWLDO 6LQFH DUW ZRUN LV GHSHQGHQW RQ DXGLHQFH UHVSRQVH WKH ULFKHU WKH DUWLVWfV FUHDWLRQ WKH JUHDWHU WKH YDULHW\ RI WKDW UHVSRQVH 7KHUH LV QR GRXEW WKDW WKH SXEOLF LV WR D FHUWDLQ H[WHQW ULJKW DQG VXUH RI LWV JURXQG ZKHQ LW GHFODUHV WKURXJK D VHULHV RI DJHV WKDW D FHUWDLQ SLFWXUH LV D JUHDW ZRUN ,W LV VRM D JUHDW V\PERO SURFHHGLQJ RXW RI D JUHDW PLQGM EXW LI LW PHDQV RQH WKLQJ LW VHHPV WR PHDQ D WKRXVDQG DQG RIWHQ RSSRVLWH WKLQJVf %HFDXVH RI LWV YHU\ GHSWKV JUHDW DLG LV UHODWLYH ,W FRQWDLQV D YDULHW\ RI PHVVDJHV IRU HDFK DQG DOO PDQNLQG ,I WKH WUXWK DQG EHDXW\ HPEHGGHG LQ D PDVWHUSLHFH EH DEVROXWHf§WKDW LV LQ H[LVWHQFH IRU DOO

PAGE 161

PDQNLQGf§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
PAGE 162

WKH QH[W GDPSHQHG KLV HQWKXVLDVP IRU OLWHUDU\ LPPRUWDOLW\ m/LNH DOO UHYHODWLRQV RI WKH EHWWHU OLIH WKH DGHTXDWH SHUFHSWLRQ RI D JUHDW ZRUN RI DUW GHPDQGV D JLIWHG VLPSOLFLW\ RI YLVLRQf 0HGLXPV RI DUW UHYHODWLRQ DUH HOHPHQWDO RQHV $UW PRYHV IURP LWV FDQYDV VWRQH RU SULQWHG SDJH LQWR LWV DXGLHQFH SULPDULO\ WKURXJK WKH KHDUW 7KH SURFHVV LV ERWK VLPSOH DQG XQDIIHFWHG IRU DUW UHYHDOV LWVHOI LQ WKH PDQQHU RI UHOLJLRQ DQG ORYH 1R DPRXQW RI DXGLHQFH LQWHOOHFWXDOLW\ ZLOO KXUU\ LWV FRXUVH ,QWHOOLJHQFH ZKLOH LW GHWHUPLQHV WKH UDQJH RI RQHnV FRPSUHKHQVLRQ DIIHFWV EXW OLWWOH WKH TXDOLW\ RI LW 7KXV LW LV WKDW DQ XQOHWWHUHG VRXO PLJKW ILQG DV PXFK RU PRUH LQ D JLYHQ PDVWHUSLHFH DV WKH PRVW ZLGHO\ SXEOLFL]HG DUW FULWLFM HYHQ WKRXJK KH FRXOG QRW H[SUHVV LQ ZRUGV ZKDW KDG EHHQ IHOW DQG VHHQ WKH SHUFHSWLRQ RI WKH XQOHDUQHG REVHUYHU LV HTXDOO\ YDOLG $UWnV DXGLHQFH LV QRW WR EH OLJKWO\ GLVPLVVHG
PAGE 163

L%K WKH WLPH ZKHQ KH IHOW KLPVHOI WR EH WKH PRVW XQNQRZQ PDQ RI OHWWHUV LQ $PHULFD IDPH ZDV ORRNHG XSRQ FRQWHPSWXRXVO\ 7KH VHFXUHVW IDPH LV WKDW ZKLFK FRPHV DIWHU D PDQnV GHDWKf ,Q WUXWK IDPH ZDV EXW LQFLGHQWDO WR D +DZWKRUQH SOHGJHG WR DQG JXLGHG W\ KLV RZQ VHW RI LGHDO VWDQGDUGV $V IRU IDPH LW LV EXW OLWWOH PDWWHU ZKHWKHU ZH DFTXLUH LW RU QRWf ,I +DZWKRUQH HYHU QXUWXUHG D GHVLUH WR EHFRPH IDPRXV LQ WKH H\HV RI WKH SRSXODFH KH QHYHU OHW LW EH NQRZQ OLNH DQ\ DXWKRU KH ZDQWHG SHRSOH WR UHDG KLV ERRNV ZDQWHG WKRVH ERRNV WR VHOO EXW IDPH LWVHOI ZDV ORRNHG XSRQ DV WKH PRVW VXSHUILFLDO RI OLWHUDU\ JRDOV $IWHU IDPH IRXQG LWV ZD\ WR WKH QRYHOLVW LQ OL! KH EHJDQ WR SD\ PRUH DWWHQWLRQ WR LW EXW QHYHU DFWXDOO\ FKDQJHG KLV RSLQLRQ RI LWV KROORZQHVV $ PDQf§SRHW SURSKHW RU ZKDWHYHU KH PD\ EHf§UHDGLO\ SHUVXDGHV KLPVHOI RI KLV ULJKW WR DOO WKH ZRUVKLS WKDW LV YROXQWDULO\ WHQGHUHGf :KDWHYHU IDPH LQFLGHQWDOO\ FRPHV WKH DUWLVW PD\ ZLOOLQJO\ DFFHSW EXW DW WKH VDPH WLPH KH VKRXOG UHDOL]H WKDW WKH DFTXLVLWLRQ RI IDPH LV QRW LQ KLV SRZHU DQG WKDW ZKHWKHU RU QRW SRSXODULW\ HYHU FRPHV LV RI OLWWOH FRQVHTXHQFH :KDW QRQVHQVH LW LV WKLV FDUH RI RXUV IRU JRRG IDPH RU EDG IDPH DIWHU GHDWK ,I LW ZHUH RI WKH VOLJKWHVW UHDO PRPHQW RXU UHSXWDWLRQV ZRXOG KDYH EHHQ SODFHG E\ 3URYLGHQFH PRUH LQ RXU RZQ SRZHU DQG OHVV LQ RWKHU SHRSOHnV WKDQ WKH\ QRZ DUHf 1R PDWWHU KRZ PDQ PD\ FRXUW IDPH VKH PD\ GHQ\ KHU KDQGM \HW LI KH WXUQ KLV EDFN RQ KHU VKH LV DSW WR VHHN KLP RXW 7R +RUDWLR %ULGJH +DZWKRUQH GLVSDUDJHV WKH SRSXODU DFFODLP ZKLFK KH KDG EHJXQ WR UHFHLYH E\ OI!O 7KH EXEEOH UHSXWDWLRQ LV DV PXFK D EXEEOH LQ OLWHUDWXUH DV LW LV LQ ZDU DQG VKRXOG QRW EH RQH ZKLW WKH KDSSLHU LI PLQH ZHUH ZRUOGZLGH DQG ORQJWLPH WKDQ ZDV ZKHQ QRERG\ EXW \RXUVHOI KDG

PAGE 164

IDLWK LQ PH 6WLOO WKH UHFRJQLWLRQ JLYHQ WR DQ DXWKRU EROVWHUV KLV WLUHG VSLULWV $V DJH LQFUHDVHV DV WKH UDQJH RI SOHDVXUH LV QDUURZHG ZRUGV RI FRPPHQGDWLRQ EHJLQ WR FDUU\ D JUHDWHU ZDUPWK
PAGE 165

WKRXJKW DQG UHWXUQV WKHP WR PDQNLQG LQ WKH IRUP RI DUW $V RQH ZKR GZHOOV RXWVLGH DQG DERYH WKH FLUFOH KH DGPLQLVWHUV WR KXPDQLW\ IURP KLV GLYLQH SULHVWKRRG %XW ZKDW PRUH VSHFLILFDOO\ LV WKH LGHDO RI DUW" :KHQ WKH DUWLVW URVH KLJK HQRXJK WR DFKLHYH WKH EHDXWLIXO WKH V\PERO E\ ZKLFK KH PDGH LW SHUFHSWLEOH WR PRUWDO VHQVHV EHFDPH RI OLWWOH YDOXH LQ KLV H\HV ZKLOH KLV VSLULW SRVVHVVHG LWVHOI LQ WKH HQMR\PHQW RI WKH UHDOLW\,f ,I WKH SHUFHSWLRQ RI EHDXW\ LV D UHDOLW\ LI LW LV WKH VXSUHPH GHVWLQ\ RI DUW WR IDVKLRQ EHDXW\ WKHQ EHDXW\ LV XQGHQLDEO\ VSLULWXDO +DZWKRUQHfV XQLYHUVH LV WKLFNO\ SHRSOHG ZLWK VSLULWXDO HVVHQFHV ZKLFK RIWHQ SDVV XQGHU GLIIHUHQW ODEHOV 5HDOLW\ IRU LQVWDQFH LV NQRZQ DV D VSLULWXDO VXEVWDQFH HPEHGGHG LQ GHFHSWLYHO\ FRQFUHWH H[WHULRUV :KHQ UHIOHFWLQJ RQ EHDXW\ +DZWKRUQH WKLQNV DJDLQ RI D VSLULWXDO VWUHDP IORZLQJ EHKLQG WKH DSSDUHQW RQH 7KH DFWXDO WKH VSLULWXDO WKH EHDXWLIXO DUH LQH[WULFDEO\ FRQIXVHG IRU WKH\ DUH LQ IDFW LGHQWLFDO LQ WKHLU ILEHU ,W LV RQO\ LQ FRQWH[W WKDW WKH\ FRPH WR KDYH GLIIHUHQW VLJQLILFDWLRQVf§GLIIHUHQW VKDGHV DQG WRQHV &OXVWHUHG DEVWUDFWLRQV WKRXJK DGPLWWHGO\ LOOGHILQHG DUH FHQWUDO WR DOO WKDW +DZWKRUQH WKRXJKW DQG IHOW /LNH 6RSKRFOHV +DZWKRUQH DLPHG DW DQ LGHDOL]DWLRQ ZKLFKZDV QRW D EHDXWLIXO UHDOP RI HVFDSH IURP DFWXDOLW\ EXW ZDV DFWXDOLW\ VKDSHG VR WKDW LW ZDV XQLYHUVDO WUXWK 6KRXOG DQ DUWLVW DFFHSW WKH FKDOOHQJH RI KLV LGHDO KH ZLOO VRRQ ILQG KLPVHOI LQ FRQWLQXDO FRQIOLFW ZLWK WKH UXGH SUDFWLFDOLWLHV RI GDLO\ H[LVWHQFH FKDUOHV + )RVWHU +DZWKRUQHfV /LWHUDU\ 7KHRU\ 38/$ /9,, r

PAGE 166

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f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f 7KDW EHDXW\ ZKLFK LV VKDSHG IURP WKH FRPSOH[ WLFNLQJV RI KXPDQ OLIH LWVHOI VXUSDVVHV DOO RWKHU DUWLVWLF DFKLHYHPHQWV ,W LV QRW ZHOO WR EH VR SHUIHFW LQ WKH LQDQLPDWH XQOHVV WKH DUWLVW FDQ OLNHZLVH PDNH PDQ DQG ZRPDQ DV OLIHOLNHf§DQG WR DV JUHDW D GHSWK WRRf§DV WKH &UHDWRU GRHVOLf
PAGE 167

WRWDO RULHQWDWLRQ WR OLIH RI ZKLFK EHDXW\ LV EXW D VKLQLQJ FRPSRQHQW WKH QRYHOLVW PLJKW ZHOO EH PLVXQGHUVWRRG DV EHLQJ IDU PRUH RI D GLVFLSOH WR EHDXW\ WKDQ KH DFWXDOO\ ZDV &HUWDLQ (QJOLVK FULWLFV RI WKH WK &HQWXU\ KDG HDJHUO\ DFFHSWHG QDWXUHn DV D ODZ JLYHU +DZWKRUQH ZLWK KLV *RWKLF WHPSHUDPHQW IRXQG WKH GLFWXPV RI WKH 1HR&ODVVLFLVWV WR EH UDWKHU FROG DQG VWLOWHG :KHQ VSHDNLQJ RI QDWXUH KH XVHV WKH WHUP LQ D URPDQWLF DSSOLFDWLRQ 1DWXUH DQG WKDW ZKLFK LV FRQJUXHQW WR QDWXUH LV XQDIIHFWHG XQDUWLILFLDO DQG XQFRGLILHG 1DWXUH LV ERWK D SK\VLFDO SUHVHQFH DQG D SULPDO VSLULW %XW GR QRW WKLQN FDQ EH GULYHQ RXW RI WKH LGHD WKDW D SLFWXUH RXJKW WR KDYH VRPHWKLQJ LQ FRPPRQ ZLWK ZKDW WKH VSHFWDWRU VHHV LQ 1DWXUHAf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f ,I DQ DUWLVW PD\ QRW ILQG V\PSDWK\ DQG IULHQGVKLS DPRQJ PHQ RI LGHQWLFDO LGHDOV ZKHUH WKHQ PD\ KH ORRN ,I DQ\ZLVH LQWHUHVWHG LQ DUW D PDQ PXVW EH GLIILFXOW WR SOHDVH ZKR FDQQRW ILQG ILW FRPSDQLRQVKLS DPRQJ D FURZG RI SHUVRQV ZKRVH LGHDV DQG SXUVXLWV DOO WHQG WRZDUGV WKH JHQHUDO SXUSRVH RI HQODUJLQJ WKH ZRUOGnV VWRFN RI

PAGE 168

EHDXWLIXO SURGXFWLRQVf8f $OWKRXJK +DZWKRUQH GLG QRW FKRRVH KLV ZDUPHVW IULHQGV IURP DPRQJ WKH DUW IROGf§PHQ OLNH %ULGJH DQG 3LHUFH ZHUH PRUH WR KLV OLNLQJf§ VWLOO KH WRRN GHOLJKW LQ GHIHQGLQJ WKH VDQFWLW\ RI DQ DUWLVWLF EURWKHUKRRGr ,Q 8 MXVW DIWHU WKH QRYHOLVW KDG EHHQ XQMXVWO\ DFFXVHG RI ZULWLQJ SROLWLFDO DUWLFOHV IRU 7KH 6DOHP $GYHUWLVHUr KH KDG ZULWWHQ LQ VSLULWHG OHWWHU WR /RQJIHOORZ ,I WKH\ VXFFHHG LQ JHWWLQJ PH RXW RI RIILFH ZLOO VXUHO\ LPPRODWH VRPH RI WKHP f f 7KLV ZLOO GR QRW DV DQ DFW RI LQGLYLGXDO YHQJHDQFH EXW LQ \RXU EHKDOI DV ZHOO DV PLQH EHFDXVH WKH\ ZLOO KDYH YLRODWHG WKH VDQFWLW\ RI WKH SULHVWKRRG WR ZKLFK ZH ERWK LQ GLIIHUHQW GHJUHHV EHORQJK 7KH SXUVXLW RI WKH DUWLVWfV LGHDO LV QHYHU DQ HPSW\ RQH 1R PDWWHU KRZ IDU VKRUW RI KLV JRDO D PDQ PD\ IDOO LW LV EHWWHU WR KDYH PDGH WKH HIIRUW ,Q ULVLQJ IDU DERYH WKH DQLPDO VWDWH RI H[LVWHQFH LQ ULVLQJ VOLJKWO\ DERYH WKDW RI WKH KXPDQ VWDWH WKH DUWLVW GHULYHV IDU PRUH IURP OLYLQJ KRZHYHU EULHI DQG VHHPLQJO\ IXWLOH KLV OLIH PD\ EH WKDQ WKH DYHUDJH FLWL]HQ 7KLV VXQQ\ VKDGRZ\ EUHH]\ ZDQGHULQJ OLIH LQ ZKLFK KH VHHNV IRU EHDXW\ DV KLV WUHDVXUH DQG JDWKHUV IRU KLV ZLQWHUfV KRQH\ ZKDW LV EXW D SDVVLQJ IUDJUDQFH WR DOO RWKHU PHQ LV ZRUWK OLYLQJ IRU FRPH DIWHUZDUGV ZKDW PD\ (YHQ LI KH GLH XQUHFRJQL]HG WKH DUWLVW KDV KDG KLV VKDUH RI HQMR\PHQW DQG VXFFHVV8"f ,GHDOV ZHUH DFWXDOLWLHV WR +DZWKRUQH ,QGHHG LW LV HYLGHQW RQ DOPRVW HYHU\ SDJH RI KLV ZRUNV WKDW QRW VLPSO\ EHDXW\ EXW D EHDXW\ WKDW ZDV WUXWK ZDV WKH JRDO RI KLV DUW LW LV WKH XOWLPDWH DLP RI DUW WR JLYH WUXWK DQG WR EH EHDXWLIXO ,Q RUGHU WR DFFRPSOLVK WKLV DLP 6DPXHO /RQJIHOORZ /LIH RI +r : /RQJIHOORZ + !&KDUOHV + )RVWHU +DZWKRUQHfV /LWHUDU\ 7KHRU\ 30/$ /9+ LW

PAGE 169

WR DQ\ GHJUHH WKH DUWLVW PXVW GHDO ZLWK WKDW ZKLFK LV VSLULWXDOr WLKHQ KH OLIWV KLPVHOI WR ZRUN RQ WKH KLJKHU SODQHV WKH DUWLVW PD\ H[SHULHQFH PRUH LQ D PRPHQW WKDQ PRVW PHQ LQ D OLIHWLPHM IRU LW LV LQ ORRVLQJ KLPVHOI LQWR VSLULWXDO VXEVWDQFHV WKDW D PDQ ILQGV KLPVHOIr 7KH YLVLRQ RU NQRZOHGJH RI DQ LQQHU DFWXDOLW\ FRXSOHG ZLWK WKH VXEVWDQWLDO DELOLW\ WR IRUPXODWH WKLV NQRZOHGJH LQWR D EHDXWLIXO DQG PHDQLQJIXO DUW HQFRPSDVVHV WKH XOWLPDWH RI KXPDQ SRWHQWLDO 0HWKRGV DQG 3UREOHPV RI $UW :KHQ DQ LGHDO LV VHHQ LQ WHUPV RI WKH XWLOLWDULDQ FRQVLGHUDWLRQV QHFHVVDU\ IRU LWV DSSOLFDWLRQ WR SKHQRPHQDO OLIH LW JURZV LQILQLWHO\ PRUH FRPSOH[ :KDW WKHQ DUH WKH SUREOHPV ZKLFK WKH ZRUNLQJ DUWLVW PXVW IDFH DQG ZKDW DUH WKH PHWKRGV DQG PHGLD WKURXJK ZKLFK KH PD\ VXUPRXQW WKRVH GLIILFXOWLHV" ,Q FDUU\LQJ RXW KLV HWKHUHDO LGHDV DQ DUWLVW LV IRUFHG WR ZRUN ZLWK ZRUOGO\ PDWHULDOV 7KDW HIIRUW UHTXLUHG WR SROLVK D VFDUUHG VXEMHFW PDWWHU WR DQ XQEOHPLVKHG JORVV LV WHGLRXVO\ SDLQVWDNLQJ )DQF\ VHUYHV WKH DUWLVW DV DQ LQGLVSHQVDEOH LQVWUXPHQW RI KLV WUDGH $ OLFHQVH PXVW EH DVVXPHG LQ EULJKWHQLQJ WKH PDWHULDOV ZKLFK WLPH KDV UXVWHG DQG LQ WUDFLQJ RXW KDOIREOLWHUDWHG LQVFULSWLRQV RQ WKH FROXPQV RI DQWLTXLW\ )DQF\ PXVW WKURZ KHU UHYLYLQJ OLJKW RQ WKH IDGHG LQFLGHQWV WKDW LQGLFDWH FKDUDFWHU ZKHQFH D UD\ ZLOO EH UHIOHFWHG PRUH RU OHVV YLYLGO\ RQ WKH SHUVRQ WR EH GHVFULEHG !f 7KH ZULWHU LV IXOO\ MXVWLILHG LQ FRQMXULQJ XS WKH SDVW DQG SUHVHQWLQJ LW ZHOO ILOWHUHG WKURXJK WKH LPDJLQDWLRQ DQG WKH IDQF\ $UW LV QRW WR VWRS ZLWK PHUH IDFWV QRU LV LW WR EH KLQGHUHG E\ D ODFN RI WKHP ,W

PAGE 170

RZHV LWV DOOHJLDQFH RQO\ WR WKH KLJKHU WUXWKVr :KDWHYHU SURFHGXUHV WKH DUWLVW PD\ HPSOR\ WR UHDFK WKRVH WUXWKV DUH MXVWLILDEOH LQ WKH OLJKW RI WKH HQG UHVXOWr $Q LQQDWH SHUFHSWLRQ DQG UHIOHFWLRQ RI WUXWK JLYHV WKH RQO\ VRUW RI RULJLQDOLW\ WKDW GRHV QRW ILQDOO\ JURZ LQWROHUDEOH f *HQXLQH RULJLQDOLW\ RQ ZKLFK DUW WKULYHV KDV LWV URRWV LQ PDQnV KHDUWr ,W LV LQWXLWLYH UDWKHU WKDQ OHDUQHG OLNH UHOLJLRQ DQG ORYH LW LV XQDIIHFWHG ,W LV OLPLWHG RQO\ LQ WKDW PDQ D OLPLWHG FUHDWXUH LV IRUFHG WR H[SUHVV LQ ZRUGV WKDW ZKLFK RIWHQ OLHV EH\RQG ZRUGVr /DQJXDJHf§KXPDQ ODQJXDJHf§DIWHU DOO LV EXW OLWWOH EHWWHU WKDQ WKH FURDN DQG FDFNOH RI IRZOV DQG RWKHU XWWHUDQFHV RI EUXWH QDWXUHM VRPHWLPHV QRW VR DGHTXDWHAf 7KH DUWLVW LV ERXQGHG WKHQ E\ WKH SRWHQWLDO RI WKH WRROV ZLWK ZKLFK KH ZRUNVf§PDUEOH RLO ZRUGVf§DQG LV WKHUHIRUH QRW DOZD\V DEOH WR SHUIHFW WKH GHHSHVW DQG WKH PRVW EHDXWLIXO RI KLV WKRXJKWV 7KHUH LV QR WUXH ILQDOLW\ DV IDU DV WKH DUWLVW LV FRQFHUQHG IRU KLV DVSLUDWLRQV DUH SURQH WR URDP DKHDG RI KLV SUDFWLFDO DELOLW\ 3HUKDSV WKH PDMRU SUREOHP ZKLFK DOO DUWLVWV IDFH LV WKH QDWXUH RI WKH OLIH FRPSRXQG LWVHOI 7KH DUWLVWnV FKRUH WKDW RI VHHNLQJ RXW D PDUEOH VR WKRURXJKO\ HQFDVHG LQ PXG DSSHDUV DW ILUVW JODQFH DQ LPSRVVLEOH RQH 0LQXWH VWUDQGV RI GURVV FOLQJ WR WKH QREOHVW FUHDWLRQV RI PDQ ,W LV D KHDY\ DQQR\DQFH WR D ZULWHU ZKR HQGHDYRUV WR UHSUHVHQW QDWXUH LWV YDULRXV DWWLWXGHV DQG FLUFXPVWDQFHV LQ D UHDVRQDEO\ FRUUHFW RXWOLQH DQG WUXH FRORULQJ WKDW VR PXFK RI WKH PHDQ DQG OXGLFURXV VKRXOG EH KRSHOHVVO\ PL[HG XS ZLWK WKH SXUHVW SDWKRV

PAGE 171

ZKLFK OLIH DQ\ZKHUH VXSSOLHV WR KLP L!f 6LQFH WKH FRPSRXQG LV VR SHUYDVLYH DQG VLQFH WKH RUGLQDU\ IDFWV RI GDLO\ UHODWLRQVKLS PD\ QRZLVH HVFDSH LW WKH DUWLVW LV IRUFHG WR VHOHFW DQG LGHDOL]H FHUWDLQ HOHPHQWV LQ RUGHU WR FU\VWDOOL]H WKDW ZKLFK LV EHVW LQ OLIH (DUWKO\ IDFWV DUH EXW WKH RXWHU EUHDWK RI UHDOLW\ WKH\ UHPDLQ PHDQLQJOHVV XQWLO VHFXUHG LQ D GHHSHU UHODWLRQVKLS 7KHUH LV QR KDUP EXW RQ WKH FRQWUDU\ JRRG LQ DUUD\LQJ VRPH RI WKH RUGLQDU\ IDFWV RI OLIH LQ D VOLJKWO\ LGHDOL]HG DQG DUWLVWLF JXLVHNf 7KH DUWLVW GRHV QRW YLRODWH WKH LQWHJULW\ RI WKH OLIH FRPSRXQG E\ LGHDOL]LQJ VHOHFWHG LQJUHGLHQWV RI LW QRU GRHV KH DOWHU WKH QDWXUH RI WKDW XQFKDQJHDEOH FRPSRXQG LQ RIIHULQJ XS WKURXJK DQ DUWLVWLF PHGLXP WKDW ZKLFK LV PRVW EHQHILFLDO WR PDQnV VSLULWXDO ZHOIDUH 5RPDQFH DV +DZWKRUQH NQHZ LW DQG ZURWH LW VWHPV IURP D KLJKHU WUXWK UDWKHU WKDQ IURP SXUH IDQF\ ,PSUHVVLRQV VWDWHV RI PLQG SURGXFHG E\ QREOH VSHFWDFOHV RI ZKDWHYHU NLQG DUH DOO WKDW LW VHHPV ZRUWK ZKLOH WR DWWHPSW UHSURGXFLQJ ZLWK WKH SHQ f -XVW DV +DZWKRUQH DSSHDUHG WR EH VRPHWKLQJ RI D UHODWLYLVW LQ KLV FRPPHQWDU\ XSRQ DUWnV DXGLHQFH KH DSSHDUV DV DQ LPSUHVVLRQLVW ZKHQ GLVFXVVLQJ WKH PHWKRGV RI DUW $ PHUH UHFRUGLQJ RI GDLO\ HYHQWVf§VXUIDFH GHVFULSWLRQf§KDV QR YDOXH 7KH QRYHOLVW KDG ZDUQHG KLV LQWLPDWH IULHQG +RUDWLR %ULGJH WKDW KH VKRXOG QRW OHW KLPVHOI EH OLPLWHG E\ ZKDW DSSHDUV DV IDFWXDO ZRXOG DGYLVH \RX QRW WR VWLFN WRR DFFXUDWHO\ WR WKH EDUH IDFW HLWKHU LQ \RXU GHVFULSWLRQV RU \RXU QDUUDWLYH HOVH \RXU KDQG ZLOO EH FUDPSHG DQG WKH UHVXOW ZLOO EH D ZDQW RI IUHHGRP WKDW ZLOO GHSULYH \RX RI D KLJKHU WUXWK WKDQ WKDW ZKLFK \RX VWULYH WR REWDLQ A%ULGJH 5HFROOHFWLRQV S

PAGE 172

,Q RQH VHQVH RI WKH ZRUG +DZWKRUQH LV DQ LPSUHVVLRQLVW \HW KH VHHPV WR KDYH LGHQWLILHG LPSUHVVLRQV ZLWK LQWXLWLRQV &RUUHFW RXWOLQHV DYDLO OLWWOH RU QRWKLQJ WKRXJK WUXWK RI FRORULQJ PD\ EH VRPHZKDW PRUH HIILFDFLRXV ,PSUHVVLRQV KRZHYHU VWDWHV RI PLQG SURGXFHG E\ LQWHUHVWLQJ DQG UHPDUNDEOH REMHFWV WKHVH LI WUXWKIXOO\ DQG YLYLGO\ UHFRUGHG PD\ ZRUN D JHQXLQH HIIHFW DQG WKRXJK EXW WKH UHVXOW RI ZKDW ZH VHH JR IXUWKHU WRZDUGV UHSUHVHQWLQJ WKH DFWXDO VFHQH WKDQ DQ\ GLUHFW HIIRUW WR SDLQW LWf ,W LV WKH DEVWUDFWLRQ WKH LQWDQJLEOH ZKLFK KDV VXEVWDQFH IRU +DZWKRUQH 9LVLEOH REMHFWV DUH EXW VKDGRZV $OWKRXJK +DZWKRUQH UHFRPPHQGV D IRUP RI LPSUHVVLRQLVP KH ZRXOG WHQG WR GHILQH WKH LPSUHVVLRQ DV DQ LQWXLWLRQ RI WUXWK DQG UHDOLW\ 2QH PHDQV RI DFTXLULQJ D IUHHGRP WR FUHDWH FRPHV LQ UHPRYLQJ WKH FKRVHQ VXEMHFW IURP WKH FRQIXVLRQ RI WKH FRQWHPSRUDU\ VFHQH ,Q WUXWK WKH DUWLVW XQOHVV WKHUH EH D GLYLQH HIILFDF\ LQ KLV WRXFK PDNLQJ HYLGHQW D KHUHWRIRUH KLGGHQ GLJQLW\ LQ WKH DFWXDO IRUPf IHHOV LW DQ LPSHULRXV ODZ WR UHPRYH KLVVXEMHFW DV IDU IURP WKH DVSHFW RI RUGLQDU\ OLIH DV PD\ EH SRVVLEOH ZLWKRXW VDFULILFLQJ HYHU\ WUDFH RI UHVHPEODQFHf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

PAGE 173

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nV XQLYHUVH EXW LW GRHV QRW VXSHUVHGH KLV FRQFHSWLRQ RI OLIHnV GDUNHU HVVHQFHV 7R QHJOHFW WKH SHUVSHFWLYH LQ ZKLFK DUW ZDV VHHQ E\ +DZWKRUQH LV WR GLVWRUW WKH +DZWKRUQLDQ SKLORVRSK\ +DZWKRUQH ZDV DQ DUWLVW \HV EXW KH ZDV PDQ\ RWKHU PHQ DW WKH VDPH WLPH $UWf§WKRXJK LW SOD\HG D OHDGLQJ UROH LQ WKH QRYHOLVWnV OLIHf§LV YLHZHG LQ D ODVW DQDO\VLV DV D SDUWLDO EXW DIILUPDWLYH UHWUHDW DORQJ ZLWK UHOLJLRQ DQG ORYH IURP WKH URFNULEEHG HWHUQDO WKXQGHULQJ RI WKH VLQFORXG

PAGE 174

&+$37(5 9,,, +80$1 1$785( 6LQFH SHRSOH DUH FXULRVLWLHV +DZWKRUQH PDGH D SURIHVVLRQ RI REVHUYLQJ WKHP 1R LQGLYLGXDOV ZHUH VXIILFLHQWO\ KXPEOH WR PHULW KLV LQGLIIHUHQFH RU VXIILFLHQWO\ FRPPRQSODFH WR HVFDSH KLV DQDO\VLVf $OWKRXJK ZKDW KH VDZ LQ KXPDQ QDWXUH LV LQWHUHVWLQJ HQRXJK ZKDW KH FRXOG QRW FRPSUHKHQGf§WKDW ZKLFK KH QHYHU ZURWH DERXWf§LV HTXDOO\ DEVRUELQJ LQ LWV DEVHQFH +XPDQ QDWXUH LV VKDSHG DW ILUVW ZLWKLQ WKH VKDGRZ RI WKH XQNQRZDEOH OLIH FRQGLWLRQV SUHFHGLQJ ELUWK DQG WKHQ E\ WKH OLJKWV DQG VKDGRZV RI LQVWLWXWLRQDOL]HG IRUFHV DW SOD\ XSRQ WKH HPHUJLQJ LQGLYLGXDO ,W LV LQ IDFW D SURGXFW RI XQFKDQJHDEOH FRQWLQJHQFLHV UDWKHU WKDQ D GLVWLQFW VHOIVXVWDLQLQJ HQWLW\ 0DQNLQGnV QDWXUH LV PRXOGHG E\ DOO WKDW LW LV IRUFHG WR SDUWLFLSDWH LQM LW GRHV QRW IDVKLRQ LWV RZQ GHVWLQ\ )LQDOO\ WKH DSSDUHQW YDULHW\ RI KXPDQ QDWXUH LV H[FHHGHG RQO\ E\ LWV PRQRWRQ\ 5HDFWLRQV WR WKH IL[HG FRQGLWLRQV RI OLIHf§LQGLYLGXDO DFWLRQV WKRXJKWV IHHOLQJVf§SURYLGH DQ XQIROGLQJ SDQRUDPD ZKLFK WKH REVHUYHU RI GHVWLQ\nV ZRUNVKRS DVVXPHG LW KLV FKDUJH WR UHFRUG :KHQ UHFRUGLQJ JURXS RU LQGLYLGXDO UHVSRQVHV WR FRQGLWLRQV RU WR RWKHU LQGLYLGXDOV KH VDZ DV XSSHUPRVW WKH LQILQLWHO\ YDULHG DVSHFW RI KXPDQ QDWXUH :KHQ UHIOHFWLQJ RQ DQG LQWHUSUHWLQJ WKHVH VDPH UHVSRQVHV IURP D GLVWDQFH KH 1HZWRQ $UYLQ HG 7KH +HDUW RI +DZWKRUQHnV -RXUQDOV %RVWRQ f S [O

PAGE 175

UHGXFHG KXPDQ QDWXUH WR LWV SUHGRPLQDQW FKDUDFWHULVWLFf§VDPHQHVV 7KH VWRU\ RI KXPDQ QDWXUH LI KHOG XS WR WKH OLJKW LQ LWV VLPSOHVW IRUP SUHVHQWV LWV UHDGHU ZLWK ZKDW LV SHUKDSV WKH GDUNHVW RQH QRYHO WKDW +DZWKRUQH ZURWH
PAGE 176

RGGV ZLWK WKHVH EDUULHUV /LPLWDWLRQV RQ 0DQNLQG OLIH SHUPLWV QR HUDVXUHV +XPDQLW\ LV XQGXO\ UHVWULFWHG LQ WKDW HDFK RI LWV PLVWDNHQ DFWLRQV FDUULHV ZLWK LW D KDUVK ILQDOLW\ ,W LV D WUXWK DQG LW ZRXOG EH D YHU\ VDG RQH EXW IRU WKH KLJKHU KRSHV ZKLFK LW VXJJHVWVf WKDW QR JUHDW PLVWDNH ZKHWKHU DFWHG RU HQGXUHG LQ RXU PRUWDO VSKHUH LV HYHU UHDOO\ VHW ULJKW 7LPH WKH FRQWLQXDO YLFLVVLWXGH RI FLUFXPVWDQFHV DQG WKH LQYDULDEOH LQRSSRUWXQLW\ RI GHDWK UHQGHU LW LPSRVVLEOH ,I DIWHU ORQJ ODSVH RI \HDUV WKH ULJKW VHHPV WR EH LQ RXU SRZHU ZH ILQG QR QLFKH WR VHW LW LQ 7KH EHWWHU UHPHG\ LV IRU WKH VXIIHUHU WR SDVV RQ DQG OHDYH ZKDW KH RQFH WKRXJKW KLV LUUHSDUDEOH UXLQ IDU EHKLQG KLP f 2QFH DQ DFWLRQ KDV WDNHQ SODFH PDQ LV VHQWHQFHG WR OLYH IRUHYHU ZLWK LWV FRQVHTXHQFHV +XPDQ QDWXUH LV IDWDOO\ OLPLWHG LQ WKDW LW FDQQRW OLNH *RG FUHDWH QHZ OLIH 0DQ LV IRUFHG WR OLYH DQG LQYDULDEO\ GXULQJ WKH FRXUVH RI KLV OLIHWLPH IRUFHG WR HUU 6LQFH PDQ LV IRUFHG WR PRYH LPSHUIHFWO\ DQG VLQFH KH KDV QR PHDQV RI DYRLGLQJ WKH RUGDLQHG HUUDQFLHV RI KLV SK\VLFDO VHOI KH LV HWHUQDOO\ GRRPHG WR OLPS DORQJ KLV EDUULHUHQFUXVWHG SDWKZD\ $W HDFK FURVVURDG RQFH WKH ZURQJ SDWK LV FKRVHQ WKHUH LV QR EDFNWUDFNLQJ +DZWKRUQH GRHV QRW VSHDN RSWLPLVWLFDOO\ RI D JRRG OLIH IRU ZKLOH WKHUH DUH SRVVLEOH GHJUHHV RI JRRGQHVV WKHUH LV VFDQW SRVVLELOLW\ RI D ZKROO\ JRRG DQG SXUH H[LVWHQFH 0+RZ GLIIHUHQW LV WKH VSRQWDQHRXV SOD\ RI WKH LQWHOOHFW IURP WKH WUDLQHG GLOLJHQFH RI PDWXUHU \HDUV ZKHQ WRLO KDV SHUKDSV JURZQ HDV\ E\ ORQJ KDELW DQG WKH GD\nV ZRUN PD\ KDYH EHFRPH HVVHQWLDO WR WKH GD\nV FRPIRUW DOWKRXJK WKH UHVW RI WKH PDWWHU KDV EXEEOHG DZD\f

PAGE 177

0DQNLQGn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f ,Q DGGLWLRQ WR WKH SK\VLFDO DQG PHQWDO FRQVHTXHQFHVf§ZKHWKHU IRU JRRG RU IRU HYLOf§SUHVHQW LQ WKH PRVW VHHPLQJO\ WULYLDO RI PDQnV DFWLRQV WKHUH LV D JUHDWHU ODZ RI FRPSHQVDWLRQ DW ZRUN 7KH SULQFLSOH RI D EDODQFHG XQLYHUVHf§DOWKRXJK WKH FRPSRXQG LV GHHSO\ JUD\ UDWKHU WKDQ DQ HTXDO EOHQGLQJ RI WKH GDUN DQG WKH OLJKWf§PD\ QRW EH YLRODWHG $Q\ HIIRUW KRZHYHU QREO\ FRQFHLYHG LV DSW WR EHDU HYLO IUXLW 7KH GHVWUXFWLRQ RI DQ LQGLYLGXDO HYLO OHDYHV URRP IRU WKH GHYHORSPHQW RI D QHZHU DQG SRVVLEO\ JUHDWHU RQH (YHQ WKRXJK PDQ LV IUHH WR DFWf§WKRXJK LW LV REOLJDWRU\ WKDW KH UHPDLQ DFWLYHf§KH PXVW UHFRJQL]H WKDW DOO DFWLRQV IDOO ZLWKLQ WKH ZRUNLQJV RI D IL[HG EDODQFLQJ SULQFLSOH $ PDWXUH LQGLYLGXDOf§RQH WKRURXJKO\ DQG EUXWDOO\ LQLWLDWHG WR OLYLQJf§LV IXOO\ DZDUH RI WKLV OLPLWDWLRQ

PAGE 178

,W LV RQO\ RQHH\HG SHRSOH ZKR ORYH WR DGYLVH RU KDYH DQ\ VSRQWDQHRXV SURPSWLWXGH RI DFWLRQ :KHQ D PDQ RSHQV ERWK KLV H\HV KH JHQHUDOO\ VHHV DERXW DV PDQ\ UHDVRQV IRU DFWLQJ LQ DQ\ RQH ZD\ DV LQ DQ\ RWKHU DQG TXLWH DV PDQ\ IRU DFWLQJ LQ QHLWKHU DQG LV WKHUHIRUH OLNHO\ WR OHDYH KLV IULHQGV WR UHJXODWH WKHLU RZQ FRQGXFW DQG DOVR WR UHPDLQ TXLHW DV UHJDUGV KLV HVSHFLDO DIIDLUV WLOO QHFHVVLW\ VKDOO SULFN KLP RQZDUGOf 0+RZ VWUDQJH LW LVf§WKH ZD\ LQ ZKLFK ZH DUH VXPPRQHG IURP DOO KLJK SXUSRVHV E\ WKHVH OLWWOH KRPHO\ QHFHVVLWLHV` DOO V\PEROL]LQJ WKH JUHDW IDFW WKDW WKH HDUWKO\ SDUW RI XV ZLWK LWV GHPDQGV WDNHV XS WKH JUHDWHU SRUWLRQ RI DOO RXU DYDLODEOH IRUFHf +XPDQLW\ LV FRPSOHWHO\ DQG WKRURXJKO\ OLPLWHG ,WV VSLULWXDO UDXUPXULQJV DUH IHHEOH DQG LQIUHTXHQW ,QHVFDSDEOH PRUWDO GXWLHV VTXHH]H RXW GDLO\ WKH QRELOLWLHV RI H[LVWHQFH 7KXV PDQNLQG GHWHUPLQHGO\ VWULYLQJ IRU DGYDQFHPHQW VXFFHHGV RQO\ LQ VWDQGLQJ VWLOO (YHQ WKRXJK D FHUWDLQ PDWHULDOLVWLF EHWWHULQJ RI PDQnV H[WHUQDO VWDWH LV SRVVLEOH WKH LQWHUQDO FRUH RI KXPDQ QDWXUH UHPDLQV XQDOWHUHG +XPDQ QDWXUH ZKLOH LW LV D FRPSRVLWH RI WKH QDWXUHV RI ERWK VH[HV LV DW QR WLPH WR EH LGHQWLILHG ZLWK HLWKHU RI WKHP :RPDQ ZDV DOORWWHG D XQLTXH QDWXUH DQG IXQFWLRQ WKH QDWXUH RI WKH PDOH WKRXJK OHVV MR\RXV LV HTXDOO\ GLVWLQFW 2I WKH WZR QDWXUHV WKDW RI WKH PDOH LV FORVHU WR ZKDW +DZWKRUQH PHDQW E\ WKH WHUP KXPDQ QDWXUH :RPDQ LV RI D VRIWHU WH[WXUH PRUH VKHOWHUHG PRUH VSLULWXDO WKDQ KHU PDWH 0DQnV YHU\ QDWXUH VWDQGV DV WKH DQWLWKHVLV RI DOO WKDW LV EHVW LQ ZRPDQ 0DQnV 1DWXUH 0DQnV QDWXUH KDV OLWWOH LQ FRPPRQ ZLWK WKDW RI ZRPDQ IRU KH LV

PAGE 179

DW KHDUW ERWK YLFLRXV DQG EUXWLVK 7KH PDOH LI LVRODWHG IURP WKH WDPLQJ FKDUPV RI KLV PDWH IUHTXHQWO\ UHYHUWV WR DQ LQERUQ VDYDJHQHVV :HUH LW QRW IRU WKH UHVWUDLQLQJ LQIOXHQFH RI FHQWXU\ROG KDELWV DQG FXVWRPV DQG ZHUH LW QRW IRU WKH ZULWWHQ DQG FRPPRQ ODZV PDQ PLJKW ZHOO JLYH JUHDWHU YHQW WR KLV DQLPDO DSSHWLWH ,W LV VRPHWLPHV WKRXJK OHVV IUHTXHQWO\ WKH FDVH WKDW WKLV GLVSRVLWLRQ WR PDNH D MR\ RI JULHIf H[WHQGV WR LQGLYLGXDOV RI WKH RWKHU VH[ %XW LQ XV LW LV HYHQ OHVV H[FXVDEOH DQG PRUH GLVJXVWLQJ EHFDXVH LW LV RXU QDWXUH WR VKXQ WKH VLFN DQG DIIOLFWHG DQG XQOHVV UHVWUDLQHG E\ SULQFLSOHV RWKHU WKDQ ZH EULQJ LQWR WKH ZRUOG ZLWK XV PHQ PLJKW IROORZ WKH H[DPSOH RI PDQ\ DQLPDOV LQ GHVWUR\LQJ WKH LQILUP RI WKHLU RZQ VSHFLHV ,QGHHG LQVWDQFHV RI WKLV QDWXUH PLJKW EH DGGXFHG DPRQJ VDYDJH QDWLRQVf 0DQnV GHSUDYLW\ H[FHHGV WKDW RI DQLPDOV EHFDXVH KLV FUXHOWLHV DUH PXFK PRUH UHILQHG $ SULPRUGLDO DSSHWLWH IRU HYLO FRPELQHG ZLWK DQ DSWLWXGH IRU VXEWO\ IRUPXODWLQJ DQG VDWLVI\LQJ LW PDNHV PDQ DW WLPHV WKH PRVW RGLRXV RI EHDVWV +H LV SHUSHWXDOO\ FDSDEOH RI FRQWULYLQJ QHZHU DQG FRDUVHU FUXHOWLHV $ VLQJXODU IDFW WKDW ZKHQ PDQ LV D EUXWH KH LV WKH PRVW VHQVXDO DQG ORDWKVRPH RI DOO EUXWHVfWf 1HYHUWKHOHVV HLWKHU 0DQKRRG PXVW FRQYHUVH ZLWK $JH RU :RPDQKRRG PXVW VRRWKH KLP ZLWK JHQWOH FDUHV RU ,QIDQF\ PXVW VSRUW KLP DURXQG KLV FKDLU RU KLV WKRXJKWV ZLOO VWUD\ LQWR WKH PLVW\ UHJLRQ RI WKH SDVW DQG WKH ROG PDQ EH FKLOO DQG VDGff 0DQ PXVW KDYH FRPSDQLRQVKLS LI KH LV WR FRQWURO KLV LQGHOLFDWH XUJHV 7KHUH LV D FRQWLQXDO QHHG IRU WKH ZDUP DQG VHPLVSLULWXDO FRPIRUWV IRXQG LQ WKH VRFLHW\ RI ZRPHQ DQG FKLOGUHQ 0RUH HVSHFLDOO\ GR ROG PHQ QHHG D ZKROHVRPH FRPSDQLRQVKLS LI WKH\ DUH WR SUHYHQW WKHPVHOYHV IURP EHFRPLQJ SKDQWRPOLNH GZHOOHUV LQ WKH SDVW 0DQ H[LVWV DV D FRQIHWH EHLQJ RQO\ ZKHQ KH HQWHUV LQWR SDUWQHUVKLS ZLWK WKH RSSRVLWH VH[

PAGE 180


PAGE 181

‘ZKLFK DUH DQ LQWHJUDO SDUW RI WKDW VXIIHULQJ ILQG VXUFHDVH RQO\ LQ GHDWK :KHQ D PDQnV H\HV KDYH JURZQ ROG ZLWK JD]LQJ DW WKH ZD\V RI WKH ZRUOG LW GRHV QRW VHHP VXFK D WHUULEOH PLVIRUWXQH WR KDYH WKHP EDQGDJHGf 7KRVH UDUH LQGLYLGXDOV ZKR ZRXOG DWWHPSW WR DLG PDQ DUH ORRNHG XSRQ ZLWK VXVSLFLRQ 0HQ ZKR DWWHPSW WR GR WKH ZRUOG PRUH JRRG WKDQ WKH ZRUOG LV DEOH HQWLUHO\ WR FRPSUHKHQG DUH DOPRVW LQYDULDEO\ KHOG LQ EDG RGRU %XW \HW LI WKH ZLVH DQG JRRG PDQ FDQ ZDLW DZKLOH HLWKHU WKH SUHVHQW JHQHUDWLRQ RU SRVWHULW\ ZLOO GR KLP MXVWLFH"f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nV KHDUW"f $ SDUWLDO LPSURYHPHQW RI WKDW ZKLFK LV LQKHUHQWO\ YLFLRXV LQ PDQnV QDWXUH PD\ FRPH WKURXJK GRPHVWLF PRGLILFDWLRQV $V D SDUWQHU LQ WKH GRPHVWLF LQVWLWXWLRQ PDQ ILQGV LQ KLV PDWH WKRVH TXDOLWLHV ZKLFK WHPSHU KLV KDUGQHVV &HUWDLQ PHQ LQ VSLWH RI WKH JHQWOH LQIOXHQFH RI ZRPDQKRRG DUH VR IXQGDPHQWDOO\ PHDQ LQ WKHLU RZQ ULJKW WKDW WKH\ YLRODWH WKH GLJQLW\ RI WKH QDWXUDO RUGHU E\ DVSLULQJ IRU JUHDWQHVV 6RPH PHQ KDYH QR ULJKW WR SHUIRUP JUHDW GHHGV RU WKLQN KLJK WKRXJKWVf§DQG ZKHQ WKH\ GR

PAGE 182

VR LW LV D NLQG RI KXPEXJ 7KH\ KDG EHWWHU NHHS ZLWKLQ WKHLU RZQ SURSULHW\fOf (DFK LQGLYLGXDO KDV D UHDOP RI DFWLYLW\ WR ZKLFK KH LV HVSHFLDOO\ VXLWHG DQG WR ZKLFK KH VKRXOG UHVWULFW KLPVHOI 7KH VL]H DQG VLJQLILFDQFH RI RQHnV SODFH LQ DQ RUGHUHG XQLYHUVH YDULHV ZLWK IRUWXQH DQG ZLWK WKH FDSDFLW\ RI WKH LQGLYLGXDO EXW WKH QHFHVVLW\ IRU ZRUNLQJ ZLWKLQ WKH OLPLWDWLRQV RI RQHnV VSHFLILF QDWXUH LV TXLWH FOHDU ,QGLJQDWLRQf§VXFK DV WKDW ZKLFK WKH HPHUJHQFH RI WKH SXEOLF ZRPDQ DURXVHGf§LV IHOW ZKHQ DQ\ LQGLYLGXDO DWWHPSWV WR PRYH EH\RQG WKH ERXQGDULHV RI KLV SHFXOLDU IXQFWLRQ :KLOH WKH PDOH VSKHUH LV QRW VSHFLILFDOO\ GHILQHG E\ +DZWKRUQH QHYHUWKHOHVV LW GRHV H[LVW RQO\ ZLWKLQ OLPLWV ,W LV FKDUDFWHULVWLF RI PDQ WKDW KH PRYHV E\ D VHULHV RI HUXSWLRQV UDWKHU WKDQ DW D FRQWLQXRXV SDFH 0HQ RI XQFRPPRQ LQWHOOHFW ZKR KDYH JURZQ PRUELG SRVVHVV WKLV RFFDVLRQDO SRZHU RI PLJKW\ HIIRUW LQWR ZKLFK WKH\ WKURZ WKH OLIH RI PDQ\ GD\V DQG WKHQ DUH OLIHOHVV IRU DV PDQ\ PRUHf 7KHUH LV D UHVHUYH VWUHQJWK ZKLFK HQDEOHV D SHUVRQ WR FDVW KLV WRWDO HQHUJ\ LQWR D SHULRG RI LQWHQVH DFWLYLW\A EXW ZKLOH WKH FRQVHTXHQFH UDQNOHV HYHU DIWHUZDUG WKH SRZHU RI WKH LQLWLDO UHVROXWLRQ LPPHGLDWHO\ GHSDUWV $OWKRXJK FHUWDLQ DFWLRQV PD\ KDYH IDYRUDEOH HIIHFWV PDQnV JRRGQHVV UHPDLQV DOZD\V LQ D WKHRUHWLFDO UHDOP (YLO WUDLWV DUH PXFK PRUH HYLGHQW LQ GDLO\ H[SHULHQFH 7KHUH DUH IHZ XJOLHU WUDLWV RI KXPDQ QDWXUH WKDQ WKLV WHQGHQF\f§ZKLFK QRZ ZLWQHVVHG LQ PHQ QR ZRUVH WKDQ WKHLU QHLJKERUVf§WR JURZ FUXHO PHUHO\ EHFDXVH WKH\ SRVVHVVHG WKH SRZHU RI LQIOLFWLQJ KDUPf +DZWKRUQH ZLWQHVVHG XJOLQHVV DQG

PAGE 183

LPSHUIHFWLRQ ZKHQHYHU KH REVHUYHG PDQ LQ DFWLRQ PDQnV QRELOLW\ KRZHYHU VOLJKW LW PLJKW EH ZHQW UHODWLYHO\ XQQRWLFHG 0DQn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nV FKDUDFWHU RU WKH PDQ KLPVHOIOWf 8QTXDOLILHG UHOLDQFH RQ WKH LQWHOOHFW OHDGV PDQ LQWR PLVWDNLQJ WKH SKHQRPHQDO IRU WKH UHDO ,Q GXH WLPH WKH KHDUWnV PHVVDJH EHFRPHV LQDXGLEOH ,W LV VKXW RII E\ DQ HYHULQFUHDVLQJ FRQFHUQ ZLWK WKH PDWHULDO VLGH RI OLIH 7KXV PDQf§LQ WKH VDPH PDQQHU WKDW KH FRQVWUXFWV WKH VRFLDO RUGHUf§EXLOGV D KXPDQ DUWLILFLDOLW\ ZKLFK FRPHV WR UHSODFH KLV RULJLQDO VHOI ,W LV WKLV WHQGHQF\ WKLV SULGH WKLV YDQLW\ WKLV OXVW IRU PDWHULDOLVWLF SRVVHVVLRQV DQG IDLWK LQ D PDWHULDOLVWLFDOO\ PHDVXUHG VXFFHVV ZKLFK PRVW IUHTXHQWO\ SURYLGHV IRU PDQfV XQGRLQJ 0DQnV RZQ \RXWK LV WKH ZRUOGnV \RXWK DW OHDVW KH IHHOV DV LI LW ZHUH DQG LPDJLQHV WKDW WKH HDUWKfV JUDQLWH VXEVWDQFH LV VRPHWKLQJ QRW \HW KDUGHQHG DQG ZKLFK KH FDQ PRXOG LQWR ZKDWHYHU VKDSH KH OLNHVf %HIRUH \RXWK KDV DFWXDOO\ FKDOOHQJHG WKH FRPSRXQG KH LV FRQILGHQW RI KLV DELOLW\ WR IDVKLRQ OLIH DW KLV RZQ GLVFUHWLRQ ,Q PDWXULW\ KH FRQVHQWV WR KLV IDWHf§DFFHSWV WKH IDFW WKDW KH LV

PAGE 184

OLPLWHG DQG WKDW KLV GUHDP RI VKDSLQJ WKH XQLYHUVH ZDV EXW D GHOXVLRQ 'HDWK IROORZV WKH PLGGOH \HDUV ZLWK JUHDW UDSLGLW\ DQG LQ WKH YHU\ PRPHQW RI GHDWK PDQ FRQWLQXHV WR UHYHDO KLV QDWXUH %XW WKHUH LV QR RQH WKLQJ ZKLFK PHQ VR UDUHO\ GR ZKDWHYHU WKH SURYRFDWLRQ RU LQGXFHPHQW DV WR EHTXHDWK SDWULPRQLDO SURSHUW\ DZD\ IURP WKHLU RZQ EORRG 7KH\ PD\ ORYH RWKHU LQGLYLGXDOV IDU EHWWHU WKDQ WKHLU UHODWLYHVf§WKH\ PD\ HYHQ FKHULVK GLVOLNH RU SRVLWLYH KDWUHG WR WKH ODWWHUM EXW \HW LQ YLHZ RI GHDWK WKH VWURQJ SUHMXGLFH RI SURSLQTXLW\ UHYLYHV DQG LPSHOV WKH WHVWDWRU WR VHQG GRZQ KLV HVWDWH LQ WKH OLQH PDUNHG RXW E\ FXVWRP VR LPPHPRULDO WKDW LW ORRNV OLNH QDWXUHf 7KHUH LV D GLVWLQFWLRQ LPSOLHG EHWZHHQ PDQnV QDWXUH DQG PDQnV KDELWV +DZWKRUQH KLQWV WKDW WKH PDWHUQDO KHDUW DQG WKH SDWHUQDO KHDG KDYH OLWWOH LQ FRPPRQ ,W LV SRVVLEOH HYHQ WKDW LW LV QRW PDQnV WUXH QDWXUH WR SURYLGH IRU KLV \RXQJ &XVWRP DQG WUDGLWLRQ PD\ KDYH VXSSOLHG D UHVWUDLQLQJ LQIOXHQFH ZKLFK LV IUHTXHQWO\ PLVWDNHQ IRU WKH PDOH QDWXUH LWVHOI 7KH IDYRUDEOH VLGH RI PDQnV QDWXUH DVVXPLQJ WKDW LW H[LVWV LV UDUHO\ FRPPHQWHG RQ ,W LV RIWHQ LQVWUXFWLYH WR WDNH WKH ZRPDQnV WKH SULYDWH DQG GRPHVWLF YLHZ RI D SXEOLF PDQ QRU FDQ DQ\WKLQJ EH PRUH FXULRXV WKDQ WKH YDVW GLVFUHSDQF\ EHWZHHQ SRUWUDLWV LQWHQGHG IRU HQJUDYLQJ DQG WKH SHQFLOVNHWFKHV WKDW SDVV IURP KDQG WR KDQG EHKLQG WKH RULJLQDOnV EDFNf $ PDQ VHHQ LQ WKH LQWLPDWH TXDUWHUV RI WKH GRPHVWLF VWDWH PD\ EH PRUH RU OHVV RI D PDQ WKDQ WKH SXEOLF VHHV EXW WKH GLIIHUHQFH LV DOZD\V SUHVHQW 0DQ IXQFWLRQLQJ LQ ERWK WKH VRFLDO DQG WKH GRPHVWLF ZRUOGV PD\ ZHOO KDYH D GLIIHUHQW FRGH RI FRQGXFW IRU HDFK 7KH RXWHU DFWLRQ WKH VRFLDO DFWLRQ LV WKH RQH RQ ZKLFK MXGJPHQWV DUH PRVW IUHTXHQWO\ IRUPHG 2I PRVW PHQ \RX HDUO\ NQRZ WKH PHQWDO JDXJH DQG PHDVXUHPHQW DQG GR QRW VXEVHTXHQWO\ KDYH

PAGE 185

PXFK RFFDVLRQ WR FKDQJH LWf f0HQ DUH VR PXFK DOLNH LQ WKHLU QDWXUH WKDW WKH\ JURZ LQWROHUDEOH XQOHVV YDULHG E\ WKHLU FLUFXPVWDQFHV f +DZWKRUQH QHYHU UHPDUNHG RQ WKH PRQRWRQ\ RI WKH IHPLQLQH QDWXUH IRU ZRPDQ LV GLVWLQJXLVKDEOH E\ WKH ULFKQHVV RI KHU GLYLQH GHSWKV 0DQ RQ WKH RWKHU KDQG LV FRQVLVWHQWO\ YLHZHG ZLWK WKH DQLPDO DSSHWLWH IRUHPRVW %XW D PDQ FDQQRW DOZD\V GHFLGH IRU KLPVHOI ZKHWKHU KLV RZQ KHDUW LV FROG RU ZDUPff ,W LV DQ LQWHUHVWLQJ FRUROODU\ WR WKH KHDGKHDUW GLVWLQFWLRQ WKDW FROGQHVV RI KHDUW LV LGHQWLILHG ZLWK D ODFN RI ORYH IRU KXPDQLW\ $ ZDUP KHDUW WKURXJK ORYH DQG WKURXJK LQWXLWLRQ RSHQV WKH ZD\ WR UHOLJLRQ DQG UHDOLW\ &RQVLGHUHG RQ D OLJKWHU SODQH PDQfV ORYH LV D FRPLF YDQLW\ D SDWKHWLF H[SUHVVLRQ RI PDVFXOLQH HJR $ EDFKHORU DOZD\V IHHOV KLPVHOI GHIUDXGHG ZKHQ KH NQRZV RU VXVSHFWV WKDW DQ\ ZRPDQ RI KLV DFTXDLQWDQFH KDV JLYHQ KHUVHOI DZD\f 7KHUH LV SUHVHQW LQ WKH PDOH KHDUW KRZHYHU D VWHDG\ WKLUVW IRU FRPSDQLRQVKLS IRU EURWKHUKRRG $QG \HW WKH QDWXUDO PDQ FULHV RXW DJDLQVW WKH SKLORVRSK\ WKDW UHMHFWV EHJJDUV ,W LV D WKRXVDQG WR RQH WKDW WKH\ DUH LPSRVWHUV EXW \HW ZH GR RXUVHOYHV D ZURQJ E\ KDUGHQLQJ RXU KHDUWV DJDLQVW WKHPf ,Q DOO EXW WKH PRVW KDUGHQHG RI PDOH QDWXUHV WKHUH LV VWLOO VRPH VPDOO V\PSDWK\ IRU KXPDQLW\ +DZWKRUQH UHDG ZLGHO\ LQ WKH ZULWLQJV RI 6ZLIW DQG 9ROWDLUH MLDULRQ O .HVVHOULQJ +DZWKRUQHfV 5HDGLQJ OOe SS ,QGH[f 'XULQJ WKH SHULRG $XJXVW WR 1RYHPEHU ,2 +DZWKRUQH PDGH VHYHQWHHQ ZLWKGUDZDOV DW WKH 6DOHP $WKHQDHXP IURP DQ HLJKWHHQ YROXPH VHW RI 6ZLIWnV ZULWLQJV )URP 2FWREHU WR

PAGE 186

7KH PLVDQWKURS\ RI 6ZLIW KH IRXQG GLVWDVWHIXO \HW LW LV QRW LPSUREDEOH WKDW WKH URPDQFHU IRXQG DQ HFKR RI KLV RZQ WKRXJKWV LQ 6ZLIWnV FDXVWLF HYDOXDWLRQ RI KXPDQ QDWXUH $OWKRXJK +DZWKRUQH UHDFKHG VRPH RI WKH VDPH FRQFOXVLRQV LQ UHJDUG WR KXPDQ QDWXUH ZKLFK 6ZLIW DQG WR D OHVVHU H[WHQW 9ROWDLUH KDG HQWHUWDLQHG KH DUULYHG DW KLV FRQFOXVLRQV WKURXJK YDVWO\ GLIIHUHQW WKRXJKW SURFHVVHV VHH PDQ\ VSHFLPHQV RI PDQNLQG EXW FRPH WR WKH FRQFOXVLRQ WKDW WKHUH LV EXW OLWWOH YDULHW\ DPRQJ WKHP DIWHU DOOf 0DQnV GHSUDYLW\ ZDV D PRUDO DQG D UHOLJLRXV IDFWM LW ZDV HYHU\ZKHUH REVHUYDEOH 7KH QRYHOLVW QHYHU ZHQW DV IDU DV 9ROWDLUH LQ ULGLFXOLQJ PDQM QRU GLG KH GHJUDGH KLP ZLWK D 6ZLIWLDQ ODVK +DZWKRUQH UHFRJQL]HG PDQnV GHSUDYLW\ EXW KH DOZD\V KHOG RXW D KRSH HYHQ LI LW ZHUH DQ DEVWUDFW RQH WKDW PDQnV QDWXUH PLJKW VRPHGD\ ZLVHO\ RSHQ LWVHOI WR D EURWKHUKRRG RI WKH KHDUW 7KHQ WRR +DZWKRUQH ZRXOG DOORZ D WHPSHULQJ RI QDQnV QDWXUH WKURXJK GRPHVWLFLW\ DQG LQ VRPH LQVWDQFHV WKURXJK DUW $ERYH DOO KH ZRXOG SURYLGH PDQ LQ VSLWH RI KLV KLJKO\ LPSHUIHFW SK\VLFDO OLIH ZLWK DQ LPPRUWDO KRPH /LNH 6ZLIW +DZWKRUQH DGPLUHG LQGLYLGXDO PHQf§KLV LQWLPDWH IULHQGVKLSV ZHUH H[WUHPHO\ ZDUP RQHVf§EXW SXW OLWWOH WUXVW LQ WKH UDFH ,W LV QRW WKDW KH GHWHVWHG WKH UDFH EXW UDWKHU WKDW KH ZDV WRR DZDUH RI PDQnV WHQGHQF\ WR HUU DW HYHU\ JLYHQ RSSRUWXQLW\ 0DQnV PLJKW\ DFFRPSOLVKPHQWV DUH VDWLULFDOO\ DSSODXGHG :KDW JUHDW WKLQJV PDQ KDV FRQWULYHG DQG LV FRQWLQXDOO\ SHUIRUPLQJO :KDW D QREOH EUXWH KH LV8f ,W PD\ EH WKDW WKH QRYHOLVW WDNHV VRPH SULGH LQ PDQnV PDWHULDO SURJUHVV +RZHYHU WKH ZRUG FRQWULYHG LV RIWHQ XVHG LQ D -DQXDU\ KH PDGH IRUW\QLQH ZLWKGUDZDOV IURP D QLQHW\WZR YROXPH HGLWLRQ RI WKH ZULWLQJV RI 9ROWDLUH

PAGE 187

GHURJDWRU\ VHQVHf§DV LQ WKH SKUDVH nf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nV JRRG DQG HYLO QRU KRZ VPDOO D SDUW RI KLP LW ZDV WKDW WRXFKHG RXU PXGG\ RU GXVW\ HDUWK f 2UGHUHG H[LVWHQFH LV QHFHVVDU\ $Q\ VHYHUH LQWHUUXSWLRQ RI OLIHnV GDLO\ VHTXHQFHf§ZKHWKHU LW EH ZDU SDQLF RU D EUHDFK RI WUXVWf§LV DSW WR GLVRUJDQL]H WKH QRW WRR VROLG FLWL]HQU\ ,W LV XQGHQLDEOH WKDW HYHQ WKH ORIWLHVW RI PRUWDOV PXVW WUHDG WKH VDPH PXGG\ SDWKZD\ DV WKH UDJJHG EHJJDU 0RVW PHQ ZKDWHYHU WKHLU QDWXUHV DUH IRUFHG WR OHDG D OLIH RI FRQWLQXDO FRPSURPLVH ZLWK VRFLHW\ ZLWK WKHPVHOYHV DQG ZLWK WKHLU LGHDOV (DUWKO\ SUHVVXUHV DUH WRR GHPDQGLQJ 2QO\ D UDUH LQGLYLGXDOf§ WKH DUWLVW IRU LQVWDQFHf§FDQ ULVH DERYH WKH UDQNOLQJ QHFHVVLWLHV RI SK\VLFDO H[LVWHQFH $W DQ\ UDWH LW PXVW EH D UHPDUNDEO\ WUXH PDQ ZKR FDQ NHHS KLV RZQ HOHYDWHG FRQFHSWLRQ RI WUXWK ZKHQ WKH ORZHU IHHOLQJ RI D PXOWLWXGH LV DVVDLOLQJ KLV QDWXUDO V\PSDWKLHV DQG ZKR FDQ VSHDN RXW IUDQNO\ WKH EHVW WKDW WKHUH LV LQ KLP ZKHQ E\ DGXOWHUDWLQJ LW D OLWWOH RU D JRRG GHDO KH NQRZV WKDW KH PD\ PDNH LW WHQ WLPHV DV DFFHSWDEOH WR WKH DXGLHQFHf 0HWKLQNV LW LV QRW JRRG IRU ROG PHQ WR EH PXFK WRJHWKHUf

PAGE 188

2OG PHQ KDYH H[SHULHQFHG PXFK RI OLIH KDYH GZHOW ORQJ LQ D EURWKHUKRRG RI VRUURZM WKH\ DUH VR WKRURXJKO\ VDWLDWHG WKDW WKH YHU\ SUHVHQFH RI RQH DJHG FUHDWXUH DFWV DV D GHSUHVVDQW RQ DQRWKHU 6WUDQJHO\ HQRXJK WKH DJHG PDOH UHPDLQV \RXWKIXO LQ KLV RZQ H\HV
PAGE 189

UHVWULFWHG E\ WKH ELQGLQJ VRFLDO ODZ PDQnV QDWXUH EHFRPHV VOLJKWO\ PRUH DGPLUDEOH
PAGE 190

PDWWHU KRZ SXUH WKH VSLULW RI DQ LQGLYLGXDO PLJKW EH KLV ERG\ LV IRUFHG LQWR GDLO\ HQFRXQWHUV ZLWK YXOJDU VXEVWDQFHV 8QIRUWXQDWHO\ FHUWDLQ LQGLYLGXDOV ZLWK D KLJK SRWHQWLDO IRU D ULFK DQG JRRG OLIH ILQG WKHLU QDWXUHV WKZDUWHG E\ LOOIDWHG PDULWDO RU SURIHVVLRQDO DOOLDQFHV Q7R FKRRVH DQRWKHU ILJXUH LW LV VDG WKDW KHDUWV ZKLFK KDYH WKHLU ZHOOVSULQJ LQ WKH LQILQLWH DQG FRQWDLQ LQH[KDXVWLEOH V\PSDWKLHV VKRXOG HYHU EH GRRPHG WR SRXU WKHPVHOYHV LQWR VKDOORZ YHVVHOV DQG WKXV ODYLVK WKHLU ULFK DIIHFWLRQV RQ WKH JURXQGf $Q DHVWKHWLF LQWROHUDQFH RI DOO WKDW LV QRW EHDXWLIXO IXOO\ UHYHDOHG LWVHOI LQ WKH +DZWKRPLDQ GHLILFDWLRQ RI ZRPDQKRRG %HDXW\ ZDV VHL]HG DV WKH VXSUHPH LGHDO ,QGLYLGXDOV ERUQ ZLWKRXW EHDXW\ DUH WR EH KHDUWOHVVO\ FRQGHPQHG $Q XJO\ SHUVRQ ZLWK WDFW PD\ PDNH D EDG IDFH DQG ILJXUH SDVV YHU\ WROHUDEO\ DQG PRUH WKDQ WROHUDEO\ 8JOLQHVV ZLWKRXW WDFW LV KRUULEOHf§LW RXJKW WR EH ODZIXO WR H[WLUSDWH VXFK ZUHWFKHVf 7KHUH LV QR KXPDQH V\PSDWK\ IRU WKH XJO\ 7KHUH LV LQVWHDG DQ H[WUHPHO\ VHQVLWLYH LI QRW DEQRUPDO UHYXOVLRQ :LWK D JRRG ELW RI SV\FKRORJLFDO LQVLJKW +DZWKRUQH VSHFXODWHV RQ KXPDQLW\fV WLPLG FUHDWXUHV 3HRSOH ZKR DUH TXLWH YLJRURXV LQ YRFDO SURFODPDWLRQV RIWHQ JURZ SDVVLYH ZKHQ DFWLRQ LV UHTXLUHG ,W LV UHPDUNDEOH WKDW SHUVRQV ZKR VSHFXODWH WKH PRVW EROGO\ RIWHQ FRQIRUP ZLWK WKH PRVW SHUIHFW TXLHWXGH WR WKH H[WHUQDO UHJXODWLRQV RI VRFLHW\ 7KH WKRXJKW VXIILFHV WKHP ZLWKRXW LQYHVWLQJ LWVHOI LQ WKH IOHVK DQG EORRG RI DFWLRQf 7KH SK\VLFDO DSSHDUDQFH RI WLPLGLW\ PD\ VRPHWLPHV FORDN D IRUFHIXO QDWXUH %XW WKHVH WUDQVSDUHQW QDWXUHV DUH RIWHQ GHFHSWLYH LQ WKHLU GHSWK WKRVH SHEEOHV DW WKH ERWWRP RI WKH

