从此走进深度人生 Deep net, deep life.

作者: deepoo

  • 骗局经典

    陈世鸿:金融茶

    2023年12月3日,在芳村,有数十名购茶者、茶商聚集在一家名为“昌世茶”的门店外,高喊“退钱”。

    有茶商介绍,昌世茶先推出四款茶叶产品,以“没有书面约定”的回收价格吸引茶商参与,两个多月的时间把产品的单价从每提(茶叶交易单位,每片重357克,每提7片)3万元左右炒到最高7万余元。之后,昌世茶以高价推出第五款产品,吸收一拨资金后,“接盘”动作戛然而止。茶商透露,上述产品在一夜之间“崩盘”,从单价5万多元跌到只剩下两三千元,参与其中的茶商损失惨重。
    据报道,数百家茶叶商户持有的几十万元乃至上百万元的茶叶,一天之内价格“崩塌”,从单价5万多元跌到只剩下两三千元,参与其中的茶商损失惨重。据市场里的茶商初步统计,涉及此次纠纷的茶户数量达五百人以上,涉事金额超过5亿元。这成为芳村茶叶市场里爆发的最大的一起纠纷事件。
    有茶商表示,他们打款账户的户名有李业聪、陈棒磊和陈文帆,前面两个人曾为昌世茶的股东,陈文帆为现任股东。
    多位茶商表示,由于缺乏“承诺回收约定”等证据指证昌世茶,警方尚未立案。

    2023年6月,一家名为广州市昌世茶茶业有限公司的茶叶厂商完成注册,此后进驻芳村茶叶市场,9月正式卖茶,开幕式上500人汇集,横幅林立,醒狮舞动,相当隆重。同时推出产品“昌世茗雅”售价41888元/提,看上去可谓高级。开幕仪式上,昌世茶已建立起庞大的茶叶交易群,当晚就有茶商在里面卖货。

      “41888出1-10提昌世茗雅,现货私聊”,几分钟后又有人“42888出1-10提昌世茗雅”,同时有人回复“拍1”“拍2”,确定下单数量。如此反复等提高到一定价格后才会停止。

      据称,这些交易的人有一些是茶商,是昌世茶的“托”。它们晚上八点半会在群里叫卖,持续时间不超过半个小时,价格一般能高出售价几百元,期间会带节奏、喊口号,似乎参与了就能赚到。

      同时,他们擅长“饥饿营销”,昌世茶的前四批产品都是限购的,散户只能认购2-3提;有茶商想加入加盟商也被拒绝了。

      出完货,这些“托”还不时在群里高价回购,让参与的茶商获利,一个月下来可赚4、5千元。

      昌世茶如此火爆,自然成了芳村茶商们谈论的话题之一。平日里,茶商们打开门做生意,经常有人进店看茶、品茶。大茶桌上,三五朋友围坐喝茶闲聊,讲到昌世茶都会互相问句“你买了没,要不要一起买”,甚至调侃道“一夜赚一万,这都不入,你实力还是差点意思呀”。

      据称,“托”们还会在群里发上百元一个的红包,出手阔绰,中秋节给茶商送月饼。这在外界看来,公司实力相当不错。

      另据一位芳村的茶商向易简财经透露,这些“托”,有些甚至是在市场建立起口碑的平台,一定程度上也给昌世茶提供了信任支撑,看着很有保障。但背后他们可能也跟品牌合作了,微信群里可能500人,400个都是托。

      两个月后,玩家越来越多,昌世茶的价格也水涨船高,每提由原来的3、4万最高涨至7万元。

      打破常规,一夜之间庄家不玩了

      昌世茶的炒作进入看似平稳运营的状态后,其又准备了第五款茶“昌世雄峰”。

      11月28日,“昌世雄峰”发布,售价比以往都高,达到52000元,且不再限购。一些观望已久的茶商也决定上车,据说参与人数是前所未有的。

      但吊诡的是,据称11月30日微信群里的“托”在晚上8点并没有出来叫价,直到十点才现身,且口吻统一“44000找雄峰,有多少要多少,客户上车抄一下底”。

      这次回购竟低于售价,茶商不明就里不敢轻举妄动,而部分敏锐的茶商则忍痛卖了。之后,“托”不再现身,群里出货的价格也越来越低。直至接盘的人仅开价2000元,大家仿佛才被一盆冷水浇醒。