PAGE 191

IRXQWDLQ DU IDUWKHU IURP XV WKDQ ZH WKLQNfKf 1RW XQWLO D FULVLV DULVHV QRW XQWLO DFWLRQ LV REOLJDWRU\ PD\ DQ LQGLYLGXDOnV WUXH PHDVXUHPHQW EH WDNHQ ,W LV W\SLFDO RI FHUWDLQ QDWXUHV WKDW XQGHU H[WUHPH FLUFXPVWDQFHV WKH\ VKRXOG ILQG VRODFH LQ D GD\GUHDP ,QGLYLGXDOV ZKRVH DIIDLUV KDYH UHDFKHG DQ XWWHUO\ GHVSHUDWH FULVLV DOPRVW LQYDULDEO\ NHHS WKHPVHOYHV DOLYH ZLWK KRSHV VR PXFK WKH PRUH DLULO\ PDJQLILFHQW DV WKH\ KDYH WKH OHVV RI VROLG PDWWHU ZLWKLQ WKHLU JUDVS ZKHUHRI WR PRXOG DQ\ MXGLFLRXV DQG PRGHUDWH H[SHFWDWLRQ RI JRRGf ,Q FRQWUDVW WR WKH GUHDPHU RWKHU SHRSOHf§DV ZDV WKH FDVH ZLWK WKH SRHW DQG WKH QRYHOLVWf§DUH GHVWLQHG WR PRYH RQ WR PRUH QXPHURXV DQG PRUH GLIILFXOW WULDOV 6XFFHVV VWD\V RQH MXPS DKHDG \HW HDFK QHZHU DQG KLJKHU HIIRUW EULQJV ZLWK LW DQ LQWDQJLEOH EXW KLJKO\ YDOXDEOH FRPSHQVDWLRQ f%XW WKXV LW DOZD\V LV ZLWK SHUVRQV ZKR DUH GHVWLQHG WR SHUIRUP JUHDW WKLQJV :KDW WKH\ KDYH DOUHDG\ GRQH VHHPV OHVV WKDQ QRWKLQJ :KDW WKH\ KDYH WDNHQ LQ KDQG WR GR VHHPV ZRUWK WRLO GDQJHU DQG OLIH LWVHOIff $PRQJ PDQNLQGfV PDVV WKHUH DUH VWUDQJHO\ FRQVWLWXWHG QDWXUHV IRU ZKRP WKH GLYLQH REOLJDWLRQV RI SDUHQWKRRG DUH D IHVWHULQJ WKRUQ %XW WKHUH DUH ZLOG IRUFLEOH XQUHVWULFWHG FKDUDFWHUV RQ ZKRP WKH QHFHVVLW\ DQG HYHQ GXW\ RI ORYLQJ WKHLU RZQ FKLOG LV D VRUW RI EDUULHU WR ORYH 7KH\ SHUKDSV GR QRW ORYH WKHLU RZQ WUDLWV ZKLFK WKH\ UHFRJQL]H LQ WKHLU FKLOGUHQ WKH\ VKULQN IURP WKHLU RZQ IHDWXUHV LQ WKH UHIOHFWLRQ SUHVHQWHG E\ WKHVH OLWWOH PLUURUV $ FHUWDLQ VWUDQJHQHVV DQG XQOLNHQHVV VXFK DV JLYHV SRLJQDQF\ WR WKH ORYH EHWZHHQ WKH VH[HVf ZRXOG H[FLWH D OLYHOLHU DIIHFWLRQf 7DNHQ WRJHWKHU WKH REVHUYDWLRQV RQ LQGLYLGXDO DVSHFWV RI KXPDQ QDWXUH GR QRW SURYLGH D VWLPXODWLQJ WKRXJKW SDWWHUQ 7KH\ SUHVHQW QR VWDQGDUG QR XQLTXH WKHPH ,Q D VXEWOH ZD\ WKH\ GR LOOXVWUDWH WKH

PAGE 192

QRYHOLVWnV DELOLW\ WR VLQJOH RXW DQG HIIHFWLYHO\ FKDUDFWHUL]H SHFXOLDU TXLUNV RI KXPDQ QDWXUH 7KH\ LOOXVWUDWH WRR DQ DELOLW\ WR PRYH EHKLQG D ILUP H[WHUQDOLW\ DQG JUDVS WKRVH LQWHUQDO WUXWKV ZKLFK DUH VHOGRP IRUHVKDGRZHG LQ VXUIDFH IRUPV ,QWHUDFWLRQV $GMXVWPHQWV EHWZHHQ SHUVRQDOLWLHV DUH IUHTXHQWO\ EXW QRW DOZD\V SUHGLFWDEOH )URP KLV NQRZOHGJH RI PDQNLQGnV LQQHU FRQVWLWXWLRQ +DZWKRUQH ZDV DEOH WR IRUHFDVW ZLWK VRPH DFFXUDF\ WKRVH KXPDQ LQWHUDFWLRQV ZKLFK RFFXU LQ HYHU\GD\ OLIH $ EUHDFK RI WKH DIIHFWLRQV IRU H[DPSOH LV VHHQ WR EH WUDJLF IRU ,W LV SHULORXV WR PDNH D FKDVP LQ KXPDQ DIIHFWLRQV QRW WKDW WKH\ JDSH VR ORQJ DQG ZLGHf§EXW VR TXLFNO\ FORVH DJDLQOf (DFK KHDUWEUHDN LV PRUH WUDJLF LQ WKDW LW LV VR UHDGLO\ KHDOHG ,W LV GLIILFXOW WR UHDOL]H WKDW WLPH PDNHV VXFK UDSLG DGMXVWPHQWV 3HRSOH LQ GLVWUHVVf§WKRVH XQIRUWXQDWHV ZKR DUH FRQWLQXDOO\ IURQWHG E\ EDUULHUV DQG FKDVPVZLOO LQVWDQWO\ JLYH ZD\ EHIRUH D VLQFHUH H[SUHVVLRQ RI V\PSDWK\ 3HRSOH LQ GLIILFXOW\ DQG GLVWUHVV RU LQ DQ\ PDQQHU DW RGGV ZLWK WKH ZRUOG FDQ HQGXUH D YDVW DPRXQW RI KDUVK WUHDWPHQW DQG SHUKDSV EH RQO\ WKH VWURQJHU IRU LW ZKHUHDV WKH\ JLYH ZD\ DW RQFH EHIRUH WKH VLPSOHVW H[SUHVVLRQ RI ZKDW WKH\ SHUFHLYH WR EH JHQXLQH V\PSDWK\f +DZWKRUQH FRQVWDQWO\ UDQ WKH GDQJHUV RI RQH ZKR FRQFHQWUDWHV WRR FROGO\ RQ D VWXG\ RI IHOORZ KXPDQV ,W LV QRW DSSUHKHQG D KHDOWK\ NLQG RI PHQWDO RFFXSDWLRQ WR GHYRWH RXUVHOYHV WRR H[FOXVLYHO\ WR WKH VWXG\ RI LQGLYLGXDO PHQ DQG ZRPHQ ,I WKH SHUVRQ XQGHU H[DPLQDWLRQ EH RQHnV VHOI WKH UHVXOW LV SUHWW\ FHUWDLQ WR EH GLVHDVHG DFWLRQ RI WKH KHDUW DOPRVW EHIRUH ZH FDQ VQDWFK D VHFRQG JODQFH 2U LI ZH WDNH WKH IUHHGRP

PAGE 193

WR SXW D IULHQG XQGHU RXU PLFURVFRSH YUH WKHUHE\ LQVXODWH KLP IURP PDQ\ RI KLV WLPH UHODWLRQV PDJQLI\ KLV SHFXOLDULWLHV LQHYLWDEO\ WHDU KLP LQWR SDUWV DQG RI FRXUVH SDWFK KLP YHU\ FOXPVLO\ WRJHWKHU DJDLQ :KDW ZRQGHU WKHQ VKRXOG ZH EH IULJKWHQHG E\ WKH DVSHFW RI D PRQVWHU ZKLFK DIWHU DOOf§WKRXJK ZH FDQ SRLQW WR HYHU\ IHDWXUH RI KLV GHIRUPLW\ LQ WKH UHDO SHUVRQDJHf§PD\ EH VDLG WR KDYH EHHQ FUHDWHG E\ RXUVHOYHV822f 7KH QRYHOLVW IHDUHG WKH SUREDEOH GLVWRUWLRQ ZKLFK D FDOFXODWHG DQG DOPRVW GLVLQWHUHVWHG H[DPLQDWLRQ RI KXPDQLW\ PLJKW ZHOO SUHVHQW +H ZDV DOVR DZDUH WKDW DQ DFWLRQ D UHDFWLRQ RU DQ LQWHUDFWLRQ FDQ EH IXOO\ XQGHUVWRRG RQO\ LQ WHUPV RI WKH WRWDO EHLQJ DQG WKDW DQ RXWVLGH REVHUYHUnV EHVW HIIRUWV DW FKDUDFWHUL]DWLRQ DUH DOZD\V SDUWLDO 6HULRXV WKRXJKWV QRUPDOO\ FDOO IRU LQGLUHFW H[SUHVVLRQ :KHQ LQGLYLGXDOV DSSURDFK RQH DQRWKHU ZLWK GHHS SXUSRVHV RQ ERWK VLGHV WKH\ VHOGRP FRPH DW RQFH WR WKH PDWWHU ZKLFK WKH\ KDYH PRVW DW KHDUW 7KH\ GUHDG WKH HOHFWULF VKRFN RI WRR VXGGHQ FRQWDFW ZLWK LW $ QDWXUDO LPSXOVH OHDGV WKHP WR VWHDO JUDGXDOO\ RQZDUG KLGLQJ WKHPVHOYHV DV LW ZHUH EHKLQG D FORVHU DQG VWLOO D FORVHU WRSLF XQWLO WKH\ VWDQG IDFH WR IDFH ZLWK WKH WUXH SRLQW RI LQWHUHVWO2Of 0DQ WHQGV WR EXLOG JUDGXDOO\ WR KLV FKLHI WRSLF RI LQWHUHVW KH LV UDUHO\ RSHQ DQG LPPHGLDWH LQ H[SUHVVLQJ KLV GHHSHU FRQFHUQV 7KHQ WRR WKHUH LV D IRUPLGDEOH EDUULHU VHSDUDWLQJ DOO LQGLYLGXDOV 6RFLHW\nV ODZ RIWHQ KHOSV WR IRUPXODWH DQG LQWHQVLI\ WKDW EDUULHUf§KHOSV WR SUHYHQW D IUHH LQWHUSOD\ EHWZHHQ SHUVRQDOLWLHVf§HVSHFLDOO\ ZKHQ RQH RU WKH RWKHU RI WKH SHUVRQV FRQFHUQHG LV D UHSXWDEOH ZRUWK\ 7KHUH LV D GHFRUXP ZKLFK UHVWUDLQV \RX XQOHVV \RX KDSSHQ WR EH D SROLFHFRQVWDEOHf IURP EUHDNLQJ WKURXJK D FUXVW RI SODXVLEOH UHVSHFWDELOLW\ HYHQ ZKHQ \RX DUH FHUWDLQ WKDW WKHUH LV D NQDYH EHQHDWK LWL_f ,QWHUDFWLRQV EHWZHHQ LQGLYLGXDOV GR QRW DOZD\V IROORZ D VHW SDWWHUQ $Q DQDO\VLV RI WKH KXPDQ SHUVRQDOLW\ UHTXLUHV WKDW FHUWDLQ

PAGE 194

SV\FKRORJLFDO FRQMHFWXUHV EH SURSRVHG \HW WKHVH JHQHUDOLWLHV IRUHFDVW RQO\ WKH SUREDEOH QDWXUH RI D JLYHQ LQWHUDFWLRQ (YHQ WKRXJK VXFK VWDWHPHQWV FDQQRW SURYLGH IRU WKH KXPDQ YDULDEOH WKH\ PD\ VWLOO FRQWDLQ W\SLFDO RU K\SRWKHWLFDO WUXWKV ,W LV WKH KDUGHVW WKLQJ LQ WKH ZRUOG IRU D QREOH QDWXUHf§WKH KDUGHVW DQG WKH PRVW VKRFNLQJf§WR EH FRQYLQFHG WKDW D IHOORZEHLQJ LV JRLQJ WR GR D ZURQJ WKLQJ DQG WKH FRQVFLRXVQHVV RI RQHnV RZQ LQYLRODELOLW\ UHQGHUV LW VWLOO PRUH GLIILFXOW WR EHOLHYH WKDW RQHfV VHOI LV WR EH WKH REMHFW RI WKH ZURQJrf +XPDQ LQWHUDFWLRQV DUH IUHTXHQWO\ V\PEROL]HG LQ D PDWHULDOLVWLF FORDNLQJ 7KHUH DUH UHDOO\ LI \RX VWRS WR WKLQN DERXW LW IHZ VDGGHU VSHFWDFOHV LQ WKH ZRUOG WKDQ D UDJJHG FRDW RU D VRLOHG DQG VKDEE\ JRZQ DW D IHVWLYDO828f
PAGE 195

W\SHV RI SHUVRQDOLWLHV ZKLFK GR H[LVW 0DQ\ RI +DZWKRUQHnV REVHUYDWLRQV RQ KXPDQ QDWXUH DUH HVVHQWLDOO\ PLVFHOODQHRXV LQ WKDW WKH\ DUH RFFDVLRQHG E\ SDUWLFXODU SHRSOH LQ SDUWLFXODU FLUFXPVWDQFHV :KLOH WKH\ KDYH FRPSDUDWLYHO\ OLWWOH DGKHVLRQ ZKLOH WKH\ GR QRW IDOO QHDWO\ LQWR D V\VWHPDWL]HG DQG IXOO\ GHYHORSHG WKRXJKW ILHOG WKH\ DUH RI LQWULQVLF LQWHUHVW LQ WKDW WKH\ HYLGHQFH WKH ZULWHUnV WDOHQW IRU VXFFHVVIXOO\ GHOYLQJ LQWR WKH KXPDQ SHUVRQDOLW\ DW DOPRVW DQ\ RQH JLYHQ SRLQW 7KH 1DWXUH RI WKH 3XEOLF $ 'HPRFUDW RI WKH ILUVW KDOI RI WKH QLQHWHHQWK FHQWXU\ UHSRUWHGO\ SXW KLV WUXVW LQ WKH SHRSOH +DZWKRUQH D SHFXOLDU VRUW RI DQ DULVWRFUDWLFGHPRFUDW KHOG WKH SXEOLF LQ ORZ UHJDUG 7KH LGHDV RI SHRSOH LQ JHQHUDO DUH QRW UDLVHG KLJKHU WKDQ WKH URRIV RI WKH KRXVHV $OO WKHLU LQWHUHVWV H[WHQG RYHU WKH HDUWKnV VXUIDFH LQ D OD\HU RI WKDW WKLFNQHVV 7KH PHHWLQJKRXVH VWHHSOH UHDFKHV RXW RI WKHLU VSKHUHrf ,Q JHQHUDO WKH SXEOLF FRQWHQWV LWVHOI ZLWK WKDW ZKLFK OLHV XSRQ OLIHn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

PAGE 196

LQWHUQDO FKDQJH 7KH PRUH D SHRSOH WKLQNV DQG WKH PRUH LW OHDUQV WKH OHVV ZLOO LW EH DFWHG XSRQ E\ IUHQ]LHG LPSXOVHV DV NQRZOHGJH LV GLIIXVHG SRSXODULW\ 7ULOO EHFRPH PRUH D PDWWHU RI MXGJPHQW WKDQ IHHOLQJ DQG WKH JUHDW PHQ RI IXWXULW\ ZLOO VHOGRP ULVH VR KLJK RU IDOO VR ORZ DV WKH JUHDW PHQ RI WKH SDVWf $V LV WKH FDVH ZLWK DQ\WKLQJ KXPDQ WKH SXEOLF KDV D KHDUW ZKLFK PD\ EH DURXVHG WR V\PSDWKHWLF DFWLRQ ff7KH SXEOLF LV GHVSRWLF LQ LWV WHPSHU LW LV FDSDEOH RI GHQ\LQJ FRPPRQ MXVWLFH ZKHQ WRR VWUHQXRXVO\ GHPDQGHG DV D ULJKW EXW TXLWH DV IUHTXHQWO\ LW DZDUGV PRUH WKDQ MXVWLFH ZKHQ WKH DSSHDO LV PDGH DV GHVSRWV ORYH WR KDYH LW PDGH HQWLUHO\ WR LWV JHQHURVLW\0 -8f ,Q WKLV LQVWDQFH ffJHQHURVLW\f VWDQGV DV D V\PERO IRU WKH fKHDUWf LQ WKH IDPLOLDU KHDGKHDUW GLVWLQFWLRQ 8VXDOO\ WKH KHDUWf§WKH VXSUHPH +DZWKRUQLDQ V\PERO IRU DOO WKDW JRHV EH\RQG PHUH LQWHOOHFWf§LV PHQWLRQHG RXWULJKW :KHQ DQ XQLQVWUXFWHG PXOWLWXGH DWWHPSWV WR VHH ZLWK LWV H\HV LW LV H[FHHGLQJO\ DSW WR EH GHFHLYHG :KHQ KRZHYHU LW IRUPV LWV MXGJPHQW DV LW XVXDOO\ GRHV RQ WKH LQWXLWLRQV RI LWV JUHDW DQG ZDUP KHDUW WKH FRQFOXVLRQV WKXV DWWDLQHG DUH RIWHQ VR SURIRXQG DQG VR XQHUULQJ DV WR SRVVHVV WKH FKDUDFWHU RI WUXWKV VXSHUQDWXUDOO\ UHYHDOHGKf 5HDOLW\ FDQ QHYHU EH SKRWRJUDSKHG E\ WKH H\H QRU LQWHOOHFWXDOO\ DUULYHG DW E\ WKH PLQG RI PDQ ,W LV RQO\ WKURXJK DQ H[HUFLVH RI WKH LQWXLWLRQ WKDW WKH DUWLILFLDO PD\ EH SXVKHG DVLGH 6R OHW HDFK FHQWXU\ VHW XS WKH PRQXPHQWV RI WKRVH ZKRP LW DGPLUHV DQG ORYHV DQG WKHUH LV QR KDUP EXW RQ WKH ZKROH PXFK SOHDVXUH LQ KDYLQJ VXFK D UHZDUG EHIRUH WKH ZRUOGfV H\HV,S/2f ,W LV WKH JXOOLEOH QDWXUH RI WKH SXEOLF WKDW LW VKRXOG EHOLHYH ZKROHKHDUWHGO\ LQ WKH PRPHQW DQG LQ WKH PHQ DQG WKH HYHQWV RI WKDW PRPHQW 7KH SXEOLF DW DQ\ JLYHQ LQVWDQFH FRQVLGHUV LWVHOI WKH FURZQLQJ

PAGE 197

DFKLHYHPHQW RI DOO WKDW KDV SUHFHGHG LW LQ KLVWRU\ ,Q D QDWXUDO EXW UDWKHU SDWKHWLF GLVSOD\ RI HJRWLVP LW \LHOGV LWV VXSHULRULW\ WR QR RQH :KHQ FRPPHQWLQJ XSRQ WDOHQW DQG JHQLXV +DZWKRUQH KDG UHSHDWHGO\ GHQLHG D SOHQLWXGH RI WUXH JUHDWQHVV HM VRPHVW _f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nV QDWXUH LW VWXEERUQO\ LQVLVWV OLNH PDQ KLPVHOI RQ FRQWULYLQJ E\ PHDQV RI LWV LQWHOOHFW 7KHQ WRR +DZWKRUQH ZDV PXFK PRUH RI DQ DULVWRFUDW HVSHFLDOO\ LQ KLV SUHMXGLFHV WKDQ LV FRPPRQO\ VXSSRVHG 7KH QRYHOLVW GLG QRW ZULWH ZLWK WKH SRSXODFH LQ PLQG LQ KLV SROLWLFDO

PAGE 198

OLIH KH VFDUFHO\ UHJDUGHG WKH RSSRUWXQLW\ RI VHUYLQJ WKH SXEOLF DV D QREOH FKDOOHQJH $OWKRXJK +DZWKRUQH QHLWKHU KDWHG QRU IHDUHG WKH JUHDW PDVV RI WKH SHRSOH KH ZDV RYHUO\ FRQVFLRXV RI WKH SXEOLFfV LQVHQVLWLYH DQG XQWKLQNLQJ QDWXUH DQG TXLWH SHVVLPLVWLF FRQFHUQLQJ LWV JHQHUDO FDOLEHU DQG DELOLW\ 7KH 1DWXUH RI WKH 6LFN 6LFNQHVV ZKLOH LW LV JHQHUDOO\ WKRXJKW RI DV D WHPSRUDU\ FRQGLWLRQ LQ PDQfV WRWDO MRXUQH\ FDQ EHFRPH LQ UDUH FDVHV WKH SUHGRPLQDQW IRUFH LQ DQ LQGLYLGXDOf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f§SHUKDSV WKH JUHDWHVW RI ZKLFK WKH VXIIHUHU LV VXVFHSWLEOHf§LQ GLVSOD\LQJ WKH ZDVWHG RU XOFHUDWHG OLPE RU WKH FDQFHU LQ WKH EUHDVW DQG WKH IRXOHU WKH FULPH ZLWK VR PXFK WKH PRUH GLIILFXOW\ GRHV WKH SHUSHWUDWRU SUHYHQW LW IURP WKUXVWLQJ XS LWV VQDNHOLNH KHDG WR IULJKWHQ WKH ZRUOG IRU LW LV WKDW FDQFHU RU WKDW FULPH ZKLFK FRQVWLWXWHV WKHLU UHVSHFWLYH LQGLYLGXDOLW\ ,MOf $ PDQ XQGHU WKHVH UDWKHU H[WUHPH FRQGLWLRQV QR ORQJHU UHWDLQV KLV QDWXUH DV DQ DUWLVW SROLWLFLDQ RU IDUPHU IRU WKH SUHVHQFH RI WKH LOOQHVV LV DOORZHG WR GLUHFW KLV ZKROH SHUVRQDOLW\f§WR EHFRPH LQ IDFW KLV LQGLYLGXDO QDWXUH :KHUHYHU WKHUH LV D KHDUW DQG DQ LQWHOOHFW WKH GLVHDVHV RI WKH SK\VLFDO IUDPH DUH WLQJHG ZLWK WKH SHFXOLDULWLHV RI WKHVHf,S8f $ SK\VLFDO LOOQHVV PD\ KDYH PHQWDO RULJLQV 7KH QRWLRQ WKDW D SHUVRQnV

PAGE 199

PHQWDO DQG HPRWLRQDO FRQVWLWXWLRQ PD\ LQIOXHQFH LI QRW GHWHUPLQH DFWXDO ERGLO\ KHDOWK LV D ZLGHO\ DFFHSWHG RQH $FTXDLQWDQFHV PD\ UHIOHFW WKH KRUURU RI DQ LOOQHVV DQG WKHUHE\ FDXVH WKH SDWLHQW JUHDWHU GLVFRPIRUW Q7KH VLFN LQ PLQG DQG SHUKDSV LQ ERG\ DUH UHQGHUHG PRUH GDUNO\ DQG KRSHOHVVO\ VR E\ WKH PDQLIROG UHIOHFWLRQ RI WKHLU GLVHDVH PLUURUHG EDFN IURP DOO TXDUWHUV LQ WKH GHSRUWPHQW RI WKRVH DERXW WKHPM WKH\ DUH FRPSHOOHG WR LQKDOH WKH SRLVRQ RI WKHLU RZQ EUHDWK LQ LQILQLWH UHSHWLWLRQfLMO!f :KHQ D VLFN SHUVRQ ILQGV KLPVHOI WKH FHQWHU RI DWWUDFWLRQ KH LV DSW WR JURZ PRURVH f:H DUH DSW WR PDNH VLFNO\ SHRSOH PRUH PRUELG DQG XQIRUWXQDWH SHRSOH PRUH PLVHUDEOH E\ HQGHDYRULQJ WR DGDSW RXU GHSRUWPHQW WR WKHLU HVSHFLDO DQG LQGLYLGXDO QHHGVfOMOf +DZWKRUQH ZDV DPD]LQJO\ DOHUW WR WKH SV\FKRORJLFDO QDWXUH RI LOOQHVV :KLOH KLV DQDO\VLV LV VFDUFHO\ PLQXWH LW VKRXOG EH UHPHPEHUHG WKDW WKH SV\FKRORJ\ RI WKH GD\ ZDV LQ DQ H[WUHPHO\ FUXGH VWDWH ,Q RQH LQVWDQFH WKH QRYHOLVW JRHV EH\RQG WKH DFWXDO YLFLVVLWXGHV RI LOOQHVV LWVHOI DQG SRVHV D GHHSHU LQTXLU\ :KHQ WKH PDFKLQHU\ RI KXPDQ OLIH KDV RQFH EHHQ VWRSSHG E\ VLFNQHVV RU RWKHU LPSHGLPHQW LW RIWHQ QHHGV DQ LPSXOVH WR VHW LW JRLQJ DJDLQ HYHQ DIWHU LW LV QHDUO\ ZRXQG XSfO_f ,Q WKH FRPPHQWDU\ RQ VRFLHW\ WKH IDFW WKDW DQ LQGLYLGXDO ZKR KDV RQFH ORVW KLV SODFH PD\ KDYH GLIILFXOW\ LQ UHHQWHULQJ WKH PDUFKLQJ UDQNV RI KXPDQLW\ ZDV VWDWHG ZLWK IRUFH DQG FHUWDLQW\ ,OOQHVV WKHQ FDQ EH YLHZHG DV D FRQGLWLRQ ZKLFK EULQJV PDQ WR D WHPSRUDU\ VWDQGVWLOO DQG DOORZV DQ HYHUPRYLQJ KXPDQLW\ WR JR RQ DKHDG ,Q WKLV SHUVSHFWLYH WKH DIWHUPDWK RI DQ LOOQHVV LV

PAGE 200

KD]DUGRXV LQ WKDW WKH LQGLYLGXDO FRQFHUQHG PD\ KDYH GLIILFXOW\ LQ UHJDLQLQJ KLV SURSHU SODFH LQ VRFLHW\ HVSHFLDOO\ LI KH KDV EHHQ ORQJ DEVHQW IURP LW 7KH 7ZLOLJKW =RQH 0DQrV PLQG LV FDXJKW XS XQGHU FHUWDLQ FRQGLWLRQV LQWR D VXEFRQVFLRXV RU WZLOLJKW ]RQH ZKHUH WKH EDVLF WUXWKV RI OLIH DUH DSW WR EUHDN WKURXJK XQKDPSHUHG E\ PDWHULDOLVWLF EDUULHUV 7KLV SDVVLYH SUHWHUQDWXUDO VWDWH ZKHWKHU EURXJKW RQ E\ IDWLJXH VOHHS H[WUHPH DQ[LHW\ RU FRUSRUHDO ZDVWLQJ EHWRNHQV D QHZ DQG VHSDUDWH PRGH RI H[LVWHQFH ,WV QDWXUH LV RI WZR ZRUOGVf§D FRQVFLRXV DQG D VXEFRQVFLRXV RQH +HUH LQ D VWDWH RI VXSUHPH SDVVLYLW\ WKH LQGLYLGXDO PD\ UHFHLYH GLUHFW FRPPXQLFDWLRQ IURP WKDW UHDOLW\f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f 7KDW GHHSHU DQG WUXHU OLIH ZKLFK IORZV EHQHDWK WKH JURVVHU FXUUHQWV RI WKH RUGLQDU\ RQH ILQGV LQ WKH WZLOLJKW ]RQH LWV RSSRUWXQLW\ IRU HQWHULQJ WKH KHDUW RI PDQ 7KH PLQG LV LQ D VDG VWDWH ZKHQ 6OHHS WKH DOOLQYROYLQJ FDQQRW FRQILQH KHU VSHFWUHV ZLWKLQ WKH GLP UHJLRQ RI KHU VZD\ EXW VXIIHUV WKHP WR EUHDN IRUWK DIIULJKWLQJ WKLV DFWXDO OLIH ZLWK VHFUHWV

PAGE 201

WKDW SHUFKDQFH EHORQJ WR D GHHSHU RQHOI/f nf:KHQ WKH KHDUW LV IXOO RI FDUH RU WKH PLQG PXFK RFFXSLHG WKH VXPPHU DQG WKH VXQVKLQH DQG WKH PRRQOLJKW DUH EXW D JOHDP DQG D JOLPPHUf§D YDJXH GUHDP ZKLFK GRHV QRW FRPH ZLWKLQ XV EXW RQO\ PDNHV LWVHOI LPSHUIHFWO\ SHUFHSWLEOH ZLWKRXWOMf $W WLPHV WKH FRQWLQXDOO\ SUHVHQW SK\VLFDO IRUP PDQnV ERG\ LV VR GHSUHVVHG E\ WURXEOHV WKDW H[WHUQDOLW\ QR ORQJHU UHJLVWHUV RQ WKH LQPRVW PDQ OLIHnV RXWHU SURFHVVLRQ FRQWLQXHV EXW WKH LQQHU EHLQJ LV REOLYLRXV WR LW 2Q RWKHU RFFDVLRQV PDQnV VSLULW GHVHUWV KLV ERG\ 7KHUH LV VDG FRQIXVLRQ LQGHHG ZKHQ WKH VSLULW WKXV IOLWV DZD\ LQWR WKH SDVW RU LQWR WKH PRUH DZIXO IXWXUH RU LQ DQ\ PDQQHU VWHSV DFURVV WKH VSDFHOHVV ERXQGDU\ EHWZL[W LWV RZQ UHJLRQ DQG WKH DFWXDO ZRUOG ZKHUH WKH ERG\ UHPDLQV WR JXLGH LWVHOI DV EHVW LW PD\ ZLWK OLWWOH PRUH WKDQ WKH PHFKDQLVP RI DQLPDO OLIH ,W LV OLNH GHDWK ZLWKRXW GHDWKnV TXLHW SULYLOHJHf§LWV IUHHGRP IURP PRUWDO FDUH -f /LDQ H[LVWVf§IRU WKH WLPH DW OHDVWf§LQ D VWDWH RI VXSUHPH KHOSOHVVQHVV /LIHnV FDUHV UHPDLQ ZLWK KLP JDOO KLP EXW GHDWKn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f $ SHUVRQ VR VXEGXHG E\ PHQWDO HPRWLRQDO RU SK\VLFDO FLUFXPVWDQFH WKDW KH FDQ QR ORQJHU NHHS XS ZLWK WKH HQGOHVV RQZDUG PRYHPHQW RI OLIH VKLYHUV LQ KLV SULYDWH VROLWXGH RI VHSDUDWLRQ

PAGE 202

+DZWKRUQHfV WZLOLJKW ]RQH LV VRPHZKDW FRPSDUDEOH WR D K\SQRWLF VWDWH V %XW WKHUH LV D VSHFLHV RI LQWXLWLRQf§HLWKHU D VSLULWXDO OLH RU WKH VXEWLOH UHFRJQLWLRQ RI D IDFWf§ZKLFK FRPHV WR XV LQ D UHGXFHG VWDWH RI WKH FRUSRUHDO V\VWHP 7KH VRXO JHWV WKH EHWWHU RI WKH ERG\ DIWHU ZDVWLQJ LOOQHVV RU ZKHQ D YHJHWDEOH GLHW PD\ KDYH PLQJOHG WRR PXFK HWKHU LQ WKH EORRG 9DSRUV WKHQ ULVH XS WR WKH EUDLQ DQG WDNH VKDSHV WKDW RIWHQ LPDJH IDOVHKRRG EXW VRPHWLPHV WUXWK 7KH VSKHUHV RI RXU FRPSDQLRQV KDYH DW VXFK SHULRGV D YDVWO\ JUHDWHU LQIOXHQFH XSRQ RXU RZQ WKDQ ZKHQ UREXVW KHDOWK JLYHV XV D UHSHOOHQW DQG VHOIGHIHQVLYH HQHUJ\ rf +HUH WKH LQGLYLGXDO LV SHULORXVO\ RSHQ WR YDULRXV H[WHUQDO LQIOXHQFHV 7KH VXJJHVWLRQV RI KLV IULHQGV DUH DV SLOODUV WR KLV ZHDNHQHG PLQG 6LQFH KH KDV QR ZLOO KH LV HDV\ SUH\ WR WKH ZLOO RI RWKHUV 1R PDWWHU KRZ RXWPRGHG WKH +DZWKRUQLDQ QRPHQFODWXUHf§YHJHWDEOH GLHW HWKHU LQ WKH EORRG YDSRUVf§WKH VLWXDWLRQ ZKLFK KH GHVFULEHVf§ WKDW XQLTXH VWDWH RI EHLQJ LQ ZKLFK DQ LQGLYLGXDO GZHOOV LQ WZR ZRUOGV \HW LQ QHLWKHUf§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fV

PAGE 203

8 QDWXUH 7KHUH DUH E\ FRQWUDVW PRUH SHUPDQHQW DQG HTXDOO\ SHFXOLDU VWDWHV RI H[LVWHQFH ZKLFK DULVH IURP SK\VLFDO EHJLQQLQJV ,Q WKH WZLOLJKW ]RQH WKH PDWHULDOLVWLF LV PLQLPL]HG ,Q WKH QDWXUH ZKLFK FHQWHUV LWVHOI XSRQ SRZHU RU D JXLGLQJ SXUSRVH WKH PDWHULDOLVWLF LV HPSKDVL]HG WR WKH XWPRVW 7KXV LW LV WKDW DQ LQGLYLGXDOnV GHVLUH RU WKH VWUHQJWK DQG UDQN DFKLHYHG LQ WKH IXOILOPHQW RI WKDW GHVLUH PD\ EHFRPH WKDW SHUVRQ 7KH LQGLYLGXDO QR ORQJHU IXQFWLRQV ZLWK WKH XQLTXH QDWXUH ZKLFK ZDV RQFH KLV ELUWKULJKW EXW EHFRPHV UDWKHU WKH HPERGLPHQW RI UDQN SRZHU RU SXUSRVH ,QVWHDG RI WKH LQGLYLGXDOn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f 6WUHQJWK GHILHV DOO FKDOOHQJHUV 6WUHQJWK LV LQFRPSUHKHQVLEOH E\ ZHDNQHVV DQG WKHUHIRUH WKH PRUH WHUULEOH 7KHUH LV QR JUHDWHU EXJEHDU WKDQ D VWURQJZLOOHG UHODWLYH LQ WKH FLUFOH RI KLV RZQ FRQQHFWLRQVQKf 7KH VWURQJZLOOHG SHUVRQ WKH PDQ RI UDQN DQG SUHVWLJH +DZWKRUQH VDZ DV D UDWKHU GHILQLWH SHUVRQDOLW\ W\SH 1HHGOHVV WR VD\ WKH QRYHOLVW OLWWOH DGPLUHG KLP ,W LV XQIRUWXQDWH WKDW WKH PDOH LQWHOOHFW RIWHQ FRQVHFUDWHV LWVHOI WR RQH VXSUHPH SXUSRVH DQG LQ VR GRLQJ IRUIHLWV LWV LQGLYLGXDOLW\ +RZHYHU QREOH DQ DYRZHG DLP PD\ EH WKH SURFHVV RI LWV

PAGE 204

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f ff7KLV VHQVH RI IL[HGQHVVf§VWRQ\ LQWUDFWDELOLW\f§VHHPV WR EHORQJ WR SHRSOH ZKR LQVWHDG RI KRSH ZKLFK H[DOWV HYHU\WKLQJ LQWR DQ DLU\ JDVHRXV H[KLODUDWLRQ KDYH D IL[HG DQG GRJJHG SXUSRVH DURXQG ZKLFK HYHU\WKLQJ FRQJHDOV DQG FU\VWDOOL]HVfrf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ff3HUKDSV WKH QREOHVW VSHFLHV RI FRXUDJH LV LQ D JRRG FDXVH WR

PAGE 205

EUDYH WKH EDG RSLQLRQ RI WKH ZRUOGX rf 7KLUW\ \HDUV ODWHU WKH QRYHOLVW KDG VHWWOHG LQWR D ILUP UHFRJQLWLRQ RI WKH IDFW WKDW VRFLHW\ PDNHV WKH PDQ DQG WKDW WKH LQGLYLGXDO GRHV QRW PDMHVWLFDOO\ VKDSH KLV RZQ IRUWXQH *UHDW PHQ KDYH WR EH OLIWHG XSRQ WKH VKRXOGHUV RI WKH ZKROH ZRUOG LQ RUGHU WR FRQFHLYH WKHLU JUHDW LGHDV RU SHUIRUP WKHLU JUHDW GHHGV 7KDW LV WKHUH PXVW EH DQ DWPRVSKHUH RI JUHDWQHVV URXQG DERXW WKHPf§D KHUR FDQQRW EH D KHUR XQOHVV LQ D KHURLF ZRUOG rf 7KH JUHDWHVW REVWDFOH WR EHLQJ KHURLF LV WKH GRXEW ZKHWKHU RQH PD\ QRW EH JRLQJ WR SURYH RQHfV VHOI D IRRO WKH WUXHVW KHURLVP LV WR UHVLVW WKH GRXEW DQG WKH SURIRXQGHVW ZLVGRP WR NQRZ ZKHQ LW RXJKW WR EH UHVLVWHG DQG ZKHQ WR EH REH\HG rf +DZWKRUQH ZDV UHOXFWDQW WR DGPLWf§DQG QHFHVVDULO\ VR LQ WKH OLJKW RI KLV WRWDO SKLORVRSK\f§WKDW DQ\ PDQ FRXOG DFFRPSOLVK PXFK JRRG FRXOG IXQFWLRQ QREO\ ZLWKRXW SURGXFLQJ PXFK HYLO DW WKH VDPH WLPH +HURLVP LV ORRNHG XSRQ ZLWK VXVSLFLRQ IRU LW LV XQOLNHO\ WKDW PDQfV EDVLF QDWXUH ZRXOG SHUPLW KLV ULVH WR VXFK KHLJKWV +RZ VLQJXODU LW LV WKDW WKH SHUVRQDO FRXUDJH RI IDPRXV ZDUULRUV VKRXOG EH VR RIWHQ FDOOHG LQ TXHVWLRQO rf 7KH VXSSRVHG FKLYDOU\ RI DQWLTXH GD\V LV YLJRURXVO\ TXHVWLRQHG GRXEW ZKHWKHU WKHUH HYHU ZDV DQ\ DJH RI FKLYDOU\ LW FHUWDLQO\ ZDV QR FKLYDOULF VHQWLPHQW WKDW PDGH PHQ FDVH WKHPVHOYHV LQ LPSHQHWUDEOH LURQ DQG ULGH DERXW LQ LURQ SULVRQV IHDUIXOO\ SHHSLQJ DW WKHLU HQHPLHV WKURXJK OLWWOH VOLWV DQG JLPOHWKROHV 7KH XQSURWHFWHG EUHDVW RI D SULYDWH VROGLHU PXVW KDYH VKDPHG KLV OHDGHUV LQ WKRVH GD\Vrf $OWKRXJK +DZWKRUQH KDG OLWWOH WR VD\ DERXW WKH WUXH QDWXUH RI KHURLVP KLV UHDFWLRQ WR WKH KHURLF LV SURYRFDWLYH 7KH QRYHOLVW VHHPLQJO\ KDG OLWWOH KHURLVP LQ KLV RZQ ERVRP +H QHYHU ZDUPO\

PAGE 206

HVSRXVHG D FDXVHM KH ORRNHG ZLWK GLVWUXVW XSRQ WKRVH LQGLYLGXDOnV ZKR GLG $OWKRXJK KH ZRXOG GHIHQG KLV LGHDOV DQG IULHQGVKLSV XQGHU SUHVVXUH DV LQVWDQFHG LQ KLV VWDQG IRU WKH XQSRSXODU )UDQNOLQ 3LHUFH KH QHYHU VSRNH RI LGHDOV ZKLFK ZHUH ZRUWK ILJKWLQJ IRU ,I +DZWKRUQHnV SHUVRQDOLW\ ODFNHG DQ\ RQH FRPSRQHQW LW ZDV HQWKXVLDVP $ KHUR LV D SHUVRQ FDSDEOH RI VKDSLQJ WKH XQLYHUVH 7KH XQLYHUVH ZKLFK +DZWKRUQH NQHZ ZDV QRW WKDW PDOOHDEOH 3URYHUEV RQ +XPDQ 1DWXUH $SSUR[LPDWHO\ WZHQW\ RI +DZWKRUQHnV REVHUYDWLRQV RQ KXPDQ QDWXUH DUH SURYHUELDO 7KH\ DUH VKRUW DQG WR WKH SRLQWM XQIRUWXQDWHO\ WKH\ KDYH OLWWOH GHSWK
PAGE 207

,W LV VWUDQJH ZKDW VHQVDWLRQV RI VXEOLPLW\ PD\ VSULQJ IURP D YHU\ KXPEOH VRXUFHLf ,W LV VFDUFHO\ GHFRURXV KRZHYHU WR VSHDN DOO HYHQ ZKHQ ZH VSHDN LPSHUVRQDOO\ ,-,/f 7KH PRPHQW ZKHQ D PDQfV KHDG GURSV RII LV VHOGRP RU QHYHU DP LQFOLQHG WR WKLQN SUHFLVHO\ WKH PRVW DJUHHDEOH RI KLV OLIH f 1H[W WR WKH OLJKWHVW KHDUW WKH KHDYLHVW LV DSW WR EH PRVW SOD\IXO ff )RU RQH RI WKH KDUGHVW WKLQJV LQ WKH ZRUOG LV WR VHH WKH GLIIHUHQFH EHWZHHQ UHDO GDQJHUV DQG LPDJLQDU\ RQHV 7KH PRUDO HIIHFW RI EHLQJ ZLWKRXW D VHWWOHG DERGH LV YHU\ ZHDULVRPH LI!f 1R PDQ ZKR QHHGV D PRQXPHQW HYHU RXJKW WR KDYH RQHLf 7KH DQWLTXDULDQ LV DSW WR VSRLO WKH REMHFWV WKDW LQWHUHVW KLP f 2QO\ D \RXQJ WUDYHOOHU FDQ KDYH SDWLHQFH WR ZULWH KLV WUDYHOV ,,f )RU QRERG\ KDV DQ\ FRQVFLHQFH DERXW DGGLQJ WR WKH LPSUREDELOLWLHV RI D PDUYHOORXV WDOHOf 7KHUH LV QR HVWLPDWLQJ RU EHOLHYLQJ WLOO ZH FRPH WR NQRZ LW ZKDW IRROHU\ OXUNV ODWHQW LQ WKH EUHDVWV RI YHU\ VHQVLEOH SHRSOH8f 7KH QRPDGLF OLIH KDV JUHDW DGYDQWDJHV LI ZH FDQ ILQG WHQWV UHDG\ SLWFKHG IRU XV DW HYHU\ VWDJHL!Of 1DWKDQLHO +DZWKRUQH KDG OLWWOH LQ FRPPRQ ZLWK WKH UHFRJQL]HG SURYHUE VW\OLVWV )UDQNOLQ DQG (PHUVRQ )UDQNOLQ VSHFLDOL]HG LQ JLYLQJ SUDFWLFDO DGYLFH WR DQ LQGXVWULRXV DQG FUDIW\
PAGE 208

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nV LQPRVW FRQYLFWLRQV IRUEDGH D VLPLODU IDLWK %RWK )UDQNOLQ DQG (PHUVRQ UHDFKHG ODUJH DXGLHQFHV ZLWK WKHLU SURYHUELDO ELWV RI ZLVGRP 7KH IRUPHU LQVWUXFWHG WKH $PHULFDQ SXEOLF LQ PDWHULDOLVP WKH ODWWHU LQ LGHDOLVP %RWK JDYH JROGHQ QXJJHWV RI ZLVGRP WRZDUG ZKLFK DQ LQGLYLGXDO PLJKW VWULYH ERWK JDYH PD[LPV IRU WKH SURSHU RUGHULQJ RI RQHnV FRQGXFW %RWK DVVXPHG WKDW OLIH LV SOLDEOH +DZWKRUQH IHOW WKDW OLIH LV UHVWULFWHG E\ WKH YHU\ HOHPHQWV RI ZKLFK LW LV FRPSRVHG 6XFFHVV LV QRW WKH DFTXLVLWLRQ RI PDWHULDOLVWLF JRRGV ZKLFK D )UDQNOLQ PLJKW DGYRFDWH RU WKH LGHDOLVWLF VHOIUHOLDQFH ZKLFK DQ (PHUVRQ ZRXOG SURSRVH EXW LW LV LQ DFWXDOLW\ OLWWOH PRUH WKDQ D UHFRJQLWLRQ RI DQG DFTXLHVFHQFH WR WKH FRPSRXQG RI

PAGE 209

OLIH 6XFFHVV FDQQRW FRPH E\ DFFXPXODWLQJ PDUEOH RU E\ GHQ\LQJ WKH H[LVWHQFH RI PXGM LW FDQ FRPH RQO\ IURP D FDUHIXO WUHDGLQJ RI OLIHn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nV REVHUYDWLRQV RQ KXPDQ QDWXUH DUH XQGXO\ OLPLWHG KH ZDV XQDEOH WR WDNH WKH SUDFWLFDO DSSURDFK RI D )UDQNOLQ RU WKH RSWLPLVWLF DSSURDFK RI DQ (PHUVRQ ,Q HVVHQFH +DZWKRUQH UHDOL]HG WKDW KXPDQLW\ ZDV VR FRQVWLWXWHG E\ LWV QDWXUH WKDW LW PXVW EH FRQWLQXDOO\ FKDVWHQHG E\ OLIH +XPDQ QDWXUH PDNHV D WUXO\ VXFFHVVIXO OLIH GLIILFXOW LI QRW MXOLDQ +DZWKRUQH 1DWKDQLHO +DZWKRUQH DQG +LV :LIH %RVWRQ Q OR

PAGE 210

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

PAGE 211

&+$37(5 ,; 1$7,21$/ 1$785(6 ,Q WKH VHWWLQJ IRUWK RI WKRVH IHDWXUHV ZKLFK GLVWLQJXLVK YDULRXV QDWLRQDOLWLHV FHUWDLQ IDPLOLDU +DZWKRPLDQ SULQFLSOHV ILQG DGGLWLRQDO GHYHORSPHQW LQ D PRUH FRQFUHWH EXW IUHTXHQWO\ SUHMXGLFHG WKRXJKW DUHD :KHUHDV KXPDQ QDWXUH PDLQWDLQV D GHHS DQG FRQVWDQW TXDOLW\ UHJDUGOHVV RI WKH UDFH FUHHG RU SROLWLFDO VXEGLYLVLRQ ZLWKLQ ZKLFK LW PD\ IDOO QDWLRQDO QDWXUHV DUH WR EH GHWHUPLQHG RQ WKH EDVLV RI WKHLU VXUIDFH XQLTXHQHVV 7KH IRUPDOL]HG GHSLFWLRQ RI D QDWLRQDO QDWOLUHf§WKDW JURXS RI FKDUDFWHULVWLFV PDUNHGO\ FRQILQHG ZLWKLQ JLYHQ ERUGHUVf§LV ZKHQ FRQWUDVWHG WR D SURELQJ RI KXPDQ QDWXUH TXLWH VXSHUILFLDO $OWKRXJK KXPDQ QDWXUH LV WKH VDPH IRU DOO PDQNLQG DQ (QJOLVKPDQ D )UHQFKPDQ RU DQ ,WDOLDQ GRHV SRVVHVV D SHFXOLDU QDWLRQDO QDWXUH E\ ZKLFK KH PD\ EH VHW DSDUW IURP WKH UHPDLQLQJ ERG\ RI KXPDQLW\ :KLOH WKH LQQHU QDWXUH RI DQ LQGLYLGXDO LV IL[HG KLV H[WHUQDO RU DSSDUHQW QDWXUH DV D PHPEHU RI D QDWLRQDO JURXS IXUQLVKHV D QHZ DQG VHSDUDWH ILHOG RI LQTXLU\ (YHQ WKRXJK KLV PLQG QRUPDOO\ IXQFWLRQHG RQ GHHS DQG DEVWUDFW OHYHOVf§DV UHIOHFWHG E\ WKH VLQ WR VRFLHW\ WKRXJKW SDWWHUQf§ +DZWKRUQH IRXQG WLPH WR UHFRUG VXUIDFH GLVWLQFWLRQV 2Q RFFDVLRQ WKH SRUWUD\DO RI D QDWLRQDO QDWXUH LV HOHYDWHG E\ DQ HVSHFLDOO\ NHHQ LQVLJKW O£EUH IUHTXHQWO\ SDWULRWLVP SURYLQFLDOLVP 3XULWDQLVP DQG

PAGE 212

SUHMXGLFH GLFWDWH ZKDW DSSHDU DV FDUHIXOO\ FRQVLGHUHG MXGJPHQWV 7KH FRPPHQWDU\ RQ QDWLRQDO QDWXUHV DIIRUGV D QHZ DQG YDOXDEOH LQTXLU\ LQWR +DZWKRUQHn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fV WUDGLWLRQDO JUDQGHXU 7KH VHFRQG DQG VWURQJHU D UHSXOVLRQ ZDV URRWHG LQ WKH SDWULRWLF SULGH ZKLFK DQ $PHULFDQ IHOW IRU KLV IOHGJOLQJ GHPRFUDF\ Ar5DQGDOO 6WHZDUW +DZWKRUQH LQ (QJODQG 7KH 3DWULRWLF 0RWLYH LQ WKH 1RWH%RRNV 1HZ (QJODQG 4XDUWHUO\ 9,,, 0DUFK fM

PAGE 213

N 7KH DSSHDO ZKLFK (QJODQG PLJKW DZDNHQ LQ DQ $PHULFDQ ZDV FRQWLQXDOO\ IRUFHG WR JLYH JURXQG EHIRUH D PRUH GHHSVHDWHG DQLPRVLW\ %XW WKHQ RQ D ORQJHU YLVLW WKH (QJOLVK JURZ PRUH SDODWDEOH 7KH IXUWKHU DORQJ RQH JRHV LQ +DZWKRUQHnV DFTXDLQWDQFHVKLS ZLWK (QJODQG WR L WKH OHVV VHYHUH WKH FULWLFLVPV EHFRPH OHW HYHQ DIWHU KH KDG FRPH WR UHVSHFW WKH (QJOLVK SHRSOH ORQJ DIWHU WKH KHDUW KDG JRQH RXW RI KLV $QJORSKRELD +DZWKRUQH FRQWLQXHG WR EHUDWH WKH (QJOLVK IURP WLPH WR WLPH %XW WKH GHFLGHGO\ WRQHGGRZQ FRPPHQWV RI L DUH D ORQJ ZD\ IURP WKH FDXVWLF FULWLFLVPV RI r WKLQN WKH VRFLDO UDQN RI (QJOLVKPHQ DOZD\V FRQVFLRXV RI VRPHERG\ DERYH WKHPf SUHYHQWV WKHP IURP KDYLQJ DQ\ GLJQLW\ LQ WKHLU PDQQHUf 8L!f +DZWKRUQH VSHDNLQJ DV D SDWULRW DQG D GHPRFUDW ZRXOG GHQ\ WKH (QJOLVKPDQ WKH RQH TXDOLW\ LQ ZKLFK KH WRRN WKH ZDUPHVW SULGHf§KLV GLJQLW\ 7KH REVHUYDWLRQV RQ ,KJODQG HYHQ WKRXJK WKH\ VHHP XQQHFHVVDULO\ SUHMXGLFHG DQG KDUVK DUH JLYHQ LQ D VWUDLJKWIRUZDUG HQGHDYRU WR SRLQW RXW WKRVH VLJQLILFDQW SHFXOLDULWLHV ZKLFK PDUN WKH PHDVXUHPHQW RI D SHRSOH (QJODQGnV FLWL]HQU\ ZDV UHSHDWHGO\ GHQLHG WKRVH DWWULEXWHV ZKLFK ZHUH WUDGLWLRQDOO\ JUDQWHG DV D ELUWKULJKWf§GLJQLW\ DQG SROLVK (QJOLVKPHQ DUH QRW PDGH RI SROLVKDEOH VXEVWDQFHf§QRW RI PDUEOH EXW UDWKHU RI UHG IUHHVWRQH 7KHUH LV D NLQG RI URXJKQHVV DQG XQFRXWKQHVV LQ WKH PRVW FXOWLYDWHG RI WKHP $IWHU VRPH FRQYHUVDQFH ZLWK WKHP DV D SHRSOH \RX OHDUQ WR GLVWLQJXLVK WUXH JHQWOHPHQ DPRQJ WKHPM EXW DW ILUVW LW VHHPV DV LI WKHUH ZHUH QRQHLf )OXPS DQG SRPSRXV PDWURQV VR IUHTXHQWO\ HQFRXQWHUHG LQ (QJOLVK VRFLHW\ RIIHQG WKH LGHDO RI ZRPDQKRRG %HDXWLIXO DQG VOHQGHU $PHULFDQ PDLGHQV DUH LQILQLWHO\ PRUH SOHDVLQJ WR WKH VHQVHV +DZWKRUQH ZDV

PAGE 214

VHOGRP LPSUHVVHG YGWK (QJODQGfV ZRPHQ $OWKRXJK DQ RFFDVLRQDO H[FHSWLRQ HVFDSHG FRQGHPQDWLRQ WKH JUHDW EXON RI (KJOLVK IHPLQLQLW\ KH ORRNHG XSRQ ZLWK D FROG H\H UHDOO\ DQG WUXO\ EHOLHYH WKDW WKH HQWLUH ERG\ RI $PHULFDQ ZDVKHUZRPHQ ZRXOG SUHVHQW PRUH JUDFH WKDQ WKH HQWLUH ERG\ RI (QJOLVK ODGLHV ZHUH ERWK WR EH VKRZQ XS WRJHWKHUf 88f $Q (QJOLVKPDQfV DVSHFW DQG EHKDYLRU QHYHU VKRFNV DQG QHYHU IDVFLQDWHVfLf 7KH (QJOLVK DUH DFFXVHG RI GXOOQHVVM WKHLUV LV WKH PRGH RI D ZHLJKW\ EXW PLGGOHFODVV UHVSHFWDELOLW\ $Q\ PRYHPHQW EH\RQG WKDW SUHVFULEHG PRGH LV LQFRPSDWLEOH ‘YGWK WKH QDWXUH RI WKH SHRSOH ,Q PRPHQWV RI H[WUHPHO\ YDLQ SDWULRWLVP +DZWKRUQH ZDV OLNHO\ WR VXJJHVW WKH DQQH[DWLRQ RI (QJODQG ff7KH WUXWK LV ORYH (QJODQG VR PXFK WKDW ZDQW WR DQQH[ LW DQG LW LV E\ QR PHDQV EH\RQG WKH VFRSH RI SRVVLELOLW\ WKDW ZH PD\ GR VR WKRXJK KDUGO\ LQ P\ OLIHWLPHf8f n f VKDOO EH WUXH WR P\ FRXQWU\ DQG JHW DORQJ ZLWK -RKQ %XOO DV ZHOO DV FDQ 7KH WLPH ZLOO FRPH VRRQHU RU ODWHU ZKHQ WKH ROG IHOORZ ZLOO ORRN WR XV IRU KLV VDOYDWLRQ f _!f 3RVVLEO\ WKH QRYHOLVW IHOW WKDW WKH (QJODQG RI WKH OL!fV ZDV HQWHULQJ D JHQXLQH SHULRG RI GHFOLQH 0RUH SUREDEO\ WKH LPPRGHVW SURSRVDOV VWHP IURP D QDWXUDO GHVLUH WR VWDQG XS WR DQG VWULNH EDFN DW WKH (QJODQG RI ZKLFK $PHULFD ZDV VR UHFHQWO\ D FRORQ\
PAGE 215

DVVXPHG WKH H[LVWHQFH RI DQ $PHULFDQ FXOWXUH ZKLFK DVVXUHGO\ GLG QRW PHDVXUH XS WR WKH KLJK OHYHO RI KLV SXEOLVKHG YLHZV +H GHOLJKWHG LQ WXUQLQJ EDFN RQWR WKH (QJOLVK WKRVH YHU\ FULWLFLVPV ZKLFK (QJOLVK WUDYHOHUV DOPRVW XQDQLPRXVO\ PDGH RI $PHULFD +DZWKRUQH IHOW WKDW (QJOLVKPHQ GLVOLNHG $PHULFDQV DQG OLNH D OLWWOH ER\ KH UHFLSURFDWHG ,I DQ (QJOLVKPDQ ZHUH LQGLYLGXDOO\ DFTXDLQWHG ZLWK DOO RXU WZHQW\ILYH PLOOLRQV RI $PHULFDQVf§DQG OLNHG HYHU\ PDQ RI WKHP DQG EHOLHYHG WKDW HDFK PDQ RI WKRVH PLOOLRQV ZDV D &KULVWLDQ KRQHVW XSULJKW DQG NLQGf§KH ZRXOG GRXEW GHVSLVH DQG KDWH WKHP LQ WKH DJJUHJDWH KRZHYHU KH PLJKW ORYH DQG KRQRU WKH LQGLYLGXDOV8f $OOHJLDQFH WR QRELOLW\ LV VHULRXVO\ TXHVWLRQHG Z,W LV TXHHU KRZ WKH (QJOLVK XSKROG WKHLU QRELOLW\ DV DQ LQVWLWXWLRQ \HW ULGLFXOH DQG DEXVH WKH LQGLYLGXDO PHPEHUV A f 6LQFH PDQNLQG LV OHYHOHG E\ VLQ DQG VRUURZ VLQFH KXPDQ QDWXUH LV OLPLWHG DQG FRQVWDQW LW PD\ EH GRXEWHG ZKHWKHU WKH QRELOLW\f§KRZHYHU PDWHULDOLVWLFDOO\ ZHOO RII WKH\ PD\ EHf§DUH DFWXDOO\ DQ\ EHWWHU RU IRU WKDW PDWWHU DQ\ GLIIHUHQW IURP WKRVH OHVVHU SHUVRQV ZKR ZRXOG SD\ WULEXWH
PAGE 216

7KH (QJOLVK KDYH QRW WKH DUW RU WKH QDWXUH RI PHHWLQJ HDFK RWKHU QDWXUDOO\ DQG IRU WKH XSSHUPRVW SXUSRVH RI VRFLDO HQMR\PHQW DQG VR WKH\ PDNH WKH GLQQHU ZKLFK RXJKW WR EH D PHUH PHWKRG DQG PHGLXP RI EULQJLQJ WKHP WRJHWKHU WKH JUHDW DQG RYHUZKHOPLQJ REMHFW WR ZKLFK DOO WUXH LQWHUFRXUVH LV VDFULILFHG8f 'LQQHU SDUWDNHV RI WKH VDPH DUWLILFLDOLW\ ZKLFK ZDV DWWULEXWHG WR WDVWH DQG VRFLHW\ +DZWKRUQH VFDUFHO\ UHDFKHG WKH SRLQW RI VRSKLVWLFDWLRQ ZKLFK RQH PXVW DWWDLQ LQ RUGHU WR HQMR\ DQ (QJOLVK GLQQHU KDYH QR SOHDVXUH LQ DQ\WKLQJf§D FLJDU H[FHSWHG (YHQ OLTXRU GRHV QRW HQOLYHQ PH VR YHU\ VHOGRP GULQN DQ\ H[FHSW DW VRPH RI WKHVH VWXSLG (QJOLVK GLQQHUV %\ WKH QRYHOLVW KDG DUULYHG DW D PRUH EDODQFHG DQG SHUKDSV PRUH SHQHWUDWLQJ DQDO\VLV RI WKH (QJOLVK FKDUDFWHU 1RERG\ EXW DQ (QJOLVKPDQ LW VHHPV WR PH KDV MXVW WKLV NLQG RI YDQLW\f§D IHHOLQJ PL[HG XS ZLWK VFRUQ DQG JRRGQDWXUH VHOI FRPSODFHQF\ RQ KLV RZQ PHULWV DQG DV DQ (QJOLVKPDQ SULGH DW EHLQJ LQ IRUHLJQ SDUWV FRQWHPSW IRU HYHU\ERG\ DURXQG KLP D URXJK NLQGOLQHVV WRZDUGV SHRSOH LQ JHQHUDO8f 6WLOO WKH DWWUDFWLRQUHSXOVLRQ LQQHU FRQIOLFW UHPDLQHG VXEVWDQWLDOO\ XQDOWHUHG ,Q D OHWWHU WR )LHOGV WKH QRYHOLVW VXFFHHGV LQ FODULI\LQJ KLV SHUVRQDO IHHOLQJ WRZDUG WKH (QJOLVK 7KH PRQVWURVLW\ RI WKHLU VHOIFRQFHLW LV VXFK WKDW DQ\WKLQJ VKRUW RI XQOLPLWHG DGPLUDWLRQ LPSUHVVHV WKHP DV PDOLFLRXV FDULFDWXUH %XW WKH\ GR PH D JUHDW LQMXVWLFH LQ VXSSRVLQJ WKDW KDWH WKHP ZRXOG DV VRRQ KDWH P\ RYP SHRSOH $V ODWH DV WKH IDPLOLDU MLEHV DW (QJODQGnV GXOO EXOO\LQJ DQG EHOOLJHUHQW QDWXUH FRQWLQXHG WR EH H[SUHVVHG ,W LV YHU\ VLQJXODU KRZ NLQG DQ (QJOLVKPDQ ZLOO DOPRVW LQYDULDEO\ EH WR DQ A&DUROLQH 7LFNQRU +DZWKRUQH DQG +LV 3XEOLVKHU S A-DPHV 7 )LHOGV
PAGE 217

LQGLYLGXDO $PHULFDQ ZLWKRXW HYHU EDWLQJ D MRW RI KLV SUHMXGLFH DJDLQVW WKH $PHULFDQ FKDUDFWHU LQ WKH OXPSL_Wf ,I \RX PDNH DQ (QJOLVKPDQ VPDUW XQOHVV KH EH D YHU\ H[FHSWLRQDO RQH RI ZKRP KDYH VHHQ D IHZf \RX PDNH KLP D PRQVWHU KLV EHVW DVSHFW LV WKDW RI D SRQGHURXV UHVSHFWDELOLW\O!f ,Q IDFW LQ D JRRGQDWXUHG ZD\ -RKQ %XOO LV DOZD\V GRXEOLQJ KLV ILVW LQ D VWUDQJHUnV IDFH DQG WKRXJK LW EH JRRG QDWXUHG LW GRHV QRW DOZD\V SURGXFH WKH PRVW DPLDEOH IHHOLQJ OMf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rf 7KH (QJOLVK ZHUH UHSULPDQGHG IRU ZKDW ZDV IHOW WR EH D EODWDQW PDWHULDOLVP 7KH\ ZHUH GHOLFDWHO\ WDXQWHG IRU WKH VXSHUILFLDOLW\ RI WKHLU IDYRULWH VRFLDO LQVWLWXWLRQ ,W KDV RIWHQ SHUSOH[HG PH WR LPDJLQH KRZ DQ (QJOLVKPDQ ZLOO EH DEOH WR UHFRQFLOH KLPVHOI WR DQ\ IXWXUH VWDWH RI H[LVWHQFH IURP ZKLFK WKH HDUWKO\ LQVWLWXWLRQ RI GLQQHU VKDOO EH H[FOXGHGOMf ILQDOO\ (QJOLVK ZRPDQKRRG UHFHLYHV KHU ILQDO LQVXOW GHVLUH DERYH DOO WKLQJV WR EH FRXUWHRXV EXW VLQFH WKH SODLQ WUXWK PXVW EH WROG WKH VRLO DQG FOLPDWH RI (QJODQG SURGXFH

PAGE 218

IHPLQLQH EHDXW\ DV UDUHO\ DV WKH\ GR GHOLFDWH IUXLWM DQG WKRXJK DGPLUDEOH VSHFLPHQV RI ERWK DUH WR EH PHW ZLWK WKH\ DUH WKH KRWKRXVH DPHOLRUDWLRQV RI UHILQHG VRFLHW\ DQG DSW PRUHRYHU WR HODSVH LQWR WKH FRDUVHQHVV RI WKH RULJLQDO VWRFN rf (QJODQGnV JHQWOH VH[ IDLOHG WR LQVSLUH SUDLVH DQG WKHUH LV OLWWOH GRXEW WKDW LW ZDV FORVHO\ VFUXWLQL]HG +DZWKRUQH WRRN D FRQVWDQW GHOLJKW LQ H[HUFLVLQJ WKH PDOH SUHURJDWLYHf§GLVFHUQLQJ DQG MXGJLQJ IHPLQLQH EHDXW\ 6KRXOG D FRPHO\ PDLGHQ IDOO EHQHDWK KLV JD]H KH ZDV QRW ORDWK WR DGPLW KHU H[FHOOHQFH $W ORQJ ODVW WKH (QJOLVK QDWXUH FDPH WR EH DGPLUHG :KHQ DQ (QJOLVKPDQ LV D JHQWOHPDQ WR EH VXUH LW LV DV GHHS LQ KLP DV WKH PDUURZ RI KLV ERQHV DQG WKH GHHSHU \RX NQRZ KLP WKH PRUH \RX DUH DZDUH RI LW DQG WKDW JHQHUDWLRQ DIWHU JHQHUDWLRQ KDV FRQWULEXWHG WR GHYHORS DQG SHUIHFW WKHVH XQSUHWHQGLQJ PDQQHUV ZKLFK DW ILUVW PD\ KDYH IDLOHG WR LPSUHVV \RX XQGHU KLV SODLQ DOPRVW KRPHO\ H[WHULRU ,Wf 8QUHVWULFWHG SUDLVH IRU WKH (QJOLVK FKDUDFWHU VHOGRP IORZHG IURP WKH QRYHOLVWnV SHQf§LQ WUXWK LW ZDV QRW +DZWKRUQHfV ZRQW WR H[WRO DQ\RQH PRWKHUV DQG EHDXWLIXO PDLGHQV H[FHSWHG )RU WKH PRVW SDUW WKH ZULWHU SURFHHGV E\ SRLQWLQJ RXW WKH IODZV LQ KXPDQLW\fV DUPRU 7KH OHVV KDUVKO\ D SHUVRQ LV FULWLFL]HG WKH EHWWHU KH LV DVVXPHG WR EH :KHQ D SHUVRQ RU JURXS LV FRPPHQGHG LW LV TXLWH FHUWDLQ WKDW SUDLVH LV ZDUUDQWHG :KDW RWKHU PHQ HYHU JRW VR PXFK RXW RI OLIH DV WKH SROLVKHG DQG ZHDOWK\ (QJOLVKPDQ RI WRGD\" 8Of $ QRWH RI HQY\ PD\ EH GHWHFWHG LQ +DZWKRUQHfV ODXGLQJ RI WKH (QJOLVK JHQWOHPHQ
PAGE 219

\RXQJ GHPRFUDF\ SUHRFFXSLHG KLP GXULQJ KLV ODVW \HDUVA +DZWKRUQH LQ KLV VWHDGIDVW OR\DOW\ WR $PHULFD VDZ (QJODQG ZLWK D ELDVHG H\H 3DUDGR[LFDOO\ LQ OLJKW RI KLV FULWLFLVP RI WKH (QJOLVK SHRSOH KH VHDUFKHG (QJODQGfV JUDYH\DUGV LQ WKH KRSH RI GLVFRYHULQJ KLV DQFHVWUDO QDPH DGRUQLQJ VRPH PRVVJURZQ WRPEVWRQH +DZWKRUQH ORQJHG IRU (QJOLVK WLHV 7KH YDFLOODWLRQ EHWZHHQ $QJORSKRELD DQG $QJORPDQLD PLJKW ZHOO EH LGHQWLILHG ZLWK D PRUH EDVLF FRQIOLFWf§RQH EHWZHHQ DULVWRFUDWLF DQG GHPRFUDWLF FRPSRQHQWV RI +DZWKRUQHnV RZQ QDWXUH 7KHRUHWLFDOO\ KH ZDV D WKRURXJKJRLQJ GHPRFUDW $HVWKHWLFDOO\ DQG HPRWLRQDOO\ +DZWKRUQH KDG DULVWRFUDWLF KDQNHULQJV ZKLFK ZHUH QRW HDVLO\ GLVPLVVHG 7KH 6FRWV $ VLQJOH SURIRXQG REVHUYDWLRQ RQ WKH QDWXUH RI WKH 6FRWV EDUHO\ VXFFHHGV LQ IXOO\ FKDUDFWHUL]LQJ WKH SHRSOH 7KH 6FRWFK VHHP WR PH WR JHW GUXQN DW YHU\ XQVHDVRQDEOH KRXUVOMf ,W LV LQWHUHVWLQJ WR QRWH DQ DWWHPSW DW OLJKWQHVV HVSHFLDOO\ ZKHQ LW IDOOV ZLWKLQ WKH LQRUGLQDWHO\ KHDY\ SDWWHUQ LQ ZKLFK WKH QRYHOLVW XVXDOO\ ZURWH +DZWKRUQLDQ KXPRU LV UDUHO\ LI HYHU IXQQ\ LQ D SXUH VHQVH IUHTXHQWO\ LW FORDNV D YHLOHG PRUDOLVP $OPRVW LQYDULDEO\ LW VHHPV WR EH D JULP ODXJKLQJ DW KXPDQ IRLEOHVf§QRW RXW RI PDOLFLRXV SOHDVXUH QRW DOZD\V IRU HGLILFDWLRQ EXW VLPSO\ EHFDXVH WKH\ GR H[LVW 7KH )UHQFK )UDQFH SURYHG LWVHOI D GLVDSSRLQWPHQW 7KH FOLPDWH WKH ILOWK DQG WKH UDSLGVSHDNLQJ )UHQFKPHQ ZHUH GLVFRQFHUWLQJ +DZWKRUQH KDG AVFKQHLGHU 7KH +LVWRU\ RI $PHULFDQ 3KLORVRSK\ S OOM

PAGE 220

QDLYHO\ KRSHG WR FRQYHUVH ZLWK WKH )UHQFKPHQ LQ WKHLU RZQ WRQJXHf§ )UHQFK ZDV WKH RQH IRUHLJQ ODQJXDJH ZKLFK KH FRXOG UHDG ZLWK VNLOOf§ EXW KH VRRQ UHDOL]HG WKDW WKLV ZDV QRW WR EH +H QHYHU WDSSHG WKH VSLULW RI )UDQFH KH GLG QRW FODLP WR XQGHUVWDQG KHU SHRSOH %XW D )UHQFKPDQ LV DV GLIIHUHQW IURP D *HUPDQ DV TXLFNVLOYHU IURP OHDG ,W LV LPSRVVLEOH WR PDNH D PDFKLQH RI KLP8f ,I +DZWKRUQH NQHZ WKH )UHQFK QDWXUH EXW SRRUO\ KH NQHZ WKH *HUPDQ QRW DW DOO 7KH DEXQGDQFH RI DUW SLHFHV ZKLFK )UDQFH KDG WR RIIHU ZDV VRPHZKDW LQWULJXLQJ 7UXO\ KDYH QR V\PSDWKLHV WRZDUGV WKH )UHQFK SHRSOH WKHLU H\HV GR QRW ZLQ PLQH QRU GR WKHLU JODQFHV PHOW DQG PLQJOH ZLWK PLQH %XW WKH\ GR JUDQG DQG EHDXWLIXO WKLQJV LQ WKH DUFKLWHFWXUDO ZD\ DQG DP JUDWHIXO IRU LWOMOLf )LQDOO\ WKH )UHQFKPDQnV QDWXUH LV HOHYDWHG IDU DERYH WKDW RI WKH GUDE (QJOLVKPDQ (YHU\ )UHQFKPDQ LV SUREDEO\ PRUH RI DQ DUWLVW WKDQ RQH (QJOLVKPDQ LQ D WKRXVDQGrf 7KH EHVW WKDW PD\ EH VDLG IRU WKH VSDUVH FRPPHQWDU\ RQ WKH )UHQFK QDWXUH LV WKDW LW LV ZHOOSKUDVHG DW LWV ZRUVW LW LV WULYLDO SUHMXGLFHG DQG H[WUHPHO\ FXUVRU\ 7KH ,WDOLDQV ,W LV YHU\ VLQJXODU WKH VDG HPEUDFH ZLWK ZKLFK 5RPH WDNHV SRVVHVVLRQ RI WKH VRXOLWIf 6LGH E\ VLGH ZLWK WKH PDVVLYHQHVV RI WKH 5RPDQ 3DVW DOO PDWWHUV WKDW ZH KDQGOH RU GUHDP RI QRZDGD\V ORRN HYDQHVFHQW DQG YLVLRQDU\ DOLNH _f +DZWKRUQH HQWHUHG LPSHUIHFWO\ LQWR WKH VSLULW RI ,WDO\ +H FDPH WR EXW D SDUWLDO XQGHUVWDQGLQJ RI WKH ,WDOLDQ QDWXUH )RU WKH PRVW SDUW WKH FRPPHQWDU\ RQ ,WDO\ LV FRQFHUQHG ZLWK DUW REMHFWV DQG SODFHV RI LQWHUHVW UDWKHU WKDQ ZLWK WKH

PAGE 221

SHRSOH WKHPVHOYHV 7KHQ WRR +DZWKRUQHf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f§UHJDUGOHVV RI WKH LQGLYLGXDOfV OHQJWK RI FRQWDFW ZLWK WKDW QDWXUHf§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f 3HUKDSV WKH RQH PRVW SLHUFLQJ REVHUYDWLRQ GHDOV ZLWK WKH IDFW WKDW IDOVHKRRG VHHPV TXLWH QDWLYH WR DQ ,WDOLDQ %XW ,WDOLDQ DVVHYHUDWLRQV RI DQ\ TXHVWLRQDEOH IDFW KRZHYHU WUXH WKH\ PD\ FKDQFH WR EH KDYH QR ZLWQHVV RI WKHLU WUXWK LQ WKH

PAGE 222

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rf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f§ RQ D OHYHO ZKHUH PDQ\ RWKHU ZULWHUV ,UYLQJ (PHUVRQ DQG +HQU\ -DPHV DPRQJ WKHP KDYH HTXDOHG RU VXUSDVVHG KLP (YHQ ZKHQ KH WXUQHG IURP IRUHLJQ VKRUHV WR KLV QDWLYH ODQG +DZWKRUQHnV DELOLW\ WR FKDUDFWHUL]H RQ D QDWLRQDO EDVLV ZDV QRW FRPPHQVXUDWH ZLWK KLV RWKHU WDOHQWV 7KH $PHULFDQV 7KHUH FDQ EH OLWWOH GRXEW WKDW +DZWKRUQH KHOG D OLPLWHG XQGHUVWDQGLQJ RI KLV RZQ QDWLRQ (YHQ WKRXJK KH ZDV SURXG RI $PHULFD DW ODUJHf§ERWK LQ WKH SULQFLSOHV ZKLFK SUHVFULEHG LWV ZD\ RI OLIH DQG

PAGE 223

LQ WKHLU OHVV SHUIHFW VRFLDO DQG SROLWLFDO DFWXDOL]DWLRQf§KH ZDV D UHJLRQDOLVW LQ KLV WKLQNLQJ 7KH 8QLWHG 6WDWHV ZDV WRR XQOLPLWHG D SLHFH RI WHUULWRU\ IRU RQH SHUVRQ WR HPEUDFH +DZWKRUQH IHOW WKDW WKH QDWLRQ DQG WKH SHRSOH KDG QR WUXH XQLW\ DQG WKDW VRYHUHLJQW\ ULJKWO\ EHORQJHG WR WKH LQGLYLGXDO VWDWH RU UHJLRQ $PHULFDfV YDVWQHVV LQ ZKLFK :DOW :KLWPDQ IRXQG RQH KHDUWEHDW DEDVKHG DQG FRQIXVHG +DZWKRUQH 7KH ZULWHUfV HDUO\ REVHUYDWLRQV RQ $PHULFD VSDUNOH ZLWK D VWURQJ IORZ RI SULGH LQ WKDW PRUDO VWUHQJWK ZKLFK ZDV FDSDEOH RI DEVRUELQJ DQG FRUUHFWLQJ WKH HQWHULQJ JXVK RI IRUHLJQ KXPDQLW\ ,W ZDV FKHHULQJ DOVR WR UHIOHFW WKDW QRWKLQJ VKRUW RI VHWWOHG GHSUDYLW\ FRXOG UHVLVW WKH VWUHQJWK RI PRUDO LQIOXHQFHV GLIIXVHG WKURXJKRXW RXU QDWLYH ODQGf§WKDW WKH VWRFN RI KRPHEUHG YLUWXH LV ODUJH HQRXJK WR DEVRUE DQG QHXWUDOL]H VR PXFK RI IRUHLJQ YLFHf§DQG WKDW WKH RXWFDVWV RI (XURSH LI QRW E\ WKHLU RZQ FKRLFH \HW E\ DQ DOPRVW LQHYLWDEOH QHFHVVLW\ SURPRWH WKH ZHOIDUH RI WKH FRXQWU\ WKDW UHFHLYHV WKHP WR LWV ERVRP OMf $PHULFD LV D ODQG LQ ZKLFK ZRUNDEOH SROLWLFDO LGHDOV VSULQJ IURP D VROLG XWLOLWDULDQ PRUDOLW\ 2Q RWKHU RFFDVLRQV D SHUYHUWHG SDWULRWLVP ZDV FDSDEOH RI SURYRNLQJ DQ DULVWRFUDWLF DQG ELJRWHG GHFODUDWLRQ DJDLQVW IRUHLJQHUV ff1RWKLQJ LV VR DEVROXWHO\ DERPLQDEOH DV WKH VHQVH RI IUHHGRP DQG HTXDOLW\ SHUWDLQLQJ WR DQ $PHULFDQ JUDIWHG RQ WKH PLQG RI D QDWLYH RI DQ\ RWKHU FRXQWU\ LQ WKH ZRUOG GR +$7( D QDWXUDOL]HG FLWL]HQ QRERG\ KDV D ULJKW WR RXU LGHDV XQOHVV ERUQ WR WKHP08Of 7KHUH DUH SRUWHQWRXV LQGLFDWLRQV WKDW +DZWKRUQH ZDV VRPHWKLQJ RI DQ ff$PHULFDQ )LUVWHUf +H VHOGRP OHDSHG WR WKH GHIHQVH nRI UDFLDO RU UHOLJLRXV PLQRULW\ JURXSV 1RWZLWKVWDQGLQJ WKH GHPRFUDWLF SULQFLSOHV WR ZKLFK KH SOHGJHG KLPVHOI D VWUDQJH IRUP RI DULVWRFUDWLF SUHMXGLFH FRQWLQXRXVO\ PDGH LWVHOI NQRZQ

PAGE 224

f:H $PHULFDQV DUH WKH EHVW SHRSOH LQ WKH ZRUOGEXW LW LV D SRRU ZRUOG DW WKDWfO^f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f§WKDW KHU SHRSOH ZHUH QRW \HW IDVWHQHG WR KHU VRLO 2K WKDW ZH FRXOG KDYH LY\ LQ $PHULFD :KDW LV WKHUH WR EHDXWLI\ XV ZKHQ RXU WLPH RI UXLQ FRPHVf,f 5HJLRQDOLVP DFFHQWXDWHG E\ SURVSHFWV RI D FLYLO ZDU EHFDPH D IDYRULWH WKHPH ZRQGHU WKDW ZH $PHULFDQV ORYH RXU FRXQWU\ DW DOO LW KDYLQJ QR OLPLWV DQG QR RQHQHVV DQG ZKHQ \RX WU\ WR PDNH LW D PDWWHU RI WKH KHDUW HYHU\WKLQJ IDOOV DZD\ H[FHSW RQHfV QDWLYH 6WDWH QHLWKHU FDQ \RX VHL]H KROG RI WKDW XQOHVV \RX WHDU LW RXW RI WKH 8QLRQ EOHHGLQJ DQG TXLYHULQJ OWLLf ,Q OO +DZWKRUQH ZURWH KLV SXEOLVKHU 7LFNQRU WKH VXSUHPH H[SUHVVLRQ RI KLV UHJLRQDOLVWLF VHQWLPHQW 3HUKDSV KRZHYHU VKDOO KDYH D QHZ 5RPDQFH UHDG\ E\ WKH WLPH 1HZ (QJODQG EHFRPHV D VHSDUDWH QDWLRQf§D FRQVXPPDWLRQ UDWKHU KRSH IRU WKDQ RWKHUZLVH,Q WKH VDPH \HDU +DZWKRUQH LQIRUPHG +RUDWLR %ULGJH RI WKH GHOLJKW ZKLFK KH IHOW LQ WKH GLVVROXWLRQ RI WKH 8QLRQ nf:KDWHYHU KDSSHQV QH[W PXVW VD\ WKDW UHMRLFH WKDW WKH ROG 8QLRQ LV VPDVKHG :H QHYHU ZHUH RQH SHRSOH DQG A&DUROLQH 7LFNQRU +DZWKRUQH DQG +LV 3XEOLVKHU S

PAGE 225

QHYHU UHDOO\ KDG D FRXQWU\ VLQFH WKH &RQVWLWXWLRQ ZDV IRUPHGA 7KH &LYLO :DU ZDV LQWHUSUHWHG DV D QDWXUDO RFFXUUHQFH LQ D FRXQWU\ ZKLFK KDG WULHG WR IRUP D XQLRQ RI KHWHURJHQHRXV UHJLRQV $OWKRXJK KH ZDV D OR\DO 1HZ (QJODQGHU +DZWKRUQH UHVSHFWHG WKH VRYHUHLJQ SRZHU RI WKH VHYHUDO VWDWHV EH\RQG KLV UHJLRQ ,Q WKH YDVW H[WHQW RI RXU FRXQWU\f§WRR YDVW E\ IDU WR EH WDNHQ LQWR RQH VPDOO KXPDQ KHDUWf§ZH LQHYLWDEO\ OLPLW WR RXU 6WDWH RU DW IDUWKHVW WR RXU RZQ VHFWLRQ WKDW VHQWLPHQW RI SK\VLFDO ORYH IRU WKH VRLO ZKLFK UHQGHUV DQ (QJOLVKPDQ IRU H[DPSOH VR LQWHQVHO\ VHQVLWLYH WR WKH GLJQLW\ DQG ZHOOEHLQJ RI KLV OLWWOH LVODQG WKDW RQH KRVWLOH IRRW WUHDGLQJ DQ\ZKHUH XSRQ LW ZRXOG PDNH D EUXLVH RQ HDFK LQGLYLGXDO EUHDVW ,I D PDQ ORYHV KLV RZQ 6WDWH WKHUHIRUH DQG LV FRQWHQW WR EH UXLQHG ZLWK fKHU OHW XV VKRRW KLP LI ZH FDQ EXW DOORZ KLP DQ KRQRUDEOH EXULDO LQ WKH VRLO KH ILJKWV IRU )UHHGRPV ZKLFK WKLV FRXQWU\ KDG FRPH WR WDNH IRU JUDQWHG ZHUH SRLQWHG WR ZLWK SULGH 0%XW ZLWK ZKRP LV DQ $PHULFDQ FLWL]HQ HQWLWOHG WR WDNH D OLEHUW\ LI QRW ZLWK KLV RZQ FKLHI PDJLVWUDWH" ,f $W WKH VDPH WLPH WKDW WKH H[FHOOHQFHV RI WKH $PHULFDQ V\VWHP nZHUH FDOOHG WR WKH IURQW LWV GHILFLHQFLHV GLG QRW JR XQQRWLFHG 7KHUH QHYHU H[LVWHG DQ\ RWKHU JRYHUQPHQW DJDLQVW ZKLFK WUHDVRQ ZDV VR HDV\ DQG FRXOG GHIHQG LWVHOI E\ VXFK SODXVLEOH DUJXPHQWV DV DJDLQVW WKDW RI WKH 8QLWHG 6WDWHVf ,Q VSLWH RI WKH QXPHURXV ZHDNQHVVHV ZKLFK GHPRFUDF\ PLJKW KDYH +DZWKRUQH SUHIHUUHG LW WR DOO RWKHU IRUPV RI JRYHUQPHQW 7KH XQWKLQNLQJ SDWULRWLVP RI HDUOLHU \HDUV ZDV VWURQJO\ PRGLILHG E\ WKH XQQDWXUDO DGRSWLRQ RI D FRVPRSROLWDQ DWWLWXGH ,Q FRPLQJ WR DGPLUH (QJODQG +DZWKRUQH EHFDPH LQFUHDVLQJO\ DZDUH RI A+RUDWLR %ULGJH 3HUVRQDO 5HFROOHFWLRQV S "

PAGE 226

$PHULFDnV FUXGHQHVV +H GHULGHG ZLWK VRPH MXVWLILFDWLRQ WKH $PHULFDQ WUDYHOHUV ZLWK ZKRP KH ZDV WKURZQ LQ FRQWDFW $Q $PHULFDQ EH LW VDLG VHOGRP WXUQV KLV EHVW VLGH RXWHUPRVW DEURDG DQG DQ REVHUYHU ZKR KDV KDG PXFK RSSRUWXQLW\ RI VHHLQJ WKH ILJXUH ZKLFK WKH\ PDOHH LQ D IRUHLJQ FRXQWU\ GRHV QRW VR PXFK ZRQGHU WKDW WKHUH VKRXOG EH D VHYHUH FULWLFLVP RQ WKHLU PDQQHUV DV D SHRSOHrf ,Q D OHWWHU WR 7LFOPRU WKH SVHXGRVRSKLVWLFDWHG (XURSHDQ DWWLWXGH LV PRUH SURQRXQFHG ZLVK ZHUH D OLWWOH PRUH SDWULRWLF EXW WR FRQIHVV WKH WUXWK KDG UDWKHU EH D VRMRXUQHU WR DQ\ RWKHU FRXQWU\ WKDQ UHWXUQ WR Q\ RZQ 7KH 8QLWHG 6WDWHV DUH ILW IRU PDQ\ H[FHOOHQW SXUSRVHV EXW WKH\ FHUWDLQO\ DUH QRW ILW WR OLYH LQ (\ +DZWKRUQH KDG EHHQ VR ORQJ LQ (QJODQG WKDW D VWUDQJH FRVPRSROLWDQ G\H KDG EHJXQ WR FRORU ZKDW ZHUH HVVHQWLDOO\ SURYLQFLDO ILEHUV )URP DQ $PHULFDQnV YLHZSRLQW D VHYHUHO\ VWUDLQHG UHODWLRQVKLS H[LVWV EHWZHHQ KLPVHOI DQG WKH (QJOLVKPDQ 1HYHUWKHOHVV LW LV XQGHQLDEOH WKDW DQ $PHULFDQ LV FRQWLQXDOO\ WKURZQ XSRQ KLV QDWLRQDO DQWDJRQLVP E\ VRPH DFULG TXDOLW\ LQ WKH PRUDO DWPRVSKHUH RI (QJODQG rf $Q $PHULFDQ LV QRW YHU\ DSW WR ORYH WKH (QJOLVK SHRSOH DV D ZKROH RQ ZKDWHYHU OHQJWK RI DFTXDLQWDQFHr f +DZWKRUQH KHOG D ORZ RSLQLRQ RI WKH JHQHUDO SRSXODFH RI DQ\ QDWLRQf§ $PHULFD LQFOXGHG $PHULFDnV ZDQW RI D FXOWXUDO KHULWDJH KDG D FKDVWHQLQJ HIIHFW DQG WKH UHDOLVDWLRQ WKDW $PHULFD PXVW VWLOO WXUQ WR (QJODQG IRU HOHJDQFH LQ DUW ZDV VRUHO\ ODPHQWHG %XW DODV, RXU SKLORVRSKHUV KDYH QRW \HW WDXJKW XV ZKDW LV EHVW QRU KDYH RXU SRHWV FDUROLQH 7LFNQRU +DZWKRUQH DQG +LV 3XEOLVKHU S r

PAGE 227

VXQJ XV ZKDW LV EHDXWLIXOOHVW LQ WKH NLQG RI OLIH WKDW ZH PXVW OHDG DQG WKHUHIRUH ZH VWLOO UHDG WKH ROG (QJOLVK ZLVGRP DQG KDUS XSRQ WKH DQFLHQW VWULQJVLLOf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nV SULQFLSDO FRQFHUQV KDG FKDUWHG D GLIIHUHQW DQG GHHSHU FRXUVH :KLOH PDQ WKH QDWLRQDO EHLQJ ZDV RI VRPH LQWHUHVW WKH LQGLYLGXDO PDQf§LQ KLV UHODWLRQVKLS WR KLPVHOI KLV VRFLHW\ DQG KLV *RGf§SURYHG D PXFK PRUH LQWULJXLQJ VXEMHFW 7KH 3XULWDQV 2QH JURXS RI SHRSOHV GLVWLQJXLVKHG E\ UHOLJLRXV UDWKHU WKDQ +HQU\ -DPHV +DZWKRUQH /RQGRQ f -DPHVn ELRJUDSK\ DGYDQFHV WKH QRWLRQ WKDW +DZWKRUQH ZDV HVVHQWLDOO\ SURYLQFLDO LQ KLV RXWORRN

PAGE 228

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f 3XULWDQLVP KHOSHG WR VHW WKH WRQH IRU $PHULFD 7KH EXVWOLQJ HQHUJ\ RI WKH 3XULWDQ LQ ZDU DQG FRPPHUFH SUHSDUHG WKH ZD\ IRU %HQMDPLQ )UDQNOLQ DQG WKH $PHULFDQ LGHDO RI VXFFHVV
PAGE 229

WULDO DQG ZDUIDUH DQG WKRXJK XQIHLJQHGO\ SUHSDUHG WR VDFULILFH JRRGV DQG OLIH DW WKH EHKHVW RI GXW\f§PDGH LW D PDWWHU RI FRQVFLHQFH WR UHMHFW VXFK PHDQV RI FRPIRUW RU HYHQ OX[XU\ DV OD\ IDLUO\ ZLWKLQ WKHLU JUDVSfKf ,Q UHOLJLRQ KRZHYHU WKH 3XULWDQV GLVSOD\HG D VWUHQJWKf§ZKLFK +DZWKRUQH DGPLUHGf§LQ WKHLU SUHIHUHQFH IRU DQ DXVWHUH VLPSOLFLW\ f7KH 3XULWDQV VKRZHG WKHLU VWUHQJWK RI PLQG DQG KHDUW W\ SUHIHUULQJ D VHUPRQ RI DQ KRXU DQG D KDOI ORQJ LQWR ZKLFK WKH SUHDFKHU SXW KLV ZKROH VRXO DQG VSLULW DQG ORSSLQJ DZD\ DOO WKHVH H[WHUQDOV LQWR ZKLFK UHOLJLRXV OLIH KDG ILUVW JXVKHG DQG IORZHUHG DQG WKHQ SHWULILHGfrf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

PAGE 230

1HZ(QJODQGHUV DV D SHRSOH DUH QRW DSW WR UHWDLQ D UHYHQJHIXO VHQVH RI LQMXU\ DQG QRZKHUH SHUKDSV FRXOG D SROLWLFLDQ KRZHYHU RGLRXV LQ KLV SRZHU OLYH PRUH SHDFHIXOO\ LQ KLV QDNHGQHVV DQG GLVJUDFHfMf $ ORYH IRU 1HZ (QJODQG LV REYLRXV EXW WKH UHDVRQV EHKLQG WKDW ORYH DUH QRW FOHDUO\ JLYHQ 1HZ (QJODQG LV TXLWH DV ODUJH D OXPS RI HDUWK DV Q\ KHDUW FDQ UHDOO\ WDNH LQfrf 1RUPDOO\ WKH UHIOHFWLRQV RQ 1HZ (QJODQGnV TXDOLW\ DUH LQ D JHQHUDO DQG UDWKHU WUDGLWLRQDO PDQQHU :KHQ D
PAGE 231

fZULWHU LQ SRUWUD\LQJ QDWLRQDO FKDUDFWHU ,QGHHG WKH REVHUYDWLRQV DUH VLJQLILFDQW LQ WKDW WKH\ SUHVHQW D FRQWUDVW WR WKH PRUH DEVWUDFW ZRUNLQJV RI WKH +DZWKRUQH PLQG 7KH\ VKRZ DOVR WKH OLPLWDWLRQV ZKLFK SURYLQFLDOLVP DQG SUHMXGLFH PD\ LPSRVH 7KH\ GHOLFDWHO\ KLQW DW +DZWKRUQHnV DULVWRFUDWLF KDQNHULQJV )LQDOO\ WKH\ FRQYH\ WKH IDFW WKDW +DZWKRUQH FRXOG EH TXLWH OLNH RWKHU ZULWHUV DW WLPHV QR EHWWHU RU QR ZRUVH LQ VNLOOIXOO\ SUHVHQWLQJ VXUIDFH GLVWLQFWLRQV :KLOH WKH GHSLFWLRQ RI QDWLRQDO QDWXUHV LV QRW XQVXFFHVVIXO LW VWDQGV SULPDULO\ DV DQ LQWHUHVWLQJ FRQWUDVW WR WKH PRUH PHDQLQJIXO FRQFHSWLRQ RI KXPDQ QDWXUH UDWKHU WKDQ DV D YLWDO SRUWLRQ RI WKH +DZWKRUQLDQ WKRXJKW SDWWHUQ

PAGE 232

&+$37(5 ; 352*5(66 5()250 %527+(5+22' $1' :$5 :KHQ WKH GRPLQDQW FRQFHSWV ZKLFK +DZWKRUQHnV REVHUYDWLRQV LOOXVWUDWH DUH FRQVLGHUHG DV D XQLWf§WKDW LV WKH OLIH FRPSRXQG LQWR ZKLFK PDQ LV ERUQ WKH LPPLWLJDEOH IRUFHV SOD\LQJ XSRQ KLP DQG KLV RZQ LPSHUIHFW QDWXUHf§WKH QRYHOLVWfV FRQFOXVLRQV UHJDUGLQJ WKH OLPLWDWLRQV RU SRVVLELOLWLHV RI PRUWDO OLIH DUH PRUH UHDGLO\ XQGHUVWRRG 5HDOLWLHV SUHVHQW EHIRUH ELUWKf§VLQ SURYLGHQFH WKH SK\VLFDO FRPSRXQGf§FRPELQH ZLWK SHUSHWXDOO\ IXQFWLRQLQJ UHOLJLRXV VRFLDO DQG GRPHVWLF IRUFHV WR IL[ WKH FRXUVH RI PDQNLQG ZLWKLQ D ELQGLQJ SDWWHUQ +DZWKRUQHfV RSLQLRQ LQ WKH YDULRXV WKRXJKW ILHOGVf§ZKLFK FRQVWLWXWHV KLV SHUVRQDO SKLORVRSK\f§IRUHRUGDLQV DQG QHFHVVLWDWHV ZKDWHYHU WKHRUL]LQJ KH PD\ RIIHU FRQFHUQLQJ WKH SRVVLEOH DWWDLQPHQWV RI HDUWKO\ OLIH 7KH +DZWKRUQLDQ VSHFXODWLRQ RQ WKHVH DWWDLQPHQWV DQG RQ WKH OLPLWDWLRQV ZKLFK GHWHUPLQH WKHP WHQGV WR FU\VWDOOL]H KLV SKLORVRSK\ 7KRXJK WKH REVHUYDWLRQV RQ HDFK FRQVWLWXHQW HOHPHQW RI WKH WKRXJKW SDWWHUQ DUH FRQFOXVLRQV RI D VRUW LQ WKDW WKH\ FOHDUO\ GHILQH +DZWKRUQHnV RULHQWDWLRQ WR WKDW VSHFLILF VXEMHFW DQG WKRXJK WKH\ DUH PXWXDOO\ GHSHQGHQW UDWKHU WKDQ H[FOXVLYH WKH PHGLWDWLYH FRPPHQWDU\ RQ SURJUHVV UHIRUP EURWKHUKRRG DQG ZDU EULQJV WKH VHHPLQJO\ GLYHUJHQW SKDVHV RI WKRXJKW LQWR WKHLU VKDUSHVW VLQJOH IRFXV 7KH H[SRVLWLRQ RQ WKHVH WRSLFV PD\ EH XQGHUVWRRG RQO\ LQ WHUPV RI WKH SDWWHUQ DV LW KDV

PAGE 233

N EHHQ GHYHORSHG WR WKLV SRLQW 2QFH WKDW SDWWHUQ LV DFFHSWHG +DZWKRUQHnV VWDWHPHQWV DSSHDU ERWK QDWXUDO DQG LQHYLWDEOH 352*5(66 7KH ZRUG SURJUHVV HYRNHV D YDULHW\ RI UHVSRQVHV ,W PD\ FDOO WR PLQG WKH EHWWHULQJ RI PDQnV SK\VLFDO HQYLURQPHQWf§PRUH DEXQGDQW IRRG VKHOWHU DQG FORWKLQJ D JUHDWHU FKRLFH RI FRQYHQLHQFHV D ORQJHU OLIH VSDQf§LQ WUXWK DOO RI WKH YLVLEOH DQG PHDVXUDEOH LPSURYHPHQWV ZKLFK PDQnV PLQG KDV HIIHFWHG VLQFH WKH EHJLQQLQJ RI WLPH 6HFRQG SURJUHVV PD\ EH WKRXJKW RI LQ WHUPV RI PDQ KLPVHOI WKH PHQ RI WKH SUHVHQW DUH LQWULQVLFDOO\ VXSHULRU DV PRUDO EHLQJV WR WKH PHQ RI WKH SDVW %RWK PDQnV SK\VLFDO ZHOIDUH DQG KLV RZQ QDWXUH DUH PRYLQJ WRZDUG SHUIHFWLRQ 7RR RIWHQ SURJUHVV DV PHDVXUHG LQ WHUPV RI D SK\VLFDO DGYDQFHPHQW LV FRQIXVHG ZLWK D WUXH RU VSLULWXDO SURJUHVV RI KXPDQLW\ ,I PDQ QRZ OHDGV D ORQJHU DQG PRUH UHILQHG OLIHf§RQH FOXVWHUHG ZLWK PDWHULDO FRQYHQLHQFHVf§LW LV DVVXPHG WKDW KH OHDGV D EHWWHU RQH +DZWKRUQH ZDV QRW FRQIXVHG RQ WKLV VFRUH IRU KH UHIXVHG WR DVVRFLDWH WKH PDWHULDO ZLWK WKH VSLULWXDO ,Q FRQIRUPLW\ ZLWK KLV H[SUHVVHG YLHZV RQ VLQ DQG KXPDQ QDWXUH KH FRXOG QRW EHOLHYH LQ D WUXH SURJUHVVf§WKDW PDQ KLPVHOI DQG WKH UHDOLWLHV ZLWK ZKLFK PDQ PXVW FRQWHQG ZHUH DQ\ZLVH LPSURYLQJ ,Q +DZWKRUQH KHOG IDLWK LQ SURJUHVV LQ WKH ILUVW VHQVHM WKH SRSXODUO\ DFFHSWHG RQH ,W LV QRW ZH KRSH LUUHYHUHQW WR VD\ WKDW WKH &UHDWRU JDYH XV RXU ZRUOG LQ D FHUWDLQ VHQVH XQILQLVKHG DQG OHIW LW WR WKH LQJHQXLW\ RI PDQ WR EULQJ LW WR WKH KLJKHVW

PAGE 234

SHUIHFWLRQ RI ZKLFK ILQDO DQG SK\VLFDO WKLQJV DUH VXVFHSWLEOHef 0DWHULDO SURJUHVV LV SRVVLEOH EXW WKH SHUIHFWLELOLW\ RI PRUWDO OLIH OLHV EH\RQG PDQnV PHDJHU DELOLW\ 0DQ DV WKH LQVWLJDWRU RI KLV RZQ DGYDQFHPHQW EHWWHUV KLV ZRUOGO\ ORW DQG WKHUHE\ FUHDWHV D IRUP RI SURJUHVV 7KLV GRHV QRW LPSO\ WKDW KXPDQ QDWXUH LV DV HDVLO\ PHQGHG ,W ZDV QRW ORQJ PRUHRYHU EHIRUH +DZWKRUQH ZDV WR ORVH KLV IDLWK LQ WKH SRVVLELOLWLHV RI PDWHULDO SURJUHVV 5HVW UHVW WKRX ZHDU\ ZRUOGO IRU WRPRUURZnV URXQG RI WRLO DQG SOHDVXUH ZLOO EH DV ZHDULVRPH DV WRGD\nV KDV EHHQ \HW ERWK VKDOO EHDU WKHH RQZDUG D GD\nV PDUFK RI HWHUQLW\ef 0DQnV ZRUOG LV PRYLQJ IRUZDUG TXLWH JUDGXDOO\A HDFK QHZ GD\ LV EHWWHU WKDQ LWV SUHGHFHVVRU LQ WKDW LW DGGV LWV ELW WR WKH WRWDO KHDS RI PDWHULDO SURJUHVV $GYDQFHPHQWV DUH VR VORZ LQ FRPLQJ WKDW WKH\ PD\ QRW EH PHDVXUHG E\ WKH LQGLYLGXDO H\H 7KXV JUDGXDOO\ E\ VLOHQW DQG VWHDG\ LQIOXHQFHV DUH JUHDW FKDQJHV ZURXJKW!OLf 3HUKDSV LQ D OLIHWLPH D PDQ PD\ REVHUYH QR FKDQJH \HW D VWHDG\ DQG VXSSRVHGO\ IRUZDUG HYROXWLRQ RI OLIH LV LQVLVWHG XSRQ 7KH HUURU OLHV LQ DQWLFLSDWLQJ WKDW DQ\ RQH PDQ RU DQ\ RQH DJH PD\ HLWKHU HIIHFW RU ZLWQHVV D ZKROHVDOH UHSDWFKLQJ RI OLIHnV IDEULF 0DWHULDO SURJUHVV IUHTXHQWO\ LGHQWLILHG ZLWK WUXH DGYDQFHPHQW FDUULHV ZLWK LW D FRPSHQVDWRU\ HYLO ,W LV D JUHDW UHYROXWLRQ LQ VRFLDO DQG GRPHVWLF OLIH DQG QR OHVV VR LQ WKH OLIH RI D VHFOXGHG VWXGHQW WKLV DOPRVW XQLYHUVDO H[FKDQJH RI WKH RSHQ ILUHSODFH IRU WKH FKHHUOHVV DQG XQJHQLDO VWRYHf ,Q RQH ZD\ RU DQRWKHU KHUH DQG WKHUH DQG DOO DURXQG XV WKH LQYHQWLRQV RI PDQNLQG DUH IDVW EORWWLQJ

PAGE 235

WKH SLFWXUHVTXH WKH SRHWLF DQG WKH EHDXWLIXO RXW RI KXPDQ OLIH I!f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f 7KH KHDUW +DZWKRUQHfV IDYRULWH PHGLXP SURYLGHV WKH RQO\ HQWUDQFH LQWR VSLULWXDO WUXWKV 6LQFH LWV PHVVDJH LV FRQVWDQW IRU DOO PHQ DW DOO WLPHV LW DFWV DV DQ DJHQW RI FRQVHUYDWLVP 0DQnV LQWHOOHFW OLQNHG ZLWK FROGQHVV DQG SULGH LV H[WUHPHO\ HUUDWLF DQG

PAGE 236

LPSHUIHFW LQ WKDW LW PD\ OHDG KLP LQ GHYLRXV GLUHFWLRQV 7KH RSHUDWLRQ RI WKH PLQG VLQFH LW KDV QR FODLP RQ VSLULWXDOLW\ FDQQRW KDYH VWDELOLW\ ,I PDQNLQG ZHUH DOO LQWHOOHFW WKH\ ZRXOG EH FRQWLQXDOO\ FKDQJLQJ VR WKDW RQH DJH ZRXOG EH HQWLUHO\ XQOLNH DQRWKHU 7KH JUHDW FRQVHUYDWLYH LV WKH KHDUW ZKLFK UHPDLQV WKH VDPH LQ DOO DJHVM VR WKDW FRPPRQSODFHV RI D WKRXVDQG \HDUVn VWDQGLQJ DUH DV HIIHFWLYH DV HYHU f +DZWKRUQH E\ KDG JURZQ IRQG RI PDNLQJ WKH UDWKHU FRQYHQWLRQDO SDVWSUHVHQW FRPSDULVRQ ,I WKLV WHQGHQF\ PD\ EH WDNHQ DV D PDUN RI LQFUHDVLQJ DJH DQG FRQVHUYDWLVP LW PD\ HTXDOO\ ZHOO EH LQWHUSUHWHG DV D ORQJHU DQG ZLVHU ORRN DW WLPHfV WRWDO SURJUDP ,W WDNHV GRZQ RQHnV RYHUZHHQLQJ RSLQLRQ RI WKH SUHVHQW WLPH WR VHH KRZ PDQ\ NLQGV RI EHDXW\ DQG PDJQLILFHQFH KDYH KHUHWRIRUH H[LVWHG DQG DUH QRZ TXLWH SDVW DZD\ DQG IRUJRWWHQA DQG WR ILQG WKDW ZHf§ZKR VXSSRVH WKDW LQ DOO PDWWHUV RI WDVWH RXU DJH LV WKH YHU\ IORZHUVHDVRQ RI WLPHf§WKDW ZH DUH SRRU DQG PHDJUH DV WR PDQ\ WKLQJV LQ ZKLFK WKH\ ZHUH ULFK 7KHUH LV QRWKLQJ JRUJHRXV QRZ :H OLYH D YHU\ QDNHG OLIHf 7KH TXHVWLRQ LV ZKHWKHU RU QRW WKHUH KDV EHHQ DQ\ SURJUHVV DW DOO ,V LW QRW WUXH WKDW RWKHU DJHV KDYH UHDFKHG JUHDWHU KHLJKWV WKDQ WKH SUHVHQW RQH LV FDSDEOH RI DFKLHYLQJ" 0RGHUQ OLIH ZKLFK DSSHDUHG WR +DZWKRUQH DV RYHUO\ PHFKDQL]HG OHG KLP WR ODPHQW WKH GHFUHDVH LQ EHDXW\ ZKLFK VHHPHG LQHYLWDEO\ WR IROORZ WKH ZDNH RI PHFKDQLFDO SURJUHVV 7KRXJKW JURZV PRXOG\
PAGE 237

RII RXWPRGHG SDUDSKHUQDOLD RI WKH SDVW 0DQ PXVW PDLQWDLQ D VWHDG\ DQG LQFHVVDQWO\ FKDQJLQJ IRUZDUG PRWLRQ ZLWKRXW RQFH JODQFLQJ EDFN )DLOXUH WR PRYH WR FKDQJH WR PDUFK LQWR QHZ DQG GLIIHUHQW UHJLRQV LQYLWHV VWDJQDWLRQ DQG GHFD\ ,Q PDQ\ ZD\V WKH FRQFHSW RI SURJUHVV QHFHVVLWDWHV VHOIGHFHSWLRQ RQ KXPDQLW\nV SDUW ,W LV GHPDQGHG RI PDQ WKDW KH SDUWLFLSDWH LQ WKH LOOXVLRQ RI SURJUHVV MXVW DV LW LV GHPDQGHG WKDW KH SDUWLFLSDWH LQ WKH DUWLILFLDOLW\ RI VRFLHW\ %XW LW LV QRW QHFHVVDU\ WKDW KH EOLQG KLPVHOI WR WKH DFWXDO QDWXUH RI WKRVH IRUFHV RI ZKLFK KH LV D FDSWLYH OLIH VRRQ SHUFHLYH WKDW WKH SUHVHQW GD\ GRHV QRW HQJURVV DOO WKH WDVWH DQG LQJHQXLW\ WKDW KDV HYHU H[LVWHG LQ WKH PLQG RI PDQ WKDW LQ IDFW ZH DUH D EDUUHQ DJH LQ WKDW UHVSHFWOOf ,Q UHWXUQLQJ WR WKH WKHQDQGQRZ WKHPH +DZWKRUQH HODERUDWHV WKH FRQYLFWLRQ WKDW KLV DJH LV D SDUWLFXODUO\ DULG RQHf§WKDW LW ODFNV WKH ULFK DQG ODYLVK TXDOLWLHV RI SDVW WLPHV 7KH ZRUOG KDV FHDVHG WR EH VR PDJQLILFHQW DV LW RQFH ZDVAf
PAGE 238

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nV DGGLQJ VRPHZKDWf§D PLWH SHUKDSV EXW HDUQHG E\ LQFHVVDQW HIIRUWf§ WR DQ DFFXPXODWHG SLOH RI XVHIXOQHVV RI ZKLFK WKH RQO\ XVH ZLOO EH WR EXUGHQ RXU SRVWHULW\ ZLWK HYHQ KHDYLHU WKRXJKWV DQG PRUH LQRUGLQDWH ODERU WKDQ RXU RZQ 1R OLIH QRZ ZDQGHUV OLNH DQ XQIHWWHUHG VWUHDPM WKHUH LV D PLOOZKHHO IRU WKH WLQLHVW ULYXOHW WR WXUQ :H JR DOO ZURQJ E\ WRR VWUHQXRXV D UHVROXWLRQ WR JR DOO ULJKW OOOf 0DQ KDV ORVW KLV VHQVH RI YDOXHV LQ DQ HJRWLVWLFDO HIIRUW WR SXVK DKHDG DW DOO FRVW $SSDUHQW SURJUHVVLRQ LV RIWHQ DQ DFWXDO GHFDGHQFH LQ WKDW LW LV PHUHO\ WKH KHDSLQJ XS RI QHZ DQG GLIIHUHQW UXEELVK ,QGHHG LW PDWWHUV EXW OLWWOH LQ WKH ORQJ ORRN ZKHWKHU D PDQ VKDOO FRQWHQG IRU RU DJDLQVW SURJUHVVA IRU DOO HIIRUWV DW LQWHUIHULQJ ZLWK PDWWHUV EH\RQG PRUWDO FRQWURO DUH LQHIIHFWXDO ,Q RQH LQVWDQFH +DZWKRUQH SRVHVf§LQ WHUPV RI WKH SK\VLFDO FRQGLWLRQV RI DQ LQGLYLGXDO OLIHf§KLV UHFXUULQJ GLVWLQFWLRQ EHWZHHQ DFWXDO DQG DSSDUHQW SURJUHVV 5HSXEOLFDQ DV DP VKRXOG VWLOO ORYH WR WKLQN WKDW QREOHPHQ OHDG QREOH OLYHV DQG WKDW DOO WKLV VWDWHO\ DQG EHDXWLIXO HQYLURQPHQW PD\ VHUYH WR HOHYDWH WKHP D OLWWOH ZD\ DERYH WKH UHVW RI XV ,I LW IDLO WR GR VR WKH GLVJUDFH IDOOV HTXDOO\ XSRQ WKH ZKROH UDFH RI PRUWDOV DV RQ WKHPVHOYHVM EHFDXVH LW SURYHV WKDW QR PRUH IDYRUDEOH FRQGLWLRQV RI H[LVWHQFH ZRXOG HUDGLFDWH RXU YLFHV DQG ZHDNQHVVHV +RZ VDG LI WKLV EH VROOf $ IDYRUDEOH QDWXUDO HQYLURQPHQW GRHV QRW DOZD\V FUHDWH D EHWWHU PDQ

PAGE 239

7KH ZKROH LVVXH RI SURJUHVV LV FORXGHG ZLWK GHFHSWLRQV IRU PDQNLQG LV SURQH WR DFFHSW PDWHULDOLVWLF EHWWHULQJV DV WUXH SURJUHVV ZKLOH IDLOLQJ DW WKH VDPH WLPH WR FRQVLGHU WKH PRUDO DVSHFWV RI WKH SUREOHP :HUH DOO PDQNLQG VRPHKRZ JUDQWHG WKH OX[XULRXV FRPIRUWV ZKLFK D QREOHPDQ PD\ HQMR\ WKHUH LV QR UHDVRQ WR EHOLHYH WKDW WKH LQWUDFWDEOH TXDOLW\ RI KXPDQ QDWXUH ZRXOG EH VXEVWDQWLDOO\ PRGLILHG 7R WKH FRQWUDU\ WKLV H[WHUQDO UHFWLILFDWLRQ PLJKW ZHOO LQWURGXFH FRPSHQVDWRU\ HYLOV PRUH GUHDGIXO WKDQ WKH RQHV LW KDV UHSODFHG $V UHJDUGV LWV PLQRU WDVWHV WKH ZRUOG FKDQJHV EXW GRHV QRW LPSURYH LW DSSHDUV WR PH LQGHHG WKDW WKHUH KDYH EHHQ HSRFKV RI IDU PRUH H[TXLVLWH IDQF\ WKDQ WKH SUHVHQW RQH LQ PDWWHUV RI SHUVRQDO RUQDPHQW DQG VXFK GHOLFDWH WULIOHV DV ZH SXW XSRQ D GUDZLQJURRP WDEOH D PDQWHOSLHFH RU D ZKDWQRW !Of 5HSHDWHGO\ +DZWKRUQH FODLPV WKDW SURJUHVV FRQVLVWV RI FKDQJH UDWKHU WKDQ LPSURYHPHQW (DFK ELW RI PDWHULDO JDLQ ZKLFK PDQNLQG JDUQHUV XQWR KLPVHOI PD\ ZHOO EH EDODQFHG E\ D FRUUHVSRQGLQJ ORVV LQ VSLULWXDO YDOXHV 1HYHUWKHOHVV WKH ZRUOG DQG LQGLYLGXDOV IORXULVK XSRQ D FRQVWDQW VXFFHVVLRQ RI EOXQGHUVf 3URJUHVVf§ZKHQ LW FRPHV DW DOOf§VHOGRP IROORZV WKH GHVLJQHG VFKHPHV RI PHUH PRUWDOV LW LV IRUWXLWRXV 0DQ LV VFDUFHO\ FDSDEOH RI FRQFHLYLQJ DQ DLP DQG FDUU\LQJ LW WKURXJK WR VXFFHVV 3URYLGHQFH WDNHV SOHDVXUH LQ GLVUXSWLQJ MXVW VXFK D SURMHFW
PAGE 240

ZHOO VRPHWLPHV WR WKLQN ZKHWKHU WKHUH LV QRW D ZRUG RU WZR WR EH VDLG LQ IDYRU RI VWDQGLQJ VWLOO RU JRLQJ WR VOHHSOf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nV QHHG IRU GLYHUVLW\ KH PLJKW HQMR\ KLPVHOI HTXDOO\ ZHOO E\ VWDQGLQJ VWLOO /DWH LQ OLIH +DZWKRUQH YRLFHG WKH H[SHFWDWLRQ WKDW KXPDQLW\ PLJKW EH JUDGXDOO\ HYROYLQJ WRZDUG D EDVLF VLPSOLFLW\ ZKLFK VXJJHVWV LQ WXUQ D PRYHPHQW WRZDUG WKH KHDUWf§IRU WKH WZR DUH LQYDULDEO\ OLQNHG LQ +DZWKRUQHnV WKRXJKW 7KRVH ZRUGV nJHQWHHOr DQG nODG\OLNHn DUH WHUULEOH RQHV DQG GR XV LQILQLWH PLVFKLHI EXW LW LV EHFDXVH DW OHDVW KRSH VRf ZH DUH LQ D WUDQVLWLRQ VWDWH DQG VKDOO HPHUJH LQWR D KLJKHU PRGH RI VLPSOLFLW\ WKDQ KDV HYHU EHHQ NQRZQ WR SDVW DJHVI"OL"f 3HUKDSV PDQ LV RQ WKH PRYH DZD\ IURP DQ DUWLILFLDO RUGHU RI OLIH DQG LQWR D PRUH VSLULWXDO RQH EXW DV \HW WKHUH DUH QR PDQLIHVW LQGLFDWLRQV WKDW WKLV LV WKH FDVH +DZWKRUQH KDG UHWXUQHG VKRUWO\ EHIRUH KLV GHDWK WR D IDLWK LQ "6DPXHO /RQJIHOORZ /LIH RI + g /RQJIHOORZ ,, }

PAGE 241

SURJUHVV YDVWO\ GLIIHUHQW IURP WKH RQH KH KDG KHOG LQ 5DWKHU WKDQ VXFK PRQRWRQ\ RI VOXJJLVK DJHV ORLWHULQJ RQ D YLOODJHJUHHQ WRLOLQJ LQ KHUHGLWDU\ ILHOGV OLVWHQLQJ WR WKH SDUVRQfV GURQH OHQJWKHQHG WKURXJK FHQWXULHV LQ WKH JUD\ 1RUPDQ FKXUFK OHW XV ZHOFRPH ZKDWHYHU FKDQJH PD\ FRPHf§FKDQJH RI SODFH VRFLDO FXVWRPV SROLWLFDO LQVWLWXWLRQV PRGHV RI ZRUVKLSf§ WUXVWLQJ WKDW LI DOO SUHVHQW WKLQJV VKDOO YDQLVK WKH\ ZLOO EXW PDNH URRP IRU EHWWHU V\VWHPV DQG IRU D KLJKHU W\SH RI PDQ WR FORWKH KLV OLIH LQ WKHP DQG IOLQJ WKHP RII LQ WXUQef ,W LV QRW VR PXFK WKDW *RG JDYH PDQ D ZRUOG WR SHUIHFW EXW PHUHO\ WKDW PDQ PXVW NHHS PRYLQJ DERXW LQ WKDW ZRUOG :KHQ PDQ SURJUHVVHV KH PXVW DFW RQ WKH DVVXPSWLRQ WKDW WKH QHZ LV EHWWHU WKDQ WKH ROG $OWKRXJK VXFK IDLWK ZLOO QRW DOZD\V EH MXVWLILHG WKH QHFHVVLW\ RI PRYHPHQW DQG GLIIHUHQFH WKH QHFHVVLW\ RI HVFDSH IURP WKH PROGO\ ZHLJKW RI WKH SDVW PDQGDWHV DQ HIIRUW LQ LWV EHKDOI +DZWKRUQHfV FRQFHSWLRQ RI ffUHDOLW\f IRUEDGH DQ RSWLPLVWLF EHOLHI LQ WKH SHUIHFWLELOLW\ RI PRUWDO OLIH f+H ZDV WRR PXFK RI D UHDOLVW WR FKDQJHIDVKLRQ LQ FUHHGV 7LPH H[SHULHQFHf§KH LV DOZD\V UHPHPEHULQJf§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e

PAGE 242

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nV ZHOO VHW EDODQFH IRU WKH\ IHDU WKDW VXFK H[SHULPHQWDWLRQ IUHTXHQWO\ EULQJV DERXW D JUHDWHU GHVWUXFWLRQ RI JRRG WKDQ VXSSUHVVLRQ RI HYLO +DZWKRUQH ZDV VXVSLFLRXV RI QDUURZ PHQ RI IDQDWLFV ZLWK WKHLU ORQJ SHWLWLRQV DQG XQLTXH VFKHPHV IRU VDOYLQJ WKH ZRUOGnV VRUH VSRWV 7KH QDLYHWH RI WKRVH PHQ ZKR SURSRVHG WR HUDVH WKH HDUWKnV EOHPLVKHV ZLWK VZLIW DQG VXUH VWURNHV ZKR SODQQHG WR FKDQJH WKH OLIH FRPSRXQG ERWK DPXVHG DQG IULJKWHQHG KLP 0XFK RI WKLV GLVLQWHUHVW LQ UHIRUP PD\ EH FUHGLWHG WR D JHQHUDO ODFN RI FRQFHUQ IRU WKH SROLWLFDO DFWLYLWLHV RI WKH GD\ 1RU GRHV LW IROORZ WKDW KLV VNHSWLFLVP WRZDUG UHIRUP UHVXOWHG DQ\ PRUH IURP DSDWK\ RU D ZDQW RI KXPDQLWDULDQ LPSXOVHV WKDQ IURP LJQRUDQFH 7KH GDLO\

PAGE 243

N HYHQWV RI FRQWHPSRUDU\ OLIH ZHUH LPSRUWDQW WR +DZWKRUQH PDLQO\ DV WKH\ V\PEROL]HG LGHDV 5HIRUP PRYHPHQWV DV WKH\ GHYHORSHG VHHPHG RYHUO\ FRQFHUQHG ZLWK UHFWLI\LQJ WKH RXWHU RU SKHQRPHQDO VLWXDWLRQ ZKLOH OHDYLQJ WKH EDVLF FDXVH RI WKH HYLO XQWRXFKHGf§QRW WKDW PDQ ZDV FDSDEOH RI FKDQJLQJ WKDW FDXVH ,QGLYLGXDO DWWHPSWV DW FRQWHQGLQJ ZLWK SURYLGHQWLDO IRUFHV ZHUH WR EH SLWLHG LQ SURSRUWLRQ WR WKHLU VLQFHULW\ 5HIRUP WKHQ LV D YDLQ FRQIXVHG DQG PLVJXLGHG VWUXJJOH RI PDQfV LQWHOOHFW WR UHFWLI\ FRQGLWLRQV ZKLFK DUH ZKROO\ EH\RQG PDQnV FRQWURO 2Q WKH ZKROH ILQG Q\VHOI UDWKHU PRUH RI DQ DEROLWLRQLVW LQ IHHOLQJ WKDQ LQ SULQFLSOHf $OWKRXJK +DZWKRUQH ZDV QRW D WUDLWRU WR WKH 8QLRQ FDXVH KH FRXOG QRW NHHS IURP IHHOLQJ WKDW WRR PXFK IXVV ZDV EHLQJ PDGH RYHU D GHIHFW ZKLFK RQO\ WLPH FRXOG HUDVHf§LQ WUXWK KH ZDV QRW DURXVHG E\ WKH VODYHU\ LVVXH 7KH IHUYRU ZLWK ZKLFK KLV VLVWHULQODZ (OL]DEHWK 3HDERG\ SXVKHG WKH FDXVH RI WKH DEROLWLRQLVWV SURYHG D FRQVWDQW LUULWDQW ,Q FRPPHQWLQJ RQ WKH DEROLWLRQLVW FDXVH +DZWKRUQH KDG ZULWWHQ WR /RQJIHOORZ WKDW 7KHUH DUH D KXQGUHG PRGHV RI SKLODQWKURS\ LQ ZKLFK FRXOG EOD]H ZLWK LQWHQVHU ]HDOA KHQ /RQJIHOORZ WRRN XS VODYHU\ DV D WKHPH KLV QRYHOLVW IULHQG ZDV QRW LPSUHVVHG ZLWK WKH SRHWnV WDVWH LQ VXEMHFW PDWWHU ZDV QHYHU PRUH VXUSULVHG WKDQ DW \RXU ZULWLQJ SRHPV DERXW 6ODYHU\ KDYH QRW VHHQ WKHP EXW KDYH IDLWK LQ WKHLU H[FHOOHQFH WKRXJK FDQQRW FRQMHFWXUH O$UOLQ 7XUQHU +DZWKRUQH DQG 5HIRUP 1HZ (QJODQG 4XDUWHUO\ ;9 'HFHPEHU OLf A6DPXHO /RQJIHOORZ OLIH RI + g /RQJIHOORZ + f

PAGE 244

ZKDW VSHFLHV RI H[FHOOHQFH LW ZLOO EH
PAGE 245


PAGE 246

/LIHfV FRPSRXQG UHWDLQV LWV RULJLQDO JUD\QHVV LQ WKH IDFH RI PDQnV PRVW YLROHQW GHVLJQV DW UHQRYDWLRQ ,W LV IRU WKLV UHDVRQ WKDW VSHFLILF DQG SDUWLDO UHIRUPV DUH EHWWHU OHIW XQGRQH 6LQFH WUXH UHIRUP DSSHDUV KLJKO\ LPSUREDEOH PDQfV LQVXIILFLHQW H[HUWLRQV DUH DSW WR DSSUHFLDEO\ ZRUVHQ WKH VLWXDWLRQ ZKLFK KH KDV FKRVHQ WR UHPHG\ 7KH LGHD RI WRWDO UHIRUP RU HUDGLFDWLRQ VWURQJO\ DSSHDOHG WR +DZWKRUQH :KHQ ZH TXLW D KRXVH ZH DUH H[SHFWHG WR PDNH LW FOHDQ IRU WKH QH[W RFFXSDQWf§ZK\ RXJKW ZH QRW WR OHDYH D FOHDQ ZRUOG IRU WKH FRPLQJ JHQHUDWLRQf ,GHDOO\ HDFK JHQHUDWLRQ VKRXOG EH DOORZHG WR PRYH IRUZDUG XQHQFXPEHUHG $FWXDOO\ KRZHYHU WKLV LV QRW WR EH +DZWKRUQH IHDUHG WKH D[H DQG FURZEDU RI WKH UHIRUPHU KH IHDUHG WKDW ZHOOLQWHQGHG UHQRYDWLRQV ZHUH QRW RQO\ LQHIIHFWXDO EXW GDQJHURXV %XW WKH KDQG WKDW UHQRYDWHV LV DOZD\V PRUH VDFULOHJLRXV WKDQ WKDW ZKLFK GHVWUR\Vf $OWKRXJK DQ RYHUDOO UHIRUPDWLRQ RI KXPDQ QDWXUH ZRXOG EH ZHOFRPHG ZHUH LW SRVVLEOH VSHFLILF FUXVDGHV GHDOLQJ RQO\ ZLWK WKH RXWHU VKDGRZV RI HYLO DUH ULGLFXORXV IURP WKH RXWVHW 7KH WHPSHUDQFHUHIRUPHUV XQTXHVWLRQDEO\ GHULYH WKHLU FRPPLVVLRQ IURP WKH 'LYLQH %HQHILFHQFH EXW KDYH QHYHU EHHQ WDNHQ IXOO\ LQWR LWV FRXQVHOVf +DZWKRUQH FRXOG ILQG QR MXVWLILFDWLRQ IRU D JHQLDO RSWLPLVP ZKLFK ZRXOG DVVXPH PDQ WR EH SHUIHFWLEOH +H IRXQG QR FRPIRUW LQ WKH VXSHUILFLDO DQG QDUURZ SURMHFWV RI WKH UHIRUPHUV LQ IDFW KH FULQJHG IURP WKHP 5HIRUP FDQ EH HIIHFWLYH RQO\ ZKHQ LW EORWV RXW WKH ROG HYLO ZKHQ LW EHFRPHV HUDGLFDWLRQ RU SXULILFDWLRQ UDWKHU WKDQ D PHUH UHDUUDQJLQJ 2QO\ GHDWK ILUH DQG IORRG FDQ ZRUN

PAGE 247

VXFK D PLUDFOH ,Q YLHZ RI VR ZUHWFKHG D VWDWH RI WKLQJV ZH DFFHSW WKH DQFLHQW 'HOXJH QRW PHUHO\ DV DQ LQVXODWHG SKHQRPHQRQ EXW DV D SHULRGLFDO QHFHVVLW\ DQG DFNQRZOHGJH WKDW QRWKLQJ OHVV WKDQ VXFK D JHQHUDO ZDVKLQJGD\ FRXOG VXIILFH WR FOHDQVH WKH VORYHQO\ ROG YURUOG RI LWV PRUDO DQG PDWHULDO GLUWf +DZWKRUQH ZDV VFDUFHO\ ZDUPHG E\ WKH ILHU\ VSLULW RI UHIRUP ZKLFK FRQVXPHG WKH OLWHUDU\ IRON RI 1HZ (QJODQG 3URIRXQGO\ VNHSWLFDO DERXW DOO VRFLDO UHIRUPV FRQYLQFHG RI WKH LQQDWH VLQIXOQHVV RI WKH KXPDQ KHDUW KH VHHPV WR UHJDUG DOPRVW DQ\ IRUP RI XQXVXDO DPELWLRQ RU DFKLHYHPHQW DV D V\PSWRP RI SULGH DQG ODFN RI ORYHA ,W LV QRW VR PXFK WKDW PDQ VKRXOGn UHPDLQ SDVVLYH VKRXOG GUHDG DFWLRQ EXW UDWKHU WKDW KH QHHG DZDNHQ WR WKH GDQJHUV LQYROYHG ZKHQ LQ UHO\LQJ WRR KHDYLO\ RQ KLV LQWHOOHFW KH RYHUVWHSV PRUWDO SUHURJDWLYHV 9LVLRQDU\ GHOLJKWV FORXG ZDQGHULQJV DQG D EHOLHI LQ PDQnV SHUIHFWLELOLW\ UDQ FRXQWHU WR WKH SDWWHUQ ZKLFK KDG JURZQ ULJLG LQ +DZWKRUQHnV PLQG +LV DPXVHPHQW RYHU WKH %URRN )DUP YHQWXUH KLV DWWLWXGH WRYDUG VODYHU\ DQG WKH &LYLO :DU DQG KLV nODLVVH] IDLUHn WKHRULHV LQ JHQHUDO UHYHDO KLP DV D KDUGHQHG UHDOLVW,W FDQ EH VHULRXVO\ GRXEWHG ZKHWKHU WKH VFKHPHV RI UHIRUPHUV EULQJ DERXW DQ\WKLQJ ZRUWKZKLOH 1RW RQO\ DUH WKH UHVXOWV RI UHIRUP TXHVWLRQHG EXW WKH HIIRUW LWVHOI LV ORRNHG XSRQ DVNDQFH +DZWKRUQH ZDV VXVSLFLRXV RI PHQ ZLWK D GHYRXULQJ FDXVH KH ZDV GLVWUXVWIXO RI A+HQU\ %DPIRUG 3DUNHV 3RH +DZWKRUQH 0HOYLOOHV $Q (VVD\ LQ 6RFLRORJLFDO &ULWLFLVP 3DUWLVDQ 5HYLHZ ;9, )HEUXDU\ 8f OO AA6FKQHLGHU 7KH 3XULWDQ 0LQG S

PAGE 248

YLVLRQDULHV DQG ]HDORWV DERYH DOO KH ZDV VNHSWLFDO RI PDQfV DELOLW\ WR DOWHU OLIH +H VDZ WKDW VLQ KDG PRUH SHUPDQHQFH WKDQ WKRVH ZKR ZRXOG ILJKW DJDLQVW LW +H UHDOL]HG WRR WKDW D VXSHULQWHQGLQJ SURYLGHQFH KHOG ILUP FRQWURO DQG WKDW WR PHGGOH ZLWK LWV PLQLVWUDWLRQV ZDV WR LQYLWH GLVDVWHU 6LQFH +DZWKRUQH GLG QRW EHOLHYH LQ SURJUHVV LW LV XQUHDVRQDEOH WR UHTXHVW KLV WUXVW LQ UHIRUPf§ZKLFK LV LWVHOI EXW WKH LQHIIHFWXDO LQVWUXPHQW RI SURJUHVV %527+(5+22' +DZWKRUQHnV WKHRU\ RI EURWKHUKRRG KDV FDXVHG PXFK FRQVWHUQDWLRQ %LRJUDSKHUV KDYH SRLQWHG WR LW DV HYLGHQFH RI RSWLPLVP RQ WKH QRYHOLVWn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nV 3KLORVRSK\ &HQWXU\ ;;;,,

PAGE 249

KR PRUWDO OLIH 7KH IHHOLQJ IRU EURWKHUKRRG LV LQWXLWLYH ,Q HVVHQFH LW LV OLWWOH GLIIHUHQW IURP PDQnV GHVLUH IRU VRFLHW\ 8QOLNH WKDW GHVLUH WKH DSSHWLWH IRU EURWKHUKRRG KDV QRW \HW EHHQ VXUUHQGHUHG WR DQ DUWLILFLDO DFWXDOL]DWLRQ ,Q WUXWK WKH SULQFLSOH LV UDUHO\ DFWHG XSRQ DW DOO :LWK WKH VRFLDO DSSHWLWH DV D IRXQGDWLRQ PDQ ZRUNLQJ WKURXJK KLV LQWHOOHFW FRQVWUXFWV DQ DUWLILFLDO RUGHU 7R WKH XUJH IRU EURWKHUKRRG ZKLFK LV FORVHO\ DOOLHG ZLWK WKH VRFLDO DSSHWLWH PDQ SD\V OLWWOH KHHG 7KXV ZKLOH WKH SULQFLSOH RI EURWKHUKRRG KDV ZLWKLQ LW WKH IRUFH IRU DQ LPPHDVXUDEOH JRRG PDQnV QDWXUH GHQLHV WKDW IRUFH DQ RSSRUWXQLW\ WR SURYH LWV ZRUWK $UH WKHUH DQ\ WZR OLYLQJ FUHDWXUHV ZKR KDYH VR IHZ V\PSDWKLHV WKDW WKH\ FDQQRW SRVVLEO\ EH IULHQGV"ef &RQFXUUHQW ZLWK WKH V\PSDWKHWLF ERQG FRQQHFWLQJ DOO KXPDQLW\ WKHUH LV LQKHUHQW LQ WKH YHU\ SDWWHUQ RI OLIH D GDUNHU DVSHFW RI EURWKHUKRRG 6XFK WKRXJKWV VDGGHQ \HW VDWLVI\ P\ KHDUW" IRU WKH\ WHDFK PH WKDW WKH SRRU PDQ LQ WKLV PHDQ ZHDWKHUEHDWHQ KRYHO PD\ FDOO WKH ULFK KLV EURWKHUf§EUHWKUHQ E\ 6RUURZ ZKR PXVW EH DQ LQPDWH RI ERWK WKHLU KRXVHKROGVf§EUHWKUHQ E\ 'HDWK ZKR ZLOO OHDG WKHP ERWK WR RWKHU KRPHVeOf ,Q VLQ DQG VRUURZ PDQ HQFRXQWHUV WKH PRVW IRUPLGDEOH OHYHOHUV 7KHUH DUH QR H[FHSWLRQV" DOO PHQf§QR PDWWHU ZKDW WKHLU WDOHQW UDQN RU ZHDOWKf§PXVW WR D OLNH GHJUHH FRQIURQW DQ LQIOH[LEOH OLIH SDWWHUQ ZKLFK GLUHFWV WKH FRXUVH RI PDQ DQG LV LQ UHWXUQ QRZLVH VKDSHG E\ KLP 5HOLJLRXVO\ VSHDNLQJ PDQ LV RI D EURWKHUKRRG LQ WKDW KH VKDOO HYHQWXDOO\ GZHOO LQ D FRPPRQ VSLULWXDO UHDOP QR PDWWHU ZKDW KLV PDWHULDO ZRUWK DQG FLUFXPVWDQFH LQ WKH HDUWKO\ RQH

PAGE 250

+DZWKRUQH QHYHU KDUGHQHG KLPVHOI DJDLQVW WKH HQWUHDWLHV RI KLV IHOORZ PHQM KH ZDV D FRPSDUDWLYHO\ fHDV\ WRXFKf IRU EHJJDUV RU IRU DQ\RQH LQ GLVWUHVV &RQWDFW ZLWK KXPDQLW\f§WKH ZDUP IHHOLQJ ZKLFK RQH JHWV IURP DLGLQJ KLV IHOORZ FUHDWXUHVf§LV DVVXUHGO\ ZRUWKZKLOH f7KHUH LV VR PXFK ZDQW DQG ZUHWFKHGQHVV LQ WKH ZRUOG WKDW ZH PD\ VDIHO\ WDNH WKH ZRUG RI DQ\ PRUWDO ZKHQ WKH\ VD\ WKH\ QHHG RXU DVVLVWDQFH DQG HYHQ VKRXOG ZH EH GHFHLYHG VWLOO WKH JRRG WR RXUVHOYHV UHVXOWLQJ IURP D NLQG DFW LV ZRUWK PRUH WKDQ WKH WULIOH E\ ZKLFK ZH SXUFKDVH LWf %XW WKH WUXH IDFXOW\ RI GRLQJ JRRG FRQVLVWV QRW LQ ZHDOWK QRU VWDWLRQ EXW LQ WKH HQHUJ\ DQG ZLVGRP RI D ORYLQJ KHDUW WKDW FDQ V\PSDWKL]H ZLWK DOO PDQNLQG DQG DFNQRZOHGJHV D EURWKHU RU D VLVWHU LQ HYHU\ XQIRUWXQDWH PDQ RU ZRPDQ DQG DQ RZQ FKLOG LQ HDFK QHJOHFWHG RUSKDQf ,QGLYLGXDO FKDULW\ LQGLYLGXDO FRQWDFW LV SUHIHUDEOH WR WKH WKLQ FROG HIIRUWV RI RUJDQL]HG JURXSV ,Q DQ RSWLPLVWLF PRPHQW +DZWKRUQH SRLQWV RXW WKH ZD\ WR D JRRG OLIH 7KH DFNQRZOHGJHPHQW RI DQ DELGLQJ DQG ELQGLQJ EURWKHUKRRG ZLWK RQHnV IHOORZ PHQf§D GHFODUDWLRQ IURP WKH KHDUWf§VWDQGV DV D VWDUWLQJ SRLQW IURP ZKLFK DOO PDQQHU RI JRRGQHVV PD\ DIWHUZDUGV IORZ ,W LV SRVVLEOH RI FRXUVH IRU D PDQ WR VR OLYH WKDW KH QRW RQO\ IDLOV WR DGYDQFH EXW VRPHKRZ DFWXDOO\ KLQGHUV WKH RQZDUG FRXUVH RI HYHQWV
PAGE 251

WKH GXWLHV RI WKDW IXQFWLRQ VWLOO KH IUHTXHQWO\ FRQWULEXWHV QRWZLWKVWDQGLQJ KLV VWXEERUQ ZD\ZDUGQHVV WR WKH SURJUHVVLRQ RI OLIH +RXU PDQ\ ZKR KDYH GHHPHG WKHPVHOYHV DQWDJRQLVWV ZLOO VPLOH KHUHDIWHU ZKHQ WKH\ ORRN EDFN XSRQ WKH ZRUOGnV ZLGH KDUYHVW ILHOG DQG SHUFHLYH WKDW LQ XQFRQVFLRXV EURWKHUKRRG WKH\ ZHUH KHOSLQJ WR ELQG WKH V HOI VDPH VKHDI LO_f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f :KDW DQ LQWLPDWH EURWKHUKRRG LV WKLV LQ ZKLFK ZH GZHOO GR ZKDW ZH PD\ WR SXW DQ DUWLILFLDO UHPRWHQHVV EHWZHHQ WKH KLJK FUHDWXUH DQG WKH ORZ RQHOf +XPDQ QDWXUH LV LQYDULDEOH@ OLIH LWVHOI LV HTXDOO\ FRQVWDQW 2QO\ PDWHULDO DEVXUGLWLHV VHSDUDWH PDQ IURP PDQ +RZ VXSHUILFLDO DUH WKH QLFHWLHV RI VXFK DV SUHWHQG WR NHHS DORRI /HW WKH ZKROH ZRUOG EH FOHDQVHG RU QRW D PDQ RU 7UDPDQ RI XV DOO FDQ EH FOHDQf *R ZKHUH KH ZLOO PDQ LV IDVWHQHG LQ D NLQVKLS RI LPSHUIHFWLELOLW\ WR KLV IHOORZ EHLQJV $ULVWRFUDF\ RU DQ\ RWKHU DSSDUHQW FULWHULRQ RI LQHTXDOLW\ LV EXW D IDEULFDWLRQ RI WKH LQWHOOHFW 'LIIHUHQW DQG EHWWHU SK\VLFDO FRQGLWLRQV GR QRW EULQJ IRUWK GLIIHUHQW DQG EHWWHU PHQ ,I PDQ ZRXOG EXW UHMHFW WKH PDWHULDOLVWLF VHW RI YDOXHV WR ZKLFK KH QRZ DGKHUHV DQG WDNH XS VSLULWXDO RQHV WKHQ PLJKW KH FRPH

PAGE 252

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nV FXSLGLW\ RI D SHQQ\ :KHQ WKDW GD\ GDZQVf§DQG SUREDEO\ QRW WLOO WKHQf§ LPDJLQH WKDW WKHUH ZLOO EH QR PRUH SRRU VWUHHWV QRU QHHG RI DOPVKRXVHVf %URWKHUKRRG ERWK DV D SULQFLSOH DQG DV DQ LGHDO OHDYHV OLWWOH WR EH GHVLUHG 2QFH SXW LQWR HIIHFW LW PLJKW ZHOO SURYH LWVHOI D SDQDFHD IRU PDQNLQGn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

PAGE 253

ILQGV QR DFWXDOL]DWLRQ LQ OLIH 0RVW PHQf§DQG FHUWDLQO\ FRXOG QRW DOZD\V FODLP WR EH RQH RI WKH H[FHSWLRQVf§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f ,Q WUXWK OLIHnV XQIRUWXQDWHV DUH VRPHWLPHV UHZDUGHG ZLWK DEXVH ZKHQ DLG LV UHTXHVWHG 7KRXJK WKH GLYLQH PLQLVWUDWLRQV RI ZRPDQ PD\ SDUWLDOO\ VRIWHQ PDQfV RXWHU QDWXUH KLV SULPDO OXVWV UHPDLQ ODWHQW DQG XQPRGLILHG ZRQGHU KRZ PDQ\ SHRSOH OLYH DQG GLH LQ WKH ZRUNKRXVH KDYLQJ QR RWKHU KRPH EHFDXVH RWKHU SHRSOH KDYH D JUHDW GHDO PRUH WKDQ KRPH HQRXJK rf %URWKHUKRRG GHSHQGV RQ PXWXDO DLG EXW PDQ LV LQKHUHQWO\ VHOILVK DQG JUDVSLQJ 7KXV EURWKHUKRRG JLYHV ZD\ EHIRUH PDQnV XQHQGLQJ VLQIXOQHVV $OWKRXJK EURWKHUKRRG H[LVWV DV D UHDOLW\ WR +DZWKRUQH LQ WKH VHQVH WKDW DOO RI OLIHnV HOHPHQWV FRQYHUJH VR DV WR OHYHO KXPDQLW\ LQWR D RQHQHVVf§VWLOO LW GRHV QRW H[LVW DV DQ REVHUYDEOH IDFW IRU WKH VHOILVK DQG LPSHUIHFW QDWXUH RI PDQ UHIXVHV QREOH SULQFLSOHV DQ RSSRUWXQLW\ WR RSHUDWH 1RW RQO\ LV PDQ LQGLIIHUHQW WR WKH VXIIHULQJ RI KLV IHOORZ KXPDQ EHLQJV EXW KH IUHTXHQWO\ GHOLJKWV LQ DGGLQJ WR WKH ZRHV RI WKRVH LQ GLVWUHVV +H WDNHV D VDGLVWLF SULGH LQ KLV VWUDQJH WDOHQW IRU EHLQJ LQKXPDQ ,W ZDV FHUWDLQO\ RQH RI WKRVH FULVHV WKDW VKRZ D PDQ KRZ IHZ

PAGE 254

UHDO IULHQGV KH KDV DQG WKH WHQGHQF\ RI PDQNLQG WR VWDQG DVLGH DW OHDVW DQG OHW D SRRU GHYLO ILJKW KLV RZQ WURXEOHV LI QRW DVVLVW WKHP LQ WKHLU DWWDFN!OWOf 0DQn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nV LGHDV VKRXOG EHJLQ ZLWK VLQ DQG HQG ZLWK ZDU
PAGE 255

8 KDYRF ZLWK XQGLVWXUEHG JRRGKXPRUf Kf 0DQ VLQFH KH 7ULOO QRW DFFHSW KLV ERQGHG EURWKHUKRRG VLQFH KH UHPDLQV JUHHG\ DQG YDLQ OLYHV LQ D VWDWH RI FRQWLQXRXV VWUXJJOH ZLWK KLV IHOORZ EHLQJV +LVWRU\ LV OLWWOH PRUH WKDQ D FKURQLFOLQJ RI FHDVHOHVV ZDUIDUH ,W LV D VDG WKRXJKW WKDW PHQ RI WKH VZRUG ZKHWKHU DV LQGLYLGXDOV RU LQ DUPLHV VKRXOG KLWKHUWR KDYH ILOOHG VR ODUJH VSDFH LQ WKH DQQDOV RI HYHU\ QDWLRQ :LOO WKH WLPH QHYHU FRPH ZKHQ DOO WKDW SHUWDLQV WR ZDU VKDOO EH PHUHO\ D PDWWHU RI DQWLTXDULDQ FXULRVLW\"Lf 7KHUH FDQ EH QR HQG WR ZDU DV ORQJ DV KXPDQ QDWXUH DQG WKH OLIH SDWWHUQ LQ ZKLFK LW LV FDXJKW XS FRQWLQXH XQFKDQJHG :LOO WKH WLPH HYHU FRPH DJDLQ LQ $PHULFD ZKHQ ZH PD\ OLYH KDOI D VFRUH RI \HDUV ZLWKRXW RQFH VHHLQJ WKH OLNHQHVV RI D VROGLHU H[FHSW KH EH LQ WKH IHVWDO PDUFK RI D FRPSDQ\ RQ LWV VXPPHU WRXU" 1RW LQ WKLV JHQHUDWLRQ IHDU QRU LQ WKH QH[W QRU WLOO WKH 0LOOHQQLXP DQG HYHQ WKDW EOHVVHG HSRFK DV WKH SURSKHFLHV VHHP WR LQWLPDWH ZLOO DGYDQFH WR WKH VRXQG RI WKH WUXPSHW L!8Lf ff7KHUH LV QR UHPRWHQHVV RI OLIH DQG WKRXJKW QR KHUPHWLFDOO\ VHDOHG VHFOXVLRQ H[FHSW SRVVLEO\ WKDW RI WKH JUDYH LQWR ZKLFK WKH GLVWXUELQJ LQIOXHQFHV RI WKLV ZDU GR QRW SHQHWUDWH !_f 2QO\ GHDWK SURYLGHV D ILQDO HVFDSH 2QO\ SDUWLDO H[LWV IURP OLIHfV KDUVKQHVVf§RI ZKLFK DFWXDO ZDUIDUH LV EXW DQ RYHUW V\PEROf§DUH RSHQ WR PDQ 3ULPLWLYH PDQ ZDV E\ QDWXUH YLFLRXV DQG EORRGWKLUVW\ 0RGHUQ PDQ WKRXJK KH KDV UHILQHG KLV PHWKRGV UHWDLQV WKH VDPH SULPRUGLDO XUJHV 6HW PHQ IDFH WR IDFH ZLWK ZHDSRQV LQ WKHLU KDQGV DQG WKH\ DUH DV UHDG\ WR VODXJKWHU RQH DQRWKHU QRZ DIWHU SOD\LQJ DW SHDFH DQG JRRGZLOO IRU VR PDQ\ \HDUV DV LQ WKH UXGHVW DJHV WKDW QHYHU KHDUG RI SHDFHVRFLHWLHV DQG WKRXJKW QR ZLQH VR GHOLFLRXV DV ZKDW WKH\ TXDIIHG IURP DQ HQHP\fV VNXOOfNf +DZWKRUQH ZRXOG DJUHH ZLWK

PAGE 256

7KRPDV +REEHVf VWDWHPHQW LW FDQQRW EH GHQLHG EXW WKDW WKH QDWXUDO VWDWH RI PHQ EHIRUH WKH\ HQWHUHG LQWR VRFLHW\ ZDV D PHUH ZDU DQG WKDW QRW VLPSO\ EXW D ZDU RI DOO PHQ DJDLQVW DOO PHQA +REEHV WKRXJK D SHVVLPLVW LQ UHJDUG WR KXPDQ QDWXUH ZDV TXLWH FRPSODFHQW FRQFHUQLQJ WKH PRUDO TXDOLWLHV RI D SROLWLFDO VWDWH KH IHOW WKDW D VWDWH IRXQGHG XSRQ UHDVRQ ZRXOG FRQWURO PDQfV QDWXUH +DZWKRUQH GLG QRW EHOLHYH WKDW PDQ ZDV FDSDEOH RI UXOLQJ KLPVHOI E\ UHDVRQ QRU GLG KH KDYH IDLWK WKDW SROLWLFDO DQG VRFLDO LQVWLWXWLRQV WUXO\ PRGLI\ PDQnV RULJLQDO QDWXUH 7KRXJK PDQn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nV PHPRULHV DW RQFH DQG IRUHYHU8f +HURHV ZKRP +DZWKRUQH IDLOHG WR DSSUHFLDWH LQ WKH PDQQHU RI (PHUVRQ DQG &DUO\OH PD\ EH YLHZHG DV V\PEROV RI PDQnV GHFDGHQFH 6LQFH ZDU KDV QHLWKHU YLFWRU\ QRU HQG PDQ ZRXOG EH ZLVHU LI KH ZRXOG SOD\ GRZQ WKH PHPRULDOV WR KLV YLFLRXVQHVV UDWKHU WKDQ JORU\LQJ LQ WKHP +DZWKRUQHfV FRQFOXVLRQV RQ WKH SRVVLELOLWLHV IRU WUXH SURJUHVV UHIRUP EURWKHUKRRG DQG SHDFH UHVHPEOH LGHDV ZKLFK +REEHV 9ROWDLUH A7KRPDV +REEHV 7KH (QJOLVK :RUNV RI 7KRPDV +REEHV HG 6LU :LOOLDP 0ROHVZRUWK /RQGRQ ,GOLOf ,, a

PAGE 257

8 RU 6ZLIW PLJKW KDYH H[SRXQGHG +DZWKRUQH GLIIHUV IURP RWKHU JORRP\ SURJQRVWLFDWRUV RQ PDQ LQ WKDW KH ZRXOG JR EH\RQG WKH OLPLWV RI PRUWDO OLIH DQG SURSRVH D VSLULWXDO H[LVWHQFH DV FRPSHQVDWLRQ +H GLIIHUV WRR LQ DGPLWWLQJ D SURYLGHQWLDO JXLGDQFHf§RQH ZKLFK LQ LWV RZQ GXH WLPH VDOYHV WKH ZRXQGV RI DGYHUVLW\ ,Q FRQWUDVW WR DQ DSSDUHQW VLPLODULW\ ZLWK WKH WKRXJKW RI D VHOHFW JURXS RI ZULWHUV ZKR VDZ OLIH LQ VRPHZKDW WKH VDPH WRQHV +REEHV 9ROWDLUH DQG 6ZLIW WKH WRWDO +DZWKRUQLDQ SDWWHUQ KDV D GHFLGHG XQLTXHQHVV )LUVW RI DOO WKH QDWXUH RI KXPDQLW\ LV KHDYLO\ FORXGHG E\ D ORQJ VWDQGLQJ SURSHQVLW\ IRU HYLO 6HFRQG OLIH LWVHOI LV UHQGHUHG PRUH RGLRXV E\ WKH KDUVK DQG ULJLG FRQVWLWXWLRQ RI WKH SK\VLFDO FRPSRXQG LQ ZKLFK PDQ HWHUQDOO\ GZHOOV 7KLUG PDQ KDV ZLWKLQ KLP QRUPDOO\ LQ D ZHDNHQHG VWDWH WKH LQVWUXPHQWV IRU KLV RZQ LPSURYHPHQW EXW KLV QDWXUH IRUELGV KLV UHO\LQJ RQ WKHP )RXUWK WKHUH LV D SHUYDGLQJ PRUDOLW\ ZKLFK JLYHV WR DOO OLIH D VSLULWXDO VLJQLILFDQFH )LIWK WKH VSLULWXDO OLIH LV WDNHQ RQ IDLWK LW LV HODERUDWHG EXW OLWWOH IRU LW LV DVVXPHG WKDW WKH PRUWDO OLIH LV RI PRUH LPPHGLDWH FRQFHUQ 7KHUH LV QR DGYLFH UHJDUGLQJ WKH PDQQHU LQ ZKLFK SK\VLFDO OLIH VKRXOG EH OHG LQ RUGHU WR REWDLQ VSLULWXDO UHZDUGV 7KH HPSKDVLV LV QRW RQ D JRRG OLIH EXW UDWKHU RQ WKH QDWXUH RI OLIH LWVHOI 6L[WK LQ FRQVLGHULQJ HDUWKO\ OLIH +DZWKRUQH FRQVWDQWO\ UHWXUQV WR VLQV HYLOV EOHPLVKHV LPSHUIHFWLRQV 0DQ LV VHHQ WR EH ERWK YDLQ DQG YLFLRXV LQ KLV RULJLQDO QDWXUH 6HYHQWK DQG ODVW +DZWKRUQH SURSRVHV WKH REOLJDWLRQ RI OLYLQJ OLIH RI OLYLQJ ZLWK EOHPLVKHVf§RI DFFHSWLQJ WKHPf§UDWKHU WKDQ EOLQNLQJ RQHnV H\HV DW WKHP

PAGE 258

K +H DIILUPV WKH QHFHVVLW\ RI OLYLQJ ZLWKLQ VRFLHW\ DQG RI FRQWULEXWLQJ LQ RQHfV RZQ ZD\ WR WKH SURJUHVV RI WKDW VRFLHW\ :KLOH KH VHYHUHO\ FULWLFL]HV WKH IDOVHQHVV RI FHUWDLQ PDQPDGH LQVWLWXWLRQV KH GRHV QRW GHQ\ WKH QHFHVVLW\ IRU WKHLU H[LVWHQFH +H DFFHSWV OLIH IRU ZKDW LW LV DQG XUJHV WKDW PDQ ZLWKLQ KLV RZQ OLPLWDWLRQV PDNH WKH EHVW RI LW

PAGE 259

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fV LGHDV HYRNH D ZDUPEORRGHG LPDJH ,W LV ZHOO WKHUHIRUH WR VHHN RXW D EULHI SURILOH RI +DZWKRUQH DV DQ HPRWLRQDO EHLQJ LQ RUGHU WKDW WKH ZRUNLQJV RI KLV PLQG PD\ EH EHWWHU FRPSUHKHQGHG 7KH (PRWLRQDO (TXDWLRQ +DG +DZWKRUQH IROORZHG WKH SDWWHUQ HVWDEOLVKHG E\ KLV DQFHVWRUV

PAGE 260

KH ZRXOG SUREDEO\ KDYH EHFRPH D VKLSnV FDSWDLQ 1HLWKHU KLV KHUHGLW\ QRU KLV HQYLURQPHQW VXIILFLHQWO\ DFFRXQW IRU KLV GHVLUH WR ZULWH +DG WKH QRYHOLVW DEVRUEHG DQG UHSKUDVHG RWKHU PHQnV LGHDV KLV SKLORVRSK\ PLJKW ZHOO EH XQGHUVWRRG LQ WHUPV RI LWV VRXUFHV ,QVWHDG WKH PDWXUH FRQVWLWXWLRQ RI +DZWKRUQHn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f 5HSHDWHGO\ +DZWKRUQH UHIHUV DOPRVW ZLWK SULGH WR KLV QDWLYH DYHUVLRQ IRU ODERU 2K EHORYHGHVW ODERU LV WKH FXUVH RI WKH ZRUOG DQG QRERG\ FDQ PHGGOH ZLWK LW ZLWKRXW EHFRPLQJ SURSRUWLRQDEO\ EUXWLILHGKf ,W LV TXHVWLRQDEOH ZKHWKHU WKH GHVLUH IRU FRPSOHWH

PAGE 261

LQGROHQFH ZDV JHQXLQH RU IHLJQHG ,W LV WUXH WKDW WKH WLPH VSHQW LQ XQLPDJLQDWLYH DQG DHVWKHWLFDOO\ XQVDWLVI\LQJ ZRUNf§WKH NLQG +DZWKRUQH ZDV FRQWLQXDOO\ IRUFHG LQWR IRU KLV OLYHOLKRRGf§WDNHV VRPHWKLQJ RXW RI D PDQ (VSHFLDOO\ LV WKLV WUXH ZKHQ WKH LQGLYLGXDO FRQFHUQHG LV SURGGHG E\ DQ DUWLVWLF DSSHWLWH IRU FUHDWLQJ ,KHQ SODJXHG ZLWK GLIILFXOWLHV +DZWKRUQH ZDV FDSDEOH RI HYLGHQFLQJ D WHPSHU VKRFNLQJO\ LQ FRQWUDVW WR KLV WUDGLWLRQDO UHVWUDLQW ff$OZD\V ZKHQ IORXQGHU LQWR WKH PLGVW RI D WUDFW RI EXVKHV ZKLFK FURVV DQG LQWHUWZLQH WKHPVHOYHV DERXW P\ OHJV DQG EUXVK P\ IDFH DQG VHL]H KROG RI P\ FORWKHV ZLWK D PXOWLWXGLQRXV JULSHf§DOZD\V LQ VXFK D GLIILFXOW\ IHHO DV LI LW ZHUH DOPRVW DV ZHOO WR OLH GRZQ DQG GLH LQ UDJH DQG GHVSDLU DV WR JR RQH VWHS IXUWKHUff 1RWZLWKVWDQGLQJ DQ RFFDVLRQDO IODUHXS WKH HVVHQWLDO GLVSRVLWLRQ ZDV D UHVHUYHG RQH WKRXJK IDU IURP WLPRURXV )URP FROOHJH GD\V RQZDUG WKHUH ZDV JUHDW GLIILFXOW\ LQ JHWWLQJ WKH ZULWHU WR VSHDN LQ SXEOLF f$V PLJKW EH H[SHFWHG KLV WKHPHV DQG IRUHQVLFV ZHUH EHDXWLIXOO\ ZULWWHQ DOWKRXJK WKH DUJXPHQWV LQ WKHP DUH QRW DOZD\V ORJLFDOA EXW LW LV VLJQLILFDQW WKDW KH QHYHU FRXOG EH SUHYDLOHG XSRQ WR PDNH D GHFODPDWLRQf" 4XLWH ODWH LQ OLIH GXULQJ KLV VWD\ DW /LYHUSRRO +DZWKRUQH ILQDOO\ DFFXVWRPHG KLPVHOI WR SXEOLF VSHDNLQJ $IWHU UHWXUQLQJ WR $PHULFD KH ODSVHG DJDLQ LQWR D QDWLYH UHWLFHQFH +H SUHIHUUHG WR OLVWHQ DW f7KH 6DWXUGD\ &OXEf WKRXJK KH PLJKW KDYH EHHQ D FHQWHU RI DWWHQWLRQ KDG KLV GLVSRVLWLRQ VR LQFOLQHG KLP A)UDQN 3 6WHDPV 1DWKDQLHO +DZWKRUQH %RVWRQ f S }

PAGE 262

:KHQ +DZWKRUQH GLG VSHDN LW ZDV ZLWK D ILUPQHVV QRW WR EH OLJKWO\ GLVFRXQWHG $OFRWW ZKR ZDV KLV QHDUHVW QHLJKERU DW WKH :D\VLGH RQFH UHPDUNHG WKDW WKHUH ZDV RQO\ RQH ZLOO LQ WKH +DZWKRUQH IDPLO\ DQG WKDW ZDV 1DWKDQLHOfV +LV ZLOO ZDV ODZ DQG QR RQH WKRXJKW RI GLVSXWLQJ LW 'XULQJ WKH HQJDJHPHQW SHULRG +DZWKRUQH IHOW REOLJDWHG WR QRWLI\ 6RSKLD RI WKH LQWUDFWDEOH QDWXUH RI KHU EHORYHG ff%XW IRUHZDUQ WKHH VZHHWHVW 'RYH WKDW WK\ KXVEDQG LV D PRVW XQPDOOHDEOH PDQf§WKRX DUW QRW WR VXSSRVH EHFDXVH KLV VSLULW DQVZHUV WR HYHU\ WRXFK RI WKLQH WKDW WKHUHIRUH HYHU\ EUHH]H RU HYHQ HYHU\ ZKLUOZLQG FDQ XSWXUQ KLP IURP KLV GHSWKVfAn +DZWKRUQH UXOHG KLV L A KRPH ZLWK D WHQGHU ILUPQHVV KH UHJXODWHG KLV RWR OLIH ZLWK D VXUHU KDQG EXW KH GLG QRW VHHN WR LQWHUIHUH LQ WKH OLIH RI KLV IULHQGV +H WHQGHG KLV RZQ JDUGHQ JXDUGHG KLV IHQFHV DQG QHYHU WUDPSOHG KLV QHLJKERUfV ODQG 7KURXJKRXW KLV OLIHWLPH +DZWKRUQH FKURQLFDOO\ FRPSODLQHG RI WKH KDUG ZRUN ZKLFK ZULWLQJ QHFHVVLWDWHG 7KH VPRRWKO\ IORZLQJ VHQWHQFHV WR EH IRXQG LQ SXEOLVKHG SURVHnZHUH QRW HDVLO\ FRPH E\ f KDWH DOO ODERU EXW OHVV WKDW RI WKH KDQGV WKDQ RI WKH KHDGfOf
PAGE 263

DV D VTXDVK DQG PXFK LQ WKH VDPH PRGH %XW WKH QHFHVVLW\ RI NHHSLQJ P\ EUDLQ DW ZRUN HDWV LQWR P\ FRPIRUW DV WKH VTXDVKEXJV GR LQWR WKH KHDUW RI WKH YLQHVf :KHQ DIWHU WKH QRYHOLVWnV UHWXUQ IURP (XURSH WKH DELOLW\ WR FRPSRVH ILFWLRQ OHIW KLP KH ZDV WKH ILUVW WR UHDOL]H KLV ORVV 7KHUH ZDV PXFK \HW WR EH VDLG WKH VDPH IDPLOLDU LGHDV ZHUH KDXQWLQJ KLV PLQGf§ SHUKDSV ZLWK D PRUH GLVWXUELQJ YLJRU WKDQ HYHU EHIRUH :KLOH WKH SUDFWLFHG WDOHQW IRU JUDFHIXO ZULWLQJ UHPDLQHG YHU\ PXFK LQWDFW +DZWKRUQH KDG ORVW WKH NQDFN RI LPEHGGLQJ KLV WKRXJKWV LQ RUJDQL]HG DQG VLJQLILFDQW QDUUDWLYH $OWKRXJK KH QHYHU ORVW KLV LQWHUHVW LQ SHRSOH KLV DELOLW\ WR FUHDWH D OLYLQJ VHW RI ILFWLRQDO FKDUDFWHUV ZDV JUHDWO\ VKDNHQ ,Q KLV ILFWLRQ +DZWKRUQH ZURWH DERXW SHRSOH ,Q OLIH KH OLNHG WKHP LQ VSLWH RI WKH ZD\ZDUGQHVV RI KXPDQ QDWXUHf§ZKLFK DIWHU DOO FDQ QRW EH UHPHGLHG 8QOHVV SHRSOH DUH PRUH WKDQ FRPPRQO\ GLVDJUHHDEOH LW LV P\ IRROLVK KDELW WR FRQWUDFW D NLQGQHVV IRU WKHP f :LWKLQ KLV IDPLO\ WKH DWWDFKPHQW ZKLFK WKH \RXQJ +DZWKRUQH KHOG IRU KLV PRWKHU DQG VLVWHUV ZDV XQGRXEWHGO\ WHQGHU $V D \RXWK KH KDG ZULWWHQ ZDUPO\ RI KLV PRWKHU 2K KRZ ZLVK ZDV DJDLQ ZLWK \RX ZLWK QRWKLQJ WR GR EXW JR JXQQLQJ %XW WKH KDSSLHVW GD\V RI P\ OLIH DUH JRQH :K\ ZDV QRW D JLUO WKDW PLJKW KDYH EHHQ SLQQHG DOO Q\ OLIH WR P\ 0RWKHUnV DSURQ LQ ODWHU \HDUV WKH DFFLGHQWDO GHDWK RI /RXLVD WKH QRYHOLVWnV \RXQJHU VLVWHU ZDV DFNQRZOHGJHG DV WUXH WUDJHG\ O26MIODQQLQJ +DZWKRUQH 1DWKDQLHO +DZWKRUQH 3UHSDUHV IRU &ROOHJH 1HZ (QJODQG 4XDUWHUO\ ;,

PAGE 264

+DZWKRUQH KDG SHUKDSV D KDOI GR]HQ LQWLPDWH IULHQGV WKH SROLWLFDO WKUHHVRPH RI %ULGJH &LOOH\ DQG )LHUFH IURP FROOHJH GD\V %ULJKW GXULQJ WKH SHULRG LQ (QJODQG 7LFNQRU DQG )LHOGV KLV SXEOLVKHUV ODWH LQ OLIH $PRQJ ZULWHUV +DZWKRUQH IRUPHG FORVH EXW QRW RYHUO\ LQWLPDWH IULHQGVKLSV ZLWK 7KRUHDX /RQJIHOORZ DQG 0HOYLOOH ,W LV VLJQLILFDQW WKDW WKH FRPSDQLRQVKLS RI SUDFWLFDO PHQ OLNH )UDQNOLQ 3LHUFH DQG +RUDWLR %ULGJH ZDV SUHIHUUHG WR WKDW RI WKH (PHUVRQ DQG $OHRWW YDULHW\ ff)LHUFH &LOOH\ DQG %ULGJH ZHUH DOO ERUQ SROLWLFLDQV DQG LW ZDV WKLV FODVV RI PHQ ZLWK ZKRP LW ZRXOG VHHP WKDW +DZWKRUQH QDWXUDOO\ DVVLPLODWHGA 1HLWKHU D OLIHORQJ DVVRFLDWLRQ ZLWK SROLWLFDOO\ PLQGHG FRPUDGHV QRU WKH VDODULHG SRVLWLRQV ZKLFK +DZWKRUQH REWDLQHG WKURXJK KLV SROLWLFDO IULHQGVKLSV ZHUH VXIILFLHQW WR SURPRWH D JHQXLQH LQWHUHVW LQ SROLWLFV -XOLDQ +DZWKRUQH UHFRUGV D OHWWHU IURP KLV DXQW ZKLFK WHVWLILHV WR KLV IDWKHUf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

PAGE 265

PH PRUH WKDQ WKH %LEOH RI RXU LPPRUWDOLW\nA ,Q WKH FRXUVH RI KLV OLIHWLPH +DZWKRUQH UHFHLYHG PRUH NLQGQHVV IURP KLV IULHQGV WKDQ KH FRXOG HYHU UHSD\r %ULGJH ZKLOH UHPDLQLQJ DQRQ\PRXV KDG EDFNHG WKH SXEOLFDWLRQ RI +DZWKRUQH7V ILUVW YROXPH RI VKRUW VWRULHV
PAGE 266

7KH UHQRZQ ZKLFK WKH URPDQFHU UHFHLYHG QHYHU TXLWH FRQYLQFHG KLP WKDW KLV OLIH ZDV D VXFFHVV ,W PD\ EH WKDW WKH LQDELOLW\ WR VROYH SUREOHPV UDWKHU WKDQ PHUHO\ SUHVHQW WKHPf§WKH DSSDUHQW LPSRVVLELOLW\ RI ILQGLQJ D VHW RI WHQDEOH SUHVFULSWLRQVf§FRQWULEXWHG WR WKDW IHHOLQJ +RZ VWUDQJH WKDW LW VKRXOG FRPH QRZ ZKHQ PD\ FDOO LU\VHOI IDPRXV DQG SURVSHURXVf§ZKHQ DP KDSS\ WRRf§VWLOO WKDW VDPH GUHDP RI OLIH KRSHOHVVO\ D IDLOXUHf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f $OWKRXJK +DZWKRUQH EHOLHYHG LQ GHPRFUDF\ DQG EURWKHUKRRG DV SULQFLSOHV KLV HPRWLRQDO WHPSHUDPHQW ZDV QRW DOZD\V LQ KDUPRQ\ ZLWK KLV LGHDO ,W LV SRVVLEOH WKDW +DZWKRUQHfV DULVWRFUDWLF DQG IUHTXHQWO\ ELJRWHG REVHUYDWLRQV KDYH D WKHRUHWLFDO EDVLV ,I LW LV DVVXPHG WKDW HDFK LQGLYLGXDO KDV D GHVLJQDWHG IXQFWLRQ LQ DQ RUGHUHG ZRUOG WKHQ WKH RYHUVWHSSLQJ RI WKH OLPLWDWLRQV RI WKDW IXQFWLRQf§DV ZDV WKH KDELW RI A0DQQLQJ +DZWKRUQH +DZWKRUQH DQG WKH 0DQ RI *RG &RORSKRQ 1R ,, :LQWHU f &RQROO\ ZDV D VOLJKW DFTXDLQWDQFH RI ZKRP +DZWKRUQH ZDV QRW RYHUO\ IRQG

PAGE 267

SXEOLF ZRPHQff§PLJKW ZHOO EH LQWHUSUHWHG DV DQ LQVXOW WR 3URYLGHQFH 0RUHRYHU LW ZRXOG FRQVWLWXWH DQ XQZDUUDQWHG LQWUXVLRQ LQWR WKH VSKHUH RI RQHfV IHOORZ PRUWDOV 7KHRUHWLFDO UHDVRQLQJ PD\ SDUWLDOO\ DFFRXQW IRU WKHVH DULVWRFUDWLF OHDQLQJV 6WLOO DQ DHVWKHWLF VTXHDPLVKQHVVf§ WKH VDPH ZKLFK UDLOHG DJDLQVW IDW ZRPHQf§DSSHDUV FHQWUDO WR +DZWKRUQHnV YHU\ QDWXUH ,W LV QRW JRRG WR VHH PXVLFLDQV IRU WKH\ DUH XVXDOO\ FRDUVH DQG YXOJDU SHRSOH DQG VR WKH DXGLWRU ORVHV IDLWK LQ DQ\ ILQH DQG VSLULWXDO WRQHV WKDW WKH\ PLJKW EUHDWKH IRUWKf %HQHDWK WKH VWHP DQG GHFLGHGO\ IRUPLGDEOH FRXQWHQDQFH ZKLFK +DZWKRUQH GRXEWOHVV SUHVHQWHG WKH JHQWOH TXDOLW\ ZDV HYHU SUHVHQW :KRHYHU KDV D NLQGQHVV IRU PH PD\ EH DVVXUHG WKDW KDYH WZLFH DV PXFK IRU KLPf :KHQ VWUDQJHUV DSSHDOHG WR KLV JHQHURVLW\ +DZWKRUQH IUHTXHQWO\ DLGHG WKHP +H ZDV DOZD\V ZLOOLQJ WR KHOS KLV IULHQGV $W WKH VDPH WLPH KH ZDV FROG WRZDUG RUJDQL]HG SKLODQWKURS\ )RU WKH PRVW SDUW WKH QRYHOLVW VWURYH WR SUDFWLFH WKH SULQFLSOH RI EURWKHUKRRG LQ GDLO\ OLIH ,W LV WUXH HQRXJK KRZHYHU WKDW WKH VODYHf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r"-DPHV 7 )LHOGV
PAGE 268

ZHUH EXW D KXQGUHG WLPHV ULFKHU WKDQ DP KRZ YHU\ FRPIRUWDEOH FRXOG EHf )RU KLV RYP SDUW +DZWKRUQH ZDV QRW VHOILVKO\ DWWDFKHG WR WKRVH SOHDVXUHV ZKLFK PRQH\ FDQ EX\ ,Q RQH RI 6RSKLDnV HXORJLVWLF WULEXWHV WR KHU KXVEDQG VKH SRLQWV WR KLV UDWKHU VLPSOH WDVWH KH LV DV VHYHUH DV D VWRLF DERXW DOO SHUVRQDO FRPIRUWV DQG QHYHU LQ KLV OLIH DOORZHG KLPVHOI D OX[XU\p )RUWXQDWHO\ 6RSKLD ZDV QRW WKH W\SH RI ZLIH ZKR SXVKHV KHU KXVEDQG RQZDUG WR PRQHWDU\ JRDOV 1RU ZDV +DZWKRUQH WKH W\SH RI KXVEDQG ZKR ZDV HDVLO\ SXVKHG :H DUH YHU\ KDSS\ DQG KDYH QRWKLQJ WR ZLVK IRU H[FHSW D EHWWHU ILOOHG SXUVHf§DQG QRW LPSUREDEO\ JROG ZRXOG EULQJ WURXEOH ZLWK LW DW OHDVW Q\ ZLIH VD\V VR DQG WKHUHIRUH H[KRUWV PH WR EH FRQWHQW ZLWK OLWWOH :ULWHUV FDQ EHFRPH TXLWH GLVJXVWHG ZLWK WKRVH UHDGHUV ZKR DWWDFN WKHLU OLWHUDU\ SURGXFWLRQV RXW RI ELDV DQG VWXSLGLW\ 7KH XQIDYRUDEOH FULWLFLVPV ZKLFK +DZWKRUQHnV ZULWLQJV RQ (QJODQG SURYRNHGf§ DQG WKH QRYHOLVW IHOW WKDW KH KDG UHSUHVHQWHG WKH (QJOLVK IDLUO\f§LUNHG KLP FRQVLGHUDEO\ +D\UWKRPH LQIRUPHG KLV SXEOLVKHU )LHOGV RI WKH GLVDSSRLQWPHQW KH VRPHWLPHV IHOW ZKHQ FRQIURQWHG ZLWK VXFK FULWLFLVPV :KDW D WHUULEOH WKLQJ LW LV WR WU\ WR OHW RII D OLWWOH ELW RI WUXWK LQWR WKLV PLVHUDEOH KXPEXJ RI D ZRUOGI!f 0DQnV VRFLDO RUGHU DV ZHOO DV WKH VHW RI YDOXHV XSRQ ZKLFK LW UHVWV LV VR DUWLILFLDO LQ LWV PDNHXS DQG VR LQGHFHQWO\ YDLQ LQ LWV ULJKWHRXVQHVV WKDW LW WHQGV WR p-XOLDQ +DZWKRUQH +DZWKRUQH DQG +LV :LIH OA+RUDWLR %ULGJH 3HUVRQDO 5HFROOHFWLRQV S

PAGE 269

FDVWLJDWH WUXWK +DZWKRUQH ZURWH ZKDW KH IHOW WR EH WKH WUXWK DERXW OLIH LW ZDV QRW KLV FXVWRP WR SODFDWH KLV UHDGLQJ SXEOLF :KDW ULJKW KDYH WR FRPSODLQ RI DQ\ RWKHU PDQfV IRROLVK LPSXOVHV ZKHQ FDQQRW SRVVLEO\ FRQWURO UD\ RZQ"Of $OWKRXJK +DZWKRUQH ZDV WHPSHUDWH LQ KLV GULQNLQJ DQG VPRNLQJ KDELWV KH ZDV FDSDEOH RI XQORRVLQJ D VXEVWDQWLDO RDWK XSRQ WKH SURSHU RFFDVLRQ +RUDFH &RQROO\ ZDV GLVPD\HG E\ +DZWKRUQHnV SURILFLHQF\ DW VZHDULQJ &RQROO\ DQG +DZWKRUQH KDG MXVW OHIW /RQJIHOORZfV FRPSDQ\ ZKHQ LW EHFDPH HYLGHQW WKDW WKH QRYHOLVW ZDV GLVWXUEHG E\ WKH HYHQWV RI WKH PHHWLQJ +DZWKRUQH LI JUHDW LQ QRWKLQJ HOVH ZDV WUDQVFHQGHQWO\ JUHDW LQ SURIDQLW\ DQG VZHDULQJ DQG RQ WKLV RFFDVLRQ KH JDYH IXOO VFRSH WR KLV SRZHUV LQ WKLV GLUHFWLRQ7KH SRLQW LV WKDW +DZWKRUQH ZDV QRW IUHH IURP WKH W\SLFDO FKDUDFWHULVWLFV RI D UREXVW PDOH +H KDG EHHQ LQ VOLJKW WURXEOH DW FROOHJH RYHU JDPEOLQJ KH KDG D WHPSHU ZKLFK RFFDVLRQDOO\ JRW WKH EHVW RI KLP KH ZDV TXLWH IRQG RI D FLJDU DQG D JRRG GULQN KH KDG D GLVFHUQLQJ H\H IRU FRPHO\ PDLGHQV DQG KH ZDV PRUH WKDQ DGHTXDWH DV D SURIDQHU ,Q VSLWH RI WKH LQWHOOHFWXDO DQG DUWLVWLF WXUQ RI KLV PLQG +DZWKRUQH ZDV YHU\ PXFK DOLYH DV D PDOH DQLPDO $OWKRXJK KH WRRN OLIH TXLWH VHULRXVO\ KH ZDV VFDUFHO\ D SUXGH 7KH IDFW WKDW +DZWKRUQH SUHIHUUHG WKH EDFN VHDW WR WKH URVWUXP LV PLVOHDGLQJ 2QO\ D VWHDG\ DQG YLJRURXV VWUHQJWK FRXOG FDUU\ D PDQ WKURXJK D WZHOYH\HDU DSSUHQWLFHVKLS DW KLV WUDGHf§HVSHFLDOO\ ZKHQ ‘A0DQQLQJ +DZWKRUQH +DZWKRUQH DQG WKH OLDQ RI *RG &RORSKRQ 1R ,,

PAGE 270

QHLWKHU PRQH\ QRU UHFRJQLWLRQ ZHUH IRUWKFRPLQJ IURP WKH RXWVLGH ZRUOG 7KHQ WRR +DZWKRUQH ZDV QR HQWKXVLDVW KH ODFNHG WKDW ]HDO ZKLFK VRPHWLPHV VXVWDLQV D PDQ LQ WKH IDFH RI VXFK RGGV ,W FDQ RQO\ WLH DVVXPHG WKDW KH ZDV DYLGO\ FRQFHUQHG ZLWK ZULWLQJ RI OLIH DV KH XQGHUVWRRG LWf§QRW WKDW KH KDG D PHVVDJH WR EULQJ EXW WKDW KH QHHGHG WR ILQG DQ H[SUHVVLRQ IRU WKRVH VKDGRZV ZKLFK SHRSOHG KLV PLQG 7KDW GHWHUPLQHG VWUHQJWK ZKLFK NHSW +DZWKRUQH DW KLV SHQ VWDQGV LQ FRQWUDVW WR DQRWKHU VLGH RI KLV QDWXUH $Q LQQDWH VK\QHVV ZDV DOZD\V SUHVHQW +DZWKRUQH GLG QRW GHVLUH WR LQWUXGH KLV WKRXJKWV RQ RWKHUV QRU GLG KH LQYLWH DGYLFH IURP WKH RXWVLGH ZRUOG KDYH DOZD\V KDWHG WR JLYH DGYLFH HVSHFLDOO\ ZKHQ WKHUH LV D SURVSHFW RI LWV EHLQJ WDNHQfAf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nV SKLORVRSK\ 6RPH PHQ DUH PRUH IUHH IURP WKHLU HPRWLRQV WKDQ RWKHUVf§+DZWKRUQH HYLGHQFHV UHPDUNDEOH FRQWURO LQ WKLV UHVSHFWf§\HW QR PDQ LV WRWDOO\ IUHH ,W LV

PAGE 271

LQ D IXVLRQ RI WKH PHQWDO DQG HPRWLRQDO FRQVWLWXWLRQ RI D PDQ WKDW WKH WRWDO EHLQJ HPHUJHV $V ZULWHUV IDGH LQWR WKH SDVW WKHLU SHUVRQDOLWLHV DUH ORVW LQWR WLPH $UW UHSODFHV WKH PDQ )ODWR LV QR ORQJHU DQ LQGLYLGXDO KH LV EXW D V\VWHP RI LGHDV :KHQHYHU SRVVLEOH LW LV GHVLUDEOH WR NQRZ WKH HPRWLRQDO XQLTXHQHVV RI DQ DUWLVW DV ZHOO DV KLV PHQWDO SDWWHUQ ,Q +DZWKRUQHfV FDVH WKH HOHPHQWV RI KLV WKRXJKW ZHUH JLYHQ LQ GHWDLO QRW DOZD\V FRQVFLRXVO\ E\ WKH DUWLVW KLPVHOI +LV PHQWDO DSSURDFK WR OLIHf§WKRXJK LW GHDOV IUHTXHQWO\ ZLWK ZKDW DUH QRUPDOO\ WKRXJKW RI DV LQWDQJLEOHVf§LV QRWDEO\ FOHDU :KHUHDV +DZWKRUQH GLG QRW HPEUDFH DOO WKH DVSHFWV RI OLYLQJ KH GHILQHG HQRXJK RI WKHP WR HOXFLGDWH TXLWH VSHFLILFDOO\ KLV PHQWDO HTXDWLRQf§KLV RULHQWDWLRQ WR OLIH 6WLOO LQ GUDZLQJ FRQFOXVLRQV FRQFHUQLQJ WKDW RULHQWDWLRQ LW LV ZHOO WR NHHS LQ PLQG WKH HPRWLRQDO EHLQJf§WKRXJK KH LV OHVV ZHOO NQRZQ WKDQ WKH PHQWDO RQHf§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

PAGE 272

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nV WKRXJKW SDWWHUQ LV D ZRUOG LQ DQG RI LWVHOI DQ DSSOLFDWLRQ RI WKDW VWXG\ WR KLV ZULWLQJV SURYLGHV D EDFNJURXQGf§RQH LQ PDQ\ ZD\V VXSHULRU WR D ELRJUDSKLFDO OLVWLQJ RI WKH VXUIDFH HYHQWV RI D PDQnV OLIHf§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nV WKRXJKW FDQQRW EH LJQRUHG 7KH FKDQJHV ZKLFK PDUULDJH DQG OLWHUDU\ UHFRJQLWLRQ EURXJKW DERXW QHHG QRW EH PLQLPL]HG EXW WKH\ ZHUH QRW RI VXIILFLHQW LPSRUW WR VXEVWDQWLDOO\ DOWHU WKH IXQGDPHQWDO WKRXJKW SDWWHUQ 7KRVH DVSHFWV RI OLIH ZKLFK +DZWKRUQH DFFHQWXDWHG ZHUH VHW GRZQ ZLWK D WKRURXJKJRLQJ

PAGE 273

K FRQVLVWHQF\ 6LQ GRHV QRW H[LVW DV D ODWHQW RU VOXPEHULQJ EHDVW EXW DV DQ DFWLYH DQG REVHUYDEOH PDQLIHVWDWLRQ RI WKH KDUG IDFW WKDW LW LV QRW RQO\ QDWLYH EXW FHQWUDO WR DOO OLIH &RXSOHG ‘ZLWK WKH HQGOHVV DFWXDOLW\ RI VLQ ZKLFK PD\ QRZLVH EH HYDGHG WKH SK\VLFDO WH[WXUH RI OLIH LWVHOIf§WKH RPQLSUHVHQW PDUEOH DQG PXGf§SUHIDFHV DQG GHWHUPLQHV WKH SRVVLELOLWLHV RI PRUWDO OLIH ,I D ZULWHU GLVDJUHHG ZLWK +DZWKRUQHnV SULPDU\ DVVXPSWLRQ WKDW HYLO H[LVWVf§DQ DVVXPSWLRQ ZKLFK 0HOYLOOH IRU H[DPSOH XQGHUVWRRGf§WKHUH ZDV VFDQW OLNHOLKRRG RI D PHHWLQJ RI WKH PLQGV $FFRUGLQJO\ +DZWKRUQH ZDV QRW FRPIRUWHG E\ WKH VWLUULQJ PHVVDJHV RI RSWLPLVP FXUUHQW LQ KLV GD\ 1DWXUH IURP ZKLFK WKH 7UDQVFHQGHQWDOLVWV GUHZ VWUHQJWK KHOG +DZWKRUQHnV DWWHQWLRQ QRW DV D ZKLVSHULQJ RI *RG EXW DV D KLHURJO\SK RI FROG DQG XQEHQGLQJ GLUHFWLRQDO IRUFHV 0DQ LV QHYHU WKH VKDSHU RI KLV RZQ XQLYHUVH EXW UDWKHU WKH IROORZHU RI D SURYLGHQWLDOO\ DVVLJQHG FRXUVH :KLOH IURP *RGnV YDQWDJH SRLQW WKH LQGLYLGXDO PRUWDO IXQFWLRQV DV DQ LQILQLWHVLPDO IUDFWLRQ RI DQ RYHUDOO SURJUDP IURP PDQnV OLPLWHG YLHZ OLIH DSSURDFKHV FKDRV (VSHFLDOO\ LV WKLV WUXH ZKHQ PDQ VHHNV WR VKDSH WKH OLIH PDWHULDOV WR KLV RZQ OLNLQJ RU ZKHQ KH DQ\ZLVH DWWHPSWV WR PRYH FRQWUDU\ WR KLV DOORWWHG GHVWLQ\ 7KH IDFW WKDW PDQ FDQ QHLWKHU VHH QRU FRPSUHKHQG SURYLGHQWLDO JXLGDQFH GRHV QRW OHVVHQ LWV DEVROXWH SRZHU 7KXV WKH OLIH SDWWHUQ ZLWK ZKLFK PDQ PXVW HYHU FRQWHQG LV KDUVKO\ FRQVWLWXWHG RI VLQ WKH SK\VLFDO FRPSRXQG GHDWK DQG DQ

PAGE 274

LQVHQVLWLYH DQG RIWHQ IURP PDQnV SRLQW RI YLHZ EUXWDO SURYLGHQFH 3URYLGHQFH ZKLOH LW LV XOWLPDWHO\ DQG QHFHVVDULO\ JRRG VLQFH LW LV WKH DFWLYDWLRQ RI *RGfV GLYLQH SODQ DSSHDUV TXLWH PDOLJQDQW LQ LQGLYLGXDO LQVWDQFHV 0DQfV EHVW SURJUDPf§LQ IDFW WKH RQO\ LQWHOOLJHQW SURJUDP ZKLFK PD\ EH IROORZHG LQ WKH OLJKW RI WKH XQGHQLDEOH DQG XQFKDQJHDEOH FRQGLWLRQV LQWR ZKLFK KH LV ERUQf§VKRXOG EHJLQ ZLWK D UHVLJQDWLRQ WR WKH DFWXDO VXEVWDQFH RI OLIH :LWKLQ WKDW OLPLWDWLRQ LW EHKRRYHV PDQ WR DFW RXW KLV UROH WR WKH IXOO H[WHQW RI KLV FDSDELOLWLHV (DUWKO\ OLIH WKHQ LV D PDWXULQJ SLOJULPDJHf§ QRUPDOO\ D VROHPQ RQH :KLOH WKH OLIH SDWWHUQ H[LVWV LQ DOO LWV JUD\QHVV WKHUH DUH RWKHU DVSHFWV RI WKH WRWDO VFKHPH \HW WR EH FRQVLGHUHG $OWKRXJK WKH\ GR QRW VXSHUVHGH RU GHQ\ WKDW JUD\QHVV WKH\ GR SURYLGH D WHPSRUDU\ UHOLHI 6RFLHW\ UHTXLUHV PDQ WR SDUWLFLSDWH DV D PHPEHU RI WKH JURXS WKXV WKH VRFLDO IRUFH LV RI LQHVFDSDEOH FRQFHUQ WKURXJKRXW HDUWKO\ OLIH 7KRXJK VHQVLWLYH DQG VROLWDL\ SHUVRQV UHEHO DJDLQVW WKDW SDUWLFLSDWLRQ WKH\ DUULYH QRZKHUH DV LQ WKH H[SHULHQFH RI 7KRUHDX DW :DOGHQ E\ VHSDUDWLQJ WKHPVHOYHV IURP PDQNLQG 7KH ZLVHU FRXUVH LV WR DFFHSW WKH VRFLDO RUGHU UHJDUGOHVV RI LWV DUWLILFLDOLW\ 7KH VOLJKW SOHDVXUHV ZKLFK LW PD\ DIIRUG DUH SUHIHUDEOH WR WKH LFLQHVV RI LVRODWLRQ ,Q WUXWK LW LV RQO\ DV PDQ IXQFWLRQV ZLWKLQ WKH JURXS WKDW KH PD\ EH VDLG WR H[LVW 7KH PDQQHU LQ ZKLFK +DZWKRUQH DUULYHG DW KLV UHOLJLRQ LV GHEDWDEOH +LV IDLWK LQ *RG PD\ KDYH LWV RULJLQ LQ WKH UHFRJQLWLRQ WKDW WKH DFWXDO WH[WXUH RI OLIH GHPDQGV DQ HYHQWXDO EDODQFLQJ ,Q

PAGE 275

RWKHU ZRUGV RXW RI D IHOW QHHG IRU RUGHU +DZWKRUQH PD\ KDYH HYROYHG D VXSUHPH GHLW\ 0RUH SUREDEO\ KH KHOG D FRQYHQWLRQDO DQG XQTXHVWLRQLQJ IDLWK LQ *RGf§RQH GLUHFWO\ LQWXLWHGf§RQH ZKLFK ZDV IDU PRUH WKDQ D UDWLRQDOL]HG FUHDWLRQ RI KLV RZQ LQWHOOHFW 7KLUG LW LV SRVVLEOH WKDW WKH VSRWW\ DQG VKDGRZ\ EHDXWLHV RI WKLV OLIH OHG +DZWKRUQH WR UHFRJQL]H WKH H[LVWHQFH RI WKDW VSLULWXDOLW\ RI ZKLFK WKH\ ZHUH EXW LPSHUIHFW JOLPPHULQJV (HJDUGOHVV RI WKH UHDVRQV EHKLQG +DZWKRUQHfV UHOLJLRQf§DQG LW LV QRW FHUWDLQ WKDW WKH QRYHOLVW KLPVHOI FRXOG KDYH VWDWHG WKHPf§KLV IDLWK ZDV DV SXUH DQG DV SHUPDQHQW DV ZDV KLV EHOLHI LQ HYLO ,W LV RQO\ LQ WKH LPPRUWDO VWDWH WKDW PDQ ILQGV D IXOO\ PDWXUHG UHDOLW\f§WKDW KH LV QR ORQJHU OLPLWHG E\ WKH SK\VLFDO FRPSRXQG %XW WKDW OLIH ZKLOH LW LV FHUWDLQ LV IDU LQ WKH IXWXUH LW LV EH\RQG PDQfV SULPDU\ FRQFHUQf§KLV RZQ LPSHUIHFW ZRUOG 7KH UHOLJLRQ WR ZKLFK +DZWKRUQH DGKHUHG GLG QRW SHUPLW PDQ WR IXQFWLRQ DV D QREOH PLFURFRVP RI *RG LQVWHDG LW OHG WR OLPLWHG DQG LPSHUIHFW DFWLRQV EHQHDWK WKH LQVFUXWDEOH JXLGDQFH RI D GLYLQH ZLOO +DZWKRUQHn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

PAGE 276

LQ D SXUH DQG XQWUDPPHOHG VWDWH ,Q WKHLU KLJKHVW UHVSHFWLYH GHYHORSPHQWV ERWK JLYH HYLGHQFH RI HWKHUHDO RU VSLULWXDO EHDXW\ ,Q WKLV ‘ZRUOG KRZHYHU PDQ LV OLPLWHG WR LPSHUIHFW DQG FRUUXSWHG UHSUHVHQWDWLRQV RI WKH LGHDO +HQFH PRUWDO OLIH LV D GLVDSSRLQWPHQWf§ D GHSUHVVDQWf§LQ WKDW ZKDW LV VWDQGV DV D JODULQJ FRQWUDVW WR ZKDW RXJKW WR EH $JDLQ DQG DJDLQ +DZWKRUQH UHWXUQV WR KLV FKDUDFWHULVWLF FRQFHSWLRQ RI KXPDQ QDWXUH 0DQ LV ERUQ ZLWK D VWLJPD ZKLFK KH LV SRZHUOHVV WR UHFWLI\ +LV SULPDO QDWXUH LV QRW RQO\ GHILFLHQW LQ JRRGQHVV DQG QRELOLW\ LW LV DFWLYH LQ LWV DSSHWLWH IRU HYLO $OWKRXJK WKH EUXWH LQ PDQ PD\ EH FRQVWUDLQHG E\ JHQWOH IRUFHV LW UHPDLQV ODWHQWO\ SUHVHQW :KDW SDVVHV IRU VLQ PD\ EH OLWWOH PRUH WKDQ DQ DEDQGRQPHQW RI PDQ WR KLV SULPLWLYH QDWXUH :KLOH PDQnV PLQG SURYLGHV D GLVWLQJXLVKLQJ PDUN IURP WKH ORZHU DQLPDOV LW LV WKH KHDUW UDWKHU WKDQ WKH PLQG ZKLFK PDNHV RI PDQ DQ LPPRUWDO EHLQJ 8QIRUWXQDWHO\ KXPDQ QDWXUH RSHUDWHV WRR RIWHQ RQ WKH SUHPLVH WKDW PDQn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

PAGE 277

DOZD\V ZLOO EH D GUHDP RI WKH IXWXUH IRU PDQfV YHU\ QDWXUH IRUELGV LWV FRPLQJ $ PDQ PD\ ILQG FRPIRUW RQO\ E\ FRQWHQWLQJ KLPVHOI ZLWK OLIHfV OLPLWDWLRQV +DZWKRUQHfV LQFRQVLVWHQFLHV WKRXJK H[WUHPHO\ UDUH DUH XQGHUVWDQGDEOH IRU WUXWK LWVHOI LV PDQ\VLGHG +H VHHPV WR KDYH VHHQ OLIH LQ DPD]LQJO\ FOHDU RXWOLQHV +H LV SHVVLPLVWLF DOPRVW F\QLFDO LQ UHJDUG WR PDQfV HIIRUWV WR DOWHU WKH FRXUVH ZKLFK OLIH KDV IROORZHG VLQFH WLPH EHJDQ OHW +DZWKRUQH ZDV FRQILGHQW WKDW PDQ ZRXOG PRYH LQWR D EHWWHU UHDOP XSRQ GHDWK 7KH SDWWHUQ IRU PRUWDO OLIH KRZHYHU LV LQYDULDEO\ LQWHUODFHG ZLWK HYLO +DZWKRUQHfV SKLORVRSK\ RI OLIH KDV QR D[H WR JULQG ,W FUXVDGHV QHLWKHU IRU QRU DJDLQVW VSHFLILF WKHRULHV :KHQ WKH QRYHOLVW FULWLFL]HV YDQLW\ K\SRFULV\ DQG DUWLILFLDOLW\ KH GRHV VR LQ WHUPV RI D ffUHDOLW\f ZKLFK KH KDG FRPH WR NQRZ WKURXJK D ORQJ DQG LPDJLQDWLYH VWXG\ RI WKH OLIH VFHQH +H PHUHO\ VWDWHV KLV SULYDWH LQWHUSUHWDWLRQ RI OLIH ,I DQ\RQH KDG UHIHUUHG WR +DZWKRUQH DV D SKLORVRSKHU QR GRXEW KH ZRXOG KDYH VKXGGHUHG :KLOH +DZWKRUQHfV SHUVRQDO SKLORVRSK\ PD\ QRW EH JUHDW WKRXJKW LQ DQG RI LWVHOI ZKLOH +DZWKRUQH LV OLWWOH UHQRZQHG IRU KLV LGHDV VWLOO WKDW SKLORVRSK\ KDV D ODVWLQJ VLJQLILFDQFH LQ WKDW LW SUHVHQWV FOHDUO\ DQG FRPSOHWHO\ WKDW RULHQWDWLRQ WR OLIH ZKLFK IRXQG LWVHOI VR ULFKO\ PDQLIHVW LQ KLV ILFWLRQ

PAGE 278

%,%/,2*5$3+< $UYLQ 1HZWRQ HG 7KH +HDUW RI +DZWKRUQHnV -RXUQDOV %RVWRQV +RXJKWRQ 0LIIOLQ &RPSDQ\ %ORGJHWW +DUROG +DZWKRUQH DV 3RHWU\ &ULWLF 6L[ 8QSXEOLVKHG /HWWHUV WR /HZLV 0DQVILHOG $PHULFDQ /LWHUDWXUH ;,, 0D\ Of 8r %ULGJH +RUDWLR 3HUVRQDO 5HFROOHFWLRQV RI 1DWKDQLHO +DZWKRUQH 1HZ
PAGE 279

+DZWKRUQH -XOLDQ 1DWKDQLHO +DZWKRUQH DQG +LV :LIH YROV %RVWRQ +RXJKWRQ 0LIIOLQ DQG &RPSDQ\ OLr +DZWKRUQH 0DQQLQJ +DZWKRUQH DQG n7KH 0DQ RI *RGf &RORSKRQ ,, 1R :LQWHU f +DZWKRUQH 3UHSDUHV IRU &ROOHJH 7KH 1HZ (QJODQG 4XDUWHUO\ ;, 0DUFK f +DZWKRUHnV (DUO\
PAGE 280

0LOOHU 3HUU\ 7KH +HZ (QJODQG 0LQG 1HZ
PAGE 281

9DQ 'RUHQ 0DUN HGm 7KH %HVW RI +DZWKRUQH 1HZ
PAGE 282

$33(1',; &,7$7,21 2) 35,0$5< 6285&(6 7KH TXRWDWLRQV XVHG DV WKH SULPDU\ VRXUFH IRU WKLV ERRN DUH LGHQWLILHG KHUH )LUVW LV JLYHQ WKH VWDQGDUG IRRWQRWH HQWU\ VHFRQG WKH WLWOH RI WKH QRYHO RU VKRUW VWRL\ LI WKH TXRWDWLRQ LV WDNHQ IURP +DZWKRUQHfV ILFWLRQ WKLUG WKH GDWH RI ILUVW SXEOLFDWLRQ
PAGE 283

N &+$37(5 6,1 7KH 1DWXUH RI 6LQ f 1DWKDQLHO +DZWKRUQH 7KH &RPSOHWH :RUNV RI 1DWKDQLHO +DZWKRUQH %RVWRQ f 8 7KH +DXQWHG 0LQGnn f $OO UHIHUHQFHV DUH WR WKH HGLWLRQ WKH 5LYHUVLGH HGLWLRQ ZKLFK ZLOO KHUHDIWHU EH FLWHG DV :RUNV f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f f :RUNV ff)DQF\nV 6KRZ %R[f f} Kf :RUNV ,,, f-RKQ ,QJOHILHOGnV 7KDQNVJLYLQJf ,2f f 5DQGDOO 6WHZDUW HG 7KH $PHULFDQ 1RWH%RRNV E\ 1DWKDQLHO +DZWKRUQH 1HZ +DYHQ f S • OWf 7KLV YROXPH ZLOO KHUHDIWHU EH FLWHG DV 6WHZDUW $PHULFDQ 1RWHERRNV 7KH HGLWLRQ RI 7KH $PHULFDQ 1RWH%RRNV LV FLWHG RQO\ ZKHQ LW FRQWDLQV SDVVDJHV ZKLFK 6WHZDUW ZDV IRUFHG WR RPLW IRU ODFN RI DQ RULJLQDO PDQXVFULSW f :RUNV ,, ff7KH 1HZ $GDP DQG (YHf Mff f :RUNV 9 n 7KH 6FDUOHW /HWWHU OI"f f ,ELG 9 A, f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OI"Of O2f:RUNV ; 8O 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV -"f %URWKHUKRRG LQ 6LQ f :RUNV A )DQF\nV 6KRZ %R[f f f 5DQGDOO 6WHZDUW +DZWKRUQH DQG 3ROLWLFV 8QSXEOLVKHG /HWWHUV WR :LOOLDP % 3LNH 1HZ (QJODQG 4XDUWHUO\ 9 $SULO f N IURP D OHWWHU f f :RUNV 9, 7KH 0DUEOH )DXQ Lf 8f ,ELG 9, 8

PAGE 284

&RQFHDOHG 6LQ f :RUNV L ,, KK 7KH 3URFHVVLRQ RI OLIHf Mf f :RUNV ,, )HDWKHUWRS $ 0RUDOL]HG OHJHQGf ,,-f f :RUNV 9 n7KH 6FDUOHW /HWWHU f f ,ELG 9 f :RUNV 9, 7KH 0DUEOH )DXQ Lf 7KH 'HYLO DQG (YLO f :RUNV ,, f
PAGE 285

f f f f f f L2f Of Ef Ef EEf P E"f P Ef :RUNV 9 497KH 6FDUOHW OHWWHU f ,ELG 9 :RUNV ,,, OL 7KH +RXVH RI WKH 6HYHQ *DEOHVf :RUNV 9, 7KH 0DUEOH )DXQf ,ELG 9, ,ELG 9, ,ELG 9, OOLr 8QSDUGRQDEOH 6LQ :RUNV ,; EE 7KH $PHULFDQ 1RWH%RRNVf &+$37(5 ,, 7+( '$1&( 2) /,)( 7+( 7(;785( 2) /,)( 0$5%/( $1' 08' 7KH $SSURDFK 1DWKDQLHO +DZWKRUQH 7KH /RYH /HWWHUV RI 1DWKDQLHO +DZWKRUQH SUHIDFH E\ 5RVZHOO )LHOG &KLFDJR f OLL rf :RUNV ,, LM,/ 7KH 3URFHVVLRQ RI /LIH OL_f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf :RUNV 9, 7KH 0DUEOH )DXQ Lf 7KH &RPSRXQG :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf ,ELG ,,, L :RUNV 9 OLO 7KH %OLWKHGDOH 5RPDQFH f

PAGE 286

!f 5DQGDOO 6WHZDUW HG 7KH (QJOLVK 1RWHERRNV E\ 1DWKDQLHO +DZWKRUQH 1HZ
PAGE 287

f :RUNV 9 7KH 6FDUOHW /HWWHU f f 6WHZDUW $PHULFDQ 1RWHERRNV S OOf f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f ,ELG +, f 6WHZDUW $PHULFDQ 1RWHERRNV S f f :RUNV 9+ 2XU 2OG +RPH f *ULHI DQG 6RUURZ Nf :RUNV -M &KLSSLQJV ZLWK D &KLVHOf f f ,ELG 8 f :RUNV + NO f7KH 3URFHVVLRQ RI OLIHf OLff f :RUNV ,, f7KH &KULVWPDV %DQTXHWf ,,,ff f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf )25781( $1' )$7( 7KH 1DWXUH RI )RUWXQH f :RUNV f:DNHILHOGf f f :RUNV m'DYLG 6ZDQf f f :RUNV ,, f7KH 3URFHVVLRQ RI /LIHf -8ff f :RUNV ,, f5DSSDFFLQLUV 'DXJKWHUf ,,f f 6WHZDUW $PHULFDQ 1RWHERRNV S OOr OOf ,f :RUNV 9, 7KH 0DUEOH )DXQ Lf f ,ELG 9, r 7KH *RYHUQLQJ 3RZHU RI )RUWXQH f :RUNV f'DYLG 6ZDQf f

PAGE 288

f :RUNV ,, f7KH $UWLVW RI WKH %HDXWLIXOf Af f ,ELG ,, f :RUNV 9 7KH 6FDUOHW /HWWHU f f :RUNV 9 r 7KH %OLWKHGDOH 5RPDQFH f f :RUNV 9, 8 7KH 0DUEOH )DXQ Lf N 1$785( $V *RGnV 3RHWU\ :RUNV ,, N 7KH 2OG 0DQVH f f:RUNV ; 88 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f $V D *RGGHVV f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f} f :RUNV ,, 7KH %LUWKPDUN -2f f 6WHZDUW $PHULFDQ 1RWHERRNV S OWfr f ,ELG S _f f :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f f :RUNV ;, 6HSWLPLXV )HOWRQ ,f 1DWXUH DV 5HIXJH f -DPHV 7 )LHOGV
PAGE 289

f f f f f QLf Qf f Q8f LLf f f QVf Qf f f f f 8f f :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f :RUNV ;,, &KLHIO\ DERXW :DU 0DWWHUVf f &+$37(5 ,,, 6(16,7,9,7< $1' 62/,78'( 7KH 6HQVLWLYH 6RXO :RUNV O /LWWOH $QQLHfV 5DPEOH f} :RUNV K fn7KH 7RQ*DWKHUHUnV 'D\ f :RUNV r 1LJKW 6NHWFKHV ,f /RYH /HWWHUV Orf 6WHZDUW $PHULFDQ 1RWHERRNV S rf :RUNV +, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf ,ELG ,OO :RUNV ; 7KH )UHQFK DQG ,WDQDQ 1RWH%RRNV f 7KH 6ROLWDU\ 6RXO :RUNV 6LJKWV IURP D 6WHHSOH f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV ,f :RUNV )DQF\nV 6KRZ %R[ f :RUNV 7KH 3URSKHWLF 3LFWXUHV f :RUNV ,, 7KH 1HZ $GDP DQG (YH rf :RUNV ,, 7KH 3URFHVVLRQ RI /LIH rf :RUNV ,, 7KH $UWLVW RI WKH %HDXWLIXO rrf :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf :RUNV 9 rr 7KH %QWKHGDOH 5RPDQFH f :RUNV ;, r 7KH $QFHVWUDO )RRWVWHS f

PAGE 290

f :RUNV} 9, 7KH 0DUEOH )DXQ Lf &+$37(5 ,9 5($87< $1' 5(/,*,21 5($/,7< f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f f /RYH /HWWHUV OM2f f ,ELG f :RUNV ;,, ff*UDYHV DQG *REOLQVf ,_f f :RUNV ;,, 7KH %RRN RI $XWRJUDSKV ,,2f f :RUNV ,, %XGV DQG %LUG 9RLFHV ,,f f f :RUNV ,, (JRWLVP RU WKH %RVRP 6HUSHQW OLMf ,OLf :RUNV ,, 7KH 1HZ $GDP DQG (YH 8f f :RUNV ,, 5DSSDFFLQLnV 'DXJKWHU ,,-8f f :RUNV 9 LL 7KH %OLWKHGDOH 5RPDQFH f f :RUNV ,, )HDWKHUWRS $ 0RUDOL]HG /HJHQG f f :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f f 6WHZDUW (QJOLVK 1RWHERRNV S f OOL2f :RUNV ,, N )HDWKHUWRS $ 0RUDOL]HG /HJHQG f OOMOf :RUNV ;,+ OLL 'U *ULPVKDZHfV 6HFUHW ,f OLf :RUNV 9,, 2XU 2OG +RPH f 5(/,*,21 6RXO

PAGE 291

OLMf $UOLQ 7XUQHU +DZWKRUQH DV (GLWRU 6HOHFWLRQV IURP +LV :ULWLQJV LQ 7KH $PHULFDQ 0DJD]LQH RI 8VHIXO DQG (QWHUWDLQLQJ .QRZOHGJH c8QLYHUVLW\ /RXLVLDQD LMOf S f O8Lf /RYH /HWWHUV OLf 8Wf ,ELG OLWf :RUNV 9 OW 7KH %OLWKHGDOH 5RPDQFH f +Wf ,ELG 9 LO OOMf ,ELG 9 ,PPRUWDOLW\ OLW"f (OL]DEHWK &KDQGOHU ff+DZWKRUQHfV 6SHFWDWRUf 7KH 1HZ (QJODQG 4XDUWHUO\ ,9 $SULO f f f 7XUQHU +DZWKRUQH DV (GLWRU S ,f f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f f :RUNV O )RRWSULQWV RQ WKH 6HD6KRUH f f :RUNV OW,W 1LJKW 6NHWFKHV f OL_f 6WHZDUW $PHULFDQ 1RWHERRNV S OLWf f :RUNV ,, 7KH %LUWKPDUN ,Wf f :RUNV ,, 7KH $UWLVW RI WKH %HDXWLIXO O_LWf f 6WHZDUW $PHULFDQ 1RWHERRNV S O8f f ,ELG S f f 6WHZDUW (QJOLVK 1RWHERRNV S f f :RUNV ,, 7KH 2OG 0DQVH f f :RUNV ; E 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f f :RUNV ;, LL 6HSWLPLXV )HOWRQ ,f

PAGE 292

*RG Of :RUNV ;8 ff%LRJUDSKLFDO 6WRULHVf ,f 8f :RUNV ;,, f$ %RRN RI $XWRJUDSKVf rf f 6WHZDUW $PHULFDQ 1RWHERRNV S r rf f ,ELG S f :RUNV ,, A ff7KH 3URFHVVLRQ RI /LIHf rf f :RUNV ,+ 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f 6WHZDUW (QJOLVK 1RWHERRNV S f f :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f $VSHFWV RI %HOLJLRQ f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f f :RUNV ,, f7KH 1HZ $GDP DQG (YH rf f 1RUPDQ +ROPHV 3HDVRQ f$ 6NHWFK E\ +DZWKRUQH 1(4 9, 0DUFK f $ *RRG 0DQnV 0LUDFOH rf rf 6WHZDUW $PHULFDQ 1RWHERRNV S rf f :RUNV ; r 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f f ,ELG ; f :RUNV 9, r 7KH 0DUEOH )DXQ Lf )RUPDO 5HOLJLRQ f :RUNV r 6XQGD\ DW +RPH f f 6WHZDUW $PHULFDQ 1RWHERRNV S rf f :RUNV ,, Lr 7KH 3URFHVVLRQ RI /LIH rf f :RUNV ,, 7KH 2OG 0DQVH f f :RUNV ; r 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f

PAGE 293

8 f :RUNV 9, 7KH 0DUEOH )DXQ Lf ,Wf ,ELG 9, K &+$37(5 9 62&,(7< 7UDGLWLRQ f :RUNV 9 7KH 6FDUOHW /HWWHU f f ,ELG 9 S f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f ,ELG ,OO S f ,ELG LQ S OLW f ,ELG ,,, S f 6WHZDUW (QJOLVK 1RWHERRNV S f f ,ELG S f ,ELG S 8 f 8f ,ELG S f f :RUNV 9, K6 7KH 0DUEOH )DXQ Lf f :RUNV ;,, &KLHIO\ DERXW :DU 0DWWHUV f 6RFLHW\ DW /DUJH f &KDQGOHU +DZWKRUQHnV 6SHFWDWRU 1(4 ,9 f f ,GHP f :RUNV ;, )DQVKDZH f f :RUNV :DNHILHOG f f :RUNV ,,, 2OG 1HZV f f :RUNV 3HWHU *ROGZDLWHnV 7UHDVXUH f

PAGE 294

f :RUNV ,, 7KH 1HZ $GDP DQG (YHf _f LLf 6WHZDUW $PHULFDQ 1RWHERRNV S f f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f ,ELG ,OO S f :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f f :RUNV 9, 7KH 0DUEOH )DXQ Lf f :RUNV 9,, 8 2XU 2OG +RPH f f :RUNV ;, 6HSWLPXV )HOWRQ ,f f :RUNV 9,, -8 2XU 2OG +RPH f 3ROLWLFDO 6RFLHW\ f /RYH /HWWHUV 8 O_f f :RUNV 9 7KH 6FDUOHW /HWWHU f LWf ,ELG 9 f ,ELG 9 f :RUNV ,,, 8 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f :RUNV 9,, 2XU 2OG +RPH ,f &+$37(5 9, :20(1 7KH )XQFWLRQ RI :RPHQ f :RUNV ;,, 0UV +XWFKLQVRQ ,f f :RUNV ;,, 7KH $QWLTXH 5LQJ ,8f f :RUNV 9 7KH 6FDUOHW /HWWHU f f ,ELG 9

PAGE 295

f ,ELG 9 f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf rf :RUNV 9, 7KH 0DUEOH )DXQ Lf f ,ELG 9, rr
PAGE 296

8f :RUNV 9, 7KH 0DUEOH )DXQ Lf :RPHQ LQ *HQHUDO OrOf 7XUQHU +DZWKRUQH DV (GLWRU S rr f OLf :RUNV fn6XQGD\ DW +RPHf f} rf :RUNV 9 7KH 6FDUOHW /HWWHU f 88f
PAGE 297

Of :RUNVM ,9 $ :RQGHU %RRN IRU *LUOV DQG %R\V f /RYH f :RUNV + 5DSSDFFLQLnV 'DXJKWHU O_L_f f :RUNV 9 OW 7KH 6FDUOHW /HWWHU f 8f ,ELG 9 f ,ELG 9 8 f ,ELG 9 f :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f f 6WHZDUW $PHULFDQ 1RWHERRNV S f f 6WHZDUW (QJOLVK 1RWHERRNV S f f :RUNV ;, 8 6HSWLPLXV )HOWRQ ,f &+$37(5 9,, $57 $0' 7+( $57,67 $UFKLWHFWXUH f 6WHZDUW (QJOLVK 1RWHERRNV S  f f :RUNV ; N 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f f ,ELG ; :RUNV 9,, 2XU 2OG +RPH f n 6FXOSWXUH f 6WHZDUW (QJOLVK 0RWHERRNV S f f ,ELG S f f ,ELG S f f :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f

PAGE 298

f ,ELG ; f ,ELG ; f :RUNV 9, 7KH 0DUEOH )DXQ Lf f ,ELG 9, 3DLQWLQJ f 6WHZDUW (QJOLVK 1RWHERRNV S f 8f ,ELG S cc rf f ,ELG S f ,ELG S OOL f :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f f ,ELG ; f ,ELG ; rf ,ELG ; f ,ELG ; f ,ELG ; f :RUNV 9, 7KH 0DUEOH )DXQ Lf ,ELG 9, 3RHWU\ f :RUNV ,,, r 7KH *UHDW 6WRQH )DFH f f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f :RUNV ,9 $ :RQGHU %RRG IRU *LUOV DQG %R\V f f 6WHZDUW (QJOLVK 1RWHERRNV S O8ff f :RUNV 9,, 2XU 2OG +RPH f f ,ELG 9,,

PAGE 299

f ,ELG 9,, f ,ELG 9,, )LFWLRQ f :RUNV ;8 *UDYHV DQG *REOLQV rf 8f 6WHZDUW $PHULFDQ 1RWHERRNV S Mf f ,ELG S f +DUROG %ORGJHWW +DZWKRUQH DV 3RHWU\ &ULWLF 6L[ 8QSXEOLVKHG /HWWHUV WR /RXLV 0DQVILHOG $PHULFDQ /LWHUDWXUH ;,, 0D\ rf IURP D OHWWHU OOc7A f :RUNV 9 7KH 6FDUOHW /HWWHU f f ,ELG 9 r f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f :RUNV ,,, 3UHIDFH WR 7KH 6QRZ,PDJH DQG RWKHU 7ZLFH7ROG 7DOHV f f :RUNV 9, 7KH 0DUEOH )DXQ Lf +DZWKRUQH DQG )LFWLRQ f 6DPXHO /RQJIHOORZ /LIH RI +HQU\ :DGVZRUWK /RQJIHOORZ 1HZ
PAGE 300

f ,ELG S f f ,ELG S 7DVWH f 6WHZDUW (QJOLVK 1RWHERRNV S f f ,ELG S LMf :RUNV ;, 7KH $QFHVWUDO )RRWVWHS f f :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f 7DOHQW DQG *HQLXV f 6WHZDUW $PHULFDQ 1RWHERRNV S ,Lf f :RUNV ,, A 7KH 3URFHVVLRQ RI OLIH OLf f 6WHZDUW (QJOLVK 1RWHERRNV S OMO f f ,ELG S f :RUNV ,, 7KH 2OG 0DQVH f 7KH $XGLHQFH f :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f f ,ELG ; f ,ELG ; OL2OL :RUNV 9, 8 7KH 0DUEOH )DXQ Lf f ,ELG 9, )DPH f :RUNV ,9 8 7KH :KROH +LVWRU\ RI *UDQGIDWKHUA &KDLU OMOf f :RUNV ;,, 8 %LRJUDSKLFDO 6WRULHV ,_f f :RUNV 9 8 7KH %OLWKHGDOH 5RPDQFH f

PAGE 301

f 6WHZDUW (QJOLVK 1RWHERRNV S NO f 8f LOHOGV
PAGE 302

&+$37(5 9,+ +80$1 1$785( /LPLWDWLRQV RQ 0DQNLQG f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OeOf f :RUNV ,9 $ :RQGHU %RRN IRU *LUOV DQG %R\V Of f 6WHZDUW (QJOLVK 1RWHERRNV S rr f f :RUNV 9,, r 2XU 2OG +RPH ,f f :RUNV ;, 6HSWLPLXV )HOWRQ f 0DQfV 1DWXUH f :RUNV ;, )DQVKDZH f ,f :RUNV ,; K 7KH $PHULFDQ 1RWH%RRNV f f :RUNV O ff)DQF\nV 6KRZ %R[ f f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f f :RUNV )DQF\fV 6KRZ %R[ f f :RUNV ;,, ,OM %LRJUDSKLFDO 6WRULHV rf f :RUNV 79 7KH :KROH +LVWRU\ RI *UDQGIDWKHUnV &KDLU rf f :RUNV ,, %XGV DQG %LUG 9RLFHV rf f 6WHZDUW $PHULFDQ 1RWHERRNV S rf f :RUNV 9 r 7KH 6FDUOHW /HWWHU f f ,ELG 9 rfr :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f ,ELG ,OO f ,ELG ,OO f ,ELG +, f :RUNV ;,, /LIH RI )UDQNOLQ 3LHUFH f

PAGE 303

N f :RUNV 9 OL 7KH %OLWKHGDOH 5RPDQFH f f ,ELG 9 8 f ,ELG 9 r f 6WHZDUW $PHULFDQ 1RWHERRNV S -8 f f ,ELG S ,ELG S f f :RUNV 9,, OL 2XU 2OG +RPH f f ,ELG 9,, f :RUNV ;,,, OL 'U *ULPVKDZHrV 6HFUHW f f :RUNV ;, 7KH 'ROOLYHU 5RPDQFH 8f ,QGLYLGXDO 1DWXUHV f :RUNV ff7KH 3URSKHWLF 3LFWXUHVf f} f :RUNV ,, f7KH ,QWHOOLJHQFH 2IILFHf OLGLf f ,GHP f 6WHZDUW $PHULFDQ 1RWHERRNV S ,,f f :RUNV 9 7KH 6FDUOHW /HWWHU f 8f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f ,ELG ,OO f :RUNV ,9 $ :RQGHU %RRN IRU *LUOV DQG %R\V OOf f :RUNV ;,,, 'U *ULPVKDZH V 6HFUHW f ,QWHUDFWLRQV f :RUNV n:DNHILHOGf f f :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV Of 22f :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f

PAGE 304

,W2Of :RUNV 9, OM 7KH 0DUEOH )DXQ Lf Kf n:RUNV 9,, O 2XU 2OG +RPH f ,f :RUNV ;,,, 'U *ULPVKDZH V 6HFUHW f N2Kf :RUNV 9,, 2XU 2OG +RPH f f :RUNV ;, 6HSWLPLXV )HOWRQ ,f 7KH 1DWXUH RI WKH 3XEOLF ,2f :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f ,2f 7XUQHU +DZWKRUQH DV (GLWRU S f ,2f :RUNV 9 7KH 6FDUOHW /HWWHU !f ,Lf ,ELG 9 f 6WHZDUW (QJOLVK 1RWHERRNV S f ,,,f ,ELG S f ,Sf ,ELG S 7KH 1DWXUH RI WKH 6LFN rf :RUNV ,, (JRWLVPM RU WKH %RVRP 6HUSHQW -8ff OLOOOf :RUNV 9 O 7KH 6FDUOHW OHWWHU f ,LOf :RUNV ,OO 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf ,f :RUNV 9,, A 2XU 2OG +RPH ,f ,LOf :RUNV ;,,, 'U *ULPVKDZHA 6HFUHW ,f 7KH 7ZLOLJKW =RQH ,,f :RUNV ,, 7KH %LUWKPDUN f f ,ELG ,, ,Lf 6WHZDUW $PHULFDQ 1RWHERRNV S ,,f ,MOf :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf

PAGE 305

rf ,ELG ,,, r Lrf :RUNV 9 7KH %8WKHGDOH 5RPDQFH f 3XUSRVH DQG 3RZHU 8,f :RUNV +, r 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf rf ,ELG ,,, rf :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f rf :RUNV ;,,, 'U *ULPVKDZHn V 6HFUHW f 7KH 1DWXUH RI D +HUR rf &KDQGOHU +DZWKRUQHnV 6SHFWDWRU 1(4 ,9 f rf 6WHZDUW $PHULFDQ 1RWHERRNV S Of rf :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f rf 6WHZDUW (QJOLVK 1RWHERRNV S rf rf ,ELG S r f 3URYHUEV RQ +XPDQ 1DWXUH f &KDQGOHU +DZWKRUQHnV 6SHFWDWRU 1(4 ,9 f OrOrf :RUNV ,,, 7KH :LYHV RI WKH 'HDG f rf :RUNV 7KH $PELWLRXV *XHVW f rf 7XUQHU +DZWKRUQH DV (GLWRU S f rf :RUNV ,; 7KH $PHULFDQ 1RWH%RRNV f rf 7XUQHU +DZWKRUQH DV (GLWRU S r f rf :RUNV 7KH 7ROO*DWKHUHUnV 'D\ f rrf :RUNV r 1LJKW 6NHWFKHV f rrf :RUNV 9 7KH 6FDUOHW OHWWHU f

PAGE 306

rf ,ELG 9 rrf :RUNV ,,, 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf rrrf :RUNV ,9 $ :RQGHU %RRN IRU *LUOV DQG %R\V OeOf rrf 6WHZDUW (QJOLVK 1RWHERRNV S f rrf ,ELG S f rrf :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f rrf ,ELG ; f rrf :RUNV 9, r 7KH 0DUEOH )DXQ Lf rf :RUNV 9,, r 2XU 2OG +RPH f rf ,ELG 9,, &+$37(5 ,; 1$7,21$/ 1$785(6 7KH (QJOLVK rf 6WHZDUW (QJOLVK 1RWHERRNV S Orf rf ,ELG S rrf ,ELG S rf LELG S f rf 7LFNQRU +DZWKRUQH DQG +LV 3XEOLVKHU S Oe IURP D OHWWHU fr rf ,ELG S r rf 6DPXHO /RQJIHOORZ /LIH RI +HQU\ :DGVZRUWK /RQJIHOORZ ,, IURP D OHWWHU f rf 6WHZDUW (QJOLVK 1RWHERRNV S f rf ,ELG S OrOf ,ELG S r

PAGE 307

Kf ,ELG S f 8f :RUNV ; KO 7KH )UHQFK DQG ,WDOLDQ 0RWH%RRNV f ,•f :RUNV 9,, 2XU 2OG +RPH f rf ,ELG YLO 8 rf :RUNV ;,,, 'U *ULPVKDZH}V 6HFUHW ,f rf :RUNV 9,, 2XU 2OG +RPH f rf ,ELG 9,, rf ,ELG 9,, r ,f :RUNV ;,,, 'U *ULPVKDZHnV 6HFUHW f OrOf ,ELG ;,,, 7KH 6FRWV f 6WHZDUW (QJOLVK1RWHERRNV S f 7KH )UHQFK rf 7XUQHU +DZWKRUQH DV (GLWRU S f OrOrf :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f rf ,ELG ; f 7KH ,WDOLDQV rf ,ELG ; f -8f :RUNV 9, 7KH 0DUEOH )DXQ Lf rf ,ELG 9, rf ,ELG 9, r 7KH $PHULFDQV ,2f 7XUQHU +DZWKRUQH DV (GLWRU S f

PAGE 308

OrOf 6WHZDUW (QJOLVK 1RWHERRNV S rf rf 7LFNQRU +DZWKRUQH DQG +LV 3XEOLVKHU S IURP D OHWWHU rf rf 6WHZDUW (QJOLVK 1RWHERRNV S Orf rrf :RUNV ; r 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f rf ,ELG ;,, rf ,ELG ;,, r rf :RUNV ;,,, 'U *ULPVKDZHUV 6HFUHW f rf :RUNV 9,, O 2XU 2OG +RPH f r f ,ELG 9,, rf ,ELG 9,, r 7KH 3XULWDQV rf :RUNV 9 7KH 6FDUOHW /HWWHU f rf ,ELG 9 rrf ,ELG 9 rf ,ELG 9 r rf 6WHZDUW (QJOLVK 1RWHERRNV S OrO f 1HZ (QJODQG rf :RUNV ;,, 'U %XOOLYDQW rf rf %ULGJH 3HUVRQDO 5HFROOHFWLRQV S IURP D OHWWHU f rf :RUNV ; r 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f f :RUNV ;,, &KLHIO\ DERXW :DU 0DWWHUV f 6LPLODULW\ RI 1DWXUHV f :RUNV ; r 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f

PAGE 309

f f R8f f f f f f f f f f rf f f f f f f &+$37(5 ; 352*5(66 5()250 %527+(5+22' $1' :$5 f 352*5(66 7XUQHU +DZWKRUQH DV (GLWRU S f :RUNV r 7KH 7ROO*DWKHUHUnV 'D\ f :RUNV 6QRZ)ODNHV f :RUNV ,, O )LUH :RUVKLS rf ,ELG ,, 6WHZDUW (QJOLVK 1RWHERRNV S OWf ,ELG S r ,ELG S f :RUNV ,, 7KH 2OG 0DQVH f 6WHZDUW (QJOLVK 1RWHERRNV S f :RUNV ; 7KH )UHQFK DQG ,WDOLDQ 1RWH%RRNV f :RUNV ;, r 7KH $QFHVWUDO )RRWVWHS f :RUNV 9, 7KH 0DUEOH )DXQ Lf :RUNV 9,, 2XU 2OG +RPH f f ,ELG 9,, ,ELG 9,, r ,ELG 9,, r ,ELG 9,, ,ELG 9,,

PAGE 310

5()250 f 6WHZDUW $PHULFDQ 1RWHERRNV S r f f :RUNV ,, r 7KH 3URFHVVLRQ RI /LIH rf ef :RUNV ,, 7KH +DOO RI )DQWDV\ rf rf :RUNV 9 r 7KH %OLWKHGDOH 5RPDQFH f f :RUNV ;,, r 7KH OLIH RI )UDQNOLQ 3LHUFH f f 6WHZDUW (QJOLVK 1RWHERRNV S r f f :RUNV ,, rr 7KH 2OG 0DQVH f f :RUNV 9,, 2XU 2OG +RPH f f ,ELG 9,, %527+(5+22' f :RUNV r OLWWOH $QQLHnV 5DPEOH f f :RUNV r 1LJKW 6NHWFKHV f f 6WHZDUW $PHULFDQ 1RWHERRNV S rf f 3HDUVRQ $ 6NHWFK E\ +DZWKRUQH 1(4 9, Or $ *RRG 0DQnV 0LUDFOH rf rf :RUNV ,, r 7KH 3URFHVVLRQ RI OLIH rf f :RUNV ,,, OO 7KH +RXVH RI WKH 6HYHQ *DEOHV OOf f :RUNV 9,, 2XU 2OG +RPH f f ,GHP f ,ELG 9,,

PAGE 311

7KH /DFN RI %URWKHUKRRG f :RUNV 9 7KH %OLWKHGDOH 5RPDQFH f rf 6WHZDUW (QJOLVK 1RWHERRNV S f rOf :RUNV ;,,, 'U *ULPVKDZHrV 6HFUHW ,f N :$5 rf :RUNV ,,, f2OG 1HZV f 8f 7XUQHU +DZWKRUQH DV (GLWRU S r f rrf :RUNV ;,, &KLHIO\ DERXW :DU 0DWWHUV f rf ,ELG ;,, rf ,ELG ;,, 8f :RUNV 9,, r 2XU 2OG +RPH f &+$37(5 ;, 7+( 6<17+(6,6 7KH (PRWLRQDO (TXDWLRQ rf /RYH /HWWHUV rf f ,ELG ,, rf f 6WHZDUW $PHULFDQ 1RWHERRNV S rf f ,ELG S rf f ,GHP f :RUNV 9 7KH 6FDUOHW /HWWHU f rf )LHOGV
PAGE 312

f ,ELG S ,rO f f )LHOGV
PAGE 313

9,7$ 7KH DXWKRU ZDV ERUD ,Q 1DVKYLOOH 7HQQHVVHH RQ 2FWREHU +H UHFHLYHG KLV VHFRQGDU\ HGXFDWLRQ LQ 1DVKYLOOH DQG WKHQ HQWHUHG WKH 8QLYHUVLW\ RI $ODEDPD LQ KK XQGHU WKH $UP\ 6SHFLDOL]HG 7UDLQLQJ 3URJUDP 'XULQJ :RUOG :DU ,, KH HQOLVWHG LQ WKH $UP\ DQG VHUYHG DEURDG IRU HLJKWHHQ PRQWKV LQ WKH 3KLOLSSLQHV DQG LQ -DSDQ 8SRQ GLVFKDUJH IURP WKH VHUYLFH LQ O KH HQWHUHG 9DQGHUELOW 8QLYHUVLW\ DW 1DVKYLOOH 7HQQHVVHH ZKHUH KH UHFHLYHG KLV % $ ZLWK D PDMRU LQ (QJOLVK LQ K DQG KLV 0 $ LQ ,Q 6HSWHPEHU RI KH EHJDQ JUDGXDWH ZRUN LQ (QJOLVK DW WKH 8QLYHUVLW\ RI )ORULGD *DLQHVYLOOH )ORULGD 'XULQJ WKH WKUHH \HDUV RI VWXG\ DW )ORULGD KH KHOG D JUDGXDWH DVVLVWDQWVKLS DQG D IHOORZVKLS IURP WKH 8QLYHUVLW\ RI )ORULGD IRU ZRUN LQ (QJOLVK %HJLQQLQJ LQ 6HSWHPEHU KH ZLOO EH D PHPEHU RI WKH (QJOLVK IDFXOW\ DW 9LUJLQLD 3RO\WHFKQLF ,QVWLWXWH %ODFNVEXUJ 9LUJLQLD

PAGE 314

7KLV GLVVHUWDWLRQ ZDV SUHSDUHG XQGHU WKH GLUHFWLRQ RI WKH FKDLUPDQ RI WKH FDQGLGDWHfV VXSHUYLVRU\ FRPPLWWHH DQG KDV EHHQ DSSURYHG E\ DOO PHPEHUV RI WKH FRPPLWWHH ,W ZDV VXEPLWWHG WR WKH 'HDQ RI WKH &ROOHJH RI $UWV DQG 6FLHQFHV DQG WR WKH *UDGXDWH &RXQFLO DQG ZDV DSSURYHG DV SDUWLDO IXOILOPHQW RI WKH UHTXLUHPHQWV IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ -XQH 'HDQ &ROOHJH RI $UWV DQG 6FLHQFHV 'HDQ *UDGXDWH 6FKRRO 683(59,625< &200,77(( &KDLUPDQ


THE PERSONAL PHILOSOPHY OF
NATHANIEL HAWTHORNE
/
By
WILLIAM M. WHITE, JR.
A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA
IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE
DEGREE OF DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
June, 1953

DEDICATION
To Dr. Harry R. Warfel, my teacher,
and to Ann, my wife.
ii

life is made up of marble and mud.
-Nathaniel Hawthorne
If it be true that human nature is evil,
we shall gain nothing by blinking the fact.
-Julian Hawthorne
iii

PREFACE
It is the aim of this study to select, classify, and interpret
those statements from the complete writings of Nathaniel Hawthorne
which indicate the novelist's personal philosophy. Even though he
did not adhere to a formal philosophy, he did express his opinions
often enough and with consistency enough that the pattern of his
thought may be ascertained. When the scattered bits of Hawthornian
opinion are brought together under a subject classification, and
handled chronologically, they present a clear statement of the
novelist's orientation to those phases of life which were of permanent
interest to him. The pattern thus formed constitutes the mental
substance of which the fiction is the end product.
This study shows the development of specific beliefs, the
relationship between different sets of beliefs, and some of the
subtleties which underlie them. While it is not proposed that the
Hawthornian system of thought is of sufficient import to lift the
novelist into the realm of great thinkers, I believe that this
systematic analysis does establish his thought pattern as intrinsically
significant. Indeed, the developed pattern elucidates the key ideas
of one of America's major novelists.
The primary material for this study is taken from Hawthorne's
published works, his journals, and his letters. The evidence I have
used consists of 562 statements, which range in length from a single
iv

short sentence to a passage of several sentences. These selections,
which stand out boldly as attempts at interpreting life, usually
against the background of an event, a characterization, or a feeling,
are sententious, figurative, and decidely moral. One quality of these
statements must be mentioned. They are characteristically orotund,
oracular, and universal rather than hesitant, uncertain, or particular.
They are the "truths" with which Hawthorne elevates his writings above
a merely local significance. In effect, they serve as a distillation
of the pure essence of the man.
Tihen explicating several phases of the thought pattern it is
necessary to recall pertinent events in Hawthorne’s life. It is
assumed that the reader is not unfamiliar with these events. Since
this study does not purport to be biographical in nature, references
to Hawthorne’s life are employed only when biography relates quite
definitely to the ideas under consideration. These ideas or individual
segments of Hawthomian thought are studied as fractions of the broader
concepts of which they are a part rather than for their unique interest.
Once the novelist's commentary in the various thought areas is
assimilated, and once these several areas are taken in combination,
the total thought pattern thus brought into being affords an
invaluable background for a surer critical understanding of Hawthorne’s
mind and art.
v

ACKNOWLEDGMENTS
I can express but imperfectly my indebtedness to the overall
directing genius of Dr. Harry R. Warfel. His firm understanding of
the “lights and shadows" of Hawthorne’s mind was of inestimable aid.
His continued encouragement was challenging. To Dr. George D.
Bartlett I am similarly grateful. His keen and determined probing
of the Hawthornian concepts which I attempted to explore repeatedly
brought those concepts into a sharper focus. For the careful
readings and suggestions of Dr. Ants Oras, Dr. Robert H. Bowers, and
Dr. Gordon E. Bigelow I am deeply appreciative. The experience with
Hawthorne was in every way made more rich and more delightful by the
painstaking and tender tutelage of this group of men.
vi

TABLE OF CONTENTS
PREFACE
Chapter
I. SIN
The Nature of Sin
Brotherhood in Sin
Concealed Sin
The Devil and Evil
The Transmission of Sin
Sin and Purity
The Effects of Sin
Unpardonable Sin
II. THE DANCE OF LIFE
Part One. THE TEXTURE OF LIFE* MARBLE AND MUD . . .
The Approach
The Compound
The Ephemeral Quality of Life's Texture
Observations on the Texture of Life
Part Two. DEATH
Grief and Sorrow
Part Three. FORTUNE AND FAITH
The Nature of Fortune
The Governing Power of Fortune
Part Four. NATURE ......
As God's Poetry
As a Goddess
Nature as Refuge
Nature as Symbol
III. SENSITIVITY AND SOLITUDE
The Sensitive Soul
The Solitary Soul
Page
iv
1
19
20
27
30
38
hh
vii

IV.REALITY Aíro RELIGION 5k
Part One. REALITY 5k
Part Two. RELIGION 6l
Soul
Immortality
God
Aspects of Religion
Formal Religion
V.SOCIETY 80
Tradition
Society at Large
Political Society
VI. WOMEN 96
The Function of Women
Young Women
Mother
Old Women
Public Women
Women in General
Marriage and the Home
Children
Love
VII. ART AND THE ARTIST 123
Architecture
Sculpture
Painting
Poetry
Fiction
Hawthorne and Fiction
Taste
Talent and Genius
The Audience
Fame
The Artist’s Ideal
Methods and Problems of Art
VIII.HUMAN NATURE 165
Limitations on Mankind
Man's Nature
Individual Natures
viii

Interactions
The Nature of the Public
The Nature of the Sick
The Twilight Zone
Purpose and Power
The Nature of a Hero
Proverbs on Human Nature
IX.NATIONAL NATURES 202
The English
The Scots
The French
The Italians
The Americans
The Puritans
New England
Similarity of Natures
X.PROGRESS, REFORM, BROTHERHOOD, AND WAR 223
Part One. PROGRESS 22^
Part Two. REFORM 233
Part Three. BROTHERHOOD 239
The Lack of Brotherhood
Part Four. WAR 2hS
XI.THE SYNTHESIS 2£0
The Emotional Equation
The Synthesis
BIBLIOGRAPHY 269
APPENDIX: CITATION OF PRIMARY SOURCES 273
ix

CHAPTER I
SIN
Sin is prenatal to Hawthorne's world. It is not adopted by him
merely as entertaining subject matter for fiction. Neither is the
Hawthomian interest in sin a manifestation of an abnormal predilection
for the seamier side of human nature, for his interest springs from an
intuitive acceptance of what the novelist felt to be an indisputable
actuality. Any serious attempt at establishing the system of opinions
which underlies Hawthorne's fiction and which constitutes the personal
philosophy of the man must immediately accept the omnipresence of sin,
for such an acceptance necessarily precedes a critical understanding of
the various aspects of life upon which Hawthorne reflected and wrote.
All questionings of the cause of the novelist's interest in sin
remain in the conjectural realm, nor do they belie that interest.
Why Hawthorne thus wrote, why the theme of sin so fascinated
him, dominating his writings and inspiring his efforts from a
moral motivation, is, since no one single trait or definite cause
is obviously accountable, is to be charged,.I suppose to
"temperament."1
Hawthorne posited the existence of sin and consistently called it to
the foreground, while he never once questioned either the assumption
or the reasons behind that assumption. Melville explores sin; Hawthorne
states it as a fact of life beyond dispute. Sin's certain power was
•'-Carlos KLing, "Hawthorne's View of Sin," Personalist, XIH
(April 1932), 120.
1

2
ever-present to the Hawthorne mind. From that mental awareness it
broadened outward into his fiction with an astonishing fullness.
The Nature of Sin
But what is the nature of sin as Hawthorne viewed it? "In the
very depths of every heart there is a tomb and a dungeon, though the
lights, the music, and revelry above may cause us to forget their
existence, and the buried ones, or prisoners, whom they hide."(l)^
The certainty of evil is absolute. "There is evil in every human heart,
which may remain latent, perhaps, through the whole of life3 but
circumstances may rouse it to activity."(2) Sin and evil are a natural
disposition of man, a coiled serpent awaiting action at the snap of a
twig.
Among the old problems of Puritanism the most exalted is sin.
Hawthorne had inherited the problem but not the accompanying answers of
election, atonement, and irresistible grace. For the study of
Hawthorne’s mind it is necessary to cut back immediately into the
principles of Calvinism, for in rejecting Calvinism as a religion he
retained it as the raw material of his intellectual probings. "As
Franklin translated into secular terms the moral discipline of New
England, so Hawthorne translated into empirical truths the essential
doctrines of Calvinism. "3 Hawthorne had broken through the heavy
^Arabic numbers within parentheses refer to the primary sources
of this study, that is, the 362 quotations. The citation of their
location in Hawthorne literature is in the appendix entitled "Citations
of Primary Sources."
^Herbert ¥. Schneider, The Puritan Mind (New York, 1930), p. 236.

3
Calvinistic tapestry, but he was unable to shake himself free from the
encircling strands of its shattered fibers. It is patent from the
Hawthornian commentary that the sin-cloud is latent in every heart.
Moreover, corrupted mankind is forced to act, and when it acts it sins.
'•For our nature is not only destitute of all good, but is so fertile in
all evils that it cannot remain inactive.Hawthorne’s statements
rest snugly in Calvinistic teaching.
”What is Guilt? A stain upon the soul.”(3) Guilt proceeds
inevitably from a sinful actj it is one with sin. Whereas, formally,
sin may be understood to imply any want of conformity unto, or
transgression of, the laws of God, Hawthorne notes in a brief but
forceful manner that it is ”a stain upon man’s soul.”
Hawthorne is not displeased to personify sin as the evil
mistress to whose call all mankind harkens. ’’But Sin, alas! is careful
of her bond-slaves; they hear her voice, perhaps, at the holiest
moment, and are constrained to go whither she summons them.”(U)
Again, he comments on the unlimited quantity and -unmanageable quality
of the sin present in everyday life.
Perhaps, if we could penetrate Nature’s secrets, we could find
that what we call weeds are more essential to the well-being of
the world than the most precious fruit or grain. This may be
doubted, however; for there is an unmistakeable CsicJ analogy
between these wicked weeds and the bad habits and sinful
propensities which have overrun the moral worlds and we may as well
imagine that there is good in one as in the other.(5)
Cotton Mather voiced the wrath of God in his Magnalia Christi
^John Calvin, Institutes of the Christian Religion, trans.
John Allen (Philadelphia, 1936.), I, 275»

Americana, a "work not unfamiliar to Hawthorne.^*
Every sin both original and actual being a transgression of
the righteous law of God, and contrary thereunto, doth, in its crwn
nature, bring guilt upon the sinner, whereby he is bound over to
the wrath of God, and the curse of the law, and so made subject to
death, with all its miseries spiritual, temporal and eternal."
The novelist's ideas appear in accord with the expressed theological
sentiment. "0 Judgement Seat, not by the pure in heart wast thou
established, nor in the simplicity of nature; but by hard and wrinkled
men, and upon the accumulated heap of earthly wrong. Thou art the
very symbol of man's perverted state.”(6)
Sin and evil permit neither balance nor repair in this life.
And be the stern and sad truth spoken, that the breach which
guilt has once made into the human soul is never, in this mortal
state, repaired. It may be watched and guarded; so that the enemy
shall not force his way again into the citadel, and might even, in
his subsequent assaults, select some other avenue, in preference
to that where he had formerly succeeded. But there is still the
ruined wall, and, near it, the stealthy tread of the foe that would
win over again his unforgotten triumph.(7)
Calvin's statements on the nature of original sin,express a similar
belief.
Original sin, therefore, appears to be an hereditary pravity
and corruption of our nature, diffused through all the parts of
the soul, rendering us obnoxious to the Divine wrath, and producing
in us those works which the Scripture calls "works of the flesh."7
Hawthorne, with precedent in Calvinism, and in the great majority of
Christian dogmas, meets sin by intensifying its heinous aspects and by
^Marion L. Kesselring, Hawthorne's Reading: 1828-1850 (New
York, 19b9), p. $6.
^Cotton Mather, Magnalia Christi Americana (Hartford, 1820),
II, 162.
7calvin, Institutes, I, 27U

5
insisting on the irreparable breach in human affections occasioned by
an evil action.
"So it ever is, whether thus typified or no, that an evil deed
invests itself with the character of doom.”(8) Sin, evil, and doom are
an unholy synonymous trinity. "What is there so ponderous in evil, that
a thumb’s bigness of it should outweigh the mass of things not evil
which were heaped into the other scalel"(9) Here, in a word, is the
one incontestible truth. Hawthorne here as elsewhere exclaims^ he
neither doubts nor questions. The blot on man’s soul may not be
eradicated, may not be ignored.
"It must be very tedious to listen, day after day, to the
minute and commonplace iniquities of the multitude of penitents, and it
cannot be often that these are redeemed by the treasure-trove of a
great sin."(lO) Rarely, indeed, is Hawthorne in as playful a mood
over so serious a subject. Herein lies the grim root of the moralist’s
humor—that sin is so basic to life that it may occasionally be jested
about. Sin is the form giving cause from which life’s substance evolves.
It is so mixed with the sundry aspects of life that mortal man may
function only within its shadows.
Basic to Puritan theology were the doctrines of original sin
and human depravity. Christianity tends to offer an outlet for sin
with penance, sacrifice, repentance, or by a combination thereof.
Hawthorne failed to see a ready and easy exit to the problem^ he
continued to reflect instead upon the nature of sin, its effect on the
individual and the group, and on the subtle and miraculous manner in

6
which it tempers the whole of life. To the certain knowledge of
Hawthorne, the nature of sin is self-evident to all who would look at
life unflinchingly. Sin is decidedly more vivid than that which falls
before the eye of man, for it is intuitive and, to a degree, experienced
by all the senses.
Brotherhood in Sin
It is inherent in the very nature of sin that each individual
must fall heir to an indistinguishable brotherhood. "Man must not
disclaim his brotherhood, even with the guiltiest, since, though his
hand be clean, his heart has surely been polluted by the flitting
phantoms of iniquity."(11) Hawthorne lashes out occasionally at the
holier-than-thou attitude encountered in bigots and hypocrites. "In
God’s name, which of us miserable sinners does deserve anything?"(12)
We are alike sinners before God, for the encircling sweep of sin
brings all within her orbit.
No sin is individual and ended in time; rather, it creeps like
concentric circles from a splash in the millpond. "It is a terrible
thought, that an individual wrong-doing melts into the great mass of
human crime, and makes us,—who dreamed only of our own little
separate sin,—makes us guilty of the whole."(13) Individual
instances have universal reverberations in that each specific enactment
of a sinful deed echoes the depravity of the race. "Every crime
destroys more Edens than our ownl"(llj) No human being, however agile,
may leap free of the far-reaching splash of sin. Whereas it is
scarcely a frolicking and optimistic fraternity, this brotherhood in

7
sin, sorrow and death, there is every indication that Hawthorne thought
it, sad though it be, the only legitimate one.
Concealed Sin
One noteworthy aspect of sin is that a scarlet ,,Sn is seldom
stamped on the foreheads of mankind. ’’Nothing is more remarkable than
the various deceptions by which guilt conceals itself from the
perpetrator’s conscience, and oftenest, perhaps, by the splendor of its
garments.”(15) Attention is again called to the splendid but hollow
delusion so frequently referred in Hawthorne's fiction. "Decency and
external conscience often produce a far fairer outside than is
warranted by the stain within."(16) Sin often wears a fair exterior
and is no longer sought out and exposed to shame. Were secret sins to
be unmasked, life's thoroughfares would abound in a swarming mass of
bearers. It is the nature of sin, however, that it should eat inward
instead of being merely an outward burden.
The corrosive nature of sin leads to attempts to hide guilt.
Concealment causes hypocrisy, and hypocrisy leads the errant one into
the region of shadows. "To the untrue man, the whole universe is
false,—it is impalpable,—it shrinks to nothing within his grasp. And
he himself, in so far as he shows himself in a false light, becomes a
shadow, or, indeed, ceases to exist."(l7) Hypocrisy also leads to
confusion. "No man, for any considerable period, can wear one face to
himself, and another to the multitude, without finally getting
bewildered as to which may be the true."(l8)
Through the ages man has become deft in the art of concealment.

8
"At no time are people so sedulously careful to keep their trifling
appointments, attend to their ordinary occupations, and thus put a
commonplace aspect on life, as when conscious of some secret that if
suspected would make them look monstrous in the general eye."(l9)
Both the external, or sociological, and internal, or spiritual-
psychological aspects of concealed sin indicate that the majority of
human sins are hidden from view, and that this practiced concealment
of an acknowledged evil is in the seeds of the race and necessitates
a deterioration of the inner man. The assumption is, too, that social
intercourse reflects the same unhealthy concealment.}
The Devil and Evil
Satan is not alive to Hawthorne in the sense that he smells of
sulphur and brimstone. He does exist, however, as a metaphor for sin.
"The fiend in his own shape is less hideous than when he rages in the
breast of man."(20) "Unfathomable to mere mortals is the lore of
fiends."(21) "Every human being, when given over to the Devil, is
sure to have the wizard mark upon him, in one form or another."(22)
It is possible that the novelist adopts the Devil as the convenient
and logical symbol for sin and evil, or it is also possible that he
conceives of him as pride.° Hawthorne frequents shadowy realms in
more than one piece of fiction, and it is indeed probable that he had
not completely shaken off the world of Increase Mather. "And as there
are many tremendous instances confirming the truth hereof, so that of
' ^Hawthorne presents the Devil as Pride in "Egotism; or, the
Bosom Serpent."

9
Satan’s taking bodily possession of men is none of the least.
There are no letter or journal references to the Devil. Indeed,
he furnishes Hawthorne’s imagination with scant reflective material.
Although a flesh and blood Satan does appeal to Hawthorne the romancer—
the struggle for a man’s soul reaches the height of romance and drama,—
he did not attract Hawthorne the man. Hawthorne's mind examined in
detail the problems of sin, God, and immortality, and while it held
tenaciously to and repeatedly probed these concepts, it cared little
for the preacher's Hell with its living Satan. It is not likely that a
Hawthorne detached from the threads of formal religion would give much
credulity to a Biblical or to a Miltonic Satan. Whether specifically
named, or whether referred to as the "fiend,” "foe,” or "enemy,” the
devil does play a leading role in several pieces of Hawthorne’s fiction.
Creative writers work within a limited and somewhat conventional frame
of reference, but they need not always believe, for their own part, in
the traditional concepts which they express in fiction. It may be
doubted whether or not Hawthorne cherished an actual belief in the
Devil. Indeed, his lack of reflection on the subject would indicate
that he was not interested in the devil, or that he did not believe in
him.
The Transmission of Sin
Red-haired children are frequently born of red-haired parents.
Sin is transmitted from one generation to the next with a greater
^Increase Mather, Remarkable Providences, (London, 1890), p. 120.

10
certainty. ”... the weaknesses and defects, the bad passions, the
mean tendencies, and the moral diseases which lead to crime are handed
down from one generation to another, by a far surer process of
transmission than human law has been able to establish in respect to
the riches and honors which it seeks to entail upon posterity."(23)
Mortality is never allowed a fresh start, for it must awaken always to
the burden of the past. ”To the thoughtful mind there will be no
tinge of superstition in what we figuratively express, by affirming
that the ghost of a dead progenitor—perhaps as a portion of his own
punishment—is often doomed to become the Evil Genius of his family.”(2l|)
Sin, then, may be transmitted through the blood in much the manner of
hereditary social diseases. Hawthorne is here stating a rather
traditional concept—that is, the sins of the father are visited on the
son. The consequence of an evil deed does not cease with the death of
its perpetrator, but continues to rankle in generations of offspring.
Sin and Purity
Good and bad angels have long been a commonplace in literature.
The conflict in which these two entities perpetually engage is seen by
Hawthorne in terms of the relationship existing between sin and purity.
Purity Tfears the halo; its touch is miraculous and holy. "With
stronger truth be it said, that a devout heart may consecrate a den of
thieves, as an evil one may convert a temple to the same.”(25) "Thus
f
it is, that, bad as the world is said to have grown, innocence
continues to make a paradise around itself, and keep it still
unfallen.”(26) Purity, Hawthorne fears, is but an early, temporary

11
alcove in the Gothic structure of life. Although some few persons
survive in a white innocence, the great majority are besmeared with
the mud of sin.
Hawthorne's conception of man's brotherhood in sin does not
permit the innocent to shun the guilty for the sake of maintaining a
cloistered virtue.^
VJho more need the tender succor of the innocent, than
wretches stained with guilt! And must a selfish care for the
spotlessness of our oto garments keep us from pressing the guilty
ones close to our hearts, wherein, for the very reason that we
are innocent, lies their securest refuge from further ill?(27)
Innocence or purity serves as a buffer for iniquity. It is clear
enough, however, that man's predisposition to sin is overwhelming, and
that purity's pedestal is a tenuous one.)
In his vision of purity Hawthorne does allow a brief sunbeam
to penetrate life's darkened pattern. In the same breath, however, the
writer resigns himself to the inevitable awakening of the pure by the
world evil.
It was that dismal certainty of the existence of evil in the
world, which, though we may fancy ourselves fully assured of the
sad mystery long before, never becomes a portion of our practical
belief until it takes substance and reality from the sin of some
guide, whom we have deeply trusted and revered, or some friend
whom we have dearly loved. (28)
Childhood's innocence is destroyed in turn.
It is a very miserable epoch, when the evil necessities of life,
in our tortuous world, first get the better of us so far as to
compel us to attempt throwing a cloud over our transparency.
-^Hawthorne would appear to condemn Hilda in The Marble Faun on
the grounds that she fails to comfort the guilty Miriam.

12
Simplicity increases in value the longer we can keep it, and the
further we carry it onward into life; the loss of a child's
simplicity, in the inevitable lapse of years, causes but a
natural sigh or two, because even his mother feared that he could
not keep it always. But after a young man has brought it through
his childhood, and has still worn it in his bosom, not as an early
dew-drop, but as a diamond of pure, white, lustre,—it is a pity
to lose it, then.(29)
When speaking of the awakening to evil, Hawthorne gives moral
warning for the necessity of a good life. "Let us reflect, that the
highest path is pointed out by the pure Ideal of those who look up to
us, and who, if we tread less loftily, may never look so high again."(30)
Yet, innocence must learn through direct observation of life the
eternal presence of evil.
The young and pure are not apt to find out that miserable truth
until it is brought home to them by the guiltiness of some trusted
friend. They may have heard much of the evil of the world, and
seem to know it, but only as an impalpable theory. In due time,
some mortal, whom they reverence too highly, is commissioned by
Providence to teach them this direful lesson; he perpetrates a sin;
and Adam falls anew, and Paradise, heretofore in unfaded bloom, is
lost again, and closed forever, with the fiery swords gleaming at
its gates.(3l)
Whereas Hawthorne does not question, and shows comparatively little
interest in the fact that the pure are inevitably awakened to evil, he
shows a permanent interest in the psychological readjustments
accompanying that awakening.
"Hence come angels or fiends into our twilight musings,
according as we may have peopled them in by-gone years."(32) Here
again we recognize the dual possibility of the human personality.
Although the "good life," which Hawthorne recognized as a rarity, may
prove an effective ballast, nonetheless man's true leanings are toward
sin

13
The Effects of Sin
If the act of sinning held little interest, the consequences
of that act hypnotized Hawthorne's mind. Actual sin normally precedes
the opening of a Hawthorne tale, and is more often hinted at than
specifically described. The temporary exaltation of sinning, the iron
link of a mutual sin, the blunting effect, the subsequent isolation—
these, rather than the event itself, stir the inner recesses of
Hawthorne's imagination. The nether world of the sinner beckons to the
inquisitive author. "Fain would I search out the meaning of words,
faintly gasped with intermingled sobs and broken sentences, half
audibly spoken between earth and the judgement seat."(33) It is in
this tortured realm that much of Hawthorne's best fiction finds its
expression.
Actual performance of a sin is a matter of strength and
resolution, not of temerity. "Crime is for the iron-nerved, who have
their choice either to endure it, or, if it press too hard, to exert
their fierce and savage strength for a good purpose, and fling it off
at once!"(3li) Once the sin has been enacted, the initial resolve
subsides rapidly, only to be replaced by a variety of perplexing
impulses.
But there is a fatality, a feeling so irresistible and
inevitable that it has the force of doom, which almost invariably
compels human beings to linger around and haunt, ghostlike, the
spot where some great and marked event has given the color to
their lifetime^ and still the more irresistibly, the darker the
tinge that saddens it. (3Í?)
The sinner returns to the scene of his deed—drawn by a magnetic inner
compulsion.

lit
Hawthorne pondered the effects of sin as they evidenced
themselves in two distinct directions. "For, what other dungeon is so
dark as one's ovni heart! What jailer so inexorable as one's self!"(36)
The internal eating, here alluded to, and the social manifestations of
sin both provide ample food for an observer psychologically alert.
"For, guilt has its moment of rapture too. The foremost
result of a broken law is ever an ecstatic sense of freedom."(37)
Once more the matter of a temporary rapture is alluded to. A great sin
Hawthorne finds exciting, its effects on human nature dynamic.
Momentary passions are delusive, however.
Yet how tame and Yrearisome is the impression of all ordinary
things in the contrast with such a fact! How sick and tremulous,
the next morning, is the spirit that has dared so much only the
night before! How icy cold is the heart, when the fervor, the
wild ecstasy of passion, has faded away, and sunk down among the
dead ashes of the fire that blazed so fiercely, and was fed by the
very substance of its life! How faintly does a criminal stagger
onward, lacking the impulse of that strong madness that hurried
him into guilt, and treacherously deserts him in the midst of
it!(38)
"Possibly, moreover, the nice action of the mind is set ajar by any
violent shock, as of great misfortune or great crime, so that the finer
perceptions may be blurred thenceforth, and the effect be traceable in
all the minutest conduct of life."(39) Ordinary life is duller now,
for the power of the moment melts immediately and man's sensibilities
remain henceforth in a blunted condition.
Beyond all else there is manifest an interest in the isolating
effect of sin.
For it is one of the chief earthly incommodities of some
species of misfortune, or of a great crime, that it makes the
actor in the one, or the sufferer of the other, an alien in the

15
world, by interposing a wholly unsympathetic medium betwixt
himself and those whom he yearns to meet.(1*0)
The normal, the good people of society whose company the sinner might
wish to enjoy are now beyond reach. The sinner, by virtue of his sin,
is alienated from society.
Psychological observations on the effect of sin offer a
mottled but striking opportunity for the complex turns of Hawthorne's
mind. The over-all impression derived from a study of these
observations is a gloomy one, and it may appear to a reader of
Hawthorne that this seemingly undue dwelling on sin is abnormal. It
is both a blemish and a blessing of the Hawthorne intellect that it
held fast to its concepts. Unwillingly it turned an idea loose; by
preference it retained and continued to examine each idea from every
conceivable angle.
Representative writers of various Christian sects help to
substantiate Hawthorne's acceptance of sin. "Let us notice now some
of the bad effects that mortal sin produces in the soul. ... It
leaves a hideous stain in the soul, deforms it, and makes it hateful
V.
in the sight of heaven. ... It renders man a slave of sin, and of
his evil desires." Catholicism recognizes "the stain upon the
soul," and also notes that man is a "slave" to mistress sin.
Calvin, the Presbyterian Creed, the Lutheran Creed, and the
Roman Catholic Creed are in basic agreement on the nature of sin.
HJ. FAA' Di Bruno, Catholic Belief (New York, 1922), p. 68.

16
Our perdition therefore proceeds from the sinfulness of our
flesh, not from God; it being only a consequence of our
degenerating from our primitive condition.12
In proportion as God is great and glorious Calvinism
recognizes the sin of man to be heinous and fatal.13
The Lutheran church has always regarded the doctrine of human
depravity as a fundamental article of the Christian System. . . .
The doctrine is, moreover, so frequently and forcibly inculcated
in the word of God, that no man ought to profess to be a believer
in the Scriptures, who denies its truths.Ik
Of original sin, in which we are born, we are not personally
guilty with our own personal will, but our nature is guilty by the
will of Adam our head, with whom we form one moral body through
the human nature which we derive from him. 15
Man’s soul and man’s body, his whole nature, are vitiated by
original sin. This depravity is an ordained fact of experience behind
which Hawthorne does not go. He finds it necessary on traditional,
intuitive, and empirical grounds to accept the fact—a fact stated
emphatically in the majority of Christian doctrines—without entering
into the theological niceties of those doctrines.
Unpardonable Sin
Unpardonable sins violate the sacredness of God's temple, the
human heart. "Supposing that the power arises from the transfusion of
one spirit into another, it seems to me that the sacredness of an
individual is violated by it; there would be an intruder into the holy
l^Calvin, Institutes, I, 277»
13Egbert Watson Smith, The Creed of Presbyterians (Richmond,
Virginia, 190l), p. Ij8.
1%. S. Schmucker, Lutheran Manual on Scriptural Principles
(Philadelphia, 1855), p. 56.
15dí Bruno, Catholic Belief, p. 20.

17
of holies. . . ."(Ill) A genuine concern with sin appears old-fashioned
when set beside the monstrous creations and expectations of twentieth
century America. Such a concern is no longer fashionable.^ Hawthorne
was vitally concerned with the sacredness of the heart, the soul, the
spirit, the personality.17 The personalists, a contemporary group
represented by B. P. Bowne and Edgar Brightman, present one interesting
corollary to Hawthorne’s interpretation of the unpardonable sin. "For
the personalist, then, the moral will is at the center of personality
and hence of religion. Any violation of or disrespect for the moral
will is wrong, even if committed in the name of religion.Yihereas
the personalists deplore an intrusion into the personality by social,
political, or theological forces, Hawthorne condemns the violation of
one personality by another.
The energizing subject of Hawthorne's art was the subject of
all great art j for human life in all its wayward complexity. Sin is not
the cardinal subject of Hawthorne * s fiction; it is but a keyhole, an
approach through which to view life. All writers have an approach to
their material; Hawthorne’s approach is through sin. It is necessary
to emphasize properly the naturalness, the complete assurance with
l^However, a comparatively recent religious movement in this
country designates itself "Christian realism" or "realistic theology."
It insists upon the doctrine that man is a sinner. For a discussion,
see Mary Frances Thelen, Man as a Sinner (New York, 191*6).
l^Both Ethan Brand and Roger Chillingworth commit the
unpardonable sin of violating an individual personality.
1%. N. Wieman and B. E. Meland, American Philosophies of
Religion (Chicago, 1936), p. Ili3.

18
which Hawthorne follows out his approach. Sin is the coloring agent
in the Hawthornian vision.
Christian theology places on sin an emphasis which is often
strikingly Pauline. Following Saint Paul, Saint Augustine wove at the
same loom. Both Calvin and Luther patterned their interpretation of
sin on the writings of Saint Paul and Saint Augustine. The Mather
dynasty carried forward Calvin's lamentation of man’s depravity.
Though a child of the liberation, Hawthorne is still of Puritan stock,
and, more important, of Puritan instinct. The Hawthorne who is
somewhat shocked by the sculpturing of nakedness evidences the same
Puritan instinct which could never question the eternal presence of
sin. It is only through acknowledging the universality of sin that
one may begin to enter the Hawthornian pattern of thought.

CHAPTER II
THE DANCE OF UFE
Hawthorne was an interested observer of the pure and unyielding
substance of which the daily course of mortal existence is composed.
Life, considered as an entity, is seen to have a specific nature or
constitution which is present to a like degree at all times. In the
physical process of living, man performs a brief dance whose every
step is dictated by this constitution—which, though it is infinitely
complex, is definable within limits. The Hawthornian view of life
formed itself around intangible elements, yet these elements are
presented in a remarkably concrete terminology. It is well to study
those basic ingredients which Hawthorne saw in life before attempting
to bring man into the developing thought pattern.
Four phases of life upon which the novelist formed a definite
set of opinions are: the texture of life, fortune and fate, death, and
nature. These components are actualities to be reckoned with, in much
the manner that sin was reckoned with, for they too are assumed by the
Hawthorne mind to be prenatal. The significance of sin lies in the
background of all Hawthornian thought. To assume the existence of sin,
for example, is to assume at the same time that the dance of life is
scarcely a festal one. Once it is understood what Hawthorne meant by
sin and what he meant by the rock-ribbed dance of life—once this
concept is seen and felt in all its dark rigidity—then and only then
19

20
may a reader comprehend the native trend of Hawthorne’s thought.
1
THE TEXTURE OF UFE: MARBLE AND MUD
The actual texture of life was envisioned by Hawthorne in bold
outlines. He manages, from his point of view, to observe, reflect upon,
and state succinctly with a scientific deftness and self-certainty this
texture wherein the nature of life resides. In essence, the concept is
one of marble and mud. Although the texture is not destitute of actual
evil, as the Emersonian would see it, neither is it totally devoid of
good. It is constituted instead of balanced ingredients which the mind
of Hawthorne perceived and commented upon with an ever-increasing clarity.
The Approach
Since the actualities of life are to be faced and fronted
rather than avoided, in what manner is man to make his approach?
How much mud and mire, how many pools of unclean water, how
many slippery footsteps, and perchance heavy tumbles, might be
avoided, if we could but tread six inches above the crust of this
world! Physically, we cannot do this; our bodies cannot; but it
seems to me that our hearts and minds may keep themselves above
moral mud-puddles and other discomforts of the soul’s pathway.(1*2)
It is a necessity of man’s physical nature, the necessity of Adam's
flesh, that our bodies are besmeared with the world's mud. Hawthorne
advances the possibility, however, that the spirit may dwell above and
beyond this actuality. He advances this possibility with some small
optimism; yet he is extremely reluctant to state it as a fact of
experience. The moral gloom so pronouncedly perceived by Hawthorne
ultimately overpowers all. This being the case, the greatest possible

21
folly in approaching life would, be to counterfeit or in any manner add
to the inevitable world sorrows.
There are so many unsubstantial sorrows which the necessity of
our mortal state begets on idleness, that an observer, casting
aside sentiment, is sometimes led to question whether there be any
real woe, except absolute physical suffering and the loss of
closest friends.(Ü3)
“Is not the world sad enough, in genuine.earnest, without making a
pastime of mock-sorrows?"(UU) Yet there remains a reasonable approach
to the predominantly solemn dance which all mortals perform.
- “But there is a wisdom that looks grave, and sneers at
merrimentj and again a deeper wisdom, that stoops to be gay as often as
occasion serves, and oftenest avails itself of shallow and trifling
grounds of mirthj because, if we wait for more substantial ones, we
seldom can be gay at all.“(l£) Here is the approach which Hawthorne
feels to be the only sensible one. Here is a maxim to jot down in the
commonplace book, to frame on the wall, though.it appears incongruous
amidst the practical aphorisms of Franklin and casts an .occasional
shadow on the sunshiny certainty of an Emersonian dictum. It
represents, nonetheless, the Hawthomian approach—one thoroughly
consistent with his lifelong opinions.
The Compound
Considered in its simplest form, life may be reduced to a
formula or compound. This chemical compound is gray, a mixture of the
dark with the light. Moreover, it is decidedly a dark gray.
The world is so sad and solemn, that things meant in jest are
liable, by an overpowering influence, to become dreadful earnest,—
gayly dressed fantasies turning to ghostly and black-clad images

22
of themselves, (lió)
The movement of physical life is persistently walking into increasing
darkness. Color, it may be noted, plays an important metaphorical
role in Hawthorne's attempt to make vivid his compound.
Life’s mixed and intermingled texture is nowhere more clearly
pronounced than in this statement:
Nevertheless, if we look through all the heroic fortunes of
mankind, we shall find this same entanglement of something mean
and trivial with whatever is noblest in joy or sorrow. Life is
made up of marble and mud. And, without all the deeper trust in
a comprehensive sympathy above us, we might hence be led to
suspect the insult.of. a sneer, as well as an immitigable frown,
on the iron countenance of fate. What is called poetic insight
is the gift of discerning, in this sphere of strangely mingled
elements, the beauty and the majesty which are compelled to assume
a garb so sordid.(U7)
The compound with which man is forced to contend places limitations
upon him which are in every way as exacting as those imposed by the
existence of sin. The good, the pure, the beautiful are present, but
there is great difficulty in extracting them from the strangely-
mingled ensemble.
It is difficult for Hawthorne to believe in man's ability to
dwell six inches above the earth’s surface. Some hasty and thoughtless
soul will unfailingly splash the passer-by. "This contrast, or
intermingling of tragedy with mirth, happens daily, hourly,
momently, "(lj.8) "Human destinies look ominous without some perceptible
intermixture of the sable or the gray."(b9) Constantly, the mind
returns to dwell, perhaps reluctantly, on the actual compound.
"Troubles (as I myself have experienced, and many others before
me) are a sociable sisterhood; they love to come hand in hand, or

23
sometimes, even, to come side by side with long looked-for and
hoped-for good fortune.”(£0) The balance is rarely if ever on the
side of jollity, for all merges finally into the darkening grayness.
"When we find ourselves fading into shadows and unrealities, it seems
hardly worth while to be sad, but rather to laugh as gayly as we may,
and ask little reason wherefore.”(5l) Since the transition may
neither be stayed nor denied, it is well, once the compound is
accepted, to find whatever little pleasure is possible.
Gloom, by its nature, spreads itself readily over the crust of
existence.
Unquestionably, a care-stricken mortal has no business abroad,
when the rest of mankind are at high carnival; they must either
pelt him and absolutely martyr him with jests, and finally bury
him beneath the aggregate heap; or else the potency of his darker
mood, because the tissue of human life takes a sad dye more
readily than a gay one, will quell their holiday humors, like the
aspect of a death’s-head at a banquet.(£2)
Life’s laughter is but a hair's breadth from its tears, and frequent
tears represent the more permanent state.
For it is thus, that with only an inconsiderable change, the
gladdest objects and existences become the saddest; hope fading
into disappointment; joy darkening into grief, and festal splendor
into funereal duskiness; and all evolving, as their moral, a grim
identity between gay things and sorrowful ones. Only give them a
little time, and they turn out to be just alike!(53)
Life evolves to sadness.
Here, in his elaboration of the compound, Hawthorne has spoken
in terms of dark-light, mirth-tragedy, gaiety-sadness, and marble-mud.
Both qualitatively and quantitatively the balance tends toward
darkness. While the transcendentalist saw the selfsame world, his
balance lay with the light and optimistic. Hawthorne’s compound, one

filtered through sin, is certainly the more pessimistic of the two
Yet, despite its awful solemnity, it is fundamentally based on
observation and experience.
The Ephemeral Quality of Life’s Texture
Hawthorne felt the pressures of life keenly; he felt also the
fleeting quality of the moment, but he always insisted that man must
concentrate on the now rather than the yet to be.
In this world we are things of a moment, and are made to
pursue momentary things, with here and there a thought that
stretches mistily towards eternity, and perhaps may endure as
long. All philosophy that would abstract mankind from the
present is no more than words. (£1;)
Though the marble is inextricably united with mud, still it is
imperative that man dwell on earth and speak only of what may be
actually known rather than depart the earth in a nystical flight.
"And what are the haughtiest of us but the ephemeral
aristocrats of a summer's day?"(55) Man's vainglory is denounced by
Hawthorne in the manner of an eighteenth century graveyard poet, and
frequently with the same schoolmaster, tone.
But, after all, the most fascinating employment is simply to
write your name in the sand. Draw the letters gigantic, so that
two strides may barely measure them, and three for the long
strokesl Gut deep that the record may be permanentI Statesmen
and warriors and poets have spent their strength in no better
cause then this. It is accomplished? Return then in an hour or
two and seek for this mighty record of a name. The sea will have
swept over it, even as time rolls its effacing waves over the
names of statesmen and warriors and poets. Hark, the surf wave
laughs at youl(56)
Occasionally, Hawthorne advances a private commentary on life.
These brief glimpses allow the personality of the man to step into and

25
blend itself with the more theoretical world of ideas. "I, likewise,
am greedy of the summer-days for my own sake; the life of man does not
contain so many of them that even one can be spared without regret."(57)
Observations on the Texture
Now that the approach to life, an awareness of its cold
compound, and the ephemeral quality of that compound, are taken into
account, what may be deduced from a detailed observation? First of
all, the texture does not permit the purely accidental, the
meaningless; each incident of life is directly moral. "Thought has
always its efficacy, and every striking incident its moral."(58)
Although the world is of a solid moral substance in which all has
significance, it is, paradoxically enough, a shadow. "Time—where man
lives not—what is it but eternity?" (59)
This present life has hardly substance and tangibility enough
to be the image of eternity;—the future too soon becomes the
present, which, before we can grasp it, looks back upon us as the
past;—it must, I think, be only the image of an image. Our next
state of existence, we may hope, will be more real—that is to
say, it may be only one remove from a reality. But, as yet, we
dwell in the shadow cast by Time, which is itself the shadow cast
ty Eternity.(60)
The physical texture of life is but of the thickness of a spider’s
web; from a spiritual point of view it is flimsy indeed. Rather than
placing Hawthorne in the transcendental stream, these reflections on
shadows offer a decidedly moralistic observation on the ephemeral
nature of life's texture.
Man dances to an old jig and accomplishes but little.
Possibly some cynic, at once merry and bitter, has desired to
signify, in this pantomimic scene, that we mortals, whatever our

26
business or amusement,—however serious, however trifling,—all
dance to one identical tune, and, in spite of our ridiculous
activity bring nothing finally to pass.(6l)
Hawthorne habitually regarded the immediate effectiveness of any one
action or any group of actions with much skepticism. Mud is scarcely
so plastic as a reformer might tend to believe. Man must await God’s
designs, for the texture of life is far too tough to be handled and
shaped by mere mortals. The balance has eternally resided with
sadness, and there is little indeed that man can effect which will
substantially alter the compound.
’’But real life never arranges itself exactly like a
romance.”(62) ”Who can tell where happiness may comej or where,
though an expected'guest, it may never show its face?"(63) Real life
does not live happily ever after, for there is a something much
greater than man in control. The dark hue of life does not whiten at
man's call, but merrily continues in a stubborn and often inexplicable
manner.
In lieu of the fast fleeting and, from man's point of view,
unmanageable direction of life, Hawthorne marvels that the present
should appear so fixed. "How wonderful that this our narrow foothold
of the Present should hold its own so constantly, and, while every
moment changing, should still be like a rock betwixt the encountering
tides of the Past and the infinite To-comel"(6k)
The infinitely complex nature of life is at the same time an
amazingly.simple one. It is preferable to drift with it, enjoy it
whenever possible, and nowise attempt to direct it. Man is not the

27
master of his fate; he is a being who must recognize his own limits,
and who must recognize and accept at the same time life's limit—
marble and mud. Hawthorne’s analysis of life’s texture was not, for
him, moral speculation, so much as it was a reporting of experienced
truths.
2
DEATH
Hawthorne views death primarily as the only certain release
from the life compound, and secondarily as a phase of the texture
itself. If it were not for death, life would be unbearable. ’’Curious
to imagine what murmurings and discontent would be excited, if any of
the great so called calamities of human beings were to be abolished,—
as, for instance, death.”(6^) Much of life is continually in
mourning for dead hopesj if there were no release through the
purifying aspects of death, life would soon be immersed and ossified
in a world-wide mud.
"T/Te sometimes congratulate ourselves at the moment of waking
from a troubled dream; it may be so the moment after death.”(66)
Life is a strife-torn excursion to Hawthorne, a briar patch of
countless thorns, whose only sure exit is death. "How invariably,
throughout all the forms of life, do we find these intermingled
memorials of death!"(67) Death, as it presents itself in everyday
life, grays the compound.
In the second sentence of The Scarlet Letter, in a spot
prominent enough to forewarn the reader of the novel of the unfolding

28
drama, and -with a marked degree of emphasis, the novelist records thats
The founders of a new colony, whatever Utopia of human virtue
and happiness they might originally project, have invariably
recognized it among their earliest practical necessities, to allot
a portion of the virgin soil as a cemetery, and another portion as
the site of a prison.(68)
Throughout his lifetime Hawthorne was something of a haunter of
graveyards. He was drawn, perhaps, not so much through morbidity as
by the eternal and basic recognition of death tugging at his intellect.
Death, moreover, is seen to contain the blessing of rest and
completion. It has lost its sting. ttThe best of us being unfit to
die, what an inexpressible absurdity to put the worst to death.”(69)
An individual is not significant in the long look.
It may be remarked, however, that of all the events which
constitute a person's biography, there is scarcely one—none,
certainly, of anything like a similar importance—to which the
world so easily reconciles itself.as to his death.. In most cases
and contingencies, the individual is present among us, mixed up
with the daily revolution of affairs, and affording a definite
point for observation. At his decease, there is only a vacancy,
and a momentary eddy,—very small, as compared with the apparent
magnitude of the ingurgitated object,—and a bubble or two,
ascending out of the black depth and bursting at the surface. (70)
Hawthorne's concern over death has many facets. In a
philosophical or religious sense he sees spiritual release and
completionj accompanying the event he observes genuine grief and
sorrow; finally, subsequent to the event, he notes the psychological
impact of death on life.
It is very singular, how the fact of a man's death often seems
to give people a truer idea of his character, whether for good or
evil, than they have ever possessed while he was living and acting
among them. Death is so genuine a fact that it excludes
falsehood, or betrays its emptiness; it is a touchstone that
proves the gold, and dishonors the baser metal. Could the
departed, whoever he may be, return in a week after his decease,

29
he would almost invariably find himself at a higher or lower
point than he had formerly occupied, on the scale of public
appreciation.(71)
More in keeping with philosophical interests lies the recognition of
a mysterious purifying aspect. "Khat a trustful guardian of secret
matters fire isl What should we do without Fire and Death?”(72)
In the final reckoning, death is viewed in a thoroughly
Christian manner.
The dying melt into the great multitude of the Departed as
quietly as a drop of water into the ocean, and, it may be, are
conscious of no unfamiliarity with their new circumstances, but
immediately become aware of an.insufferable strangeness in the
world which they have quitted. Death has not taken them away,
but brought them.home.(73)
Here is the sure and shining exit from the grayness of life.
Grief and Sorrow
Numerous of Hawthorne’s reflections on the effects of death,
that is, grief and sorrow, are quite obviously of the graveyard school
of thought.
But when we ridicule the triteness of monumental verses, we
forget that Sorrow reads far deeper in them than we can, and finds
a profound and individual purport in what seems so vague and
inexpressive, unless interpreted by her. She makes the epitaph
anew, though the selfsame words may have served for a thousand
graves.(7h)
It is an old theme of satire, the falsehood and vanity of
monumental eulogies; but when affection and sorrow grave the letters
with their own painful labor, then we may be sure that they copy
from the record on their hearts.(75)
Grief is such a leveller, with its own dignity and its own
humility, that the noble and the peasant, the beggar and the
monarch, will waive their pretensions to external rank without
the officiousness of interference on our part.(76)

30
Illustrious unfortunates attract a wider sympathy, not because
their griefs are more intense, but because, being set on lofty
pedestals, they the better serve mankind as instances and by-words
of calamity.(77)
These commonplace notations are of little intrinsic worth, yet they do
show to some degree the sensitive, thoroughly human, and at times
almost sentimental nature of the reflective Hawthorne*
Finally, the detached observation of which Hawthorne is
extremely capable brings the matter into perspective.
Thus it is that the grief of the passing moment takes upon
itself an individuality, and a character of climax, which it is
destined to lose after a while, and to fade into the dark gray
tissue common to the grave or glad events of many years ago. It
is but for a moment, comparatively, that anything looks strange
or startling,—a truth that has the bitter and the sweet in it.(78)
There is no reason to suspect an unhealthy delight in death on the
part of Hawthorne; there is every reason to suppose that he accepted
it, along with sin, as one of the inevitables.
3
FORTUNE AND FATE
Hawthorne has been accused quite unfairly, by various
interpreters, of fatalism and cynicism. Any writer who employs the
terms ’’fortune,” "chance,” ’’necessity,” “fate,” and nprovidence” runs
the risk of being damned as a pagan worshiper of the ’’Goddess
Fortuna.” With Hawthorne, however, the matter is entirely a Christian
one. Never is he more orthodox than in his concept of the operation
of Providence. Whichever of the synonyms for Providence Hawthorne
employs, it is always clear from the context of the statement that
the precepts of Calvinism are not being violated.

31
The Nature of Fortune
Fortune is present in and concerned with the affairs of men.
"Then might I exemplify how an influence beyond our control lays its
strong hand on every deed we do, and weaves its consequences into an
iron tissue of necessity."(79) Hawthorne, had he been a theologian
rather than a romancer, would have been careful to use the technical
terms Providence.
First, then let the readers know that what is called
providence describes God, not as idly beholding from heaven the
transactions which happen in the world, but as holding the helm
of the universe, and regulating all events.19
The idea of man as a bit actor in a cosmic drama intrigues
Hawthorne, not so much that he is amazed that it is so, but that the
absolute truth of the concept is brought home so forcibly in everyday
life.
We can be but partially acquainted even with the events which
actually influence our course through life, and our final destiny.
There are innumerable other events—if such they may be called—
which come close upon us, yet pass away without actual results,
or even betraying their near approach, by the reflection of any
light or shadow across our minds. Could we know all the
vicissitudes of our fortunes, life would be too full of hope and
fear, exultation or disappointment, to afford us a single hour of
true serenity.(80)
It is far better, Hawthorne believes, that man should not be
acquainted with his destiny. "Life figures itself to me as a festal
or funereal procession. All of us have our places, and are to move
onward tinder the direction of the Chief Marshal."(8l) Festal and
funereal are but vivid synonyms of the light and the dark, the marble
l^Calvin, Institutes, I, 222

32
and the mud. Man is not a free agent but follows instead a
predetermined course. This predetermination tends to make man feel
at home in his universe, assures him that the Chief Marshal is in
full control, and need nowise lead to fatalism and a gloomy
resignation.
Providence is an accomplished wrecker of man's imperfect
plans and aspirations.
How often is the case that, when impossibilities have come to
pass and dreams have condensed their misty substance into
tangible realities, we find ourselves calm, and even coldly
self-possessed, amid circumstances which it. would have been a
delirium of joy or agony to anticipate! Fate delights to thwart
us thus. Passion will choose his otto time to rush upon the
scene, and lingers sluggishly behind when an appropriate
adjustment of events would seem to summon his appearance.(82)
Destinal forces, it must be realized, are in complete control. It is
a prime characteristic of fortune that she scowls when we need her
smile, and smiles when we least expect it. Happiness, like the other
niceties of life, is God-sent not man-made.
Happiness, in this world, if it comes at all, comes
incidentally. Make it the object of pursuit, and it leads us a
wild-goose chase, and is never attained. Follow some other object,
and very possibUy we may find that we have caught happiness
without dreaming of such luck; but, likely enough, it is gone the
moment we say to ourselves—"Here it is!”—like the chest of gold
that treasure-seekers find.(83)
Hawthorne's remarks on the nature of fortune, taken
individually, appear to smack of defeatism.
Chance and change love to deal with men's settled plans, not
with their idle vagaries. If we desire unexpected and
unimaginable events, we should contrive an iron framework, such
as we fancy may compel the future to take one inevitable shape;
then comes in the unexpected, and shatters our design in
fragments. (8I4.)

33
It is wisdom not to tempt the plan-wrecker, for mortals can never stay
the capricious twists of fortune.
In spite of the seeming waywardness of fortune the tenets of
Calvinism offer assurance to the doubter. "All future things being
uncertain to us, we hold them in suspense, as though they might happen
one way or another. Yet this remains a fixed principle in our hearts,
that there will be no event which God has not ordained. Hawthorne
is cognizant of the fact that man fails to comprehend this miraculous
element in life. "The actual experience of even the most ordinary
life is full of events that never explain themselves, either as
regards their origin or their tendency."(85) An over-all view is
above and beyond man's limited vision.
"No human effort, on a grand scale, has ever yet resulted
according to the purpose of its projectors. The advantages are
always incidental. Man's accidents are God’s purposes. We miss the
good we sought, and do the good we little cared for."(86) Here is a
basic Hawthorne precept, and admonition. Man desires pure government,
reform, or,any other good, yet he inevitably fails the quest. "A
dragon always waits on everything that is very good."(87) An angel
also waits on evil schemes. After a time the two balance each other,
but this balance is beyond the boundaries of the individual's view.
The Governing Power of Fortune
Fortune's government is a planned religious one in which chaos
2QIbid., I, 230

3h
receives no portion. This rigid concept Hawthorne embraces
intuitively and immediately—embraces it with the same lack of
astonishment with which he accepts sin. The mind of Hawthorne is
complex in that it is highly inquisitive, frequently skeptical of
generally accepted truths, normally empirical and imaginative, and
nearly always acute to the point of profundity. Yet at the same time
it is seldom swayed by cold logic, but believes instead with a
childlike unshakeable faith.
'•Does it not argue a superintending Providence that, while
viewless and unexpected events thrust themselves continually athwart
our path, there should still be regularity enough in mortal life to
render foresight even partially available?”(88) Hawthorne is not a
thoroughgoing Puritan; he holds firmly to certain beliefs which would
have made the Mathers shudder. In his basic orientation to life,
however, in his forthright promulgation of the doctrines of sin and
Providence, he is thoroughly traditional.
God the creator of all things, doth uphold, direct, dispose
and govern all creatures, actions and things, from the greatest
even to the least, by his most wise and holy Providence, according
to his infallible foreknowledge, and the free immutable counsel of
his own will to the praise of the glory of his wisdom, power,
justice, goodness and mercy.21
Omnipotent Providence has taken on the additional duties of
assigning tasks and of establishing the basic balance of life.
But when the ethereal portion of a man of genius is obscured,
the earthly part assumes an influence the more uncontrollable,
because the character is now thrown off the balance to which
^•'■Cotton Mather, Magnalia Christi Americana, II, l6l.

35
Providence had so nicely adjusted it, and which, in coarser
natures, is adjusted by some other method.(89)
So long as we love life for itself, we seldom dread the losing
it. Wien we desire life for the attainment of an object, we
recognize the frailty of its texture. But, side by side with this
sense of insecurity, there is a vital faith in our invulnerability
to the shaft of death while engaged in any task that seems
assigned by Providence as the proper thing to do, and which the
world would have cause to mourn for should we leave it
unaccomplished.(90)
These statements are but outspoken corollaries of a religious faith.
"Providence was the expression of His inner determination, and
though the lesson of some ‘divine providences’ could be read with
ease, the teaching of others remained obscure."22 The voicings of
God’s decrees, or providence, is a matter of some concern. "It was,
indeed, a majestic idea, that the destiny of nations should be
revealed, in these awful hieroglyphics, on the cope of heaven. A
scroll so wide might not be deemed too expansive for Providence to
write a people’s doom upon."(91) Perhaps Hawthorne would like to be
able to glance at the heavens and read for himself the gigantic
assurances of a communicative deity. Although he no longer believes
in superstitious omens, he is not as incredulous.of the miraculous as
many of his contemporaries.
Hawthorne has observed fortune’s daily performances in our
mundane span. He has, in fact, become the spokesman of its powers
and its ways.
Destiny, it may be,—the most skilful of stage-managers,—
seldom chooses to arrange its scenes, and carry forward its drama,
22perry Miller, The Hew England Hind (New York, 1939), p. 39.

36
â– without securing the presence of at least one calm observer. It
is his office to give applause when due, and sometimes an
inevitable tear, to detect the final fitness of incident to
character, and distil in his long-brooding thought the whole
morality of the performance.(92)
Through the calm observations, and calm reflections of destiny’s
observer, Nathaniel Hawthorne, American literature was vastly
enriched.
The Presbyterian creed offers a formal statement of
Providence's administration of the affairs of mankind.
God is Sovereign. He reigns Supreme in fact as well as in
the right. The universe to him is not a surprise, a defeat, a
failure, but a development of his eternal purpose. That purpose
is Predestination. That development is Providence. The one is
the all-wise predetermined plan in the mind of God$ the other is
the all-powerful execution of that plan in the administration of
the universe.23
The final and ultimately fair balance of Providence is accepted by
Hawthorne on faith.
Yet the ways of Providence are utterly inscrutable^ and many
a murder has been done, and many an innocent virgin has lifted
her white arms, beseeching its aid in her extremity, and all in
vainj so that, though Providence is infinitely good and wise,—
and perhaps for that very reason,—it may be half an eternity
before the great circle of its scheme shall bring us the
super-abundant recompense for all these sorrows!(93)
Calvinism, Puritanism, Presbyterianism have frequently been
misinterpreted and misquoted on their beliefs in Providence and
predestination; have been misunderstood for the same reasons that
Hawthorne has been erroneously stamped a fatalist. A statement from
the Presbyterian creed may help to rectify this misapprehension.
The doctrine of our Standards is not that ’’whatever must be,
23smith, The Creed of Presbyterians, p. 157

37
must be,” but that whatever God has decreed and purposed shall be.
The one expression attributes the course of events to a blind
mechanical necessity, the other to the intelligent purpose of a
personal God. The one is fatalism, the other Foreordination,
Predestination, Providence.2U
There is no attempt to suggest that Hawthorne’s mind kept a
literal allegiance to the tenets of Calvin. The doctrine of ’’election”
was repugnant to him, and ’’irresistible grace” scarcely warmed his
heart. Hawthorne did observe certain intangibles—sin and fortune—in
the daily dance of life. These he saw, these he understood, these he
never shook off. The essential problem of Calvinism, man as a sinner,
and the majestic destinal force, Providence, play principal roles in
Hawthorne’s personal philosophy.
H. W. Schneider states the truth of the matter most
effectively!
Needless to say, Hawthorne used the theological terminology
metaphorically. He did not need to believe in Puritanism, for
he understood it. He saw the empirical truth behind the
Calvinist symbols. He recovered what Puritans professed but
seldom practiced—the spirit of piety, humility and tragedy in
the face of the inscrutable ways of God.25
Sin and the inscrutable ways of Providence provide the musical
accompaniment to which man performs his stately waltz. Hawthorne’s
final reckoning with these actualities constitutes the complete story
of his systematized orientation to life. It is sufficient for the
moment to insist that they are the obvious mental framework on which
all future speculation must be hung.
^%bid., p. 166.
^^Schneider, The Puritan Mind, p. 262.

38
h
NATURE
A fourth and final component of the dance of life, nature,
Hawthorne conceived of as poetry, goddess, refuge, and symbol.
Essentially, She is viewed as a participating backdrop to life's
little dramas. Her role is only slightly subordinate to that of sin
and fortune. Although nature is much more than a mechanical
externality or mere scenery to Hawthorne, he never saw in Her what
Emerson and Thoreau were seeing. She never spoke aloud to him. In
Hawthorne's fiction nature plays a very substantial, at times a
dynamic and symbolic, role. Nature is never inert matter alone, but
in the long view She is, like her interpreter, more of a moralist than
a mystic.
As God's Poetry
"It is strange what humble offices may be performed in a
beautiful score without destroying its poetry."(91;) "It is strange
what prosaic lines men thrust in amid the poetry of nature. . . .**(95)
There is no indication of an artistic deafness to the melodious
rhythms of nature. Man, in contrast, is viewed, more often than not,
as a black blemish to the beauty of the natural scene. Had Hawthorne
continued to write poetry after his seventeenth year,26 he would
scarcely have developed into a nature poet in the Wordsworthian sense.
^Hawthorne's early attempts at nature poetry show little
promise. For a reprint of the poems see: Elizabeth 1. Chandler,
editor, "Hawthorne's Spectator,” New England Quarterly, IV (April 1931).
288-330.

39
For Hawthorne saw in nature a moral force which blends with, sometimes
echoes, and sometimes shapes the texture of life. Nature is but an
ingredient of a greater compound; her poetry is thereby provocative
but hardly rhapsodic.
As a Goddess
"The reason of the minute superiority of Nature’s work over
man’s is, that the former works from the innermost germ, while the
latter works merely superficially."(96) Nature is wedded in a
mysterious manner to fortune; she is a Goddess moving forward from
spiritual origins in a predetermined manner. She is not to be
identified with Providence, for She is a more immediate and warmer
administrator of the affairs of man.
It was the fatal flaw of humanity which Nature, in one shape
or another, stamps ineffaceably on all her productions, either to
imply that they are temporary and finite, or that their perfection
must be wrought by toil and pain.(97)
"Nature sometimes displays a little tenderness for our vanity, but is
never careful for our pride. She is willing that we should look
foolish in the eyes of others; but keeps our little nonsensicalities
from ourselves."(98) Nature may be seen, then, to have something of
the warmth and personality of a Goddess. Man is but a child to be
cuddled or scolded.
Behind this warmth, in sharp relief to the implied tenderness,
lies the more deliberate wantonness of nature.
Nothing comes amiss to Nature-—all is fish that come to her
net. If there be a living form of perfect beauty instinct with
soul—why, it is all very well, and suits Nature well enough. But
she would just as lief have that same beautiful, soul-illumined
body, to make worm's meat of, and to manure the earth with.(99)

liO
In this instance, She is the fickle goddess, Fortuna, in all her pagan
trimmings.
How Nature seems to love usl And how readily, nevertheless,
without a sigh or a complaint, she converts us to a meaner
purpose, when her highest one—that of a conscious intellectual
life and sensibility—has been untimely balkedi(lOO)
More often than not, nature, charged with planting various
seeds in man, is seen as a second gardener to fortune. nHcw strange,
how strange it is, this deep, wild passion that nature has implanted
in us to be the death of our fellow-creatures, and which coexists at
the same time with horrorlB(10l) Nature, though more immediate than
fortune, is at times identified with her. She is, in fact, in one of
her aspects, a personal executer of the divine will. Hawthorne does
not deify nature, nor does he pledge himself to her mysterious
messages, for he reads her as a moral rather than an emotional divine
scroll.
Nature as Refuge
Hawthorne, more than most men, seems to have felt the cross
and crude pressures encountered in earning a living* In his youth he
had romped in the Maine woods with notorious happiness. In young
manhood he took long walks into nature and was fond of ice skating.
In his maturity and in his autumnal years he continued the habit of
nature walks with dose friends. He died while on an excursion with
Pierce. Ralph Waldo Emerson had attended Hawthorne on more than one
walking tourj it was perhaps all they had in common, this love for
walking.

The sailor blood in Hawthorne was never happy far inland, for
he found in the coastal wilds and the ocean's roar an escape, a relief
from civilized pressures. "Oh that Providence would build me the
merest little shanty, and mark me out a rood or two of garden-ground,
near the sea-coast."(102) Salem and Liverpool were seaports, whereas
Concord was too far inland for the descendant of Captain Nathaniel
Hathome, "Bold" Daniel Hathorne, and other sea-going men.
Nature affords an uncorrupted retreat from "the perverted
ingenuity of the race." Especially in the autumn is she apt to
coddle those who come unto her.
If ry readers should decide to give up civilized life, cities,
houses, and whatever moral or material enormities in addition to
these the perverted ingenuity of our race has contrived, let it
be in the early autumn. Then Nature will love him better than at
any other season, and will take him to her bosom with a more
motherly tenderness.(103)
It was to nature that Hawthorne was wont to go when life's pressures
tormented.
But perhaps it is necessary for the health of the human mind
and heart that there should be a possibility of taking refuge in
what is wild, and uncontaminated by any culture; and so it has
been ordained that science shall never alter the aspect of the
sky, whether stern, angry, or beneficent, nor of the awful sea,
either in calm or tempest, nor of these rude Highlands.(lOU)
Nature as Symbol
Finally there exists in the renewing aspect of nature a symbol
of the purification-rebirth cycle of life. "Will the world ever be so
decayed that spring may not renew its greenness? Can man be so
dismally age-stricken that no faintest sunshine of his youth may
revisit him once a year? It is impossible."(105) Each spring

U2
brings life out of death with an endless yet eternally beautiful
regularity.
By and large the symbolism of nature is unreadable to the
intellect. "When God expressed himself in the landscape to mankind,
He did not intend that it should be translated into any tongue save
his own immediate one."(106) Her beauty may be felt in the heart
but never fully comprehended. She is the painting of an artistically
adept God, a hieroglyph which man may neither uncover or emulate with
any degree of success.
Hawthorne’s symbolical nature is one of varying aspects. ”0ne
touch of Nature makes not only the whole world, but all time, akin.”(107)
Nature is gigantic and beautiful, a manifestation of God’s plan, but,
above all, a moral force in the life of man. She is the catalyst for
the compound of life, although she frequently enters that compound.
life as an entity, apart from the people who live it, has
stamped itself in bold relief on the mind of Hawthorne. life’s
texture is one which may be felt between the fingers, stretched and
probed, yet it always reverts to the same pattern. Hawthorne is not
repelled by the harshness of that pattern. Death, for example, is
taken as an integral aspect of life. It is everywhere present as a
solemn reminder of mortality, yet Hawthorne views it as a great
awakening—an awakening far greater than the one associated with
Jonathan Edwards. Fate, Fortune, Chance, Destiny, Necessity,
Providence and Nature are fused in Hawthorne’s observation into the
ctynamic, yet unfathomable, directional forces hovering above life1s

lú
surfaces. They are seen by the ’’calm observer" as detached yet
meaningful hieroglyphs, if one can read them, of God's divine plan.
Puritan existence was a predetermined one—one in which man
relinquished God’s matters to God and went zestfully to fulfill his
own obligations. Few systems emphasizing the free will of man have
evidenced a like vitality. The Puritan dance of life is essentially
the one which Hawthorne observed. It is solemn, rigid, and a bit
forbidding. At the same time it is the dance of assurance in an
ordered universe. Though there are few strains of light and airy
music, neither is there the staccato of hesitation. It is the
Puritan’s world; it is God’s world; it is Hawthorne’s world. It is a
world tutored by morality. It moves to the pipings of sin, for flesh
is sinful, but occasionally it looks upward from the dark texture of
physical life to the brighter texture of a spiritual one.

CHAPTER IH
SENSITIVITY- AND SOLITUDE
If there is one personal and at the same time social problem
which confounded Hawthorne time and again it is to be discovered in
that necessity which forces a sensitive person to find solace in an
insensitive world. The romantic, misleading account of Hawthorne*s
life between 1825 and 1837, one depicting a sensitive and secluded
artist in a dismal chamber, has been justifiably amended by more recent
biographers.^ Yet Hawthorne was basically both a sensitive and a
solitary soul. Had it not been for the pressures exerted by Sophia,
Nathaniel would have been eagerly content to dwell a little apart
socially. Following his marriage on July 9, 181*2, and the subsequent
political appointments which befell him, it became mandatory that the
reluctant author assume social burdens in an institutionalized society.
Once he entered the outer world, especially during the Liverpool years,
he became more accustomed to the social role which all men must play to
some degree. The Hawthorne of 1855 shouldered with some ease social
obligations which would have set the Hawthorne of 1835 all atremble.
In one sense of the word, Hawthorne entered late into society,
although he had never been so far out of it as early biographers were
prone to believe; yet in a more abstract sense he never entered at all.
^Robert Cantwell, Nathaniel Hawthorne: The American Years
(New York, 191*8), p. viii ff.

He was essentially a family man, a warm friend to not over a half
dozen people. “Hawthorne was never a very social person, in the sense
that he liked to have a lot of people around him. This was due, in all
probability, not only to the circumstances of his childhood, but to his
own nature as well.ni:u
Prior to l8I}2 Hawthorne preferred an individual fora of
seclusion, which became after 181*2 a kind of domestic seclusion, from
social fanfare. He, like Jonathan Swift, enjoyed the individual but
not the group. Yet in the midst of his personal struggle with the
problem of society he was internally possessed of two basic ideas:
first, man is essentially alone in the world in that he can never
break through the invisible barrier to his fellow manj and, second,
the world will not let a man alone but eternally insists that he
participate in its affairs as a social being. Intimately related with
these beliefs are the problems which they father: the solitary soul who
is doomed to the cold outer fringe of society, and the sensitive soul
whose cross of living lies unbearably heavy upon him.
The Sensitive Soul
The notion of a soul too sensitive to endure the harsh
strictures of life is a central one to the Hawthorne philosophy. It
persists in the fiction, journals, and letters. If there are but two
types of man, the sensitive and the insensitive, the former is
invariably trampled upon by the latter. Life's burdens overwhelm the
^Manning Hawthorne, "Hawthorne's Early Years," Essex
Institute Historical Collections, LXXIV (1938), 11.

sensitive being; the group becomes a vicious animal; he desires above
all things to be left alone, to withdraw from the clamor of a busy and
unconcerned world. "Mercy on us, what a noisy world we quiet people
live in¡"(108) Playfully but with a certain seriousness, the reader
is made aware of that gulf existing between a quiet inner world and a
boisterous external one.
"But there are natures too indolent, or too sensitive, to
endure the dust, the sunshine, or the rain, the turmoil of moral and
physical elements, to which all the wayfarers of the world expose
themselves."(109) It is tragic that there are beings, often with
imaginative and fertile minds, who are constantly impaled upon the
indifferences and open hostility of the external world. Hawthorne was
enough of a sensitive soul in his own right to feel the wounds keenly.
The readiest way out is to create an internal world, a world, however,
which proves a dangerous substitute. "A dreamer may dwell so long
among fantasies, that the things without him will seem as unreal as
those â– within."(llO)
Hawthorne * s sensitivity was far removed from that of a
mild-mannered Casper Milquetoast. He enjoyed good cigars, good
liqueurs, and good company as much as any man, nor was he blind to the
charms of the fairer sex. At the same time he was quite hesitant about
intruding on people. "It is very painful to me to disturb and derange
anybody in the world."(ill) Although frequently imposed upon by
others,29 Hawthorne was instinctively retiring, and somewhat reluctant
^Throughout the notebooks there is ample evidence that

to ask a favor.
A sensitive person may withdraw from life as much as possible,
he may play leech to a stronger personality, or he may relinquish the
struggle altogether.
In moods of heavy despondency, one feels as if it would be
delightful to sink down in some quiet spot, and lie there forever,
letting the soil gradually accumulate and form a little hillock
over us, and the grass and perhaps flowers gather over it. At
such times, death is too much of an event to be wished for;—we
have not spirits to encounter it; but choose to pass out of
existence in this sluggish way.(112)
The easily wounded person is hard pressed to find the wherewithal to
resist the blunting effect of life.
There are chaotic, blind, or drunken moments, in the lives of
persons who lack real force of character,—moments of test, in
which courage would most assert itself,—but where these
individuals, if left to themselves, stagger aimlessly along, or
follow implicitly whatever guidance may befall them, even if it be
a child's.. No matter how preposterous or insane, a purpose is a
God-send to them.(113)
Weak, shy, and sensitive creatures need to rely on the guidance
of others, for once they have encountered the "mud of life" they are
not again eager to step forward. Self-justifications with which shyness
attempts to excuse itself are on shaky grounds.
It is a very genuine admiration, that with which persons too
shy or too awkward to take a due part in the bustling world regard
the real actors in life's stirring scenes; so genuine, in fact,
that the former are usually fain to make it palatable to their
self-love, by assuming that these active and forcible qualities are
incompatible with others, which they choose to deem higher and more
important. (Hit)
Hawthorne was frequently imposed on. Beggars found him an easy mark;
Ms friends found him ready to lend money when he had any; several
Americans stranded in England borrowed but never repaid return passage
money.

Frequently, and this was somewhat the choice of Hawthorne, the
sensitive individual contrives an inner world to act as a buffer to
the outer, which in turn gradually fades from vision. ”1 need
monotony, too, an eventless exterior life, before I can live in the
world within."(11$) This inner world is felt to be of greater
significance than the artificial structure of social life.
There is little reason to assume that Hawthorne may be
legitimately characterized as a sensitive soul. His sensitivity
represents but a minor phase of his total personality, and, as is often
the case with artists, it tends to lack stability. Other components of
his intellectual and emotional make-up are much more sharply defined.
Nevertheless, the author’s fictionalization of a sensitive soul
mirrors one aspect of his inmost self. Sensitivity, as Hawthorne
lived it and wrote it, appears as that reaction which the idealistic
and introverted person feels when thrust into a materialistic and
extroverted world.
The Solitary Soul
It is part and parcel of an observer of life that he should be
cut off from the humanity subjected to his gaze.
The most desirable mode of existence might be that of a
spiritualized Paul Pry, hovering invisible round man and woman,
witnessing their deeds, searching into their hearts, borrowing
brightness from their felicity and shade from their sorrow, and
retaining no emotion peculiar to himself.(116)
The role which Hawthorne proposes, that of a Paul Pry, provides the
detached observer with ample material for reflection and fiction, but
chills him with a cold and clamny aftermath. While a role of this

type enables an author to supply himself with raw material for his
writings, it promotes an unfortunate breach between author and subject.
While solitude is to be feared and avoided as a permanent
condition of life, while man's appetite for society is intuitive,
still there is an occasional longing for the refreshing calm which
solitude affords, "i/hat would a man do, if he were compelled to live
always in the sultry heat of society, and could never bathe himself
in solitude?"(117)
The ill effects of solitude overbalance its advantages, and
the isolated individual, the man cut off by the group or left behind
by it, is to be pitied among mortals. "Some old people have a dread
of solitude, and when better company may not be had, rejoice even to
hear the quiet breathing of a babe, asleep upon the carpet."(118)
Solitude is to be dreaded above all other waters in which a man may
drown himself. Perspective grows into a distorted ideal.
It is not good for man to cherish a solitary ambition. Unless
there be those around him by whose example he may regulate himself,
his thoughts, desires, and hopes will become extravagant, and be
the semblance, perhaps the reality of a madman.(119)
In a letter to Longfellow in 1837, Hawthorne referred to his
so-called solitary period and stated the problem of one who has cut
the warm ties of humanity and drifted into bleak isolation.
You tell me that you have met with troubles and changes. I
know not what they may have been; but I can assure you that trouble
is the next best thing to enjoyment, and that there is no fate in
the world so horrible as to have no share in either its joys or its
sorrows.30
30samuel Longfellow, Life of Henry Wadsworth Longfellow
(Boston, 1891), I, 261i.

There were no great sorrows plaguing Hawthorne's twelve years of
literary apprenticeship, neither were there the pleasures of love and
success. Perhaps the novelist's romantic self-estimate is overly
dramatic. Assuredly, though, it has some basis in fact.
At the very moment when Hawthorne felt himself to be in
isolation he longed for the crowd. His acceptance of solitude both as
a personal problem and as a concern of mankind recognized that a
reluctant fear of the crowd must eventually give way before the
greater evils of solitude. He was continually forced to battle a
nature which yearned for seclusion and the freedom to think and dream
and feel.3-1-
By the time of his marriage, Hawthorne had come to look upon
the solitude of his early years as a loathsome disease. Henceforth he
conceives of the solitary way in the blackest of terms. "In a forest,
solitude would be life5 in a city, it is death."(120)
Herein lies the strongest statement of an ill-starred course:
"The worst possible fate would be to remain behind, shivering in the
solitude of time, while all the world is on the move towards
eternity."(I2l) "To persons whose pursuits are insulated from the
common business of life—who are either in advance of mankind or
apart from it—there often comes a sensation of moral cold that makes
the spirit shiver as if it had reached the frozen solitudes around the
pole."(122) Physical separation does not enter into the Hawthorne
^Nathaniel Hawthorne, Love Letters of Nathaniel Hawthorne,
preface by Roswell Field (Chicago, 1907), I, 213.

concept; he speaks rather of a complete mental and emotional alienation
from one's fellow beings. The outcast desires nothing more than a
return to the human fold. "Persons who have wandered, or been expelled,
out of the common track of things, even were it for a better system,
desire nothing so much as to be led back. They shiver in their
loneliness, be it on a mountain-top or in a dungeon."(123)
Repeatedly, Hawthorne refers to that dreary region of
isolation as being one of a physical and mental coldness. Society is
the heat; solitude the ice of life.
Generosity is a very fine thing, at a proper time and within
due limits. But it is an insufferable bore to see one man
engrossing every thought of all the women, and leaving his friend
to shiver in outer seclusion, without even the alternative of
solacing himself with what the more fortunate individual has
rejected. (I2ii)
Even when recording sentiments of this kind on the lighter side of the
ledger, Hawthorne evinces an abounding sympathy for those who are
by-passed by life.
Seclusion, the state of being utterly alone with one's self,
rapidly grows insufferable.
A secluded man often grasps at any opportunity of communicating
with his kind, when it is casually offered to him, and for the
nonce is surprisingly familiar, running out towards his
chance-companion with the gush of a dammed-up torrent, suddenly
unlocked.(125)
Especially in the more extreme moments of life does the insufficient
solitude of self seek out the common herd for solace.
In circumstances of profound feeling and passion, there is
often a sense that too great a seclusion can not be endured; there
is an indefinite dread of being quite alone with the object of our
deepest interest. The species of solitude that a crowd harbors

52
within itself is felt to be preferable, in certain conditions of
the heart, to the remoteness of a desert or the depths of an
untrodden wood. Hatred, love, or whatever kind of too intense
emotion,.or even indifference, where emotion has once been,
instinctively seeks to interpose some barrier between itself and
the corresponding passion in another breast.(126)
Hawthorne's chief concern is with the individual who has been
shut off by mankind, or with the one who, by virtue of his own nature,
in the midst of companions is unable to break the barrier between
personalities. The man who is alone when in a crowd, alone when with
friends or family, is the true solitary figure. Thomas Wolfe, some
sixty-five years after Hawthorne's death, began to write long and
earnest novels dealing in part with that invisible barrier separating
man from man. He too felt keenly that solitude, in its more abstract
sense, is a permanent state of man. Hawthorne, although he recognizes
man as a social being, continues to believe that the cocoon of self
surrounding the individual, however transparent it may appear, is
scarcely penetrable.
Sensitivity and solitude are phases of personality rather than
a primal element of life. Whereas sin and the dance of life are
empirical essences present prior to the emergence of the individual,
the sensitive and solitary man reflects one aspect of that emergence.
It is on the reluctantly emerging individual that the prenatal
realities and institutional influences of life cut their deepest mark.
He is the eternally exposed, nerve-filled figure which Hawthorne
pushes back and forth in his mind with curiosity and with sympathy.
Hawthorne is fully aware that all men are not as delicately

constituted as the unfortunates which he envisions. At the other end
of the scale there are crassly social, unemotional beings who are
repugnant to the artist, while the great majority fall into a middle
range. Although Hawthorne, in his own life, tended to move toward
a more balanced social state during his middle years, although he
looked back with special dread upon isolated existence, he never lost
that natural sympathy for the sensitive and solitary soul.
The struggle within an individual between his desire for
isolation and his desire for society sets forth a problem central to
Hawthomian philosophy. Solitary life, a contentment with one’s own
self, has about it a cold but wholesome quality which is difficult to
maintain in group living. At the same time, however, society offers
a warmth and companionship which is essential to man’s well-being.
The continual dilemma of those individuals whose native sympathies
would lead them along the quiet and lonely pathway emphasizes the
struggle. When emerging into the social order the individual
encounters mass imperfection; yet, emergence is mandatory. There can
be little doubt that Hawthorne's preoccupation with this problem
reflects a struggle contained within his own personality. For
Hawthorne's part, the question was never completely resolved. The
conflict lessened, but it did not cease. For mankind, Hawthorne urges
a full participation in the social way. The imperfect nature of
society makes mere association an imperfect solution, but the
gregarious appetite of man makes it the only possible one.

CHAPTER IV
REALITY AND RELIGION
At the heart of the Hawthornian world view are two intangible
interests which are formed upon faith and which supersede in a calm
fashion other concepts developed from observation and reflection.
These dual essences, ’"reality" and religion, are frequently fused,
because Hawthorne’s conception of actuality falls within a religious
framework. At other times, the nature of the actual becomes a unique
problem in Hawthorne’s conquest of ideas. For the most part, however,
the commentary on "reality" serves as prefatory material for a
systematized analysis of his religious thought.
1
REALITY
Although it may appear both personal and intuitive at first
glance, Hawthorne's vision of "reality" is not essentially a mystical
one. Ultimately, it is highly impersonal, completely natural, and
thoroughly unspectacular. This vision, dealt with on two planes,
concerns a single essence. The superficial voicings of polite society
often counterfeit the hidden thoughts of the social participants in
the same manner that the perception of sensory phenomena cloaks life’s
spiritual values. An underlying "reality" may be detected on both
these levels, in the first instance on a limited or human plane and in

the second on a limitless or spiritual one.
Earthly things do not possess finality.
On being transported to strange scenes, we feel as if all were
unreal. This is but the perception of the true unreality of
earthly things, made evident by the want of congruity between
ourselves and them.(l27)
An attempt to discover a true and direct knowledge of the material
world in which man lives lies beyond Hawthorne’s desire. Such a
knowledge, if ascertainable, would prove of little worth. "But then,
as I have said above, the grosser life is a dream, and the spiritual
life a reality.”(128)
Nothing in worldly life constitutes ’’reality" in a greater
sensei for a prime ingredient of the life compound is that it shall
be ephemeral and shadowy.
Indeed, we are but shadows—we are not endowed with real life,
and all that seems most real about us is but the thinnest
substance of a dream—till the heart is touched. That touch
creates us—then we begin to be—thereby we are beings of reality,
and inheritors of eternity.(129)
Several seemingly Platonic reflections, reminiscent of Plato’s cave
symbolism, when considered in conjunction with other facets of
Hawthorne’s total conception, are seen in their true light as moral
assertions of a spiritual truth rather than as elevated metaphysical
speculation for its own sake.
In truth, words fail when attesting to define "reality," for
it is experienced through the feelings and not through the intellect.
"Vi/ho has not been conscious of mysteries within his mind, mysteries of
truth and reality, which will not wear the chains of language?" (130)
Yíhile a statement on the exact nature of actuality is never advanced,

it may be averred that what the great body of mankind clutches as
"reality" is but delusive externality. "Human nature craves a certain
materialism, and clings pertinaciously to what is tangible, as if that
were of more importance than the spirit accidentally involved in it."(l3l)
That which is actual is also immortal, timeless, indestructible.
Pure beauty, of the type which Shelley poetized, possesses these
qualities. "Not that beauty is worthy of less than immortality^ no,
the beautiful should live forever—and thence, perhaps, the sense of
impropriety when we see it triumphed over by time."(132) Earthly
beauty, though it be a deserving reflection of a perfect spiritual
beauty, is unfortunately bounded. Celestial beauty is unblemished
and infinitej the world's beauty is finite.
Sophistication, however delicately it is contrived, often
brings its observer to an awareness of the obvious incongruity between
what is said and what is thought. Polite conversation perpetually
borders on deceit. "Strange spectacle in human life where it is the
instinctive effort of one and all to hide those sad realities, and
leave them undisturbed beneath a heap of superficial topics which
consitute the materials of intercourse between man and man l "(133)
Social intercourse, as Hawthorne observes it, partakes too often of
the purely artificial.
Two paths to "reality"—one man-centered, one God-centered—
seemed worthy of investigation by Hawthorne. The first and more
artistic medium, one which man may attempt, is that of the imagination.
"It is only through the medium of the imagination that we can lessen

57
those iron fetters, which we call truth and reality, and make
ourselves even partially sensible what prisoners we are."(l3i*) A
heightened imagination, then, may cut through the outer layers of life
and into ’’reality." Imagination is a man-centered, active medium
which pierces and reveals. Although Hawthorne frequently employed
this method in his fiction, he discussed it but little. Instead, he
allowed the work to be the final testimony of the efficacy of this
approach.
The second medium of perception is passive, intuitive, and
God-centered. "There is something truer and more real than what we
can see with the eyes and touch with the finger."(135) God, in his
wise Providence, occasionally permits the actual to break through the
deceptive externality of life. This breakthrough may occur in the
rugged beauties of nature or in the delicately contrived, man-made
arts. When viewing majestic and awesome beauty, a person may
instantly intuit, with no effort on his own part, the existence of
those universal forces and truths to which he is normally blinded.
Thus it is that a sunset or a Raphael painting tends to reassure man
of that full and final acquaintance with "reality" which awaits the
close of physical life.
"Realities keep to the rear, and put forward an advance-guard
of show and humbug."(136) Repeatedly, the novelist refers to that
lesser plane of deception—one on which the unreal quality of the daily
events of life is too apparent. Many of the artificialities which
confront man in society are intuitively fathomed by sensitive

58
observers. "But yet, in some indescribable way (as is the case with
all that has deluded us when once found out), the poor reality was
felt beneath the cunning artifice."(137)
The manner in which idealism works is intimately related to
the quest for "reality." Since the "realities" of life are all
important, he who falls short of knowing them, he who never attains
his ideals, has still advanced further than the man who manages to
accumulate the merely material goods of life.
Yet, after all, let us acknowledge it wiser, if not more
sagacious, to follow out one's day-dream to its final consummation,
although, if the vision have been worth the having, it is certain
never to be consummated otherwise than by a failure. And what of
that? Its airiest fragments, impalpable as they may be, will
possess a value that lurks not in the most ponderous realities of
any practicable scheme. They are not the rubbish of the mind.(138)
Meaningful success can be gained in striving for those indescribable
yet permanent truths just beyond man's immediate reach. "I think I
might yield to higher poetry of heavenlier wisdom than mortals in the
flesh have ever sung or uttered."(139) Continually though, man is
called away from his yearnings for truth and farced to dwell among a
humanity largely dedicated to surface values. A person inclined
toward artificiality presents an outer appearance beneath which his
true being loses its original force. "It is the effect of anything
completely and consummately artificial, in human shape, that the
person impresses us as an unreality and as having hardly pith enough
to cast a shadow upon the floor. "(li^O)
Man, in this life, is curtained off from eternal essences; yet
he retains mysterious inklings of prior happenings. "Scenes and events

59
that had once stained themselves, in deep colors, on the curtain that
Time hangs around us, to shut us in from eternity, cannot be quite
effaced by the succeeding phantasmagoria, and sometimes, by a
palimpsest, show more strongly than they»"(ill) For the most part,
man is unable to comprehend the inmost nature of those forces which
are functioning all around him. Only on rare occasions does
providential light bréale through man's dark enclosure. It is even
more difficult for mortals to push aside momentarily that heavy
tapestry. In truth, there is but one solution which man may himself
effect.
Facts, as we really find them, whatever poetry they may
involve, are covered with a stony excrescence of prose, resembling
the crust on a beautiful sea-shell, and they never show their
most delicate and divinest colors until we shall have dissolved
away their grosser actualities by steeping them long in a
powerful menstruum of thought.(11*2)
Hawthorne felt no need to question his faith in spiritual substances,
for though the nature of actuality is difficult to define its
presence is undeniable. It is blandly assumed and blandly revealed;
for "reality" is a matter of feeling and faith, not one of intellect
and logic.
Through glimpses of an eternal essence present in the inmost
nature of this world, man may come to understand a true essence.
There is, then, a fundamental spirituality permeating all. It may be
seen, but imperfectly, as through a mist, for man's nature is a
corrupted one. Our world is but a shadow of a greater,spirituality in
that its tangibles are ephemeral and do not constitute "reality."
Although this world exists as but a moment in eternity, it is of

60
primary importance in that it must consume man's total effort "while he
dwells thereon.
Those visionaries "who would neglect the duties of earthly life
in an effort to achieve total idealism are in for a rude awakening.
Hawthorne, thoroughly cognizant of the necessity of earthly living,
has no leisure for nystical philosophies whose aim is to elevate man
above this world. In truth, his entire philosophy is a caveat on
detached and oblivious idealism. Although his perceptions are taken
by him as natural assurances of that ultimate knowledge beginning with
death, although he emphasizes that "reality," or spiritual life, does
await man, he makes it quite clear that man's achievement of a
spiritual state belongs to another world. Man's first duty is to the
mortal world.
One opportunity of viewing naked actuality while still residing
in this world is to be found in those glimmerings which God allows to
filter through life. Conversely, man may, through empirical stimuli
distilled by the imagination, break through to that selfsame inner
truth. "Reality"—that all-engulfing presence which surrounds, is
present within, and occasionally darts through the external crust of
life—may be arrived at in either fashion—through the strivings of man
or through the beneficences of God. Hawthorne's comments on "reality"
are wholly intuitive, but he assumes that mankind is potentially
capable of an identical intuition. "Reality" is an undeniable natural
phenomenon of which all men may partake as they are individually
capable. The novelist did not assume that he alone held a private

61
telephone line with divinity.
Hawthorne’s understanding of “reality" blends readily with his
acceptance of sin and with the general tenor of his moral and religious
thought; for although he believes that an ideal world transcends the
phenomenal one, he insists that man’s life is a pilgrimage through the
material world and that man’s chief concern must remain in that
immediate realm -where the will to goodness is feeble and the propensity
to evil staggering. At the same time, the novelist would offer a
severe warning to those individuals who would shirk the obligations of
mortal life. Although Hawthorne’s belief in the existence of an
underlying "reality" is firmly rooted, his commentary on the exact
nature of that "reality" is not explicit. Taken as a group, his
assertions of "reality" stand more as a preface to his ideas on
religion than as pure philosophical strictures.
2
RELIGION
Religious faith is possible not because man is good, an image
of the divine, but because God is powerful and unduly benevolent. A
religious attitude may exist in spite of man’s inherent evil and
weakness. Of all the thought areas with which Hawthorne concerned
himself, that of religion is the most clearly and consistently defined.
Despite the lack of a specific name with which to label Hawthorne’s
religious concepts, the nature of his religious thought is easily
understood.
"Hawthorne never made any mention of his or his sisters1

62
attending church while they were children, and his days at Bowdoin were
filled vd.th fines imposed for cutting prayers and Sunday chapel.”32
like many another religious man he had no Sunday religion. Nominally a
Unitarian, wedded to the daughter of a devout Unitarian, Hawthorne
cared little or nothing for specific creeds. He was too keenly aware
of man as a sinner to accept in toto the optimistic Unitarianism of his
generation. When Hawthorne reflected on Jesus, His goodness seemed
less significant than the evil things which men had done to Him.33 An
hereditary and instinctive awareness of evil prevented Hawthorne’s
accepting an easy religion.
Soul
Hawthorne’s belief in that spiritual essence which Christianity
has designated man’s soul was unshakeable.
We do wrong to our departed friends, and clog our own
heavenward aspirations, by connecting the idea of the grave with
that of death. Our thoughts should follow the celestial soul, and
not the earthly corpse.(llj3)
A first acquaintance with one’s soul may come through suffering.
Any sort of bodily and earthly torment may serve to make us
sensible that we have a soul that is not within the jurisdiction of
such shadowy demons,—it separates the immortal within us from the
mortal. (llUi)
Sufferings of the body are but haircloths which quicken the
soul's stirrings.
32jjanning Hawthorne, "Parental and Family Influences on
Hawthorne,” Essex Institute Historical Collections, LXXVI (19U0), 6.
33cantwell, The American Years, p. 90.

63
Yet words are not without their use, even for purposes of
explanation,—but merely for explaining outward acts, and all sorts
of external things, leaving the soul’s life and action to explain
itself in its own way. (lh5)
Man's soul is not his property, but functions as a thing apart with
directions all its own. Frequently, souls are squeezed, perhaps by sin,
until their flutterings become enfeebled. "For there are states of our
spiritual system when the throb of the soul's life is too faint and
weak to render us capable of. religious aspiration."(lU6) Although a
soul may fall becalmed in individual instances, it still retains full
potentiality for goodness.
All souls belong to God.
It takes down the solitary pride of man, beyond most other
things, to find the impracticability of flinging aside affections
that have grown irksome. The bands that were silken once are apt
to become iron fetters when we desire to shake than off. Our souls,
after all, are not our own. Tie convey a property in them to those
with whom we associate; but to what extent can never be known,
until we feel the tug, the agony, of our abortive effort to resume
an exclusive sway over ourselves.(lU7)
“It is because the spirit is inestimable that the lifeless body is so
little valued."(11*8) Hawthorne's conception of man's soul, while
conventionally Christian, is also conventionally vague. There is no
attempt to ferret out the secrets of a soul beyond the fact that there
is a something which resides within the body during life and leaves it
upon death for higher regions. It is viewed as a bit of divine
property temporarily housed by a beneficent Creator in physical beings.
Immortality
Actions in this life serve as a springboard for immortality.
"The soul shall survive its frail earthly tenement; and if we have

6U
conducted ourselves justly here, there vd.ll be a reward for us in
another, and a better world."(ll$) "And whatever may be the duration
of this earthly existence, let it ever be in our minds, that another
comes hastening on—-which is eternal.”(li>0) This basic notion of
eternal life does not deviate appreciably from the standard body of
Christian teachings.
Heaven is a joyous place only a breath away; yet human nature
strives too frequently for less substantial rewards. "A man will
undergo great toil and hardship for ends that must be many years
distant,—as wealth or fame,—but none for an end that may be close at
hand,—as the joys of heaven."(l^l) Han should fasten his gaze upon
firmly rooted eternality, rather than a fluctuating worldly life.
Has it talked for so many ages and meant nothing all the while?
No; for those ages find utterance in the sea’s unchanging voice,
and warn the listener to withdraw his interest from moral
vicissitudes, and let the infinite idea of eternity pervade his
soul. (I#)
Good deeds and faith thrust aside the curtain between the
momentary and the eternal. "And thus we, night wanderers through a
stormy and dismal world, if we bear the lamp of Faith, enkindled at a
celestial.fire, it will surely lead us home to that heaven whénce its
radiance was borrowed."(1^3) There is little to be perceived in
Hawthorne’s presentation of immortality which would not be acceptable
to the majority of Christian believers. His declaration of faith in an
afterlife, though it is made with certainty, nowise balances the darker
aspects of his life philosophy.
Somehow, the novelist had picked up the idea that mental labor

6?
will find its completion in the next life. "It seems a greater pity
that an accomplished worker with the hand should perish prematurely,
than a person of great intellect; because intellectual arts may be
cultivated in the next world, but not physical ones.n(l^ii) This sort
of conjecture on the exact nature of a soul, or on the heaven in which
it dwells, points out once more that Hawthorne’s religion did not
always evolve from that rationalism so intimately linked with
Unitarianism.
In one way, an anthropomorphic one, the necessity for
immortality is affirmed. "Thus ever does the gross fatality of earth
exult in its invariable triumph over the immortal essence which, in
this dim sphere of half development, demands the completeness of a
higher state.”(lf>5>) Heaven affords Utopian fulfillment for earth's
projects. Moreover, it appears as a mecca for total personalities—
loved ones are united, poets round off their poems, all is brought to
completion.
The existence of a higher life is thus proclaimed: first, God
is benevolent; second, there is sense and order to man's existence;
third, the nature of physical life is incomplete; fourth, since this
life is incomplete and since God is just and good, there must be a
heaven.
This so frequent abortion of man’s dearest projects must be
taken as a proof that the deeds of earth, however etherealized by
piety or genius, are without value, except as exercises and
manifestations of the spirit. In heaven, all ordinary thought is
higher and more melodious than Milton's song. Then, would he add
another verse to any strain that he had left unfinished here?(1^6)
Hawthorne begins empirically with a hard world-centered texture and

66
ascends intuitively to celestial heights.
But God would not have made the close so dark and wretched, if
there were nothing beyond; for then it would have been a fiend that
created us, and measured out our existence, and not God. It would
be something beyond wrong—it would be insult—to be thrust out of
life into annihilation in this miserable way. So, out of the very
bitterness of death, I gather the sweet assurance of a better state
of being.(1^7)
In one instance, Hawthorne questions his own naivete^ in
assuming the existence of heaven with such wishful logic.
If we consider the lives of the lower animals, we shall see in
them a close parallelism to those of mortals;—toil, struggle,
danger, privation, mingled with glimpses of peace and ease5 enmity,
affection, a continual hope of bettering themselves, although their
objects lie at less distance before them than our own do. Thus, no
argument from the imperfect character of our existence, and its
delusory promises, and its injustice, can be drawn in reference to
our immortality, without, in a degree, being applicable to our
brute brethren.(1^8)
It is highly probable that immortality has become so fixed a concept
that it, like sin, may occasionally be treated with levity. On the
other hand, this one statement may reflect an earnest doubt, one soon
merged in a sea of certainty.
Mortal life’s grim limitations forewarn eventual perfection.
God himself cannot compensate to us for being born, in any
period short of eternity. All the misery we endure here
constitutes a claim for another life;—and, still more, all the
happiness, because all true happiness involves something more than
the earth owns, and something more than a mortal capacity for the
enjoyment of it.(159)
And it is the promise of a blessed eternity; for our creator
would never have made such lovely days and have given us the deep
hearts to enjoy them, above and beyond all thought, unless we were
meant to be immortal. This sunshine is a golden pledge thereof.
It beams through the gates of paradise and shows us glimpses far
inward. (l60)
Beauty, "reality,tt immortality, though they are kindred terms to
Hawthorne, are not identical in connotation. Beauty, as a state of

67
taste, may be thought of as relative and amoral. Yet beauty, as man
knows it, is but the symbol of a permanent essence. Since genuine
beauty descends from another world, it tends to be confused as a symbol
with the condition which it symbolizes. The conceptions of ''reality”
and immortality are closely allied in that immortality is merely the
return of the soul to a state of permanent "reality”—a "reality” which
can be only imperfectly known in physical life, but which immortality
perpetuates.
In the midst of more objective voicings there rings always a
personal note. "Yet I am not loath to go away; impatient rather; for,
taking no root, I soon weary of any soil in which I may be temporarily
deposited. The same impatience I sometimes feel or conceive of as
regards this earthly life. . . .”(l6l) Hawthorne dreaded that he
might die without leaving ample provision for his wife and children,
but there is no evidence in his writings of a personal fear of death.
Immortality is accepted as a natural legacy. At fifty-five, Hawthorne
was old and tired; Una's severe illness in Italy had especially
depleted his strength. When he returned to America in i860, the fire
and zest of ten years previous had thoroughly chilled. Death wore a
kindly face.
"Now, the very knowledge of God sufficiently proves the
immortality of the soul, which rises above the world, since an
evanescent breath or inspiration could not arrive at the fountain of
life.”3^ The Calvinistic concept of the after life is proved by the
3Ucalvin, Institutes, I, 20i|.

68
very fact that God exists. For Hawthorne, heaven is intuitive. "We
have strongly within us the sense of an undying principle, and we
transfer that true sense to this life and to the body, instead of
interpreting it justly as the promise of spiritual immortality."(l62)
It is the incurable disease of a corrupted humanity that it perverts
and mischannels its longing for immortality.
If man performs good deeds and keeps faith he will be awarded
a niche in heaven. Heaven, where human aspirations are culminated on
a divine level, is thought of as a more perfect world. Here man is
compensated for the mud of his earthly life. The existence of a
spiritual life is known through an undeniable intuition. Taken as a
group, these Hawthornian reflections on immortality are more notable
for their number than for their variety.
God
God is presented in surprisingly warm terms. Hawthorne speaks
of a personal deity, a loving caretaker, whose chief attribute is
goodness. It is true that an equally strong conception of fortune
emphasizes the couplete and awesome sovereignty of God.
Calvin had stressed the ruling powers of the Creator.
Therefore, since God claims a power unknown to us of governing
the world, let this be to us the law of sobriety and modesty, to
acquiesce to his supreme dominion, to account his will the only
rule of righteousness, and most righteous cause of all things.
Puritan divines had likewise singled out the sovereignty of God as the
one attribute which could be rendered most vivid to human
35lbid., I, 235.

69
intelligence.^ While Hawthorne is a thoroughgoing Puritan in his
clear-cut recognition of the governing power of God, or Providence, he
leans toward an abstract optimism when he reflects on the nature of God.
Similarly, Calvinism, while it preaches the attribute of sovereignty
for the most part, makes it plain enough in its dogma that through His
beneficence God is a warm and munificent father to each and all.
To Hawthorne, God is immeasurably good.
Thus it appears that all the external beauty of the universe is
a free gift from God over and above what is necessary to our
comfort. How grateful, then, should we be to that divine Benevolence,
which showers even superfluous bounties upon usi(l63)
While God’s goodness is bountiful in an absolute or final sense,
immediate actions remain inscrutable. "God has imparted to the human
soul a marvelous strength in guarding its secrets, and he keeps at
least the deepest and most inward record for his oto perusal.” (l6It)
He reads souls as readily as man reads a newspaper, and He gives each
a just and thorough reading.
There is no mention, when dealing with that infinite
disembodied primal spirit, of anger or harshness. Providence is
necessarily severe in that it mingles with a corrupted world, and is
viewed as it works upon that world; but God, although he institutes
Providence, is not besmeared with earth's mire.
A paternal God actively loves and cares for all mankind.
It is a comfortable thought, that the smallest and most turbid
mud-puddle can contain its own picture of Heaven. Let us remember
this, when we feel inclined to deny all spiritual life to some
3%illiam Warren Sweet, Religion in Colonial America (New York,
1951), p. 98.

70
people, in whom, nevertheless, our Father may perhaps see the image
of his face.(l6£)
Manifestations of that loving care are felt in mortal life. "God does
not let us live anywhere or anyhow on earth, without placing something
of Heaven close at hand, by rightly using and considering which, the
»
earthly darkness or trouble will vanish, and all be Heaven."(166)
Trinitarians stress the qualities of goodness and mercy when speaking
of Christ. The Puritans had thought in terms of "irresistible grace."
Hawthorne, since he intellectually rejects the divinity of Jesus, may
well have shifted back to God those attributes which Trinitarians find
personified in Christ. That is not to say that Trinitarians do not
attribute supreme goodness and mercy to God, for they do$ yet they
frequently treat God as a rather distant supreme Deity and view Christ
as an immediate and.warm Savior. While Providence is seen as a
comparatively cold force by Hawthorne, God, by contrast, talces on a
warmth not typical of the Puritan's God.
Calvinism assures man of the active directive energies of God.
For he is accounted omnipotent, not because he is able to act,
yet sits down in idleness, or continues by a general instinct the
order of nature originally appointed by him; but because he governs
heaven and earth by his providence, and regulates all things in
such a manner that nothing happens but according to his counsel.37
Hawthorne, in like vein, writes of a supreme caretaker. "But God, who
made us, knows, and will not leave us on our toilsome and doubtful
march, either to wander in infinite uncertainty, or perish by the
wayl"(167) Once again there is a recognition of a warm dominion. As
the recipient of paternal care, man owes prayer for what is so
37calvin, Institutes, I, 220.

71
gratuitously given. "The air, -with God’s sweetest and tenderest
sunshine in it, was meant for mankind to breathe into their hearts,
and send forth again as the utterance of prayer."(168)
Prayer is one expression of man's dutiful allegiance to Godj
humility is another. "This is the true way to doj a man ought not to
be too proud to let his eyes be moistened in the presence of God and of
a friend."(1Ó9) "God knows bestj but I wish He had so ordered it that
our mortal bodies, when we have done with them, might vanish out of
sight and sense, like bubbles."(170) whether in jest or in earnest,
Hawthorne does not question divine intelligence^ he remains humble
before it. Feeling and faith provide sufficient grounds for belief.
"But he never discussed religion in set terms either in his writings
or in his talk. He 'believed* in God but never sought to define him."38
In contrast to the dark affirmation of Providence, Hawthorne's
warm assertion of God comes as a pleasant surprise. The dominant
impression of God, if God may be separated from his own providential
nature, is more Unitarian than Puritan. While Hawthorne had almost
nothing to say on the subject of mercy itself, he does pay full homage
to God's goodness.
38Julian Hawthorne, The Memoirs of Julian Hawthorne, ed. Edith
G. Hawthorne (New York, 1938), p. 16. It is interesting to speculate
on the nature of the God in which Hawthorne believed. It would seem
from the commentary on man's soul and on immortality that the God he
envisioned did not differ greatly from the Christian God as presented
in the Scriptures. However, since Hawthorne does differ from the
majority of Christians in that he rejects the Trinity and in that he
seems to have had little belief in the devil or in hell, it may well
be that his conception of God is not nearly so conventional as it
might at first appear.

72
Aspects of Religion
Religion is an unlettered institution in that it requires
simplicity and humility of its subjects rather than erudition* In the
most trivial workings of life, religion reaches out to man. "No
fountain is so small but that Heaven may be imaged in its bosom.n(l7l)
No creature is left dry by the outflowing religious tide.
"Purity and simplicity hold converse at ever moment with their
Creator."(172) It is a consistent belief of Hawthorne’s that
simplicity and purity are intimately connected with divinity. Just as
there is an undeniable chain of evil running throughout life, even so
is there a corresponding chain of goodness.
In every good action there is a divine quality, which does not
end with the completion of that particular deed, but goes on to
bring forth good works in an infinite series. It is seldom
possible, indeed, for human eyes to trace out the chain of blessed
consequences, that extends from a man's simple and conscientious
act, here on earth, and connects it with those labors of love
which the angels make it their joy to perform, in heaven above.(173)
Assertions of goodness appear as a minority report however, when placed
beside the vivid and immense body of recognized evil. Although
goodness holds equal qualitative strength with evil, the former is
overwhelmed by the quantity of the latter. Hawthorne’s commentary on
the various aspects of religion, in its repeated emphasis of goodness,
tends to neglect for the moment the sterner phase of religion—God’s
indefeasible sovereignty.
Unless the believer have an unquestioning faith, religion
provides a free play for his imagination. Hawthorne is numbered among
those who have faith; yet he inserts a rather daring thought of what
conceivably might be.

73
Perhaps there are higher intelligences that look upon all the
manifestations of the human mind—metaphysics, ethics, histories,
politics, poems, stories etc etc—-with the same interest as we do
on flowers, or any other humble production of nature; finding a
beauty and fitness even in the poorest of them which we cannot see
in the best.(17h)
It is a fanciful idea, not a serious one.
"Generally, I suspect, when people throw off the faith they
were born in, the best soil of their hearts is apt to cling to its
roots.”(I7f>) In England, in Rome, however far from the land of his
ancestors Hawthorne journeyed, he never relinquished his birthright.
The roots were in Puritanism and they were infinitely deep.
Calvin was certain that the day of judgment would see numerous
souls fallen into HeU. "For those whom the lord does not favour with
the government of his Spirit, he abandons, in righteous judgement, to
the influence of Satan.Yfhile there are abundant comments by
Hawthorne affirming his mental and emotional acceptance of God and
Heaven, there is little or no evidence, outside of fictional
representations, that the novelist countenanced a literal belief in
Satan and Hell. At times, he seems to take what is tantamount to the
existentialist view that man is his own hell. "At the last day—I
presume, that is, in all future days, when we see ourselves as we are—
man's only inexorable judge will be himself, and the punishment of his
sins will be the perception of them."(176) Satan and Hell find little
room in Hawthorne's world of ideas, yet it is true that he utilized
them as dramatic features of his tales. It is conceivable that Satan
^Calvin, Institutes, I, 33i>«

7k
and Hell, in their traditional employment as fictional entities, are
known to the Hawthorne intellect as convenient metaphors for evil; even
though they are not wholly discarded from an emotional standpoint.
A blacksmith may perform his tasks in a religious manner.
Calvin and the Puritan fathers had preached the doctrine that work is
worship. ,riTe do ourselves wrong, and too meanly estimate the Holiness
above us, when we deem that any act or enjoyment, good in itself, is
not good to do religiously."(177)
Hawthorne chose to comment on the brighter aspects of religion
rather than the darker ones. Religion is seen as more than a way of
life; it becomes life itself. Purity, goodness, humility are commended
as earthly manifestations of divinity.
Formal Religion
Hawthorne’s irreligión consisted in his not attending church:
as a child, he was rarely present at Sunday services; during his
courtship, Sophia could not prevail upon him to hear visiting
ministers; in England, he sent the children to church and felt much
better thereby, but did not go himself. There was no one sect with
sufficient answers for Hawthorne’s questioning mind. He had cast off
some vital Puritan beliefs as untenable, but he failed to find comfort
in the rationalistic program of New England Unitarianism. The eternal
wrangling over minute doctrinal points, which formal religions
frequently engage in, was especially repugnant. Hawthorne dwelt in a
subjective religious world which felt no need for the objective act of
church going.

75
"0, but the church is the symbol of religion. May its site,
which was consecrated on the day when the first tree was felled, be
kept holy forever, a spot of solitude and peace, amid the trouble and
vanity of our week-day world!"(178) Tihile the church had slight
appeal to Hawthorne the individual, he heartily recommends it for the
rest of mankind. The Church, however, may be found in the individual
heart with more certainty than in the visible church building.
Clerical people, with their dust-destined volumes, failed to
make a favorable impression. "I find that my respect for clerical
people as such, and my faith in the utility of their office, decreases
daily. We certainly do need a new revelation—a new system—for there
seems to be no life in the old one."(179) There is more than one
appeal by Hawthorne for a new apostle to rescue Protestantism from
stagnant waters.
One of the most disconcerting aspects of formal religion is
that it rapidly grows intolerant. This schismatic tendency of
Protestantism is as old as time. Sects tend to pull apart rather than
draw together in a mutual effort for a common cause.
Each sect surrounds its own righteousness with a hedge of
thorns. It is difficult for the good Christian to acknowledge the
good Paganj almost impossible for the good Orthodox to grasp the
hand of the good Unitarian, leaving to their Creator to settle the
matters in dispute, and giving their mutual efforts strongly and
trustingly to whatever right thing is too evident to be
mistaken.(180)
Simplicity is the keynote of religion. Books of religion, many
of which Hawthorne had thumbed, seemed to him to miss the heart of the
matter.
Books of religion, however, cannot be considered a fair test

76
of the enduring and vivacious properties of human thought, because
such books so seldom really touch upon their ostensible subject,
and have, therefore, so little business to be written at all. So
long as an unlettered soul can attain to saving grace, there would
seem to be no deadly error in holding theological libraries to be
accumulations of, for the most part, stupendous impertinence.(l8l)
Notwithstanding an evident disdain of theological tomes, there
is every indication that Hawthorne held the Bible to be the inspired
word of God. In a letter to his publisher, James T. Fields, in i860,
there is a tribute to the saving powers of the Scriptures:
Did I not suggest to you, last summer, the publication of the
Bible in ten or twelve 12 mo volumes? I think it would have great
success, and, at least (but, as a publisher, I suppose this is the
very smallest of your cares), it would result in the salvation of
a great many souls, who would never find their way to heaven, if
left to learn it from the inconvenient editions of the Scriptures
now in use.**0
By 1858, Hawthorne had increasingly come to feel that
Protestantism needed rejuvenation. "Protestantism needs a new apostle
to convert it into something positive. . . ."(182) In the same year
he made his first real acquaintance with Catholicism,^- and was both
attracted and repelled by what he found. ,flhat better use could be
made of life, after middle-age, when the accumulated sins are many and
the remaining temptations few, than to spend it all in kissing the
black cross of the Coliseuml’*(l83) "While Catholicism, especially the
Roman Popes, evoked rather harsh criticism and satirical thrusts from
Hawthorne, he discovered that certain practices of the Catholic faith,
notably the confessional, deeply appealed to him.
^Ajames T. Fields, Yesterday with Authors (Boston, 1900), p. 95»
^â– Hawthorne's youngest daughter, Rose, became a Catholic convert
some years after her father's death.

77
The Catholic Church is praiseworthy in that it keeps religion
present to the daily life of man.
Whatever may be the iniquities of the papal system, it was a
wise and lovely sentiment that set up the frequent shrine and cross
along the roadside. No wayfarer, bent on whatever worldly errand,
can fail to be reminded at every mile or two, that this is not the
business which most concerns him. The pleasure-seeker is silently
admonished to look heavenward for a joy infinitely greater than he
now possesses. The wretch in temptation beholds the cross, and is
warned that, if he yield, the Saviour’s agony for his sake will
have been endured in vain.(l8U)
Catholicism continually reminds her followers of life’s deeper
meanings. Hawthorne is more than superficially attracted by
Catholicism, but it is extremely doubtful that he would have ever
become a convert. His energy for any sort of outer participation in
religion was quite feeble.
Since the miverse in which he found himself was predominantly
moral, Hawthorne felt man’s chief business and urgent problem to be a
sufficient morality.^ Calvinism had provided an intellectual
background steeped in morality.
Calvinism in fact is not essentially a systematic body of
doctrine. Its essence is revealed in that which Calvin consistently
strove to effect and actually succeeded in effecting in no small
degree—the moralisation of all life by religion.h3
Hawthorne’s religion is not formally Calvinistic in that it is
not Trinitarian, and in that it finds no faith in "election" and
"irresistible grace." literal Satans, literal Hells, and the angry
God of early New England are not taken seriously. Hawthorne did
^Vemon L. Parrington, Main Currents in American Thought (New
York, 1927), II, bk2.
p. 298
^3a. Mitchell Hunter, The Teaching of Calvin (London, 1950),

78
believe in the soul, in immortality, in a God with the attributes
which Christian theology reiterates, and in the saving power of the
Holy Writ. Goodness in this life is to be rewarded by heaven; man's
sins are to be punished, possibly through a persistently conscious
dwelling with those very sins. Heaven is to compensate man for an
imperfect earthly life.
"Hawthorne's religious faith was of an almost childlike
simplicity, though it was as deeply rooted as his life itself."^*
Religion is not that urge which brings man to church on Sunday, but it
is that, instead, which gives meaning and color to all life's actions.
Inklings of doubt, if they occurred, were quickly lost in the certainty
of a naive but admirable faith. Sophia's unstinting belief in God must
have given added impetus to that intuitive faith which her husband
possessed. "He deeply accepted his wife's rejoicing faith, and
perceived the limitations of reason."^
God in his pure form, considered apart from Providence, is far
more of the paternal being and less of the almighty spirit than might
be suspected. The further Hawthorne moved into abstraction and away
from the dance of life, the more optimistic he became. Thus Providence,
as the chief protagonist of the texture of life, is seen in rigid gray
lines. The workings of Providence are visible to the Hawthorne eye;
hence they are instinctively intellectualized with immediate pessimism,
although the long look at Providence, unobtainable in this sphere, is
^Julian Hawthorne. "Hawthorne's Philosophy," The Century
Magazine, XXXII (May, 1886),.91.
^Julian Hawthorne, Memoirs, p. 16.

79
an optimistic one. To God, on the other hand, felt through the
unlettered heart, is ascribed warm and personal, almost sunshiny
attributes.
Jesus affords a special interpretative problem. He enters
Hawthorne's writings only in brief and scattered passages. Nowhere is
the Hawthorne intellect seriously concentrated on the question of his
divinity. However, in a letter to Sophia, written the 2l|th of December
1839, the would-be husband in alluding to the fact that the Custom
House employees must work on Christmas day, makes warm mention of Jesus.
"The holiest of holydays—the day that brought ransom to all other
sinners—leaves us in slavery still.Although he had discarded a
belief in the divinity of Jesus, possibly Hawthorne had not completely
shaken it from his mind.
Religion is traditionally one of the most significant
institutions confronting man in society. All life is a religious
reflection, for religion as an institution casts its shadow over the
whole scope of human activity. It is not suggested that Hawthorne was
pious, notably devout, or in any way a proselytizer of the good lifej
but rather that he saw the ephemeral procession of life as a somber
one, and that he recognized religious faith as the one necessary
accompaniment to mortal man's procession.
h6Love Letters, I, 118.

CHAPTER V
SOCIETY
Social and civic institutions, Hawthorne scans with a practical
but slightly jaundiced eye. Society in its greater sense, and
political society more specifically, are to be interpreted as earthly
actualities, conceived and perpetuated by man out of his need for
cooperation and for his own convenience. In contrast to the
imponderable presence of a religious force which dwells both above man
and within his individual heart, and which renders every action both
moral and meaningful, society emerges as a gross superficiality. This
is not to imply that institutionalized social forces are not central
to earthly life—for they are indeed a prime concern—but rather that
they are not spiritual in essence.
Religion, while it is simultaneously the most immediate and the
most ultimate of actualities, and while it enters somehow into all
actions, allows man free rein to work out his social living in his own
limited and blundering way. Somehow, man, with all his spiritual
shortsightedness, caught up in marble and mud—man who goes wrong more
often than right—somehow, he constructs upon the social appetite a
formalized mode of life which regulates his earthly intercourse and
which he recognizes as society. The social way is the natural way—in
so far as the urge to group is as dominant as the urge to mate—yet,
when seen in its refined form, institutionalized and standardized
80

81
society may be viewed as a monument to man’s tendency to err.
In close conjunction with the social process, tradition looms
ominous. In effect, it is tradition which nourishes and hands forward
the more formalized and the more habitual aspects of the communal way.
Man, wherever he might seek release, continually stumbles beneath the
heavy weight of tradition. At times, tradition appears to the
Hawthorne mind as an insidious pressure, distinct from yet intimately
linked to social living. Less frequently it is seen as a worthwhile
agent of conservatism.
Tradition
The Hawthornian analysis of tradition is overwhelmingly
consistent to the point of monotony. The principal concern is for the
decay, the sterility, the effeteness accompanying tradition. Life
requires periodical renewing, for ’’Human nature will not flourish, any
more than a potato, if it be planted and replanted, for too long a
series of generations, in the same worn-out soil.”(185) Even though
tradition propagates and increases the oppressive weight on man’s
shoulder, its conservative influence is a utilitarian one. "This long
connection of a family with one spot, as its place of birth and burial,
creates a kindred between the human being and the locality, quite
independent of any charm in the scenery or moral circumstances that
surround him. It is not love, but instinct.”(186) An appetite for
the land, of the kind expressed in Tennyson's "Northern Farmer Old
Style," presents the nobler countenance of tradition. Unfortunately,
as is the case with many a pure desire, evil adheres to its practical

82
evolution.
Undoubtedly, the five generations of Puritan ancestors which
had preceded Nathaniel Hawthorne, as well as the spirit of Salem
itself, were in his blood. He could not rid himself of this profound
influence.^? It is this sort of tradition—the double-barreled
internal pressure of heredity and environment—’Which confounds
Hawthorne. To escape from tradition is to escape from one's physical
self.
"The evil of these departed years would naturally have sprung
up again, in such rank weeds (symbolic of the transmitted vices of
society) as are always prone to root themselves about human dwellings."
(l87) There is a heavy insistence that decay and vice invariably
follow the passage of time and that a dwelling enriched by age evinces
the mouldy face of evil. Tradition transmits that evil.
Hence, too, might be drawn a weighty lesson from the little
regarded truth, that the act of the passing generation is the germ
which may and must produce good or evil fruit in a far-distant
timej that, together with the seed of the merely temporary crop,
which mortals term expediency, they inevitably sow the acorns of a
more enduring growth, which may darkly overshadow their posterity.
(188)
Good, which may theoretically be transmitted, tends to melt before the
glare of its darkened antithesis.
Vice is robust and free roaming, not caged and sickly; it is an
untamed entity swept .forward by tradition.
Not to be deficient in this particular, the author has
provided himself with a moral,—the truth, namely that the
wrong-doing of one generation lives into the successive ones, and,
^Manning Hawthorne, "Hawthorne's Early Years," Essex Institute
Historical Collections, LXXIV, 21.

83
divesting itself of every temporary advantage, becomes a pure and
uncontrollable mischief; and he would feel it a singular
gratification if this romance might effectually convince mankind—
or, indeed, any one man—of the folly of tumbling down an
avalanche of ill-gotten gold, or real estate, on the heads of an
unfortunate posterity, thereby to maim and crush them, until the
accumulated mass shall be scattered abroad in its original
atoms.(18?)
Each generation, if it is to breathe a pure air and labor with any
degree of freedom, must somehow find release from the ever-increasing
pressures of its past. Prom the point of pure theory, in the purely
abstract realm, Hawthorne is seen as a would-be reformer of society,
as a reader of Rousseau. He is seen as one who wishes man freed from
the accumulated artifice of civilization. Actually, however,
Hawthorne’s practical recognition of the incorrigible yet necessary
nature of man's physical sojourn belies the ideal.
"Tradition,—which sometimes brings down truth that history
has let slip, but is oftener the wild babble of the time, such as was
formerly spoken at the fireside and now congeals in the newspapers,—
tradition is responsible for all contrary averments."(190) Tradition,
in whatever manner it is perpetuated, speaks with an absolute voice.
Yet, mere age fails to impress Hawthorne. He is interested in values
rather than the purely antique. "An old thing is no better than a new
thing, unless it ¡be] a symbol of something, or have some value in
itself."(191)
Complete detachment from the past is impossible. Individuals
and nations may change their minds, but they cannot change their
history. Apparent change and newness is somehow connected with past
events. Man continues to build onto the material and mental structures

of past ages, and in so doing drags behind him, like the chambered
nautilus, an outgrown past.
The fact is, the world is accumulating too many materials for
knowledge. We do not recognize for rubbish what is really rubbishj
and under this head might be reckoned almost everything one sees in
the British Museumj and as each generation leaves its fragments and
potsherds behind it, such will finally be the desperate conclusion
of the learned.(192;
The present is burthened too much with the past. We have not
time, in our earthly existence, to appreciate what is warm with
life, and immediately around usj yet we heap up all these old
shells, out of which human life has long emerged, casting them off
forever. I do not see how future ages are to stagger onward under
all this dead weight, with the additions that will be continually
made to it.(193)
If only man were allowed to start afresh, though Hawthorne sees no
effective means of casting aside outmoded paraphernalia, then and only
then would the transmitted sears of society heal in the new enthusiasm
of fresh conquest. It is a young idea, a liberal idea, but scarcely a
well-rounded one. When Hawthorne cries out that dead weight makes
progress difficult, that society should amputate its withered limbs,
he begins and ends with the same lament, but fails to provide the
necessary surgical implements.
"But methinks it must be weary, weary, weary, this rusty
unchangeable village-life, where men grow up, grow old, and die, in
their fathers' dwellings, and are buried in their grandsires'very
graves, the old skulls, and cross-bones being thrown out to make room
for them, and shovelled in on the tops of their coffins."(l9li) The
spectacle of a traditional life led in an unthinking manner is a
depressing one, for it is felt that the person observed never comes
alive. Hawthorne admits his own need for a physical rut, for a calm

8f>
external routine, to free his mind for action. The observed failure
of a mind lost in traditional ways to once flex its muscles is most
deplorable; mental fixedness is to be avoided at all costs.
Man's only release from tradition comes through fire and death.
These two purifying agents are applied by Hawthorne to both the
individual and the group problem, "-fill towns should be made capable of
purification by fire, or of decay, within each half-century. Otherwise,
they become the hereditary haunts of vermin and noisomeness, besides
standing apart from the possibility of such improvements as are
constantly introduced into the rest of man's contrivances and
accommodations."(19$) It is criminal to foist the present onto unborn
generations—to pass on old homes, old ways, and old evils. Ideally,
man should be allowed a new cycle each fifty years.
Late in his life, in 1862, the graying novelist appears to
contradict his earlier conclusions. Such reversals of position are
exceedingly rare, for Hawthorne normally probes and elaborates his
ideas in an amazingly consistent manner. It is not his wont to jump
from a considered opinion to its very opposite. Frequently, the
Hawthornian paradox is nonexistent when the surface contradiction is
evaluated in terms of the over-all thought pattern. In other
instances, the intellectual phase of the writer's personality gives
ground to temporary emotional outbursts or even to petty grievances.
Then, too, Hawthorne is known to have occasionally spoken with tongue
in cheek.
The sentiment expressed but two years prior to the novelist's

86
death is readily seen as a more conservative and perhaps a more
reasoned approach to the problem.
It may seem to be paying dear for what many will reckon but a
worthless weed; but the more historical associations we can link
with our localities, the richer will be the daily life that feeds
upon the past, and the more valuable the things that have been
long established: so that our children will be less prodigal than
their fathers in sacrificing good institutions to passionate
impulses and impracticable theories.(196)
The bulk of Hawthorne's criticism of tradition decries the immense
burden of a perpetuated evil. It fails to recognize that "good" may be
transmitted to any worthwhile degree; it fails to give full recognition
to tradition as a stabilizing element in society. Finally, when the
author comes to speak of "good institutions," it is with the voice of
an old man—one made more malleable and more conservative by a long and
sharp engagement with life. The more balanced view, arrived at late in
life, scarcely represents the dominant Hawthorne notion.
Nathaniel Hawthorne was born into a town overladen with old
houses, old customs, old legends, and old evils. He inherited the rich
and shadowy past of the Hawthorne family. On his maternal side, the
Mannings were equally tradition-conscious. Mary Manning, the youth's
aunt, had steeped him in New England lore. Then, too, from infancy he
was made aware that certain accomplishments were expected of a
Hawthorne. He rebelled against those expectations in taking up the
pen. Perhaps the constant nagging of grandmother Manning and the
Manning uncles had much to do with that rebellion. In any event,
Hawthorne never quite came to a balanced understanding of tradition.
His rebellion, for all its vinegar and impishness, is not an entirely

87
illogical one when viewed in the light of the youth’s upbringing.
' One too keenly attuned to the world’s evil could not help
feeling that any carry-over from the past is essentially an evil one.
Tradition gives rise to social as well as personal problems.
Intellectually and emotionally Hawthorne is repeatedly called on to
face tradition. He recognized it for what it appeared to him,
scrutinized it in the dark light of lifes’s prenatal influences, but
never quite knew what to make of it.
Society at Large
’’Man is naturally a sociable beingj not formed for himself
alone, but destined to bear a part in the great scheme of nature. All
his pleasures are heightened, and all his griefs are lessened, by
participation. It is only in Society that the full energy of the mind
is aroused, and all its powers drawn forth."(197) At age sixteen,
some years before the artistic Hawthorne was to hesitate sensitively
on the brink of society, the adolescent Hawthorne offers a lucid
statement of social necessity. Together with a recognition of that
necessity, the youth unhesitatingly affirms the nature of the social
problem and the inevitable choice of answers which an individual must
make. "Perhaps life may pass more tranquilly, estranged from the
pursuits and the vexations of the multitude, but all the hurry and
whirl of passion is preferable to the cold calmness of indifference."
(198) After endless encounters with the crass actuality of social
existence, after numerous cries of pain, Hawthorne is led, through
living and through observing the life pattern of others, to accept in

88
his later years the prophetic statement of his adolescent self.
Though the appetite for society is genuine enough, the edifices
erected on that urge are shallow and vain. "Alas that the vanity of
dress should extend even to the gravel” (15*9) With all deference to
the English poets of the eighteenth century, Hawthorne takes up the
theme of man's vainglory. When the visible workings of society are
seen apart from the shining theory which mandates them, they wear
conspicuously the stamp of man's imperfectibility.
"Amid the seeming confusion of our mysterious world,
individuals are so nicely adjusted to a system, and systems to one
another and to a whole, that, by stepping aside for a moment, a man
exposes himself to the fearful risk of losing his place forever."(200)
Society mechanically thrusts itself forward on an uncharted track.
Once the individual withdraws from its intricate train of movement he
never regains his former seat. Those who remain "shivering behind" can
but marvel at the unfeeling complexity of that in which they once
participated. Hawthorne unquestionably believes, at this stage in his
development, that a functional society, moulded by man of artificial
ingredients, lacks spiritual substance. Society is binding on man in
that acquiescence to it is necessary for a balanced participation in
this life, yet it is factitious in that it is born of man’s short and
shallow view.
By the sheer force of its routine, the social way provides a
needed fortress for the individual. Yet at the same time it is so
superficially fashioned, so lacking in spiritual fiber, that it can
scarcely withstand a sharp interruption of its order.

89
A revolution, or anything that interrupts social order, may
afford opportunities for the individual display of eminent virtues
but its effects are pernicious to general morality. Most people
are so constituted that they can be virtuous only in a certain
routine, and an irregular course of public affairs demoralizes
them.(201)
Society does render surface satisfaction in providing a necessary
stabilization, for "It is one great advantage of a gregarious mode of
life that each person rectifies his mind by other minds, and squares
his conduct to that of his neighbors, so as seldom to be lost in
eccentricity."(202) It is through social interplay that balance and
perspective are attained and that an adjustment to group living is
secured.
Social life’s entire structure, however ordered on its crust,
stands out to the Hawthornian eye as little more than an ingenuous
personification of man's depravity. "We who are born into the world’s
artificial system can never adequately know how little in our present
state and circumstances is natural, and how much is merely the
interpolation of the perverted mind and heart of man."(203) Julian
Hawthorne, although normally blind to the inner workings of his father's
mind, was astute enough to recognize that "Another of Hawthorne's
strongest perceptions was of the artificiality of our present
civilization and of the superfluities and absurdities to which custom
has insensibly blinded us."^® As a novelist, Hawthorne was uniquely
qualified to write on the necessary adjustment of the individual to
society; for having remained on the outer rim of social activity for
Julian Hawthorne, "Hawthorne’s Philosophy," Century, XXXII, 90

90
twelve years, he saw the problem of participation with an excessively
sharp focus.
"The advance of man from a savage and animal state may be as
well measured by his mode and morality of dining, as by any other
circumstance." (201;) Society's plane is a cultivated and refined one.
The exact state of a civilization may be observed in its outer manners,
for society at large is so constituted that its degree of perfectibility
may be taken on a surface reading. Hawthorne is not certain, when he
carefully considers the possibilities of man in society, that there has
been any internal advancement beyond the primitive state.
It is the impersonal and essentially heartless quality of the
social order that Hawthorne most abhors.
In this republican country, amid the fluctuating waves of our
social life, somebody is always at the drowning-point. The tragedy
is enacted with as continual a repetition as that of a popular
drama on a holiday; and nevertheless, is felt as deeply, perhaps,
as when an hereditary noble sinks below his order. More deeply;
since, with us, rank is the grosser substance of wealth and a
splendid establishment, and has no spiritual existence after the
death of these, but dies hopelessly along with them.(205)
The American social tendency toward an aristocracy of wealth is
lamented as the peculiar shortcoming of a people keyed to materialistic
values•
Although Hawthorne censures what seems to him an artificial
mode of social conduct, he hastens to accept as valid the appetite upon
which that mode has arisen. He speaks of a great chain of belonging.
Mankind's gregarious inclinations lead him to look askance on those who
attempt to stand apart. "But the sympathy or magnetism among human
beings is more subtile and universal than we think; it exists, indeed,

91
among different classes of organized life, and vibrates from one to
another.”(206) If humanity would but allow its brotherhood to assert
itself in a natural way, then all things would be possible. But there
is a still more powerful force in man yet to be reckoned with—one
which never changes, one which makes impossible a genuine social union.
Noble theories fall short of their mark when actuated by a selfish and
evil humanity. Nonetheless, in spite of the corrupt practice through
which it becomes manifest, the gregarious inclination exists in a pure
form.
This then is the nature of that institution governing man's
conduct, that it beats down upon him, wearies him, yet demands his
participation. Man must assume his function in a society propagated
by tradition and grounded in superficiality. He must remain a helpless
witness to the world's vanity "For, has not the world come to an
awfully sophisticated pass, when, after a certain degree of acquaintance
with it, we cannot even put ourselves to death in whole-hearted
simplicity?" (207) Man must come to realize that society has
progressed away from native joy and simplicity and into a realm of
unwholesome artifice.
Not that the modes and seeming possibilities of human enjoyment
are rarer in our refined and softened era,--on the contrary, they
never before viere nearly so abundant,—but that mankind are getting
so far beyond the childhood of their race that they scorn to be
happy any longer. A simple and joyous character can find no place
for itself among the sage and sombre figures that would put his
unsophisticated cheerfulness to shame. The entire system of man's
affairs, as at present established, is built up purposely to
exclude the careless and happy soul. The very children would
upbraid the wretched individual who should endeavor to take life
and the world as—what we might naturally suppose them meant for—
a place and opportunity for enjoyment.(208)

92
Humanity is seldom very clever at satisfying the possibilities
of its finite range. "I sometimes apprehend that our institutions may
perish before we shall have discovered the most precious of the
possibilities which they involve."(209) Still, man must work
diligently to perfect this world; he must reinforce, whenever and
however possible, the necessary stable structure of society.
In times of revolution and public disturbance all absurdities
are more unrestrained; the measure of calm sense, the habits, the
orderly decency, are partially lost. More people become insane, I
should suppose; offences against public morality, female license,
are more numerous; suicides, murders, all ungovernable outbreaks of
men's thoughts, embodying themselves in wild acts, take place more
frequently, and with less horror to the lookers-on.(210)
Social organization, that regulatory force which gives comfort to the
individual, in spite of its unnaturalness, is far preferable to chaos—
to the wildness of a primitive state, or to the iciness of a solitary
one. It is not that primitive man is morally inferior to his
cultivated brother, but that he is not as well oriented to the outer
"procession of life."
Finally, Hawthorne speaks with a modern voice in recognizing
that environment helps determine the finished social product. "Space,
a free atmosphere, and cleanliness have a vast deal to do with the
possibilities of human virtue."(21l) Man cannot be held totally
responsible for a free shaping of his own life, for tradition and
environment limit human potentialities. Heredity alone does not
sufficiently account for the development of the individual. A muddy
environment rarely produces white marble figurines.
Hawthorne is interested in the phenomenon of society as the
superficial actuality of a binding human propensity; he is interested

93
in the complexity of the individual as he relates to that propensity
and to that actuality^ he is interested in the nature of the social way
itself. Above all, he is enchanted by that which lies beneath and
regulates the achievements of any social organization. However
obligatory the existence of a man-made social order, however necessary
that the individual participate therein, the system itself is viewed
with a Rousseauistic disdain. It is at this point that the kinship
with the French philosopher ends, howeverj for Hawthorne perceived human
nature to be everywhere alike at all times. It is unfortunate but true
that the noble savage, if left to himself, would evolve in due time a
new society equal to the one now functioning with its characteristic
short-sightedness.
Political Society
Although he was intimately linked with politics the last
twenty-five years of his life, Hawthorne reacts in a decidedly negative,
almost vitriolic manner, to political society. “It is only fair to say,
however, that his political activity was motivated by financial
necessity."^ Had Hawthorne achieved the early recognition merited by
his short stories, and had writing been sufficiently lucrative for a
family man, he would probably have hesitated before accepting a
political appointment. He was forced in earning a livelihood to enter
the unlovely, materialistic realm of practical politics. "I do detest
all offices—all, at least, that are held on a political tenure. And
^Randall Stewart, “Hawthorne and Politics: Unpublished Letters
to William B. Pike," Hew England Quarterly, ? (April 1932), 239.

9k
I want nothing to do with politicians—they are not men; they cease to
be men, in becoming politicians."(212)
Hawthorne took little pride in his political duties. "How
unlike, alas! the hang-dog look of a republican official, who, as the
servant of the people, feels himself less than the least, and below the
lowest, of his masters."(213)
An effect—which I believe to be observable, more or less, in
every individual who has occupied the position—is, that, while he
leans on the mighty arm of the Republic, his own proper strength
departs from him. He loses, in an extent proportioned to the
weakness or force of his original nature, the capability of
self-support. If he possess an unusual share of native energy, or
the enervating magic of place do not operate too long upon him, his
forfeited powers may be redeemable. (2IÍ4)
In contrast to Whig policy, Hawthorne, as a democrat of his times,
advocates the Jeffersonian ideal of the least possible government. Both
as a democrat and as a provincial New Englander, he preferred local and
state sovereignty to a centralization of national powers.
Political salaries are seen to be somewhat tainted and fully
capable of stifling initiative.
Uncle Sam’s gold—meaning no disrespect to the worthy old
gentleman—has, in this respect, a quality of enchantment like that
of the Devil’s wages. Whoever touches it should look well to
himself, or he may find the bargain to go hard against him,
involving, if not his soul, yet many of its better attributes; its
sturdy force, its courage and constancy, its truth and self-reliance,
and all that gives the emphasis to manly character.(215)
While the theory of democracy is the best one under which a people may
govern themselves, democracy in practice abounds with smoke-filled
rooms. "The popular voice, at the next gubernatorial election, though
loud as thunder, will be really but an echo of what these gentlemen
shall speak, under their breath, at your friend's festive board."(216)

95
Jonathan Chilley was the first friend to push Hawthorne into
the political arena. After Franklin Pierce's election as President in
1852, the political future of the novelist was assured. Although
Hawthorne served competently as a consul at Liverpool, he realized that
the American political society was not especially wise in selecting its
representatives.
An appointment of whatever grade, in the diplomatic or consular
service of America, is too often what the English call a "job";
that is to say, it is made on private and personal grounds, without
a paramount eye to the public good or the gentleman’s especial
fitness for the position.(217)
The patronage system, as it had blossomed after the Jackson
administration, considered merit only accidentally. Hawthorne, in his
downright honesty, lamented the sad state of affairs which bequeathed
him the choice political plum of the Liverpool consulship.
Society surrounds man at every turn as an external home in
which all must accustom themselves to a like degree. While it is
preferable to no home, the solitary way, it is scarcely a warm
residence. Hawthorne continually pushes aside the outer covering and
looks beneath at those human limitations which permit only a factitious
social structure. Yet, as an expedient of daily life, society is to be
reckoned with above all other institutions. The individual must mask
his face, march with the rest of mankind, adjust to man’s ways, and
conform to man’s dictates. Not to do this is death.

CHAPTER VI
WOMEN
In the variety of her total role as idol, -wife, homemaker, and
mother, woman stands out as an institutional force in the Hawthomian
world of ideas. She is significantly functional on both a physical and
a spiritual level rather than merely, ornamental. There can.be.no doubt
that Hawthorne idealized woman—that he held her to be infinitely more
ethereal than her male counterpart—yet interestingly enough the
seemingly superficial structure of this ideal concept is rich in
philosophical overtones.
Secluded domesticity, whose very core is womanhood, provides
man with a most gracious compensation for the crass necessity of social
participation. The domestic institution affords a partial release, the
most universally accessible one, from an essentially somber compound.
Although an old-fashioned approach to the gentle but complicated sex
may well appear Victorian, unrealistic, or just plain naive—and it is
admittedly all of these—it furnishes at the same time, through its
fixing of woman’s place in the over-all scheme of being, a wholesome
array of ideas. The Hawthornian conception of womanhood,however
much it might disconcert the modern woman, has its roots in an
i&For the best discussion of the types of womanhood which
Hawthorne portrays in his fiction see Randall Stewart’s introduction to
his edition of The American Notebooks, pp. lv-lxi.
96

97
imaginative morality rather than in prejudice. It is not out of hatred
that the visible function of woman is to be limited, but out of respect.
In truth, when looking beneath the surface, one sees the greater
function of womanhood operating in an almost boundless sphere.
There is a temptation to dismiss numerous Hawthorne statements
revealing a distaste for certain types of femininity—old women, fat
women, ugly women, and, above all, "public" women—as a matter of
personal taste. A far wiser view would consider his ill-natured
remarks as typical responses born of a reverence for what was felt to
be the true function of womanhood. When a Hawthornian precept is
violated, the novelist is not long silent.
The Function of Women
While there is comparatively little inquiry into woman's
biological, mental, and emotional make-up, there is an intense interest
in the over-all function of the sex. "Woman' s intellect should never
give the tone to that of man; and even her morality is not exactly the
material for masculine virtue."(218) The dividing line between male
and female nature is a hard and fast one. Woman approaches that which
is etherealj man, if left to himself, that which is bestial. It is
because woman is so dissimilar to. man, not because she resembles him,
that the two in union handsomely complement each other. Woman's tasks
are not man's tasks; her ways are not his ways; her functions are not
his functions. The male treads clumsily in mud, is forced into social,
economical, and political thoroughfares; the female, a domestic
creature, is comparatively sheltered from the harsh actualities of a

98
masculine world.
Hawthorne proposes a distinction between the ways of the head
and the ways of the heart. In every eventuality he sides with the
heart. The assertion that "it is only when the heart is touched that
we become beings of reality" was not a reluctant one, for it betokens
an intuitive and emotional acceptance of life rather than a merely
rational one. In accord with this knowledge, woman, as a creature of
the heart, is seen to be superior to man, a creature of the head.
"Blessed be woman for her faculty of admiration, and especially for her
tendency to admire with her heart, when man, at most, grants merely a
cold approval with his mind!"(219) Woman, by virtue of her proximity
to the primal source of all life, approaches spirituality in her
earthly form. Mind alone is but coldness and errorj heart alone
furnishes.truth and warmth. The two may unite, balance, and nourish
one another in a proper wedding of the sexes.
In his love affair with Sophia, who appears to Hawthorne as a
personification of all that is best in womanhood, he persistently
idealizes the function of his betrothed. She is to serve both as a
sanctified filter for the coarser attributes of man and as a visible
symbol of the immortal state.
No one, whom you would deem worthy of your friendship, could
enjoy so large a share of it as I do, without feeling the
influence of your character throughout his own—purifying, his aims
and desires, enabling him to realize that this is.a truer world
than the feverish one around us, and teaching.him how to gain daily
entrance into that better world.51
^llove Letters, I, 5.

99
"The angel and apostle of the coining revelation must be a woman
indeed, but lofty, pure, and beautiful; and wise, moreover, not through
dusky grief, but the ethereal medium of joy; and shewing how sacred love
should make us happy, by the truest test of a life successful to such
an end!”(220) For the first time, a notion of the spiritual quality
of beauty intrudes itself. Hawthorne unfailingly links, or perchance
confuses, beauty with virtue. TShile he is extremely fond of a
beautiful and pure woman, for he sees in her that which is of the
essence of angels, he cares little enough for an ugly woman no matter
how virtuous she might be.
Woman, a protected creature, is to rely on her mate for the
provision of physical necessities. She is not to become more mannish
by intruding herself into ordained male functions, but is to ply the
needle in domestic contentment. "It was the art—then, as now, almost
the only one within a woman’s grasp—of needlework."(22l) As a woman
moves away from her assigned realm, she becomes correspondingly less
feminine, and infinitely less attractive to Hawthorne. "Women derive
a pleasure, incomprehensible to the other sex, from the delicate toil
of the needle."(222) Needlework is a woman’s sphere; it provides her
with sufficient artistic outlet. It is inconceivable that a woman
could desire or need anything more—that she could be anything less
than delighted with her homemaking chores.
In addition to her native talent for sewing, woman is endowed
with the ability to raise and care for flowers. "This affection and
sympathy for flowers is almost exclusively a woman's trait. Men, if

100
endowed with it by nature, soon lose, forget, and learn to despise it,
in their contact with coarser things than flowers.”(223) Woman is
thus tightly limited in her sphere of mortal activity—not from a
selfish desire to protect the male prerogative by stifling woman's
outlets, but in a valiant effort to prohibit her contact with the crass,
gray, worldly procession. Through protection and non-participation a
woman continues to function in a pure and simple realm. Man, forced
out of the home and into a full participation with all that is ignoble,
invariably grows callous by contrast. Yet it is only fitting that man
should shoulder his social obligations while striving at the same time
to shield his wife.
Needlework, with its faintly artistic coloring, is
enthusiastically pointed out as a safe and proper channel for feminine
talent.
There is something extremely pleasant, and even touching,—at
least, of very sweet, soft, and winning effect,—in this peculiarity
of needlework, distinguishing women from men. Our own sex is
incapable of any such byplay aside from the main business of life5
but women—be they of what earthly rank they may, however gifted
with intellect or genius, or endowed with awful beauty—have always
some little handiwork ready to fill the tiny gap of every vacant
moment.(22U)
This tender plying of the needle unites woman with the more gentle
interests of life, and thereby allows expression of her inmost nature.
The womanhood of Hawthorne's day desired, or appeared to desire, little
more freedom than Hawthorne would allow her. America, then, was
substantially more of a patriarchy than at present. Although the
ungentle voice of the "feminist” movement was beginning to make itself
heard, traditional sentiment remained closer to the Hawthorne view.

101
Woman’s place is perennially at home. In return for that
sweet completeness which she provides, woman is man’s responsibility.
If she would but wholeheartedly trust herself to masculine
protectiveness, then might her nature reach its fullest potential.
In ninety-nine cases out of a hundred, the apprehensiveness of
women is quite gratuitous. Even as matters now stand, they are
really safer in perilous situations and emergencies than menj and
might be still more so, if they trusted themselves more confidingly
to the chivalry of manhood.(22$)
While the feminine function is in some ways a limited one—
especially in that needlework and flowers are considered sufficient
outlets for artistic energies—still, in its primary duty as a
complement to masculine nature, woman’s role in the total drama looms
equally as vital as man’s. Woman, since she is predominatingly heart
and hence more spiritual, shines forth as a purifying agent for all
that is corrupt. By virtue of her traditionally sheltered way, woman
retains more or less intact that which is childlike and divine.
Young Women
Throughout the great range of womanhood—from nuns to
novelists—Hawthorne’s special favorite was a beautiful young woman.
Not a young woman alone, not a young. and virtuous woman, but a
"beautiful” young woman came to represent the zenith of perfection in
this life.
Beauty always captivated him. Where there was beauty he
fancied other good gifts must naturally, be in,possession. During
his childhood homeliness was always repulsive to him. When a
little boy he is remembered to have said to a woman who wished to
be kind to him, ”Take her awayJ She is ugly and fat, and has a
loud voice.”52

102
From childhood to death, Hawthorne harbored an almost abnormal
detestation for that which was ugly.53
•'But slight the change, sweet maids, to make angels of
yourselvesl”(226) Beauty is without caste, for it may flourish in a
chamber maid as well as a princess. Wherever it chances to appear,
the Hawthorne eye hastens to take note of it. “There is hardly
another sight in the world so pretty as that of a company of young
girls, almost women grown, at play, and so giving themselves up to
their airy impulse that their tiptoes barely touch the ground."(227)
Beautiful maidens are other earthly; they frolic lightly on the earth's
surface in commemoration of a purer and higher beauty. Hawthorne is
correctly thought of as a moral man; yet if he were forced to choose
between a chaste ugliness and a slightly tainted beauty, there is
little doubt of his choice.
In gay relief to male insensitiveness, woman thrives as a wild
but delicate flower. The nature of young womanhood is a simple and
free one; it is close to the heavens.
Girls are incomparably wilder and more effervescent than boys,
more untamable, and regardless of rule and limit, with an
ever-shifting variety, breaking continually into new modes of fun,
yet with a harmonious propriety through all. Their steps, their
voices, appear free as the wind, but keep consonance with a strain
of music inaudible to us. Young men and boys, on the other hand,
52Fields, Yesterday With Authors, p. 67.
Vivíaloolm Cowley in his introduction to The Portable Hawthorne,
(New York, 19I4.8), p. 9 ff., advances the notion that Hawthorne's life
pattern suggests the Narcissus complex. Although there appears to be
some truth in the idea, the extent to which the Narcissus legend helps
to explain Hawthorne is questionable.

103
play, according to recognized law, old, traditionary games,
permitting no caprioles of fancy, but with scope enough for the
outbreak of savage instincts. For, young or old, in play or in
earnest, man is prone to be a brute.(228)
Hawthorne does not cherish the feminine sex in its totality.
Numerous of his comments are highly critical. These derogatory
criticisms of womanhood may be explainable in terms of artistic taste,
or sometimes as mere squeamishness. This much is certain: Hawthorne
elevates and idealizes the function of womanj he evidences an especial
fondness for beautiful young women; and, in the best American manner,
he places motherhood on the loftiest of pedestals.
Mother
The instincts of brotherhood and motherhood are among the
nobler claims of humanity. If woman is to be associated with the
"heart," then mother is pure heart. "But you must know a mother
listens with her heart much more than with her ears; and thus she is
often delighted with the trills of celestial music, when other people
can hear nothing of the kind."(229) A mother is even closer to
heaven than a beautiful young girl—she is, in fact, a visible
embodiment of the motherly instinct in nature and of the caretaker
instinct in God himself. "The Creator, apparently, has set a little
of his own infinite wisdom and love (which are one) in a mother*s
heart, so that no child, in the common course of things, should grow
up without some heavenly, instruction.(230)
Elizabeth Manning Hawthorne, Nathaniel*s mother, has been
dramatically presented in biographical studies as a queer recluse.

lOli
The notion is a misguided one.
A mother who never showed herself, who never ate with her young
children, would assuredly make enough of an impression by her
strange behavior so that her children or relatives would mention it.
But they do not.^ii
In truth, young Hawthorne cherished a very warm affection for his
mother. He had written in 1821 to urge her not to move back to Salem.
If you remain where you are, think how delightful the time will
pass with all your children around you, shut out from the world and
nothing to disturb us. It will be a second garden of Eden.
If a beautiful young woman may be considered as representative
of an artistically, perceived universe, then mother may be properly
thought of as the epitome of womanhood in a morally perceived one. The
relationship which existed between Nathaniel and his mother was much
more normal than the early mythmaking biographers had supposed. It is
quite certain that Hawthorne was fond of his own mother and that he was
extremely loyal to motherhood as an ideal state.
Old Women
There is little harmony between Hawthorne’s affection for young
women and his disdain for old ones. In contrast to the glowing praise
heaped on beauty, and to the sanctification bestowed on motherhood, old
women are caustically dealt, with. Certain old women were particularly
repulsive.
Some old people, especially women, so age-worn and woeful are
^Manning Hawthorne, "Parental and Family Influences on
Hawthorne," Essex Institute Historical Collections. LXXVI. ]¿.
55Manning Hawthorne, "Nathaniel Hawthorne Prepares for College,"
New England Quarterly. XI (March 1938), 87»

105
they, seem never to have been young and gay. It is easier to
conceive that such gloomy phantoms were sent into the world as
withered and decrepit as we behold them now, with sympathies
only for pain and grief, to watch at death-beds and weep at
funerals.(231)
Hawthorne’s squeamishness over that which is old, fat, or ugly is an
unwholesome one. It should be remembered, however, that young
Nathaniel was raised by women until his college days, and that his
associations with the Mannings were not always pleasant ones. He
frequently lamented this unpleasantness in letters to his mother.
I am extremely homesick. Aunt Mary is continually scolding at
me. Grandmaam hardly ever speaks a pleasant word to me. If I ever,
attempt to speak in my defense, they cry out against ny impudence,5®
Old women are inordinately stupid. In his fictional
presentation of aged females, the novelist evidences little sympathy
for their foibles.Since old women are no longer capable of their
ordained function—that of giving completeness to man—they pervert it
by turning out pastries as a bribe to win undeserved affection from
youth. "Old women never know how to show their kindness in any other
way than by giving a man doughnuts and pumpkin pies, and such infernal
trash.”(232) It may well be that Hawthorne’s recollection of
grandmother Manning tempered his conception of all aged women.
Several possible explanations may be suggested for Hawthorne’s
love of beauty and for his twisted hatred of that which is unbeautiful.
First, to an artistic Hawthorne, beauty may have appeared as a form of
^Manning Hawthorne, "Nathaniel Hawthorne Prepares for College,”
New England Quarterly, XI, 69.
57Hawthorne delights in poking fun at Miss Hepaibah luncheon of
The House of Seven Gables.

106
earthly perfection, and all which did not measure, up to its standard
of the perfect was artistically repulsive. Second, a Hawthorne sprung
from the Manning environment was worked upon from infancy by forces
which might prejudice him against certain types of women. Third, in a
sensual Hawthorne—and there are hints that the man was more warm-blooded
than the novelist—the repressions occasioned by a thorough
moralization of life may have found their release in a lust after beauty.
Fourth, the worship of beauty may be attributed to fastidiousness or to
an emotional aberration. Finally, and more in keeping with a
philosophical Hawthorne, all deviations from a code of idealized
womanhood—ugliness, plumpness, age—are seen as corruptions which
merit abuse.
Public Women
Although Hawthorne’s manifest hatred of the uribeautiful is
undoubtedly a little strange, the vigor with which he attacked public
women is much more understandable. He feared that the entrance of
women into public life .might well destroy woman by making her too much
like man.
But there are portentous indications, changes gradually taking
place in the habits and feelings of the gentle sex, which seem to
threaten our posterity with many of those public women, whereof
one was a burden too grievous for our fathers. (233 P8
The antagonism toward public women, although it may seem to spring from
petty jealousy or from an egotistical resentment of any encroachment on
*8The woman referred to as a "burden too grievous" was Anne
Hutchinson.

107
the male prerogatives, is, idealistically speaking, Hawthorne's way of
defending what he considered to be the primal function of womanhood.
He is attempting to protect his dream from would-be reformers and from
time itself.
Woman’s sex is a secret and holy one.
Fame does not increase the peculiar respect thich men pay to
female excellence, and there is a delicacy (even in rude bosoms,
where few would think to find it) that perceives, or fancies, a
sort of impropriety in the display of woman's natal mind to the
gaze of the world, with indications by which its inmost secrets
may be searched out.(23l±)
It is bad enough for a man to write of his inner longings, to spread
his soul on foolscap, but when a woman comes naked to print she
prostitutes all that is divine in her. That deepest nystery, woman's
sex, Hawthorne never fathomed; he preferred to cloak those secrets and
to declare them sacred rather than uncover them. When woman chose to
unravel herself before his very eyes, Hawthorne was appalled.
"Then, the very nature of the opposite sex, or its long
hereditary habit, which has become like nature, is to be essentially
modified, before woman can be allowed to assume what seems a fair and
suitable position."(23^) Woman is so physically and spiritually
constituted that she must modify her total being before attempting to
change—even one degree—the traditional balance between herself and
man. Although Hawthorne recognizes the need of a gradual improvement
in the social position of women, he stands firmly declared against
those feminists who would attempt immediate, forceful measures.
What amused and puzzled me was the fact, that women, however
intellectually superior, so seldom disquiet themselves about the
rights and wrongs of their sex, unless their own individual

108
affections chance to lie in idleness, or to be ill at ease. They
are not natural reformers, but become such by the pressure of
exceptional misfortune.(236)
A woman happily married, a mother, a woman fulfilling her natural
function, is not concerned with breaking out of her designated sphere
of action, but is instead thoroughly contented. It is only when woman
is frustrated in the pursuit of her birthright, when she is either
unfit for or neglected by the matrimonial state, that she sticks her
nose where it does not belong.
Although any type of public woman is capable of raising
Hawthorne’s ire, women who attempt to write provoke the greatest
contempt. "What a strange propensity it is in these scribbling women
to make a show of their hearts, as well as their heads, upon your
counter, for anybody to pry into that chooseslw(237) The novelist had
difficulty in accustoming himself to the idea that women could write.
Since women are to be thought of as delicate, protected creatures,
indelicate feminine overtures are unduly, shocking. To compete with
women in print is especially distasteful. In a letter to his friend
and publisher, William Ticknor, the novelist speaks his mind.
Besides, America is now wholly given over to a d d mob of
scribbling women, and I should have no chance of success while the
public taste is occupied with their trash—and should be ashamed of
myself if I did succeed.£9
Writing is a brutal job, which women, since they are to be protected
from life's roughness, in no way qualify for. Let women stick to their
^Caroline Ticknor, Hawthorne and His Publisher (New York, 1913),
p. liil

109
knitting and leave the indelicate process of composition to the male.
By 1855, Hawthorne was willing to admit that some few women
were capable of the manly art of writing. He warmly espoused the
cause of Delia Bacon, and financed, with considerable personal loss,
the publication of her controversial book on the origin of Shakespeare's
plays. For the most part, however, he continued to chide female
authors.
Generally women write like emasculated men, and are only to be
distinguished from male authors by greater feebleness and follyj
but when they throw off the restraints of decency, and come before
the public stark naked, as it were—then their books are sure to
possess character and value.(238)
There are, then, a few vigorous women who are disposed by their very
natures to function boldly as men. This does not mean to suggest that
the average woman should try her hand at writing. "Women are too good
for authorship, and that is the reason it spoils them so."(239) Since
she is recognized to be intrinsically better than man, and since her
functional realm lies above and apart from the hard one of authorship,
woman corrupts and is herself corrupted when she erroneously attempts
to become an author.
Women must be freed from the cumbersome regulations imposed
upon them by society before they are admitted to wider spheres of
endeavor. With age and with experience, Hawthorne grew more tolerant
of women who defied his special standards. Perhaps he had become more
practical and less idealistic about womanhood in general. The awakening
of a "new" womanhood, although it is still regarded as something of a
nightmare, is no longer attacked.

110
The customs of artistic life bestow such liberty upon the sex,
which is elsewhere restricted within so much narrower limitsy and
it is perhaps an indication that, whenever we admit women to a
wider scope of pursuits and professions, we must also remove the
shackles of our present conventional rules, which would become an
insufferable restraint on either maid or wife. (21*0)
The character of transcendental reform was illustrated by its
fervent agitation for the enfranchisement of women, and for the
enlargement of their sphere of duty and privilege.^ In conjunction
with the arrival of the "public" woman onto the American scene, it is
not unlikely that Hawthorne came to find her symbolized—found the
embodiment of all that was most unpalatable to him—in Margaret
Fuller. The ungentlemanly slandering of Miss Fulleras character,
while it is not easily excused, may be partially understood in that
liargaret must have appeared to Hawthorne as the most flagrant violator
of his ideal womanhood. She was not especially noted for physical
beautyj she wrote, she edited, she preached "feminism"j she was
garrulous. The presence of even one of these attributes would
scarcely ingratiate her with Hawthorne. Packaged together they proved
far too much. Margaret's virtue, intelligence, and literary
accomplishments fade from view when placed beside numerous other
bumptious qualities which must have made her extremely obnoxious to one
with Hawthorne’s ideals. Hawthorne, as a defender of the faith, was
loath to give way before those forces which Margaret personified—
forces which were hacking away at the very basis of womanhood in an
effort to improve the finished product.
^Octavius Brooks Frothingham, Transcendentalism in New England
(New York, 1886), p. 175.

Ill
Women ip General
Hawthorne was fond of remarking on the status of present day-
woman, fond of remarking on feminine psychology—however little he may
have understood it—and fond of reflecting on the nature of women in
general. These miscellaneous observations, while they are seldom
profound, shed some additional light on Hawthorne's inquiry into
womanhood. Occasionally, in an effort to be amusing rather than
serious, Hawthorne tries his hand at phrase-making.
In her youth, a woman goes to the glass to see how pretty she
isj in her age, she consults it, to assure herself that she is not
so hideous as she might be. She gets into a passion with it, but
dies before she can make up her mind to break it. (21*1)
There is no aversion on Hawthorne's part to commenting rather frankly,
rather personally, on feminine apparel. "A. white stocking is infinitely
more effective than a black one."(21*2)
New England women of Hawthorne's time were felt to be measurably
weaker than their Puritan prototypes.
Morally, as well as materially, there was a coarser fiber in
those wives and maidens of old Baglish birth and breeding, than in
their fair descendants, separated from them by a series of six or
seven generations; for, throughout that chain of ancestry, every
successive mother has transmitted to her child a fainter bloom, a
more delicate and briefer beauty, and a slighter physical frame, if
not a character of less force and solidity, than her own. (21*3)
Although the present day woman is fairer to the eye, she has weakened
in her moral function as mother and homemaker—has become feeble in that
which is most vital to womanhood. Sharp functional lines which
formerly distinguished the sexes are rapidly vanishing. ’We seldom
meet with women nowadays, and in this countiy, who ingress us as being
women at all,—their sex fades away, and goes for nothing, in ordinary

112
intercourse."^^)
Certain commonplace psychological phenomena of the feminine
world are recorded from time to time.
A brilliant woman is often an object of the devoted admiration—
it might almost be termed worship, or idolatry—of some young girl,
who perhaps beholds the cynosure only at an awful distance, and has
as little hope of personal intercourse as of climbing among the
stars of heaven. We men are too gross to comprehend it. Even a
woman, of mature age, despises or laughs at such a passion. (2it5)
In one instance, Hawthorne takes up the challenge of woman’s limited
opportunity for self-expression.
It is nonsense, and a miserable wrong,â– the result, like so
many others, of masculine egotism,—that the success or failure of
woman’s existence should be made to depend wholly on the affections,
and on one species of affection, while man has such a multitude of
other chances, that this seems but an incident. For its own sake,
if it will do no more, the world should throw open all its avenues
to the passport of a woman’s bleeding heart.(21*6)
If her existence is so intimately linked with affairs of the heart,
then a failure in those affairs—spinsterhood or widowhood-forfeits a
woman’s birthright—her total excuse for being. There is evidence that
there were few respectable career women in the first half of the
nineteenth century.
Once a woman goes ever so slightly wrong in the matter of
sexual morality, she has crossed the line for all eternity.
A woman's chastity consists, like an onion, of a series of
coats. You may strip off the outer ones without doing much
mischief, perhaps none at allj but you keep taking off one after
another, in expectation of coming to the inner nucleus, including
the whole value of the matter. It proves, however, that there is
no such nucleus, and that chastity is diffused through the whole
series of coats, is lessened with the removal of each, and vanishes
with the final one, which you supposed would introduce you to the
hidden pearl.(2itf)

113
A woman must be either purest white or deepest scarlet, for there are
no hybrid hues. Flump matrons receive a final harsh upbraiding.
I wonder whether a middle-aged husband ought to be considered
as legally married to all the accretions that have overgrown the
slenderness of his bride, since he led her to the altar, and which
make her so much more than he ever bargained fori (2l|8)
Hawthorne's understanding of women was far from a complete one.
Although he understood well enough what he admired and what he hated in
the sex, womanhood's true nature proved elusive. He was never quite
able to break through, in the manner of a Flaubert, into the internal
mainspring of femininity. Perhaps the actual was hidden by the
formidable structure of his ideal.
Marriage and the Home
The force of the domestic institution parallels in many ways
that of religion and society. Yet significant as marriage may be, it
is frequently a ready source for proverbial humor. "A man and his wife
should never both be angry at once.H(2]|9) More often, though,
Hawthorne is in dead earnest when he stops to reflect on the domestic
state.
But, blessed be God, whether our habitation be a cave, a hut,
a lodge of skins, or a marble palace, the name of home has a
hallowing influence which renders it the only spot on earth where
true comfort may be found. (250)
Home, and all that the word suggests-—woman, marriage, children, the
fireside-stands as a warm refuge, a partial exit, from the discomfiture
of grosser actualities. Home has something of that same purifying
quality found in a beautiful woman. It comforts man—'man stained
through his necessary outer contacts—with its wholesome warmth. In

truth, home is manrs second womb, heaven his third* As an intermediate
realm between heaven and earth, home provides the best refuge accessible
to man*
Marriage, for which the home exists, is a miraculous entity in
that its very presence glosses over an infinitude of imperfections.
A kind Providence has so skilfully adapted sex to sex and the
mass of individuals to each other, that, with certain obvious
exceptions, any male and female may be moderately happy in the
married state. The true rule is to ascertain that the match is
fundamentally a good one, and then to take it for granted that all
minor objections, should there be such, will vanish, if you let
them alone* Only put yourself beyond hazard as to real basis of
matrimonial bliss, and it is scarcely to be imagined what miracles,
in the way of recognizing smaller incongruities, connubial love
will effect.(251)
Minor adjustments automatically effect themselves. It is not so much
that one man is made for one woman but that the sexes are destined to
form one unit. The domestic state, then, is the only fitting one if
the two sexes are to ’function properly.
"It appears to me that matrimonial deaths affect men more than
women."(252) Here, Hawthorne elects to comment on the inner or
spiritual strength of woman which enables her to carry on under stress.
In his own marriage with Sophia, the devoted husband had come to know
such bliss that even a temporary absence from his spouse was felt to be
unbearable. "What is the use of going to bed at all, in solitude?"(253)
While Hawthorne repeatedly idealizes marriage, his total conception is
not without its physical origins. In a letter to his friend Bridge, a
leap into matrimony is heartily urged. "If you want a new feeling in
this weary life, get married. It renews the world from the surface to
#»6l
the centre

115
In later years, when Sophia was designated "Momma" rather than
"Dove," it is possible that the husband, no longer a young lover, had
grown a little wary of marital perfectibility. "It is good to see how
every body, up to this old age of the world, takes an interest in
weddings, and seems to have a faith that now, at last, a couple have
come together to make each other happy." (251*) There is no evidence of
Hawthorne's becoming cynical about marriage. He continued to his death
to recognize marriage as the richest of human experiences.
Intellectually, he conceived of it as a joyous release, one open to all
men, from an overwhelming solemnity.
High above the muddy necessity of social intercourse, marriage
erects her marble cathedral. Each marriage is a working expression of
that brotherhood of the heart which should ideally exist among all
mankind, were it not for the unfortunate failings of human nature. In
the midst of confusion, marriage stands as the physical and spiritual
earthly fulfillment of that which is best in humanity.
Children
Hawthorne was inordinately fond of children. He played games
with his own brood; when they were absent, he wrote long childish
letters concerning their doll's health; in short, he attempted to spoil
them whenever and however possible. Although Hawthorne understood the
nature of children well enough to write stories for them,^ his comments
^Horatio Bridge, Personal Recollections of Nathaniel Hawthorne
(New York, 1893), P« 95» <
Hawthorne's three books of children's stories, which were

116
on children, though they sometimes strike a deep psychological note,
are rather commonplace ones.
If there is one idea to be found, it is that children are
closer to heaven than adults—not that they are more recently born, but
that their pure and joyous nature is closer to the divine one. Ominous
forces centered on adult beings make the desirable retention of that
nature impossible.
â– When our infancy is almost forgotten, and our boyhood long
departed, though it seems but as yesterday; when life settles
darkly down upon us, and we doubt whether to call ourselves young
any more, then it is good to steal away from the society of bearded
men, and even of gentler woman, and spend an hour or two with
children.(255)
The free state of childhood reflects that which is basic and uncorrupted
in human nature. Yet it must move unceasingly forward into adult life,
there to disappear. Children, together with beautiful young women, and
mothers, form an earthly trinity to which a Unitarian Hawthorne may give
allegiance. In this one way, then, the exploration of children's nature
fits into the over-all development of Hawthorne's thought.
"The young have less charity for aged follies than the old for
those of youth."(256) Youth and age are frequently placed in
psychological contrast. Whereas age may allow for the vagaries of
youth; youth, having yet to live in the formidable adult world, is
seldom capable of projecting itself beyond its scope. Having once
passed through the middle years, man in his autumnal time returns to a
framed on classical nyths—A Wonder Book for Girls and Boys, Tanglewood
Tales, and The Whole History of Grandfather's Chair—met with popular
success.

117
state somewhat similar to that of his youth.
Externally, the jollity of aged men has much in common with the
mirth of children; the intellect, any more than a deep sense of
humor, has little to do with the matter; it is, with both, a gleam
that plays upon the surface, and imparts a sunny and cheery aspect
alike to the green branch, and gray, mouldering trunk. In one case,
however, it is real sunshine; in the other, it more resembles the
phosphorescent glow of decaying wood.(2^7)
Since children are essentially unworldly, since they are a part .
of the Háwthoraian trinity, their psychological make-up is one which
allows for extremely sensitive perception—for direct knowledge through
an intuition of the heart. "Children have always a sympathy in the
agitations of those connected with them; always, especially, a sense of
any trouble or impending revolution, of whatever kind, in domestic
circumstances."(258) "Children possess an unestimated sensibility to
whatever is deep or high, in imagination or feeling, so long as it is
simple, likewise. It is only the artificial and.the complex that
bewilder them."(259) The child is man in a natural state, a state
capable of intuiting those subtiles which lie beneath the surface.
"Children are even more apt, if possible, than grown people, to catch
the contagion of a panic terror."(260)
The father of three spent endless hours reading to his children.
"But children have no mercy nor consideration for anybody’s weariness;
and if you had but a single breath left, they would ask you to spend it
in telling them a story." (26l) For Hawthorne, children exist in a
state which it would be preferable for them to retain; they dwell in
what should rightfully be man's natural state. Yet the child is an
uninitiate. That unavoidable initiation which lies ahead will almost

118
invariably separate him from ethereal ties. Thus the introduction of
a child into adulthood echoes the necessary movement of a sensitive
soul into society. Both entrances are equally painful.
Love
The love of one individual for another actuates on a lower
plane the divine love of God for man. Love is that emotional actuality
upon which marriage and the home are based. It gives meaning to the
life of a woman. It is, in fact, the most elevated positive force at
work in man's universe. In any of its forms—in brotherhood or
betrothal—it guides man to the summit of earthly achievement. It
brings to man a new insight in accordance with which he may better
orient himself to life.
Though man's propensity for sin is an abiding one, love, even
in its mortal form, is capable of effectively battling man's grosser
tendencies. Love is not selfishly worshiped by Hawthorne for its own
sake, but is thought of, instead, in terms of the functional good which
it might inspire. If love should, in some distant day, reach the
ascendancy in man’s nature, then would life's compound whiten, then
would the glaring discrepancy between man's heavenly and his earthly
estate appear less insurmountable.
"Oh, how stubbornly does love,—or even that cunning semblance
of love which flourishes in the imagination, but strikes no depth of
root into the heart,—how stubbornly does it hold its faith until the
moment comes when it is doomed to vanish into thin mist!"(262) The
sheer unspeakable power of love, when given free reign, is anxious to

119
combat evil's malignant forces. Love's magic chain is a functional one:
"Love, whether newly born, or aroused from a death-like slumber, must
always create a sunshine, filling the heart so full of radiance,that it
overflows upon the outward world."(263) Under the spell of love, the
mud about man, though still present, is no longer so darkly seen. Each
flickering stimulus of love's glow renews life from the inside out.
Love is wholly from the heart, fully as unlettered as religion;
and thus the warning: "Let men tremble to win the hand of woman, unless
they van along with it the utmost passion of her hearti"(2óii) Whereas
love originates in the animal heart of man, when seen in its more
spiritual form it provides for the intermingling of souls. It is this
deeper aspect which Hawthorne stresses in his passion for Sophia.
And thus it will go on; until we shall be divested of these
earthly forms, which are at once our medium of expression, and the
impediments to full communion. Then we shall melt into [one]
another, and all be expressed, once and continually, without a
word—without an effort .63
Since the spirituality of love is a matter of the soil rather than the
physical heart, man's body is again viewed as a stumbling block to
finality. Although earthly love radiates a bliss which glosses over
all, the greater miracle of spiritual love penetrates to the Hawthomian
reality.
In what is perhaps his most optimistic statement on human
nature, Hawthorne seems to feel that love is more native to man than
hate. This need not imply that good is more native than evil.
It is to the credit of human nature, that, except where its
63Love Letters, II, 7k

120
selfishness is brought into play, it loves more readily than it
hates. Hatred, by a gradual and quiet process, will even be
transformed to love, unless the change be impeded by a continually
new irritation of the original feeling of hostility.(265)
In a standard psychological proposal the two emotions are seen to be of
one essence.
It is a curious subject of observation and inquiry, whether
hatred and love be not the same thing at bottom. Each, in its
utmost development, supposes a high degree of intimacy and
heart-knowledge; each renders one individual dependent for the
food of his affections and spiritual life upon another; each
leaves the passionate lover, or the no less passionate hater,
forlorn and desolate by the withdrawal of his subject.
Philosophically considered, therefore, the two passions seem
essentially the same, except that one happens to be seen in a
celestial radiance, and the other in a dusky and lurid glow.(266)
There is an incessant insistence on the strength of love, and on the
power for good latent in that strength.
The one weakness of love is that it is a passion, and that as
a passion it depends on a finite object; thus while it flames for the
moment it is quickly extinguished fcy time. True love reaches a more
fixed state, but true love lies in God’s domain, an infinite one.
Impermanent, though frequently celestial, eruptions of love are allotted
to man’s dominion, a depraved and finite one. Since the disease of the
life compound is a latent one, however much whiteness love manages to
mix therein, still, life is expected to lapse into its original
grayness.
Both love and hatred have unfathomable depths. Each instance
of a deeper love stands forth as the first of its kind to its
participators, and precludes penetration by other mortals. ’’One feels
the fact, in an instant, when he has intruded on those who love or

121
those who hate, at some acme of their passion that puts them into a
sphere of their own, where no other spirit can pretend to stand on
equal ground with them.”(267)
While God's love is permanent, and while man when he
participates in spiritual love grasps something of that same finality,
man's love is normally limited in that it centers on a physical object.
It is, then, a passion at its roots. Although man may move from this
earthly passion to a more divine one, still he is limited by the origin
of his desire.
Man's love, as in the marital state, has no claim to permanence,
but must instead continually renew itself. "Caresses, expressions of
one sort or another, are necessary to the life of the affections, as
leaves are to the life of a tree. If they are wholly restrained, love
will die at the roots."(268) Hawthorne, in his warm concern with the
successful perpetuation of marital love, recognizes unstintingly that
the original force of man's love is not a self-continuing one, that it
is by nature transitory. "Caresses are the foliage of affection; the
plant dies at the root unless it has them."(26?)
In spite of the acknowledged limitations of earthly love,
Hawthorne wholeheartedly affirms the indestructible character of its
spiritual counterpart; and in so affirming recognizes that the actuality
of love necessitates~in a brighter manner than the imperfect quality of
man's earthly state—the immortality of man's soul. Thus the presence
of love in life becomes an assurance of God. In truth, any and all of
Hawthorne's oft pondered opinions lead to this assurance, love proves

122
its immortality by sheer force.
Each warmer and quicker throb of the heart wears away so much
of life. The passions, the affections, are a wine not to be
indulged in. love, above all, being in its essence an immortal
thing, cannot be long contáined in an earthly body, but would
wear it out with its own secret power, softly invigorating as it
seems.(270)
In general, Hawthorne begins with what he sees before him of
man and his antics, with the actual ingredients of life, and with the
institutional forces playing upon man and those ingredients. /When he
idealizes, as in his conception of womanhood, he is seeing what, in the
light of the greater whole, actually should be. In the disparity
between what should be and what is, various Hawthorne problems arise—
the problem of the sensitive soul, the artificial social structure, the
public woman. These are problems rising out of a condition, and thus
they are of concern to Hawthorne. These problems are seen and lamented;
but the conditions from which they arise—sin, the life compound,
fortune—are taken as actualities destined to remain unchanged by man’s
rather petty attempts at self-reform. It is always through the heart
and soul, and thus through love, that life’s prenatal conditions are to
be most effectively combated—not that the conditions themselves will
be substantially altered, but that man may rise somewhat above those
conditions by directing his energies to divine channels.

CHAPTER VII
ART AND THE ARTIST
An artist ascends above the earth's surface on the wings of his
artj there he dwells in the land of the beautiful. Art is more than
the channeled outpouring of energies, more than a designed effect. Art,
to Hawthorne, is that vital outlet through which man may escape surface
substances by lifting himself into a realm of created beauty. The
artist, then, discovers the beautiful, and creates—in one of the art
forms—a representation of that discovery. This tendency to idealize
does not lead Hawthorne to regard the art realm as one apart from or
superior to ordinary life. On the contrary, art is a practical concern
both in its period of creation and in its final form. The medium is a
conscious one in which the artist picks up the raw matter of this
world, fires and shapes it with his imagination, and returns it to
earth for man's pleasure and edification.
An acute characterization of the sundry types of art, and of
the mediums, methods, and ideals of art, states a definite set of
Hawthomian standards. Yet the commentary on art, while it tends to
be complete within itself, is actually but one more phase of the
novelist's total orientation to life. A knowledge of Hawthorne as
artist, coupled with a knowledge of those ideals which he set for
himself and for the entire art brotherhood, though essential in every
way to an understanding of Hawthorne, should not be allowed to
123

12h
represent the complete man. However much Hawthorne emphasizes art,
however much potential he allows it, still it must be remembered that
he stresses sin, fortune, and society with equal vigor. Hawthorne was
not an "art for art's sake" addict. In truth, art, when kept in its
proper perspective, may well be thought of, together with women, as a
second "good" institution, as a second partial escape from what
remains—-however it may be turned about—a gray compound.
.Architecture
Hawthorne did not confine his critique of art to the only-
phase which he himself practiced—fiction. He felt himself , a member of
a community in art, for which the standard mediums—architecture,
sculpture, poetry, prose, and painting—were but forms and not the
thing itself. Music alone failed to interest him. He had no ear for
it; he never troubled to reflect upon it. Art is of one essence no
matter what visible form it takes. The artist, in the plying of his
genius, is one of a brotherhood at work upon the same spiritual
substance. Thus it is that Hawthorne assumed a perfect freedom in
commenting on art fields where his technical knowledge was undeniably
limited; and thus it is that he came to see art as a whole, and each of
its parts and problems as a division of that greater being.
The commentary on architecture centers upon a comparison of the
relative merits of the classical and the Gothic styles. For Hawthorne
the romancer, for one who saw life through a glass darkly, classicism
suffers in the comparison.
I always see a great beauty and lightsomeness in these classic

125
and Grecian edifices, though they seem cold and intellectual, and
not to have their mortar moistened with human life-blood, nor to
have the mystery of human.life in them, as Gothic structures do.(27l)
The Gothic, in its irregular, mysterious, and suggestive presence, has
about it the spirit of humanity—for life does not flow in neat and
readily discernible lines. Classical architecture with its regular
features and smoothly shaven face is necessarily viewed as a mannequin.
"There is something, I do not know what, but it is in the
region of the heart, rather than in the intellect, that Italian
architecture, of whatever age or style, never seems to reach."(272)
Hawthorne brings his heart and head symbolism into the realm of art.
Classicism is of the intellect, thus cold, stately, and artificial.
The Gothic, coming from the heart of man, is genuine and vibrant.
Gothic architecture with its irregular disproportioned minutiae offers
a hat rack for man’s feelings, while the classical is so smoothly
constructed that there is little opportunity to fasten oneself to it.
"Classical architecture is nothing but an outline, and affords no
little points, no interstices where human feelings may cling and
overgrow it like ivy. "(273) When working up certain classical tales
for children’s stories, Hawthorne wrote Helds of his intention to
superimpose the Gothic element.
Unless I greatly mistake, these old fictions will work up
admirably for the purpose? and I shall aim at substituting a tone
in some degree Gothic or romantic, or any such tone as may best
please nyself, instead of the classic coldness, which is as
repellent as the touch of marble.6U
^Fields, Yesterday with Authors, p. 59.

126
The old principle of variety vri.th.in uniformity is fundamental
to the nature of the Gothic. Gothic structures call to mind the
inscrutable order of life, or the apparent machinations of fortune
within the greater framework of providential guidance. There is
empathy on Hawthorne’s part for an art which is truly life-like, but
apathy for those styles which would refine away life’s basic roughness.
In his finest statement of Gothic supremacy, the author grows rhapsodic
over what he felt to be Gothicism's overpowering richness.
A Gothic cathedral is surely the most wonderful work which
mortal man has yet achieved, so vast, so intricate, and so
profoundly simple, with such strange, delightful recesses in its
grand figure, so difficult to comprehend within one idea, and yet
all so consonant that it ultimately draws the beholder and his
universe into its harmony. It is the only thing in the world that
is vast enough and rich enough.(27U)
There is much to be learned from Hawthorne’s appraisal of the
Gothic. Although he continues to employ the Gothic-classical
distinction in the several fields of art, his judgment is sufficiently-
established in his pronouncements on architecture. In siding with the
Gothic, the romancer pledges allegiance to those elements which are
grandiose, mysterious, and suggestive in life. He reacts against that
which is superficially ordered by man’s intellect. He reacts, too,
against what he feels to be the coldness and sterility of the classical
form. He elects the imagination over the reason, intuition over
intellective knowledge. In accepting the Gothic standards, Hawthorne
makes the inevitable choice to which his philosophy of life predestines
him. For one who wrote, and in a sense thought and lived, in a
preternatural realm, no other choice was possible.

127
Sculpture
Architecture, sculpture, and painting fell under the critical
eye of Hawthorne during the last ten years of his life. Having arrived
late, and having perfected certain theories of art in his fiction, the
observations which the novelist offers are of one stamp, and nowise
constitute a learned criticism of the subject at hand. Now and again
they evidence, as might well be expected, unfeigned Puritan prejudices.
All of these criticisms are significant, however, in that they help
clarify Hawthorne*s warmly held art theory.
"I doubt whether sculptors do not err, in point of taste, by
making all their statues models of physical perfection, instead of
expressing by them the individual character and habits of the man.”(275)
Here, when dealing with a new species of art, the typical distinction
between the Gothic and the classical is extended. Blemished
individuality, singularity and uniqueness, are cherished above
uniformity and perfection. Typical, too, is the gentle irony with
which Hawthorne defends his prejudices.
It seems to me time to leave off sculpturing men and women
nakedj they mean nothing, and might as well be one name as another,
and belong to the same category as the ideal portraits in Books of
Beauty, or in the windows of print-shops. The art does not
naturally belong to this agej and the exercise of it, I think, had
better be confined to the manufacture of marble fireplaces.(276)
In one instance, Hawthorne is led to heap praise on ancient
sculpture. "In short, I do really believe that there was an excellence
in ancient sculpture, and that it has yet a potency to educate and
refine the minds of those who look at it, even so carelessly and
casually as I do."(277) The immense dream of perfectibility impressed

128
in each piece of ancient sculpture is not -without its significance.
Yet as a matter of common decency, the sculpturing of nude figures is
inexcusable in modern times.
I do not altogether see the necessity of ever sculpturing
another nakedness* Man is no longer a naked animal; his clothes
are as natural to him as his skin, and sculptors have no more right
to undress him than to flay him. (278)
It is difficult to separate a person’s ideas concerning art from his
emotional response to art objects, for the two elements are
inextricably fused in nonprofessional art criticism.
Marble’s awesome coldness, if it fails to strike the proper
chord, leaves the spectator wholly unmoved.
It is also strange that, unless when one feels the ideal charm
of a statue, it becomes one of the most tedious and irksome things
in the world. Either it must be a celestial thing or an old lump
of stone, dusty and time-soiled, and tiring out your patience with
eternally looking just the same.(279)
"It seems to me, however, that old sculpture affects the spirits even
more dolefully than old painting; it strikes colder to the heart, and
lies heavier upon it, being marble, than if it were merely canvas.”(280)
The sheer physical weight of the sculptor’s raw material often lends
itself to a heavy and uninspiring flatness in the finished art piece.
Since the durability of marble allows for a kind of permanence
all its own, the sculptor who would meddle with it has a sacred charge
of finding and representing beauty and truth. Since the relative
position of the sculptor as an artist is an elevated one, his spiritual
duties are clearly defined.
A sculptor, indeed, to meet the demands which our preconceptions
make upon him, should be even more indispensably a poet than those
who deal in measured verse and rhyme. His material, or instrument,

129
which serves him in the stead of shifting and transitory language,
is a pure, white, undecaying substance. It insures immortality to
whatever is wrought in it, and therefore makes it a religious
obligation to commit no idea to its mighty guardianship, save such
as may repay the marble for its faithful care, its incorruptible
fidelity, by wanning it with an ethereal life.(28l)
Finally, Hawthorne comes to remark, and not without some
justification, that the road to fame for the sculptor, or even the road
to survival, is a hotly contested one* While the notion of a penniless
poet is traditional enough, the vision of a starving sculptor laboring
throughout a cold and thankless life is equally romantic.
Thus, success in art is apt to become partly an affair of
intriguej and it is almost inevitable that even a gifted artist
should look askance at his gifted brother*s fame, and be chary of
the good word that might help him to sell still another statue or
picture. You seldom hear a painter heap generous praise on
anything in his special line of art; a.sculptor never has a
favorable eye for any marble but his own.(282)
It is not so much out of jealousy, but because of the limited worldly
success open to the entire brotherhood, that the sculptor necessarily
becomes vain about his own work. The more limited the market, the less
the trader is apt to love his brother competitor.
Although sculptural tasks are difficult, and though popular
success is extremely rare, Hawthorne does not place the deserving
sculptor on a pedestal equal to that of the painter and poet. In spite
of the fact that sculptors frequently succeed in carving ideals into
their marble, the novelist does not look on the sculpturesque with a
warm eye. The great shortcoming of sculpture is that it fails too
often to capture the whole of life—that it contents itself with an
ideal but often meaningless form.

130
Fainting
If Hawthorne was often jaded by the art galleries of Italy, it
was not due to any lack of technical merit in the displayed paintings,
but to the poverty of his technical knowledge. Yet, though Hawthorne
admittedly had little cultivated taste for painting, his criticism is
far from an unperceptive one. He manages to go behind the picture
itself and query the true nature of the medium.
The observations on painting tend to be repetitious, but the
very presence of that repetition advances in irrevocable terms
Hawthorne's conviction that painting has limitless art potential; that
the spectator's reaction to painting is a relative one; that pictorial
genius is quite rare; and that paintings should be studied individually
rather than in mass. From the point of view of an interested onlooker,
the heaping together of paintings is an insufferable affront to human
intelligence.
lhat an absurdity.it would seem, to pretend to read two or
three hundred poems, of all degrees between an epic and a ballad,
in an hour or two I And a picture is a poem, only requiring the
greater study to be felt and comprehended, because the spectator
must necessarily do much for himself towards, that aid. (283)
Since each worthwhile picture necessitates a long and deliberate
perusal, art galleries are viewed.as blatant monstrosities.
There should never be more than one picture in a room, nor
more than one picture to be studied in a day; galleries of pictures
are surely the greatest absurdities that ever were contrived; there
being no excuse for them, except that it is the only way in which
pictures can be made generally available and accessible.(28ii)
"With the most lifelike reproduction, there is no illusion. I
think if a semi-obscurity were thrown over the picture, after finishing

131
it to this nicety, it might bring it nearer to Nature.”(285)
Hawthorne insists, and he practices the precept in his own fiction,
that a veil is necessary to give man the feel of the suggestive and
mysterious quality of life, and that a mere photographing of the
phenomenal in no way suffices. Since the true nature of life is opaque,
except in rare moments of contact with ’‘reality,” that art which would
allot any degree of finality to the merely visual deludes itself. A
picture should embody something ”more real than man can see with the
eye and touch with the finger”; it should never content itself with a
reproduction of the apparent.
One proverbial dictum so variously phrased and so often
repeated that it grows wearisome warns that talent is not genius.
’’Pictorial talent seems to be abundant enough, up to a certain point;
pictorial genius, I should judge, is among the rarest of gifts."(286)
Talent for painting, like the oil which is employed, is but an
ingredient of the finished product. While talent is undeniably
necessary, it is genius which instills a spiritual life into art
creations»
I am of the opinion that good pictures are quite as rare as
good poets; and I do not see why we should pique ourselves on
admiring any but the very best. One in a thousand, perhaps, ought
to live in the applause of men from generation to generation, till
its colors fade or blacken out of sight, and its canvas rots away;
the rest should be put in garrets, or painted over by newer
artists, just as tolerable poets are shelved when their little day
is over.(287)
Hawthorne’s bewailing of the lack of genius among the painting
brotherhood is but a particularization of a larger idea. He felt, and
often gives expression to this feeling, that the number of true

132
geniuses throughout world history might well be counted on one's
fingers and toes. Mediocrity and mere talent are abundant enough, but
that vital perceptive spark which moves toward immortality is a rarity.
"It depresses the spirits to go from picture to picture,
leaving a portion of your vital sympathy at every one, so that you come,
i
with a kind of half-torpid desperation, to the end."(288) Each great
picture pulls internally on its observer. The nature of painting is
seen to be a powerful onej its effect is not unlike the catharsis so
well defined by Aristotle. On occasion, Hawthorne was tempted to rank
painting as first among the arts. “It is my present opinion that the
pictoral art is capable of something more like magic, more wonderful
and inscrutable in its methods than poetry, or any other mode of
developing the beautiful.”(28?) More frequently, he hands the laurel
to the poet.
It is this that all the arts have in commonj it is the striving
toward the beautiful which ties the bond of brotherhood. It should be
remembered that Hawthorne's conception of “beauty" elevates it above
mere surface prettiness—that beauty in this world is but a harbinger
of a "reality” or spirituality which is yet to come. A statue, a poem,
or a painting which does not move toward the beautiful has no worth,
and were better left undone.
An observer needs to be alone with an art object in order to
communicate with it on its own terms. "It is a terrible business,
this looking at pictures, whether good or bad, in the presence of the
artists who paint them; it is as great a bore as to hear a poet read

133
his own verses."(290) It may be remembered, too, that Hawthorne does
not attribute intrinsic merit to the antique. Each generation has its
own life to lead—its own problems and aspirations to express. Forms
which spoke forcibly to past ages may well have lost their ability to
stir the present.
In painting, as in literature, I suspect there is something in
the productions of the day that takes the fancy more than the works
of any past age,—not greater merit, nor nearly so great, but
better suited to this very present time. • • .(291)
"But as regards the interpretation of this, or of any other
profound picture, there are likely to be as many interpretations as
there are spectators."(292) Hawthorne sets forth relativistic tenets
in his criticisms on the several arts. Spectator opinion is held to
be relative in regard to each art object. A work of art cannot demand
one standard opinion from its audience. Yet to say that Hawthorne was
a relativist in the Anatole France sense of the word would be to leap
to unwarranted conclusions. It is difficult to see how one who
believed in a "reality" which was the same for all mankind could
countenance relativism. It may be that Hawthorne was too aware of his
untutored critical sense. If he did not see in a great painting or a
famous piece of sculpture what others had seen, what was accepted as
being there, relativistic comments might provide an easy outlet for the
feeling of uncertainty fostered by that lack of technical knowledge.
It is more probable that art is seen to be relative only in that it is
profoundly rich. Thus a magnificent piece of art work, by virtue of
the depth which makes its greatness, may evoke a multitude of
individual responses.

13k
Once more the monotonous proclamation of the scarcity of true
genius is presented.
One picture in ten thousand, perhaps, ought to live in the
applause of mankind, from generation to generation, until the
colors fade and blacken out of sight, or the canvas rot entirely
away. For the rest, let them be piled in garrets, just as the
tolerable poets are shelved, when their little day is over. Is a
painter more sacred than a poet?(293)
As a final statement on painting, the novelist advances a theory not
unlike one later held by Croce. It is scarcely a new idea even in
i860, but Hawthorne gives it a remarkably fresh phraseology.
A picture, however admirable the painter's art, and wonderful
his power, requires of the spectator a surrender of himself, in due
proportion with the miracle which has been wrought. Let the
canvas glow as it may, you must look with the eye of faith, or its
highest excellence escapes you. There is always the necessity of
helping out the painter’s art with your oto resources of sensibility
and imagination. Not that these qualities shall really add anything
to what the master has effected? but they must be put so entirely
under his control, and work along with him to such an extent, that,
in a different mood, when you are cold and critical, instead of
sympathetic, you will be apt to fancy that the loftier merits of
the picture were of your own dreaming, not of his creating.(29h)
The audience, then, must fully unloose its sympathy and its imagination
if it is to derive full benefit from an art work. In each instance of
observation, the artist’s experience is harmoniously re-created in the
capable observer. It is at this moment that the picture lives.
There is little evidence to indicate that Hawthorne ever
developed a learned critical sense. He continued in his own way,
liking that which appealed to him personally, and paying scant regard
to the critical opinions of other men or of time itself. In whatever
manner Hawthorne's art criticisms fail, they succeed in their very
honesty. There was no feigned approval of that which failed to stir

13$
him individually, even though he realized that a lack of approval might
well be interpreted as a lack of taste. While the commentary on art
plays but one tune, and it a rather simple one, it plays with the
utmost sincerity.
Poetry
Among the creators of the artistic, it is the poet who is most
keenly in tune with a universal beauty. He, above all the rest of
mankind, is capable of perceiving beauty and of giving form to his
perception. It is he who delves beneath life’s marble and mud to
arrive at a stable and spiritual substance. Those men who are limited
by their natures from seeing beyond the apparent, in no way negate the
validity of the poet’s vision.
Some, indeed, there were, who thought to show the soundness of
their judgment by affirming that all the beauty and dignity of the
natural world existed only in the poet’s fancy. Let such men
speak for themselves, who undoubtedly appear to have been spawned
forth by nature with a contemptuous bitterness; she having
plastered them up of her refuse stuff, after all the swine were
made. As respects all things else, the poet’s ideal was the truest
truth.(295)
In life’s hierarchy, the poet is placed by Hawthorne only a
little below the angels.
Why are poets so apt to choose their mates, not for any
similarity of poetic endowment, but for qualities which might make
the happiness of the rudest handicraftsman as well as that of the
ideal craftsman of the spirit? Because, probably, at his highest
elevation, the poet needs no human intercourse; but he finds it
dreary to descend, and be a stranger.(296)
In his function as a seer, a revealer of internal truths, a prophet,
the poet is above contact with mere mortals* His heights are celestial
ones, the task which he assumes the most noble open to mankind. Yet

each man is to some degree a poet; especially is this true of the
imaginative but uninitiated youth»
Until twenty years of age, a young man may, indeed, be rather
bashful about showing his poetry and his prose; but for all that,
he is pretty apt to think that these very productions would place
him at the tiptop of literature, if once they could be known.(297)
Great art cannot spring—any more than true virtue—-from a cloistered
state. It grows instead out of a mature acceptance of life—not from
an acceptance which stops with passiveness, but out of one which pushes
to the limits of human potential the search for those hidden beauties
which lie just beneath man’s fingertips and just beyond his vision.
"Our pale, thin, Yankee aspect is the fitter garniture for
poets."(298) Hawthorne gives credence to the romantic notion of a
starry-eyed poetic priesthood. Fat and robust people have no claim to
poesy. The novelist has a genuine reverence for his romantically
imagined, uniquely appearing poet. Poetry should take up the whole of
a man's being. It is inconceivable that suave, sophisticated people
could write decent verse as a hobby. Poetry is more than mere craft,
more than the mechanical action of stringing words together; it is a
spiritually consecrated way of life with a sanctified odor all its own.
"A poet has a fragrance about him, such as no other human being is
gifted withal; it is indestructible, and clings for evermore to
everything he has touched."(299)
A truly accomplished poet reaches a form of immortality to
which lesser artists may aspire, through the very grandeur of his work.
A poet's ghost is the only one that survives for his fellow-
mortals, after his bones are in the dust,—and he not ghostly, but
cherishing many hearts with his own warmth in the chillest

137
atmosphere of life. What other fame is worth aspiring for? Or,
let me speak it more boldly, what other long-enduring fame can
exist?(300)
Although Hawthorne makes few extravagant claims for the dabbler in
prose, for the composer of fictions, he gives effusive praise to the
melodious beauty of great poetic masterpieces. He holds the poet’s
ideal to be loftier than all others’.
”It is far easier to know and honor a poet when his fame has
taken shape in the spotlessness of marble than when the actual man
comes staggering before you, besmeared with the sordid stains of his
daily life.”(301) When the poet is seen in this life—where he is
necessarily caught up in the tarnished actualities of the physical—
his divinity is seldom apparent. Yet his eventual immortality, whether
or not the earthly observer may recognize it, is assured. ”It would be
a poor compliment to a dead poet to fancy him leaning out of the sky
and snuffing up the impure breath of earthly praise.”(302) It is
indeed a form of insult to bestow a perverted worldly praise on the
poet, for his nature is essentially a divine one.
Hawthorne apparently supports all that the most optimistic
theorizers on the function of the poet have had to say. Taken as a
whole, his running commentary on the poetic art leaves much to be
desired. He is too caught in the romantic myth of a poetic divinity,
to speak without prejudice of the art. His idealizations are so
extravagant that they tend to slip into sentimentality. Perhaps the
fact that he himself could not write verse caused the novelist to pass
the laurel to the poet.

138
Yet there is a healthy discriminatory power at work in
Hawthorne's critical pronouncements. If he never failed to praise
great poetry, he never forgot to ridicule the mediocre verse of his
day. lihile his taste in poetry seems to have been a reasonably sound
one, his excessive idealization of the poetic art defies logical
explanation, let it suffice to say that Hawthorne, for his own part,
found more beauty in poetry than in any other of the art forms.
Fiction
In a consideration of fiction as an art form, the now familiar
critical pattern is again present. Hawthorne speaks of proper subjects,
methods, and aims, but has little to say in a truly critical sense.
Indeed, the novelist never claimed critical ability for himself, and
he rarely commented in his letters and journals on the merit of
literary productions arising during his lifetime. If he was deeply
moved by a work—as in his reading of Moby Dick—he might choose to
congratulate its author. Hawthorne was not however, as were Poe and
Margaret Fuller, a literary critic in the formal sense of the word.
Fiction—the one art at which he was truly accomplished—failed
to stir a critical spirit in Hawthorne. It was one of his precepts
that each man is his own best critic, and if he, Hawthorne, failed to
appreciate a work he frequently chose to remain silent. Although
fiction had come to be respected in England by 1800, it was first put
on its feet in America by Irving, Cooper, and, more especially, by
Hawthorne himself. Fiction, by comparison with other art forms, was
still in a state of infancy; it was not to be accepted on the same

239
level with poetry.
Yet the problems and the duties of the novelist are essentially
those of the poet. "Poor authorI How will he despise what he can
grasp, for the sake of the dim glory that eludes himl"(303) The
writer eternally sacrifices himself to his aim; strives to capture that
which stays always one moment ahead of him. "When we see how little we
can express, it is a wonder that any man ever takes up a pen a second
time."(301;) Although strangers in their mediums, all artists are
brothers in their purpose and in their problems. They are equally
humbled by the fact that what they feel is so much more than what they
can express.
"Bees are sometimes drowned in the honey which they collect—
so some writers lost in their collected learning."(305) In picking up
the "bee" symbol made familiar by Swift’s The Battle of the Books.
Hawthorne places himself with those who spin from an inner fiber.
Since his genius was an original one, he must have looked with disfavor
on those writers who smother the fire of their own mind by becoming
parasites to other men’s learning. If a writer will but develop his
own ideas to the best of his capabilities, then may he judge his own
work from the subjective certainty of an organic insight rather than
from externally applied criteria. "Manuscript is as delusive as
moonshine. Print is like common daylight, and enables an author to
comprehend himself as no dictum of another man ever will."(306) Each
writer, if he be keen enough to turn out worthwhile manuscript, is
fully qualified to evaluate his own work.

Hawthorne never wrote his serious pieces with general
popularity as a goal. An author must write for those who will
understand him, not for the great multitude. All else is but hack work.
"The truth seems to be, however, that, when he casts his leaves forth
upon the wind, the author addresses, not the many who will fling aside
his volume, or never -take it up, but the few who will understand him,
better than most of his schoolmates or lifemates."(307)
A preternatural realm just beyond the phenomenal one is suited
to romance writing.
Moonlight, in a familiar room, falling so white upon the
carpet, and showing all its figures so distinctly,—making every
object so minutely visible, yet so unlike a morning or noontide
visibility,—is a medium the most suitable for a romance-writer to
get acquainted with his elusive guests.(308)
This is not to say that the romantic realm is by any token of the
imagination an unreal one, for it is here that truth operates in a
select and condensed medium. Here, objects and facts are not allowed
to get in the way of "reality." Here, one may give artistically
satisfying form to what is known or suspected about life.
Truth, once discovered and expressed, remains absolute and
fixed. "A high truth, indeed, fairly, finely, and skilfully wrought
out, brightening at every step, and crowning the final development of
a work of fiction, may add an artistic glory, but is never any truer,
and seldom any more evident, at the last page than at the first."(30?)
Once a truth is arrived at there is no need for additional elaboration—
the truth about sin, for instance, remains unchanged from first to last;
but the aims of art—beauty and "reality"—lead the mind ever onward.

Since truths remain eternally the same, a vigorous and imaginative
youth may prophetically voice the knowledge which age comes to know
more fully.
In youth, men are apt to write more wisely than they really
know or feel; and the remainder of life may be not idly spent in
realizing and convincing themselves of the wisdom which they
uttered long ago. The truth that was only in the fancy then may
have since become a substance in the mind and heart.(310)
Romance was of special concern. "Romance and poetry, ivy,
lichens, and wall-flowers, need ruin to make them grow."(311) The
past, with its accompanying decay, is necessary to cast a spell over
the materials of life. A romance should not be set in a present time
amid new and untested surroundings. It is necessary for the novelist
to move into the past in order to gain that detachment which gives
perspective. Although Hawthorne offers little formal criticism of
fiction as an art form, he is not silent concerning his personal
relationship with it.
Hawthorne and Fiction
Even though the novelist left no full record of his literary
aims and methods, he frequently broke through his native reticence in
letters to intimate friends. On other occasions, he sprinkled the
prefaces to his books with bits of critical opinion. In his preface
to The House of the Seven Gables, for example, the novelist states his
conception of romance writing. Because Hawthorne had labored so long
and bitterly for success in writing, his sometimes sensitive reaction
to outside criticism was partially justified. "If I doubt the sincerity
and correctness of any of my critics, it shall be of those who censure

1U2
me.”(312) He continued to feel throughout his lifetime that an artist
was his own most competent critic.
In his own novels and tales, he was sorely pressed by the
difficulty of maintaining a balance between the realm of everyday life
and that more concentrated and shadowy realm in which he had chosen to
work. When that balance fails, as it sometimes does, the story suffers
immeasurably.
Sometimes, when tired of it, it strikes me that the whole is an
absurdity from beginning to endj but the fact is, in writing a
romance, a man is always, or always ought to be, careering on the
utmost verge of precipitous absurdity, and the skill lies in coming
as close as possible, without actually tumbling over.(313)
For this and other reasons, writing never ceased to be hard work for
Hawthorne. At times the compositional chore became almost too
difficult. "The fact is, I have a natural abhorrence of pen and ink,
and nothing short of absolute necessity drives me to them.”(311i)
That "abhorrence of pen and ink," referred to so unhesitatingly,
was probably a feigned one. The sense of having created something
beautiful and significant was undoubtedly satisfying to Hawthorne. A
writer does not give a twelve-year apprenticeship to a profession which
he detests. In unguarded moments, Hawthorne was willing to admit that
the bitter toil of writing was not without its sweetness. "The only
sensible ends of literature are, first, the pleasurable toil of writing
second, the gratification of one’s family and friends; and, lastly, the
solid cash."(31^) The sense of achievement and satisfaction
accompanying the writing of the novels and tales, along with a love for
Sophia and the children, very probably constituted Hawthorne’s greatest
pleasures.

Iii3
Although Hawthorne was not in the least ashamed of the money
his writings earned, he remained true to his artistic creed whenever
it conflicted with cash. Friendships were not to be bartered in print.
In the controversy with his publishers over the prefatory remarks to
Our Old Home, the writer flatly refused to delete his dedication to the
no longer popular, as far as the American people were concerned,
Franklin Pierce.
I cannot, merely on account of pecuniary profit or literary
reputation, go back from what I have deliberately felt and thought
it right to doj and if I were to tear out the dedication I should
never look at the volume again without remorse and shame. As for
the literary public, it must accept my book precisely as I think
fit to give it, or let it alone.6?
If the book did not sell because of the dedication, then well enough,
but the dedication was a deserved one. It stayed.
"When once a man is thoroughly imbued with ink, he can never
wash out the stain.”(316) Hawthorne readily admits his fate, his
peculiar destiny to go on writing so long as he is physically and
mentally able. Yet he never claimed great merit for his publications,
for he was too keen and detached a critic of his writings, too aware
of his own limitations and of the conditions under which he could
create, to grow rhapsodic over his successes.^ In a letter to Fields
written in 185U, Hawthorne pokes fun at himself. “Upon my honor, I am
not quite sure that I comprehend my own meaning, in some of these
blasted allegoriesj but I remember that I always had.a meaning, or at
^Fields, Yesterday with Authors, p. 108.
66
Austin Warren, “Hawthorne's Reading,” New England Quarterly,
VIII (December 1935), U80.

least thought I had.”6? The truth is that a Hawthomian allegory
begins and ends in a preternatural realm, and that.it is permanently
fixed in a state of suggestibility. There is no need for a complete
and cold meaning.
The aversion to public women who "display their natal minds"
is more understandable when related to Hawthorne * s own reserve.
So far as I am a man of really individual attributes I veil my
face; nor am I, nor have I ever been, one of those supremely
hospitable people who serve up their own hearts, delicately fried,
with brain sauce, as a tidbit for their beloved public.(317)
Even though the author does not reveal himself in a sentimental way,
or write of his life in the manner of a Byron, this much is certain:
he does make his personal thought the fabric of all that he writes, and,
in addition to the subtle ways in which he cloaks his thought in
fiction, he frequently reveals his mental and emotional, being in a
series of personal observations and affirmations.
It has been noted that Hawthorne did not strive for popularity—
that he was little concerned with it, and that he was frequently
unimpressed by those who had achieved it. "ify own opinion is, that I
am not really a popular writer, and that what popularity I have gained
is chiefly accidental, and owing to other causes than my own kind of
degree of merit." (318) He knew well enough that his own works were
too somber to ever be popularj that they tended to voice truths
which mankind was not fond of hearing. "If I were to meet with such
books as mine, by another writer, I don't believe I should be able to
67Fields, Yesterday with Authors, p. 7i>.

get through them.”(319)
Hawthorne -wrote from compulsion, but read for relaxation. He
preferred, for his own pleasure, to pick up the wholesome novels of a
Scott or a Trollope. It is not strange that one who wrote so heavily
should enjoy comparatively lighter reading in his free moments. When
writing to Fields from Ihgland, as late as i860, Hawthorne still
cherished the delusion that he might someday strike a cheerful note.
”When I get home, I will try to write a more genial book; but the
Devil himself always seems to get into my inkstand, and I can only
exorcise him by pensful at a time."^ The plain truth of the matter
is that Hawthorne could write only what he knew. If he recognized sin
as an actuality, then he could not write about it as if it did not
exist. The locale of the story itself, or the place of composition
made no appreciable difference; for, be it Salem, London, or Rome,
life was everywhere the same. Problems that Hawthorne had begun to
toy with in his earliest stories, he continued to turn grimly over and
over in his later writings. His cry was that nI wish God had given me
the facility of writing a sunshiny book."(320) It was a cry
predestined to remain unanswered. If he sometimes wished that he could
write otherwise than he did, he was quite convinced that this was not
to be.69
True pathos is found in the novelist’s recognition that the
68Ibid., p. 89.
^Bertha Faust, Hawthorne1s Contemporaneous Reputation
(Philadelphia, 1939), p. lii5. ”

ability to write had at long last deserted him. "Yet it is not quite
pleasant for an author to announce himself, or to be announced, as
finally broken down as to his literary faculty."(321) In the last year
of his life, 1861*, Hawthorne vainly labored over The Dolliver Romance,
but he seems to have suspected months before his death that he would
never live to complete it.
"Subtlety, truth and beauty are noble aims which Hawthorne
shared with other writers of fictionj but in aspiring to make an art
more beautiful than nature, an art which suggested another realm of
values, Hawthorne stood almost alone in his time."70 It is indeed
true that Hawthorne in his relationship to art struggled toward almost
unattainable goals. It is true that he quietly accepted the task for
himself which he had assigned to the poet. It is also happily true
that he went further than most artists in realizing those seemingly
unreachable objectives.
In addition to the commentary on the enumerated media of art
and to the personal unfolding of the author's relationship to his own
medium, Hawthorne reflected with no little acuteness on subjects
tangential to the arts—-taste, talent, genius, methods, media, and
aims. At times he praises, at other times he finds fault, but he
always remains true to that spiritual standard which first began to
reveal itself in his preference for Gothic architecture.
70charles H. Foster, "Hawthorne's literary Theory," PMLA., LVII
(March 191*2), 2i)3.

Taste
Just as society was attacked for its superficiality, even so
is taste condemned for the same failing. Taste is cultivated,
lettered, man-created. Anyone can acquire taste—provided he exert the
proper amount of effort—in much the same way that one learns table
manners, yet the acquisition seems hardly worthwhile to one with
Hawthorners unpretentious approach to life. Hawthorne was a simple
person in many ways—at heart a family man; he was scarcely a
connoisseur. If he did not like something—opera, for instance—he
resented the duplication that he was deficient in good taste.
"Doubtless, I shall be able to pass for a man of taste, by the
time I retura to America. It is an acquired taste, like that for
winesj and I question whether a man is really any truer, wiser, or
better, for possessing it."(322) The sheer labor involved in
cultivating one's taste, causes Hawthorne to question whether or not
the end result is worth the effort. If the acquisition is difficult,
it is somewhat rewarding in that it opens the way to a perception of
highly refined beauties. "Mounting a few steps higher, one sees
beauties. But how much study, how many opportunities, are requisite,
to form and cultivate a tastel"(323)
After some deliberation, the moralist comes to the conclusion
that taste is not necessarily related to morality. "Taste seems to be
a department of moral sense; and yet it is so little identical with it,
and so little implies conscience, that some of the worst men in the
world have been the most refined. n(32l*) The artificial or

intellectual tone of taste sufficiently explains the apparent amorality
A genuine love of painting and sculpture, and perhaps of music,
seems often to have distinguished men capable of every social crime
and to have formed a fine and hard enamel over their characters.
Perhaps it is because such tastes are artificial, the product of
cultivation, and, when highly developed, imply a great remove from
natural simplicity.(325)
Thus it is, as with the social order, that the further man removes
himself from the simple whispering of his heart, the more corrupt his
contrivances.
There is a distinct possibility that Hawthorne felt himself
lacking in what was commonly thought of as “good taste." Perhaps he
first became cognizant of this shortcoming during his years in England
and Italy. Thus, a Hawthorne deficient in refined or cultivated taste
might choose to dismiss both the social order and the standards of
taste as highly artificial, man-made contrivances. It is very probable
however, that this was not the case. Hawthorne was his own best critic
he knew his shortcomings and was the first to admit them. It would be
decidedly unlike him to deceive his reading public or himself on any
score. If Hawthorne’s evaluation of taste and society is to be
interpreted as the outgrowth of a feeling of social inferiority, then
it assuredly worked itself out on a subconscious level.
The diatribe on taste is better understood in its relationship
to the total Hawthomian thought world. Taste, as the novelist saw it,
was a superficial, learned accomplishment possible to all men. It was
not moral; neither was it intuitive. It operated, instead, under man's
law of the head. It had none of the matter of the heart about it; it
had no spiritual value.

Talent and Genius
Yihen dealing with the various arts, Hawthorne lamented the
scarcity of genius and the superfluity of talent present in this world.
The great danger is that the inept, the mediocre, and the competent
are apt to think that they have talent, and that each talented person
is prone to believe himself a genius. A man never really knows his own
measurement, for although he may have the good sense to realize that he
has some talent, he never knows its quantity or its quality.
But, after all, a man gifted with thought and expression
whatever his rank in life, and his mode of uttering himself,
whether by pen or tongue, cannot be expected to go through the
world, without finding himself out—and as all such self-
discoveries are partial and imperfect, they do more harm than
good to the character.(326)
Since the individual's self-discovery is so pitifully incomplete, the
arts are plagued with unfortunate creatures who would waste others'
time and their own lives in an attempt to further that which does not
exist in the first place.
"Perhaps, moreover, he whose genius appears deepest and truest
excels his fellows in nothing save the knack of expression; he throws
out occasionally a lucky hint at truths of which every human soul is
profoundly, though unutterably, conscious."(327) It would appear in
this instance that Hawthorne is giving too much credit either to human
nature or to man's intelligence. In truth, though* he is only
remarking that genius must have a recipient—that it cannot operate in
a vacuum—that to function as genius it must somehow communicate.
Hawthorne himself felt that the truths which he perceived and
artistically expressed were common to all mankind rather than

ISO
individual in their nature. A truth is not a fact to be learned as
much as it is the revelation of that -which the perceiver previously
knew but was incapable of expressing. Hence, genius in its primary-
form may be thought of as the knack of giving form in some worthwhile
medium to universal knowledge.
Hawthorne’s appraisal of genius repeats, for the most part, the
same refrain which he played over and over when criticizing painting.
"There is very little talent in this world, and what there is, it seems
to me, is pretty well known and acknowledged. We don’t often stumble
upon geniuses in obscure corners."(328) "Westminster Abbey makes me
feel—not how many great, wise, witty, and bright men there are—but
how very few in any age, and how small a harvest of them for all the
ages."(329) What little genius may be truly said to exist in this
world is, in a final analysis, ephemeral. Much of the great genius of
past ages has been lost in transit. That which should by rights endure
forever as the heritage of civilized man is eventually swallowed up by
time.
Genius, indeed, melts many ages into one, and thus effects
something permanent, yet still with a similarity of office to that
of the more ephemeral writer. A work of genius is but the
newspaper of a century, or perchance of a hundred centuries.(330)
Only God is beyond time. The greatest of man's accomplishments in art
are eventually lost into timej the great immortal names, even the
poet's sacred name, are no longer sounded.
The Audience
Art has no existence apart from its audience. A painting, a

1S1
poem, a novel achieves no finality in its printed form, nor is it
limited by the intentions of the artist â– who created it. Art comes
alive only when it is perceived, and reaches its potential to varying
degrees in the mind and heart of its perceiver.
BIt seems to me that a work of art is entitled to credit for
all that it makes us feel in our best momentsj and we must judge of its
merits by the impression it then makes, and not by the coldness and
insensibility of our less genial moods.“(331) The best that one may
discover at his highest moments is potential in and belongs to the
piece of art under consideration. It is not so much, then, what the
artist has consciously put into his creation that limits its
possibilities, but rather what the audience is able to find therein.
This is not to imply that inferior work has a claim to genius. All
excellence which is to be found in art comes originally from the
artist himself, but the limit of what is to be found is fixed by the
audience. A rich piece of art thrown open to a highly imaginative
audience is almost infinite in its potential.
Since art work is dependent on audience response, the richer
the artist’s creation, the greater the variety of that response.
There is no doubt that the public is, to a certain extent,
right and sure of its ground, when it declares, through a series
of ages, that a certain picture is a great work. It is soj a
great symbol, proceeding out of a great mindj but if it means one
thing, it seems to mean a thousand, and, often, opposite things.(332)
Because of its very depths, great aid; is relative. It contains a
variety of messages for each and all mankind. If the truth and beauty
embedded in a masterpiece be absolute—that is, in existence for all

152
mankind—the manner and the degree to which these qualities register
on the interpreter is a relative one.
Although audiences are hard pressed to find beauty in the
smaller art objects, size has nothing to do with the excellence of a
given piece of art.
Greater [largerj things can be reasonably well appreciated
with a less scrupulous though broader attention; but in order to
estimate the brilliancy of the diamond eyes of a little agate bust,
for instance, you have to screw your mind down to them and nothing
else. You must sharpen your faculties of observation to a point,
and touch the object exactly on the right spot, or you do not
appreciate it at all.(333)
If the observer does not succeed in sharpening his mind down to the
minutiae, he is apt to miss completely all that is present in the work.
It is difficult to appreciate the beauties of a single piece of
sculpture when it is placed along side the massive outlines of a
cathedral. Yet the beauty and the truth to be found in the sculpture,
if properly understood, might well surpass the awesome grandeur of the
surrounding structure.
Art audiences are frequently as fickle as first loves.
The "Gentle Reader," in the case of any individual author, is
apt to be extremely short-lived; he seldom outlasts a literary
fashion, and, except in very rare instances, closes his weary eyes
before the writer has half done with him. If I find him at all,
it will probably be under some mossy-gravestone, inscribed with a
half obliterated name which I shall never recognize.(33U)
There was no awareness on Hawthorne's part that his own artistic
productions might command readers in future ages. Neither did he seem
to realize the timeless quality of the truths which he phrased.
Perhaps the knowledge that audiences demand a certain catering from
their novelist, and that "thought grows mouldy from one generation to

153
the next" dampened his enthusiasm for literary immortality.
«like all revelations of the better life, the adequate
perception of a great work of art demands a gifted simplicity of
vision."(335) Mediums of art revelation are elemental ones. Art
moves from its canvas, stone, or printed page into its audience
primarily through the heart. The process is both simple and unaffected,
for art reveals itself in the manner of religion and love. No amount
of audience intellectuality will hurry its course. Intelligence, while
it determines the range of one's comprehension, affects but little the
quality of it. Thus it is that an unlettered soul might find as much
or more in a given masterpiece as the most widely publicized art
criticj even though he could not express in words what had been felt
and seen, the perception of the unlearned observer is equally valid.
Art's audience is not to be lightly dismissed. Yihereas the
artist need not cater to the low taste of the general public, he must
recognize that his art has existence only in the minds and hearts of
its perceivers. In striving to ferret out and formulate that which
lies beneath the dross, the artist elects for himself the noblest
profession—that of bringing truth and beauty to his fellow man. An
artist who contents himself with the art creation alone, rather than
with the bonded duty of communication, desecrates his entire
brotherhood.
Fame
Hawthorne's ideas on fame may have been partially determined
by his own lack of literary success before 1850. Prior to then, during

iBh
the time when he felt himself to be the most unknown man of letters in
America, fame was looked upon contemptuously. "The securest fame is
that which comes after a man's death."(336) In truth, fame was but
incidental to a Hawthorne pledged to and guided ty his own set of ideal
standards. "As for fame, it is but little matter whether we acquire it
or not."(337) If Hawthorne ever nurtured a desire to become famous in
the eyes of the populace, he never let it be known. like any author he
wanted people to read his books, wanted those books to sell, but fame
itself was looked upon as the most superficial of literary goals.
After fame found its way to the novelist in l8i>0, he began to
pay more attention to it, but never actually changed his opinion of its
hollowness. "A man—poet, prophet, or whatever he may be—readily
persuades himself of his right to all the worship that is voluntarily
tendered."(338) Whatever fame incidentally comes, the artist may
willingly accept, but at the same time he should realize that the
acquisition of fame is not in his power, and that whether or not
popularity ever comes is of little consequence.
What nonsense it is, this care of ours for good fame or bad
fame after death! If it were of the slightest real moment, our
reputations would have been placed by Providence more in our own
power, and less in other people's than they now are.(339)
No matter how man may court fame, she may deny her handj yet if he
turn his back on her, she is apt to seek him out.
To Horatio Bridge, Hawthorne disparages the popular acclaim
which he had begun to receive by l8f>l.
The bubble reputation is as much a bubble in literature as it
is in war, and I should not be one whit the happier if mine were
world-wide and long-time than I was when nobody but yourself had

155
faith in me.71
Still, the recognition given to an author bolsters his tired spirits.
As age increases, as the range of pleasure is narrowed, words of
commendation begin to carry a greater warmth. "You cannot imagine
how a little praise jollifies us poor authors to the marrow of our
bones. "(3liO)
Longfellow the poet, a Bcwdoin classmate, had long enjoyed his
allotment of fame. Hawthorne, in the year of his death, poses the
issue of fame to the companion of his college days. "You can tell,
far better than I, whether there is anything worth having in literary
reputation^ and whether the best achievements seem to have any
substance after they grow cold."72 There is nothing durable about
fame, no solidity beneath its glitter. Of all the flickering shadows
of man's phenomenal world, fame is felt to be the most elusive, and,
were it somehow to be grasped, by far the most unsatisfactory.
The Artist's Ideal
Artists are not confined within the sordid compass of daily
life, but follow an ethereal spark which must eventually lead them
upward to the beautiful. Strangely enough, the artist hovers both
within and without the circle of humanity. As one of the members of
that circle he lifts from humanity those elements which are most
abiding and most beautiful, shapes them in a semi-divine stream of
7lBridge, Recollections, p. 175.
72samuel Longfellow, Life of H. W, Longfellow, III, 29.

156
thought, and returns them, to mankind in the form of art. As one who
dwells outside and above the circle, he administers to humanity from
his divine priesthood.
But what, more specifically, is the ideal of art? “When the
artist rose high enough to achieve the beautiful, the symbol by which
he made it perceptible to mortal senses became of little value in his
eyes while his spirit possessed itself in the enjoyment of the
reality."(3Í4I) If the perception of beauty is a "reality," if it is
the supreme destiny of art to fashion beauty, then beauty is undeniably
spiritual. Hawthorne’s universe is thickly peopled with spiritual
essences which often pass under different labels. "Reality," for
instance, is known as a spiritual substance embedded in deceptively
concrete exteriors. When reflecting on beauty, Hawthorne thinks again
of a spiritual stream flowing behind the apparent one. The actual,
the spiritual, the beautiful are inextricably confused, for they are,
in fact, identical in their fiber. It is only in context that they
come to have different significations—different shades and tones.
Clustered abstractions, though admittedly ill-defined, are central to
all that Hawthorne thought and felt. "Like Sophocles, Hawthorne aimed
at an idealization which.was not a beautiful realm of escape from
actuality but was actuality shaped so that it was universal truth."73
Should an artist accept the challenge of his ideal, he will
soon find himself in continual conflict with the rude practicalities
of daily existence.
73charles H. Foster, "Hawthorne’s Literary Theory," PULA., LVII,
210*. -

157
Thus it is that ideas, which grow up within the imagination and
appear so lovely to it and of a value beyond whatever men call
valuable, are exposed to be shattered and annihilated by contact
with the practical. It is requisite for the ideal artist to
possess a force of character that seems hardly compatible with its
delicacy; he must keep his faith in himself while the incredulous
world assails him with its utter disbelief; he must stand up
against mankind and be his sole disciple, both as respects his
genius and the objects to which it is directed. (3ii2)
The necessity of holding faith in the face of worldly rebuff is a
grueling one. Adherence to the ideal, however, gives a satisfaction
more divinely permanent than any the outer world can offer.
Consequently, the artist pursues his ideal; he moves beyond the
depiction of surface phenomena and into the complex realm of great art.
"The beautiful idea has no relation to size, and may be as
perfectly developed in a space too minute for any but microscopic
investigations as with the ample verge that is measured by the arc of
the rainbow."(3^3) That beauty which is shaped from the complex
tickings of human life itself surpasses all other artistic achievements.
"It is not well to be so perfect in the inanimate, unless the artist
can likewise make man and woman as lifelike—and to as great a depth
too—as the Creator does."(3l4i) Yet even the inanimate, if properly
dedicated, remains permanently beautiful in its decadence.
But a castle does not make nearly so interesting and
impressive a ruin as an abbey; because the latter was built for
beauty, and on a plan in which deep thought and feeling were
involved; and having once been a grand and beautiful work, it
continues grand and beautiful through all the successive stages
of its decay. (31j5)
Beauty is eulogized so frequently by Hawthorne, is played with so
untiringly in his tales, that were it not for the knowledge of that

158
total orientation to life, of which beauty is but a shining component,
the novelist might well be misunderstood as being far more of a
disciple to beauty than he actually was.
Certain English critics of the 18th Century had eagerly
accepted "nature'1 as a law giver. Hawthorne, with his Gothic
temperament, found the dictums of the Neo-Classicists to be rather
cold and stilted. When speaking of nature, he uses the term in a
romantic application. Nature, and that which is congruent to nature,
is unaffected, unartificial, and uncodified. Nature is both a physical
presence and a primal spirit. "But I do not think I can be driven out
of the idea that a picture ought to have something in common with what
the spectator sees in Nature."(3^6) The methodized nature of the
neo-classical poets is of little concern.
Artists, since they breathe a nobler air, are entitled to
weave their art work from those rarified insights which become their
special prerogative.
Artists, indeed, are lifted by the ideality of their pursuits
a little way off the earth, and are therefore able to catch the
evanescent fragrance that floats in the atmosphere of life above
the heads of the ordinary crowd. Even if they seem endowed with
little imagination individually, yet there is a property, a gift,
a talisman, common to their class, entitling them to partake
somewhat more bountifully than other people in the thin delights
of moonshine and romance. C3U7)
If an artist may not find sympathy and friendship among men of
identical ideals, where then may he look. "If anywise interested in
art, a man must be difficult to please who cannot find fit
companionship among a crowd of persons, whose ideas and pursuits all
tend towards the general purpose of enlarging the world's stock of

15?
beautiful productions•"(3U8)
Although Hawthorne did not choose his warmest friends from
among the art fold—men like Bridge and Pierce were more to his liking—
still he took delight in defending the sanctity of an artistic
brotherhood* In 18U?, just after the novelist had been unjustly
accused of writing political articles for The Salem Advertiser* he had
written in spirited letter to Longfellow:
If they succeed in getting me out of office , I will surely
immolate some of them. • • . This I will do, not as an act of
individual vengeance, but in your behalf as well as mine, because
they will have violated the sanctity of the priesthood to which we
both, in different degrees, belong.7h
The pursuit of the artist’s ideal is never an empty one. No
matter how far short of his goal a man may fall, it is better to have
made the effort. In rising far above the animal state of existence,
in rising slightly above that of the human state, the artist derives
far more from living, however brief and seemingly futile his life may
be, than the average citizen.
This sunny, shadowy, breezy, wandering life, in which he seeks
for beauty as his treasure, and gathers for his winter’s honey
what is but a passing fragrance to all other men, is worth living
for, come afterwards what may. Even if he die unrecognized, the
artist has had his share of enjoyment and success.(3U?)
Ideals were actualities to Hawthorne. "Indeed, it is evident
on almost every page of his works that not simply beauty, but a beauty
that was truth was the goal of his art."75 it is the ultimate aim of
art to give truth and to be beautiful. In order to accomplish this aim
7Samuel Longfellow, Life of H* W, Longfellow, H, 152.
75Charles H. Foster, "Hawthorne’s Literary Theory," PMLA., LVH,
2i*6.

160
to any degree, the artist must deal with that which is spiritual*
tihen he lifts himself to work on the higher planes, the artist may
experience more in a moment than most men in a lifetimej for it is in
loosing himself into spiritual substances that a man finds himself*
The vision or knowledge of an inner actuality, coupled with the
substantial ability to formulate this knowledge into a beautiful and
meaningful art, encompasses the ultimate of human potential.
Methods and Problems of Ait
When an ideal is seen in terms of the utilitarian considerations
necessary for its application to phenomenal life, it grows infinitely
more complex. What then are the problems which the working artist
must face, and what are the methods and media through which he may
surmount those difficulties? In carrying out his ethereal ideas an
artist is forced to work with worldly materials. That effort
required to polish a scarred subject matter to an unblemished gloss
is tediously painstaking.
Fancy serves the artist as an indispensable instrument of his
trade*
A license must be assumed in brightening the materials which
time has rusted, and in tracing out half-obliterated inscriptions
on the columns of antiquity! Fancy must throw her reviving light
on the faded incidents that indicate character, whence a ray will
be reflected, more or less vividly, on the person to be
described. (35>0)
The writer is fully justified in conjuring up the past and presenting
it well filtered through the imagination and the fancy. Art is not to
stop with mere facts, nor is it to be hindered by a lack of them. It

161
owes its allegiance only to the higher truths* Whatever procedures the
artist may employ to reach those truths are justifiable in the light of
the end result*
"An innate perception and reflection of truth gives the only
sort of originality that does not finally grow intolerable." (351)
Genuine originality, on which art thrives, has its roots in man's
heart* It is intuitive rather than learned; like religion and love, it
is unaffected. It is limited only in that man, a limited creature, is
forced to express in words that which often lies beyond words*
"Language—human language—after all, is but little better than the
croak and cackle of fowls, and other utterances of brute naturej
sometimes not so adequate."(3^2) The artist is bounded, then, by the
potential of the tools with which he works—marble, oil, words—and is,
therefore, not always able to perfect the deepest and the most
beautiful of his thoughts. There is no true finality, as far as the
artist is concerned, for his aspirations are prone to roam ahead of his
practical ability.
Perhaps the major problem which all artists face is the nature
of the life compound itself. The artist's chore, that of seeking out
a marble so thoroughly encased in mud, appears, at first glance, an
impossible one. Minute strands of dross cling to the noblest creations
of man. "It is a heavy annoyance to a writer, who endeavors to
represent nature, its various attitudes and circumstances, in a
reasonably correct outline and true coloring, that so much of the mean
and ludicrous should be hopelessly mixed up with the purest pathos

162
which life anywhere supplies to him. "(3i>3) Since the compound is so
pervasive, and since the ordinary facts of daily relationship may
nowise escape it, the artist is forced to select and idealize certain
elements in order to crystallize that which is best in life. Earthly-
facts are but the outer breath of "reality"; they remain meaningless
until secured in a deeper relationship. "There is no harm, but, on the
contrary, good, in arraying some of the ordinary facts of life in a
slightly idealized and artistic guise."(3$k) The artist does not
violate the integrity of the life compound by idealizing selected
ingredients of it; nor does he alter the nature of that unchangeable
compound in offering up through an artistic medium that which is most
beneficial to man's spiritual welfare. Romance, as Hawthorne knew it
and wrote it, stems from a higher truth rather than from pure fancy.
"Impressions, states of mind, produced by noble spectacles of
whatever kind, are all that it seems worth while to attempt reproducing
with the pen." (355) Just as Hawthorne appeared to be something of a
relativist in his commentary upon art's audience, he appears as an
impressionist when discussing the methods of art. A mere recording of
daily events—surface description—has no value. The novelist had
warned his intimate friend, Horatio Bridge, that he should not let
himself be limited by what appears as factual.
I would advise you not to stick too accurately to the bare
fact, either in your descriptions or your narrative; else your hand
will be cramped, and the result will be a want of freedom that will
deprive you of a higher truth than that which you strive to obtain.76
7^Bridge, Recollections, p. 92.

163
In one sense of the word Hawthorne is an impressionist; yet he seems
to have identified impressions with intuitions.
Correct outlines avail little or nothing, though truth of
coloring may be somewhat more efficacious. Impressions, however,
states of mind produced by interesting and remarkable objects,
these, if truthfully and vividly recorded, may work a genuine
effect, and, though but the result of what we see, go further
towards representing the actual scene than any direct effort to
paint it.(356)
It is the abstraction, the intangible, which has substance for
Hawthorne. Visible objects are but shadows. Although Hawthorne
recommends a form of impressionism, he would tend to define the
impression as an intuition of truth and "reality."
One means of acquiring a freedom to create comes in removing
the chosen subject from the confusion of the contemporary scene.
In truth, the artist (unless there be a divine efficacy in his
touch, making evident a heretofore hidden dignity in the actual
form) feels it an imperious law to remove his.subject as far from
the aspect of ordinary life as may be possible without sacrificing
every trace of resemblance.(357)
The subject is first perceived in, and then extracted from, the
materials of ordinary life. Second, it is moved through the
imagination where it is placed in its proper perspective with certain
known "realities." Finally, it is artistically reassembled, without
once having violated its integrity, in a new and finer unit. This is
the method which Hawthorne recommends; and although it is romantic in
its process, it is ultimately related to actual life.
Certain conclusions may be drawn from Hawthorne^ rather
elaborate commentary on art. First of all, a complete fidelity to the
spiritual nature of the universe is mandatory. Second, the aim of all

art is the creation and communication of beauty and truth. Third, the
size of an art piece has nothing to do with the quality of the art
therein contained. Fourth, a preference for the Gothic manifests an
interest in that which is lifelike, rugged, and suggestive rather than
that which attempts perfection and finality in smoother lines. Fifth,
art springs from the heart; it is intuitive in its origin. Sixth, and
finally, art, along with love and religion, affords man his finest
opportunity for expressing the best which is latent in his nature.
Art has its function in Hawthorne's universe, but it does not
supersede his conception of life's darker essences. To neglect the
perspective in which art was seen by Hawthorne is to distort the
Hawthornian philosophy. Hawthorne was an artist, yes, but he was many
other men at the same time. Art—though it played a leading role in
the novelist's life—is viewed, in a last analysis, as a partial but
affirmative retreat, along with religion and love, from the rock-ribbed,
eternal thundering of the sin-cloud.

CHAPTER VIII
HUMAN NATURE
Since people are curiosities, Hawthorne made a profession of
observing them. "No individuals were sufficiently humble to merit his
indifference or sufficiently commonplace to escape his analysis.”77
Although what he saw in human nature is interesting enough, what he
could not comprehend—that which he never wrote about—is equally
absorbing in its absence. Human nature is shaped at first within the
shadow of the unknowable life conditions preceding birth, and then by
the lights and shadows of institutionalized forces at play upon the
emerging individual. It is, in fact, a product of unchangeable
contingencies rather than a distinct, self-sustaining entity.
Mankind's nature is moulded by all that it is forced to participate inj
it does not fashion its own destiny. Finally, the apparent variety of
human nature is exceeded only by its monotony.
Reactions to the fixed conditions of life—individual actions,
thoughts, feelings—provide an unfolding panorama which the observer of
destiny's workshop assumed it his charge to record.. When recording
group or individual responses to conditions or to other individuals,
he saw as uppermost the infinitely varied aspect of human nature. When
reflecting on and interpreting these same responses from a distance, he
77Newton Arvin, ed., The Heart of Hawthorne's Journals (Boston,
1929), p. xl.
165

166
reduced human nature to its predominant characteristic—sameness. The
story of human nature, if held up to the light in its simplest form,
presents its reader with -what is perhaps the darkest one novel that
Hawthorne wrote. Yet human nature, however separate it may appear at
first glance, is inextricably mixed with and derived from the dark
pattern of prenatal ’’realities,” from the domestic-religious partial
release from that pattern, and from the crushing necessity for social
participation.
Human nature is limited in that man is a sinful creature.
Hawthorne’s inquiry into human nature rests upon the assumption that
mankind always has been and always will be in a state of depravity.
In brief, his inquiry would determine the degree of that depravity.
Hawthorne would not, like Jonathan Swift, condemn man for a lack of
reason; he would instead chastise man for a misdirected reliance on
the intellect. If human nature is ever to improve—and the novelist
saw little indication that improvement was forthcoming—it must cease
to depend on mere intellect. Mankind’s nature is selfish, animal,
short-sighted, and vain, yet it has within it a spark which may and
frequently does cause it to momentarily rise above its characteristic
failings.
Although the human potential is thoroughly bounded by the
immense forces under which it must subsist, it is at the same time
limited in much more subtle ways. Physical life’s complex imperfection
imposes barriers at the end of every pathway. In dealing with life,
and in dealing with fellow human beings, the individual is at constant

167
odds with these barriers.
Limitations on Mankind
life permits no erasures. Humanity is unduly restricted in
that each of its mistaken actions carries with it a harsh finality.
It is a truth (and it would be a very sad one but for the
higher hopes which it suggests) that no great mistake, whether
acted or endured, in our mortal sphere, is ever really set right.
Time, the continual vicissitude of circumstances, and the
invariable inopportunity of death, render it impossible. If, after
long lapse of years, the right seems to be in our power, we find no
niche to set it in. The better remedy is for the sufferer to pass
on, and leave what he once thought his irreparable ruin far behind
him. (358)
Once an action has taken place, man is sentenced to live forever with
its consequences. Human nature is fatally limited in that it cannot,
like God, create new life. Man is forced to live, and invariably,
during the course of his lifetime, forced to err. Since man is forced
to move imperfectly, and since he has no means of avoiding the ordained
errancies of his physical self, he is eternally doomed to limp along
his barrier-encrusted pathway. At each crossroad, once the wrong path
is chosen, there is no backtracking. Hawthorne does not speak
optimistically of a good life; for, while there are possible degrees of
goodness, there is scant possibility of a wholly good and pure
existence.
MHow different is the spontaneous play of the intellect from
the trained diligence of maturer years, when toil has perhaps grown
easy by long habit, and the day's work may have become essential to the
day's comfort, although the rest of the matter has bubbled away!"(359)

168
Mankind's period of full activity is unbelievably brief. In youth, as
a neophyte, it cannot be truly said that he has begun to live "with the
actualities of life# In his later period he is forced to adjust to a
routine which no longer has substance. It is only in the middle years
that the total energies for life are unloosed. But here, in the period
of full activity, that which is original and spontaneous in the species
is rapidly squeezed by greater than human forces into the mere
nothingness of an empty pattern. Here, too, the mightiest efforts of
man prove ineffectual, for an inscrutable providence moves with a
swifter and a surer hand. "And perhaps the forms and appliances of
human life are never fit to make people happy, until they cease to be
used for the purposes for which they were directly intended, and are
taken, as it were, in a sidelong application."(360)
In addition to the physical and mental consequences—whether
for good or for evil—present in the most seemingly trivial of man's
actions, there is a greater law of compensation at work. The principle
of a balanced universe—although the compound is deeply gray, rather
than an equal blending of the dark and the light—may not be violated.
Any effort, however nobly conceived, is apt to bear evil fruit. The
destruction of an individual evil leaves room for the development of a
newer and possibly greater one. Even though man is free to act—though
it is obligatory that he remain active—he must recognize that all
actions fall within the workings of a fixed, balancing principle. A
mature individual—one thoroughly and brutally initiated to living—is
fully aware of this limitation.

169
It is only one-eyed people who love to advise, or have any
spontaneous promptitude of action. When a man opens both his eyes,
he generally sees about as many reasons for acting in any one way
as in any other, and quite as many for acting in neither, and is
therefore likely to leave his friends to regulate their own
conduct, and also to remain quiet as regards his especial affairs
till necessity shall prick him onward.(36l)
MHow strange it is,—the way in which we are summoned from all
high purposes by these little homely necessities} all symbolizing the
great fact that the earthly part of us, with its demands, takes up the
greater portion of all, our available force."(362) Humanity is
completely and thoroughly limited. Its spiritual raurmurings are feeble
and infrequent. Inescapable mortal duties squeeze out daily the
nobilities of existence. Thus mankind, determinedly striving for
advancement, succeeds only in standing still. Even though a certain
materialistic bettering of man's external state is possible, the
internal core of human nature remains unaltered.
Human nature, while it is a composite of the natures of both
sexes, is at no time to be identified with either of them. Woman was
allotted a unique nature and function; the nature of the male, though
less joyous, is equally distinct. Of the two natures, that of the male
is closer to what Hawthorne meant by the term "human nature." Woman is
of a softer texture, more sheltered, more spiritual than her mate.
Man's very nature stands as the antithesis of all that is best in
woman.
Man's Nature
Man's nature has little in common with that of woman, for he is

170
at heart both vicious and brutish. The male, if isolated from the
taming charms of his mate, frequently reverts to an inborn savageness.
Were it not for the restraining influence of century-old habits and
customs, and were it not for the written and common laws, man might
well give greater vent to his animal appetite.
It is sometimes, though less frequently the case, that this
disposition to make a "joy of grief” extends to individuals of the
other sex. But in us it is even less excusable and more disgusting,
because it is our nature to shun the sick and afflicted; and,
unless restrained by principles other than we bring into the world
with us, men might follow the example of many animals in destroying
the infirm of their own species. Indeed, instances of this nature
might be adduced among savage nations.(363)
Man's depravity exceeds that of animals because his cruelties are much
more refined. A primordial appetite for evil, combined with an
aptitude for subtly formulating and satisfying it, makes man, at times,
the most odious of beasts. He is perpetually capable of contriving
newer and coarser cruelties. "A singular fact, that, when man is a
brute, he is the most sensual and loathsome of all brutes.”(361t)
Nevertheless, either Manhood must converse with Age, or
Womanhood must soothe him with gentle cares, or Infancy must sport him
around his chair, or his thoughts will stray into the misty region of
the past, and the old man be chill and sad.”(365) Man must have
companionship if he is to control his indelicate urges. There is a
continual need for the warm and semi-spiritual comforts found in the
society of women and children. More especially do old men need a
wholesome companionship if they are to prevent themselves from becoming
phantom-like dwellers in the past. Man exists as a confíete being only
when he enters into partnership with the opposite sex.

171
While certain traits are in varying degrees common to the
general nature of all males, numerous others are characteristic of only
a limited number. Although the "public woman," for instance, was seen
in sharp contrast to the true nature of womanhood, various oddities of
the male nature are not set against a shining standard. Hawthorne
proposes no single ennobling function to which the male of the species
may fasten himself. Each observation on man's nature is a criticism of
some failing peculiar to the male. Thus types, traits, abnormalities
swim before the eye without the benefit of a functional standard
against which to view them. Insincerity, for example, is characteristic
of some men, but not necessarily of all men.
Insincerity in a man's own heart must make all his enjoyments,
all that concerns him, unreal? so that his whole life must seem
like a merely dramatic representation. And this would be the case,
even though he were surrounded by true-hearted relatives and
friends.(366)
The insincere man is doubly unfortunate in that his deceit places him
out of contact with his fellow human beings and thereby prevents any
possible salvation which might come to him.
Topically, man is a weak-willed creature of the winds. "In
truth, there is no such thing in man's nature as a settled and full
resolve, either for good or evil, except at the very moment of
execution."(367) A mature man acts only when necessity demands it,
and even then his deeds are often hasty and ill-timed. In the moment
of action man is most fully alive, yet the determination which forces
that action is but a temporaiy elation. The consequence is permanent.
Long-suffering participation in life, and the mistaken blunderings

172
â– which are an integral part of that suffering, find surcease only in
death. "When a man's eyes have grown old with gazing at the ways of
the world, it does not seem such a terrible misfortune to have them
bandaged."(368)
Those rare individuals who would attempt to aid man are looked
upon with suspicion.
Men who attempt to do the world more good than the world is
able entirely to comprehend are almost invariably held in bad odor.
But yet, if the wise and good man can wait awhile, either the
present generation or posterity will do him justice.(36?)
In the long or providential view, an inscrutable one, noble efforts
are compensated for. It is in the long look, also, that human nature
takes on its distinctive samenessj for, indeed, when observed eye to
eye and moment by moment the male nature exceeds that of Cleopatra in
its infinite variety. When male nature is viewed from a distance,
when it is seen in terms of myriad experiences, surface differences
vanish and the true raw nature of man comes into focus.
"But who can estimate the power of gentle influences, whether
amid material desolation or the moral winter of a man's heart?"(370)
A partial improvement of that which is inherently vicious in man's
nature may come through domestic modifications. As a partner in the
domestic institution, man finds in his mate those qualities which
temper his hardness.
Certain men, in spite of the gentle influence of womanhood, are
so fundamentally mean in their own right that they violate the dignity
of the natural order by aspiring for greatness. "Some men have no
right to perform great deeds, or think high thoughts—and when they do

173
so, it is a kind of humbug. They had better keep within their own
propriety.”(37l) Each individual has a realm of activity to which he
is especially suited and to which he should restrict himself. The
size and significance of one's place in an ordered universe varies
with fortune and with the capacity of the individual, but the necessity
for working within the limitations of one's specific nature is quite
clear. Indignation—such as that which the emergence of the "public
woman" aroused—is felt when any individual attempts to move beyond
the boundaries of his peculiar function. While the male sphere is not
specifically defined by Hawthorne, nevertheless, it does exist only
within limits.
It is characteristic of man that he moves by a series of
eruptions rather than at a continuous pace. "Men of uncommon intellect,
who have grown morbid, possess this occasional power of mighty effort,
into which they throw the life of many days, and then are lifeless for
as many more."(372) There is a reserve strength which enables a
person to cast his total energy into a period of intense activity^ but
while the consequence rankles ever afterward, the power of the initial
resolution immediately departs.
Although certain actions may have favorable effects, man's
goodness remains always in a theoretical realm. Evil traits are much
more evident in daily experience. "There are few uglier traits of
human nature than this tendency—which I now witnessed in men no worse
than their neighbors—to grow cruel, merely because they possessed the
power of inflicting harm."(373) Hawthorne witnessed ugliness and

imperfection whenever he observed man in action; man's nobility,
however slight it might be, went relatively unnoticed.
Man's nature is often harshly represented, for man in his pride
and vanity, flagrantly unaware of his imperfections, places too much
faith in his own intellect. There are, indeed, many men who create
false beings of themselves by working through the intellect.
There are ordinary men to whom forms are of paramount
importance. Their field of action lies among the external
phenomena of life. They possess vast ability in grasping, and
arranging, and appropriating to themselves, the big heavy, solid
unrealities, such as gold, landed estate, offices of trust and
emolument, and public honors. With these materials, and with
deeds of goodly aspect, done in the public eye, an individual of
this class builds up, as it were, a tall and stately edifice,
which, in the view of other people, and ultimately in his own view,
is no other than the man's character, or the man himself.(37lt)
Unqualified reliance on the intellect leads man into mistaking the
phenomenal for the "real." In due time the heart's message becomes
inaudible. It is shut off by an ever-increasing concern with the
material side of life. Thus man—in the same manner that he constructs
the social order—builds a human artificiality, which comes to replace
his original self. It is this tendency, this pride, this vanity, this
lust for materialistic possessions and faith in a materialistically
measured success, which most frequently provides for man’s undoing.
"Man's own youth is the world's youth; at least, he feels as
if it were, and imagines that the earth’s granite substance is
something not yet hardened, and which he can mould into whatever shape
he likes."(375) Before youth has actually challenged the compound,
he is confident of his ability to fashion life at his own discretion.
In maturity he consents to his fate—accepts the fact that he is

175
limited and that his dream of shaping the universe was but a delusion.
Death follows the middle years with great rapidity, and, in the very
moment of death, man continues to reveal his nature.
But there is no one thing which men so rarely do, whatever
the provocation or inducement, as to bequeath patrimonial property
away from their own blood. They may love other individuals far
better than their relatives,—they may even cherish dislike, or
positive hatred, to the latterj but yet, in view of death, the
strong prejudice of propinquity revives, and impels the testator
to send down his estate in the line marked out by custom so
immemorial that it looks like nature.(376)
There is a distinction implied between man's nature and man's habits.
Hawthorne hints that the maternal heart and the paternal head have
little in common. It is possible, even, that it is not man's true
nature to provide for his young. Custom and tradition may have
supplied a restraining influence which is frequently mistaken for the
male nature itself.
The favorable side of man's nature, assuming that it exists,
is rarely commented on. "It is often instructive to take the woman's,
the private and domestic, view of a public man; nor can anything be
more curious than the vast discrepancy between portraits intended for
engraving and the pencil-sketches that pass from hand to hand behind
the original's back."(377) A man seen in the intimate quarters of
the domestic state may be more or less of a man than the public sees,
but the difference is always present. Man, functioning in both the
social and the domestic worlds, may well have a different code of
conduct for each. The outer action, the social action, is the one on
which judgments are most frequently formed. "Of most men you early
know the mental gauge and measurement, and do not subsequently have

176
much occasion to change it."(378) “Men are so much alike in their
nature, that they grow intolerable unless varied by their
circumstances." (379) Hawthorne never remarked on the monotony of the
feminine nature, for woman is distinguishable by the richness of her
divine depths. Man, on the other hand, is consistently viewed with
the animal appetite foremost.
"But a man cannot always decide for himself whether his own
heart is cold or warm.“(380) It is an interesting corollary to the
"head-heart" distinction that coldness of heart is identified with a
lack of love for humanity. A warm heart, through love and through
intuition, opens the way to religion and "reality." Considered on a
lighter plane, man’s love is a comic vanity, a pathetic expression of
masculine ego. "A bachelor always feels himself defrauded, when he
knows or suspects that any woman of his acquaintance has given herself
away."(381) There is present in the male heart, however, a steady
thirst for companionship, for brotherhood. "And yet the natural man
cries out against the philosophy that rejects beggars. It is a
thousand to one that they are imposters; but yet we do ourselves a
wrong by hardening our hearts against them."(382) In all but the
most hardened of male natures, there is still some small sympathy for
humanity.
Hawthorne read widely in the writings of Swift and Voltaire.78
78jiarion l. Kesselring, Hawthorne’s Reading: 1828-1850, pp. 62-
63 (Index). During the period August 23, 1830 to November 20, I83O,
Hawthorne made seventeen withdrawals at the Salem Athenaeum from an
eighteen volume set of Swift's writings. From October 2, 1829 to

177
The misanthropy of Swift he found distasteful, yet it is not improbable
that the romancer found an echo of his own thoughts in Swift's caustic
evaluation of human nature. Although Hawthorne reached some of the
same conclusions in regard to human nature which Swift and, to a lesser
extent, Voltaire had entertained, he arrived at his conclusions through
vastly different thought processes. "I see many specimens of mankind,
but come to the conclusion that there is but little variety among them,
after all."(383) Man's depravity was a moral and a religious factj it
was everywhere observable. The novelist never went as far as Voltaire
in ridiculing manj nor did he degrade him with a Swiftian lash.
Hawthorne recognized man's depravity, but he always held out a hope,
even if it were an abstract one, that man's nature might someday
wisely open itself to a brotherhood of the heart. Then, too, Hawthorne
would allow a tempering of nan's nature through domesticity and, in
some instances, through art. Above all, he would provide man, in spite
of his highly imperfect physical life, with an immortal home.
Like Swift, Hawthorne admired individual men—his intimate
friendships were extremely warm ones—but put little trust in the race.
It is not that he detested the race, but rather that he was too aware
of man's tendency to err at every given opportunity. Man's mighty
accomplishments are satirically applauded. "What great things man has
contrived, and is continually performingl What a noble brute he
is!"(38U) It may be that the novelist takes some pride in man's
material progress. However, the word "contrived" is often used in a
January 1, 1831, he made forty-nine withdrawals from a ninety-two
volume edition of the writings of Voltaire.

178
derogatory sense—as in the phrase, '‘contrived by the perverted
ingenuity of man." A recognition of the unique connotation which
"contrived" held, coupled with the normal connotation of the word
"brute," would lead one to suspect that Hawthorne was sometimes
playful if not downright satirical.
Perhaps it is best that the populace is able to keep faith in
a few elevated men who are actually little different from themselves.
It is for the high interest of the world not to insist upon
finding out that its greatest men are, in a certain sense, very
much the same kind of men as the rest of us, and often a little
worse5 because a common mind cannot properly digest such a
discovery, nor even know the true proportion of the great man's
good and evil, nor how small a part of him it was that touched
our muddy or dusty earth. (385)
Ordered existence is necessary. Any severe interruption of life's
daily sequence—whether it be war, panic, or a breach of trust—is apt
to disorganize the not too solid citizenry. It is undeniable that even
the loftiest of mortals must tread the same muddy pathway as the ragged
beggar.
Most men, whatever their natures, are forced to lead a life of
continual compromise with society, with themselves, and with their
ideals. Earthly pressures are too demanding. Only a rare individual—
the artist, for instance—can rise above the rankling necessities of
physical existence.
At any rate, it must be a remarkably true man who can keep his
own elevated conception of truth when the lower feeling of a
multitude is assailing his natural sympathies, and who can speak
out frankly the best that there is in him, when by adulterating it
a little, or a good deal, he knows that he may make it ten times
as acceptable to the audience.(386)
"Methinks it is not good for old men to be much together."(387)

179
Old men have experienced much of life, have dwelt long in a brotherhood
of sorrowj they are so thoroughly satiated that the very presence of
one aged creature acts as a depressant on another. Strangely enough,
the aged male remains youthful in his own eyes.
Youth, however eclipsed for a season, is undoubtedly the
proper, permanent, and genuine condition of manj and if we look
closely into this dreary delusion of growing old, we shall find
that it never absolutely succeeds in laying hold of our innermost
convictions.(388)
Male nature, unless it is well-tempered by the human
affections, maintains its stubborn propensity for evil. Love’s laws,
arising as they do from the moral sentiment, are too frequently
trampled in the process of earning a livelihood. Man, in his attempt
to conquer life’s unconquerable compound is permanently and fatally
hardened by the struggle. Yet within the male nature there resides
the means of improvement. Hawthorne did not believe that man’s nature
had improved during the centuries, nor did he believe that a true
bettering was probable in the near future5 but he did believe that
improvement, though extremely unlikely, was possible.
The law of matter imposes rather severe limitations on the
power of man's mind. Yet man vainly persists in working through his
intellect. Man goes farthest wrong in giving an easy credence to his
own meager abilities. Woman differs from man in that she is not so
prone to make this mistake. Then, too, woman's primal nature—the
purity of which Hawthorne would protect by limiting woman's function—
is superior to that of man. The unsheltered male, with his brutish
legacies, is coarsened by his daily engagements with life. Once

180
restricted by the binding social law, man's nature becomes slightly
more admirable. Yet beneath his refined outer clothing, man remains
a Caliban.
There is no true hatred on Hawthorne's part for the individual
man or for a group of men. Actually, there is much sympathy. The
sympathetic impulse loses force, however, when placed beside an overly
keen consciousness of man's imperfection, or, in darker terms, of man's
depravity. This awareness led Hawthorne into an instantaneous distrust
of that which was created by man.
Individual Natures
In addition to his rather elaborate characterization of the
male and female natures, the novelist was tempted to comment at random
on certain traits of human nature which were applicable only to
specific types of individuals. It is a general truth, for example,
that most people are somewhat vain. "Nothing, in the whole circle of
human vanities, takes stronger hold of the imagination than this affair
of having a portrait painted."(389) But all humanity is not vain to
a like degree. In his appraisal of individual characteristics as
opposed to typical ones, Hawthorne recognizes the great variety of
human nature.
"Strange that the finer and deeper nature, whether in man or
woman, while possessed of every other delicate instinct, should so
often lack that most invaluable one of preserving itself from
contamination with what is of a baser kind!"(390) The very presence
of man's imperfect body makes eventual contamination unavoidable. No

181
matter how pure the spirit of an individual might be, his body is
forced into daily encounters with vulgar substances. Unfortunately,
certain individuals with a high potential for a rich and good life find
their natures thwarted by ill-fated marital or professional alliances.
nTo choose another figure, it is sad that hearts which have their
well-spring in the infinite, and contain inexhaustible sympathies,
should ever be doomed to pour themselves into shallow vessels, and
thus lavish their rich affections on the ground."(391)
An aesthetic intolerance of all that is not beautiful fully
revealed itself in the Hawthomian deification of womanhood. Beauty
was seized as the supreme ideal. Individuals born without beauty are
to be heartlessly condemned. "An ugly person, with tact, may make a
bad face and figure pass very tolerably, and more than tolerably.
Ugliness without tact is horrible;—it ought to be lawful to extirpate
such wretches."(392) There is no humane sympathy for the ugly.
There is, instead, an extremely sensitive if not abnormal revulsion.
With a good bit of psychological insight, Hawthorne speculates
on humanity’s timid creatures. People who are quite vigorous in vocal
proclamations often grow passive when action is required. "It is
remarkable that persons who speculate the most boldly often conform
with the most perfect quietude to the external regulations of society.
The thought suffices them, without investing itself in the flesh and
blood of action."(393) The physical appearance of timidity may
sometimes cloak a forceful nature. "But these transparent natures are
often deceptive in their depth; those pebbles at the bottom of the

182
fountain aré farther from us than we think.”(39h) Not until a crisis
arises, not until action is obligatory, may an individual's true
measurement be taken.
It is typical of certain natures that under extreme
circumstances they should find solace in a daydream.
Individuals whose affairs have reached an utterly desperate
crisis almost invariably keep themselves alive with hopes, so much
the more airily magnificent as they have the less of solid matter
within their grasp whereof to mould any judicious and moderate
expectation of good.(39$)
In contrast to the dreamer, other people—as was the case with the
poet and the novelist—are destined to move on to more numerous and
more difficult trials. Success stays one jump ahead, yet each newer
and higher effort brings with it an intangible but highly valuable
compensation. ”But thus it always is with persons who are destined to
perform great things. What they have already done seems less than
nothing. What they have taken in hand to do seems worth toil, danger,
and life itself.”(396)
Among mankind’s mass there are strangely constituted natures
for whom the divine obligations of parenthood are a festering thorn.
But there are wild, forcible, unrestricted characters, on whom
the necessity and even duty of loving their own child is a sort of
barrier to love. They perhaps do not love their own traits, which
they recognize in their children; they shrink from their own
features in the reflection presented by these little mirrors. A
certain strangeness and unlikeness (such as gives poignancy to the
love between the sexes) would excite a livelier affection.(397)
Taken together, the observations on individual aspects of human nature
do not provide a stimulating thought pattern. They present no
standard, no unique theme. In a subtle way, they do illustrate the

183
novelist's ability to single out and effectively characterize peculiar
quirks of human nature. They illustrate, too, an ability to move
behind a firm externality and grasp those internal truths which are
seldom foreshadowed in surface forms.
Interactions
Adjustments between personalities are frequently but not always
predictable. From his knowledge of mankind's inner constitution,
Hawthorne was able to forecast with some accuracy those human
interactions which occur in everyday life. A breach of the affections,
for example, is seen to be tragic, for "It is perilous to make a chasm
in human affections; not that they gape so long and wide—but so
quickly close againl"(398) Each heartbreak is more tragic in that it
is so readily healed. It is difficult to realize that time makes such
rapid adjustments. People in distress—those unfortunates who are
continually fronted by barriers and chasms--will instantly give way
before a sincere expression of sympathy. "People in difficulty and
distress, or in any manner at odds with the world, can endure a vast
amount of harsh treatment, and perhaps be only the stronger for it;
whereas they give way at once before the simplest expression of what
they perceive to be genuine sympathy."(399)
Hawthorne constantly ran the dangers of one who concentrates
too coldly on a study of fellow humans.
It is not, I apprehend, a healthy kind of mental occupation,
to devote ourselves too exclusively to the study of individual men
and women. If the person under examination be one's self, the
result is pretty certain to be diseased action of the heart, almost
before we can snatch a second glance. Or, if we take the freedom

to put a friend under our microscope, vre thereby insulate him from
many of his time relations, magnify his peculiarities, inevitably
tear him into parts, and, of course, patch him very clumsily
together again. What wonder, then, should we be frightened by the
aspect of a monster, which, after all,—though we can point to
every feature of his deformity in the real personage,—may be said
to have been created by ourselves.(ijOO)
The novelist feared the probable distortion which a calculated and
almost disinterested examination of humanity might well present. He
was also aware that an action, a reaction, or an interaction can be
fully understood only in terms of the total being; and that an outside
observer's best efforts at characterization are always partial.
Serious thoughts normally call for indirect expression.
When individuals approach one another with deep purposes on
both sides, they seldom come at once to the matter which they have
most at heart. They dread the electric shock of too sudden
contact with it. A natural impulse leads them to steal gradually
onward, hiding themselves, as it were, behind a closer, and still
a closer topic, until they stand face to face with the true point
of interest.(l;Ol)
Man tends to build gradually to his chief topic of interest; he is
rarely open and immediate in expressing his deeper concerns. Then, too,
there is a formidable barrier separating all individuals. Society's
law often helps to formulate and intensify that barrier—helps to
prevent a free interplay between personalities—especially when one or
the other of the persons concerned is a reputable worthy. "There is a
decorum which restrains you (unless you happen to be a police-constable)
from breaking through a crust of plausible respectability, even when
you are certain that there is a knave beneath it."(i|,02)
Interactions between individuals do not always follow a set
pattern. An analysis of the human personality requires that certain

185
psychological conjectures be proposed, yet these generalities forecast
only the probable nature of a given interaction. Even though such
statements cannot provide for the human variable, they may still
contain typical or hypothetical truths.
It is the hardest thing in the world for a noble nature—the
hardest and the most shocking—to be convinced that a fellow-being
is going to do a wrong thing, and the consciousness of one's own
inviolability renders it still more difficult, to believe that one’s
self is to be the object of the wrong.(1*03)
Human interactions are frequently symbolized in a materialistic
cloaking. "There are really, if you stop to think about it, few sadder
spectacles in the world than a ragged coat, or a soiled and shabby
gown, at a festival."(UOU) Yet one thing is certain: two individuals
cannot be brought together without an ensuing reaction of some kind.
"Nothing is surer, however, than that, if we suffer ourselves to be
drawn into too close proximity with people, if we over-estimate the
degree of our proper tendency towards them, or theirs towards us, a
reaction is sure to follow." (IjOj?)
The commentary on people as they relate to one another
is quite at random and at times even superficialj yet on numerous
occasions it moves deeper into the human mystery than the American
writers prior to Hawthorne had dared to go. If it teaches little
of Hawthorne's ideas, it teaches much of his ability to ferret out
those psychological relationships which play such a major role
in human life. In studying out the reactions of sensitive and
solitary people, the novelist had gone a long way toward understanding
that one type of personality. It is highly impracticable that
one writer attempt to comprehend in one lifetime the infinite

186
types of personalities -which do exist. Many of Hawthorne's
observations on human nature are essentially miscellaneous in that
they are occasioned by particular people in particular circumstances.
While they have comparatively little adhesion, while they do not fall
neatly into a systematized and fully developed thought field, they are
of intrinsic interest in that they evidence the writer's talent for
successfully delving into the human personality at almost any one
given point.
The Nature of the Public
A Democrat of the first half of the nineteenth century
reportedly put his trust in the people. Hawthorne, a peculiar sort of
an aristocratic-democrat, held the public in low regard. "The ideas
of people in general are not raised higher than the roofs of the
houses. All their interests extend over the earth's surface in a
layer of that thickness. The meeting-house steeple reaches out of
their sphere."(1*06) In general, the public contents itself with that
which lies upon life's external crust. It is so accustomed to the
artificial, that a message from "reality" would come as a distinct
shock. To Hawthorne, who lacked the faith of a good Jacksonian
democrat, the public is little better than a herd of unthinking brutes.
Although human nature itself is unchangeable, the outer
conditions of a people frequently undergo a movement toward
conservatism. In developing from its raw state, the public
occasionally learns a lesson from history. A leveling or stabilizing
process takes place within the external aspect of living. There is no

187
internal change.
The more a people thinks, and the more it learns, the less will
it be acted upon by frenzied impulses; as knowledge is diffused,
popularity Trill become more a matter of judgment than feeling; and
the great men of futurity will seldom rise so high, or fall so low,
as the great men of the past.(1;07)
As is the case with anything human, the public has a heart
which may be aroused to sympathetic action. ’’The public is despotic
in its temper; it is capable of denying common justice, when too
strenuously demanded as a right; but quite as frequently it awards more
than justice, when the appeal is made, as despots love to have it made,
entirely to its generosity.M (JU08) In this instance, ’’generosity”
stands as a symbol for the “heart” in the familiar head-heart
distinction. Usually, the heart—the supreme Hawthornian symbol for
all that goes beyond mere intellect—is mentioned outright.
When an uninstructed multitude attempts to see with its eyes,
it is exceedingly apt to be deceived. When, however, it forms its
judgment, as it usually does, on the intuitions of its great and
warm heart, the conclusions thus attained are often so profound
and so unerring, as to possess the character of truths
supernaturally revealed.(h09)
"Reality" can never be photographed by the eye, nor intellectually
arrived at by the mind of man. It is only through an exercise of the
intuition that the artificial may be pushed aside.
"So let each century set up the monuments of those whom it
admires and loves; and there is no harm, but, on the whole, much
pleasure in having such a reward before the world’s eyes."(IpLO) It
is the gullible nature of the public that it should believe
wholeheartedly in the moment and in the men and the events of that
moment. The public at any given instance considers itself the crowning

188
achievement of all that has preceded it in history. In a natural but
rather pathetic display of egotism it yields its superiority to no
one. When commenting upon talent and genius, Hawthorne had repeatedly
denied a plenitude of true greatness. Yet the naive manner in which
each generation deludes itself by celebrating its apparently great men
has no real harm in it. "It is wonderful how few names there are that
one cares anything about, a hundred years after their departure; but
perhaps each generation acts in good faith, in canonizing its own
men."(iill)
"I wonder when men will begin to erect monuments to human
errorj hitherto, their pillars and statues have been only for the sake
of glorification. But after all, the present fashion may be the best
and whol [ej somest." (1|12) It is the nature of the public that it
should erect monuments to its noble accomplishments. Since man goes
wrong more often than he goes right, since error always has been and
always will be in the ascendancy, any attempt to dedicate monuments to
error would soon exhaust the available sculptural materials.
Hawthorne never had the faith which a "good Democrat" should
have had in the populace. Public nature is seen as the composite of
the ills of individual natures. It is but grouped depravity. Granted
that the public has the same abstract potential for goodness present in
man's nature, it stubbornly insists, like man himself, on contriving
by means of its intellect. Then, too, Hawthorne was much more of an
aristocrat, especially in his prejudices, than is commonly supposed.
The novelist did not write with the populace in mind$ in his political

18 9
life he scarcely regarded the opportunity of serving the public as a
noble challenge. Although Hawthorne neither hated nor feared the
great mass of the people, he was overly conscious of the public’s
insensitive and unthinking nature, and quite pessimistic concerning
its general caliber and ability.
The Nature of the Sick
Sickness, while it is generally thought of as a temporary
condition in man’s total journey, can become in rare cases the
predominant force in an individual’s being. Especially is this true
of those persons who are chronically ill or disabled.
All persons chronically diseased are egotists, whether the
disease be of the mind or body; whether it be sin, sorrow, or
merely the more tolerable calamity of some endless pain, or
mischief among the cords of mortal life. Such individuals are
made acutely conscious of a self, by the torture in which it
dwells. Self, therefore, grows to be so prominent an object with
them that they cannot but present it to the face of every casual
passer-by. There is a pleasure—perhaps the greatest of which the
sufferer is susceptible—in displaying the wasted or ulcerated
limb, or the cancer in the breast; and the fouler the crime, with
so much the more difficulty does the perpetrator prevent it from
thrusting up its snake-like head to frighten the world; for it is
that cancer, or that crime, which constitutes their respective
individuality. (I4I3)
A man under these rather extreme conditions no longer retains his
nature as an artist, politician, or farmer; for the presence of the
illness is allowed to direct his whole personality—to become, in fact,
his individual nature.
"Wherever there is a heart and an intellect, the diseases of
the physical frame are tinged with the peculiarities of these.”(Ip-U)
A physical illness may have mental origins. The notion that a person's

190
mental and emotional constitution may influence if not determine
actual bodily health is a widely accepted one. Acquaintances may
reflect the horror of an illness and thereby cause the patient greater
discomfort. nThe sick in mind, and perhaps, in body, are rendered
more darkly and hopelessly so by the manifold reflection of their
disease, mirrored back from all quarters in the deportment of those
about themj they are compelled to inhale the poison of their own
breath, in infinite repetition.”(ijl5>) When a sick person finds
himself the center of attraction he is apt to grow morose. ”We are
apt to make sickly people more morbid, and unfortunate people more
miserable, by endeavoring to adapt our deportment to their especial
and individual needs.”(ljl6)
Hawthorne was amazingly alert to the psychological nature of
illness. While his analysis is scarcely minute, it should be
remembered that the psychology of the day was in an extremely crude
state. In one instance, the novelist goes beyond the actual
vicissitudes of illness itself and poses a deeper inquiry. “When the
machinery of human life has once been stopped by sickness or other
impediment, it often needs an impulse to set it going again, even
after it is nearly wound up."(Ul7) In the commentary on society, the
fact that an individual who has once lost his place may have difficulty
in re-entering the marching ranks of humanity was stated with force and
certainty. Illness, then, can be viewed as a condition which brings
man to a temporary standstill, and allows an ever-moving humanity to
go on ahead. In this perspective, the aftermath of an illness is

191
hazardous in that the individual concerned may have difficulty in
regaining his proper place in society, especially if he has been long
absent from it.
The Twilight Zone
Man*s mind is caught up under certain conditions into a
subconscious or twilight zone where the basic truths of life are apt
to break through unhampered by materialistic barriers. This passive
preternatural state, whether brought on by fatigue, sleep, extreme
anxiety, or corporeal wasting, betokens a new and separate mode of
existence. Its nature is of two worlds—a conscious and a subconscious
one. Here in a state of supreme passivity, the individual may receive
direct communication from that "reality” which remains hidden from his
conscious eye. Here the extraneous weight of material presences is
melted away; here spiritual energies are at work.
The sleeping mind is habitually receptive to messages from a
"reality" which is normally lost beneath the seeming solidity of
phenomenal substances. "Truth often finds its way to the mind close
muffled in robes of sleep, and then speaks with uncompromising
directness of matters in regard to which we practise an unconscious
self-deception during our waking moments."(1|18) That deeper and
truer life which flows beneath the grosser currents of the ordinary
one finds in the twilight zone its opportunity for entering the heart
of man. "The mind is in a sad state when Sleep, the all-involving,
cannot confine her spectres within the dim region of her sway, but
suffers them to break forth, affrighting this actual life with secrets

192
that perchance belong to a deeper one."(lfL9)
"When the heart is full of care, or the mind much occupied,
the summer, and the sunshine, and the moonlight, are but a gleam and
a glimmer—a vague dream, which does not come within us, but only-
makes itself imperfectly perceptible without."(lj.20) At times the
continually present physical form, man's body, is so depressed by
troubles that externality no longer registers on the inmost man.
life's outer procession continues, but the inner being is oblivious
to it. On other occasions, man's spirit deserts his body.
There is sad confusion, indeed, when the spirit thus flits
away into the past, or into the more awful future, or, in any
manner, steps across the spaceless boundary betwixt its own region
and the actual world; where the body remains to guide itself as
best it may, with little more than the mechanism of animal life.
It is like death, without death's quiet privilege,—its freedom
from mortal care. (J4.21)
Lian exists—for the time, at least—in a state of supreme helplessness.
Life's cares remain with him, gall him, but death's freedom is denied.
If a man is reduced to a twilight state of being, he often
finds that he can no longer function efficiently as a member of
society. He is not able to keep the necessary foothold which it is so
perilous to lose.
Nothing gives a sadder sense of decay than this loss or
suspension of the power to deal with unaccustomed things, and to
keep up with the swiftness of the passing moment. It can merely
be a suspended animation; for, were the power actually to perish,
there would be little use of immortality. We are less than
ghosts, for the time being, whenever this calamity befalls us.(Ij22)
A person so subdued by mental, emotional or physical circumstance that
he can no longer keep up with the endless onward movement of life,
"shivers" in his private solitude of separation.

193
Hawthorne’s twilight zone is somewhat comparable to a hypnotic
state s
But there is a species of intuition,—either a spiritual lie,
or the subtile recognition of a fact,—which comes to us in a
reduced state of the corporeal system. The soul gets the better
of the body, after wasting illness, or when a vegetable diet may
have mingled too much ether in the blood. Vapors then rise up to
the brain, and take shapes that often image falsehood, but
sometimes truth. The spheres of our companions have, at such
periods, a vastly greater influence upon our own than when robust
health gives us a repellent and self-defensive energy. (1*23)
Here the individual is perilously open to various external influences.
The suggestions of his friends are as pillars to his weakened mind.
Since he has no will, he is easy prey to the will of others.
No matter how outmoded the Hawthornian nomenclature—vegetable
diet, ether in the blood, vapors—the situation which he describes—
that unique state of being in which an individual dwells in two worlds
yet in neither—has psychological validity. Modern psychiatrists often
attempt to reduce their patients by hypnotism, or by some other less
spectacular method, into the same twilight zone of which Hawthorne
wrote. Here, with his patient in a relaxed passiveness, the
psychiatrist attempts to draw out those truths which lie beneath the
surface of individual lives. Hawthorne was concerned with the nature
of this mysterious zone. Perhaps he felt that the reduction of
physical actuality, characteristic of the twilight zone, might provide
spiritual insights by a partial removal of the foremost barrier to
spirituality.
Purpose and Power
The twilight zone is but a temporary state in an individual’s

19U
nature. There are, by contrast, more permanent and equally peculiar
states of existence which arise from physical beginnings. In the
twilight zone, the materialistic is minimized. In the nature which
centers itself upon power or a guiding purpose, the materialistic is
emphasized to the utmost. Thus it is that an individual's desire, or
the strength and rank achieved in the fulfilment of that desire, may
become that person. The individual no longer functions with the
unique nature which was once his birthright, but becomes rather the
embodiment of rank, power, or purpose. Instead of the individual's