      有茶商指出,所谓金融茶,即制造稀缺和高收藏的假象,承诺高价回收引导茶商入局,让茶叶看起来有升值空间。

      金融茶一般限量出货,方便控盘的同时,茶商也容易拿到定价权,不往市场放货就方便提价,就算喊出100万/提,只要能成交就是新的定价。

      如果有人买来送礼或饮用,100万/提的价格就兑现了消费价值;如果没有人买,就会让茶商带资进来捂盘,抬价继续卖。此举还会促使厂家让托高价回收和卖出,形成完整的交易流程。

      但是,这个过程操盘要稳,需要茶商持仓一到两年,给“托”抬价的时间。不断滚动后让更多人参与,才能让前期投资早的茶商赚到钱。

      而昌世茶3个月就收网,打破了以往的规则。有位参与者就表示:“我知道这是一个赌局,但没想到一夜之间庄家不玩了。”

      昌世茶暴雷后,有部分茶商前往门店维权,有的到公安局报案,但都没有好结果。在警方看来,这是市场自发行为,茶商们也没有昌世茶承诺回购的证据。

      昌世茶的董事长陈世鸿曾回应:“事件自始至终不存在违法行为,纯属生意,公司没有任何人承诺任何回购价格,所有买卖都一手交钱,一手交货。”

      据报道,昌世茶的回购是通过托来实现的,托跟散户之间或有口头承诺,但没有白纸黑字的约定。至于加盟商的话,签约内容也是简单地注明了加入时间、押金和配货金额,没有包括回购在内的承诺。

      对此,有律师表示,如果此次承诺回购是事实的话,没有书面证据,也可以提供相关的微信qq等聊天记录、电子邮件等,哪怕是证人也是可以的。

      00后掌门人惹关注,身份神秘

      昌世茶暴雷后,一时之间在网上引起关注。其董事长陈世鸿也被推到聚光灯下。

      据公开资料,陈世鸿是一个00后潮汕小伙,曾在类似的“金融茶”平台工作过。开幕式上,他身着POLO衫现身,体格瘦削。

      据一位芳村茶商透露,陈世鸿在业内并不出名,而他作为00后估计也是没有操盘炒茶的能力的,猜测是因其潮汕人的身份被推到了台前。

      带有风险的炒茶行为,通过同一地域的人际关系能更快地拓展网络,也更易让人相信自己不会从中吃亏。据上述茶商透露,此次被套的90%是潮汕人。

      而公司的股东,据企查查显示一位是陈文帆、一位是刘嘉豪,但两人均未任职其他企业。

      据报道,涉及此次纠纷的茶户数量达五百人以上,涉事金额超过5亿元。这成为芳村茶叶市场里爆发的最大的一起纠纷事件。

      对此,有金融人士认为,从这个数据看来,估计是雪球还没滚大就崩了。如果把昌益茶的炒作放到股市来看,其实就相当于庄家自己人把价格炒高,本来要拉出8个涨停再出货,正常情况下是要扩散到更多散户接盘的,但昌世茶似乎才拉到2个涨停就崩掉了。

      其还表示,这个可能是因为他们自己资金实力不足,加上年底市场资金紧张,部分人还要回笼资金,一下子就资金链断了。如果要是让他们做大,说不定是百亿级别。

      其还指,市场上炒作最强的,其实是大益茶。其大益班章六星孔雀青饼,一度在2021年炒到6500万元/件,可谓“天价”。假设有100个人买入,涉及的金额就能达到65亿元。

      2020年,炒作大益茶在东莞就制造过大雷。东莞近百茶商和藏家买入一年后无法兑现,据不完全统计涉及本金超过1亿多元。

      现在,市场上暴雷的还有茶有益,陷入争议的有泛茶。在茶商看来,茶叶因为没有标准,难以检测,所以常常被当做炒作对象,认为这种“金融茶”依旧会反复出现。

      芳村的名气,在全国茶圈人尽皆知。它不仅是全国最大的茶叶批发交易市场,更是全国普洱茶的交易重镇。公开资料显示,每年全国普洱茶交易量的八成,都在这个超22万平方米的市场里完成。有茶商认为,炒茶行为已经对芳村的形象带来了影响。

      相似的模式在市场上反复上演,比如藏獒、金钱龟、蚁力神等。

    李业聪曾现身昌世茶的开业典礼。当时的宣传物料显示,其来自广东万基拓展实业集团,该公司在电话里称,李业聪只是该公司一名员工,不是高级管理人员。

    昌世茶崩盘之后,有部分茶商到公安局报案,希望可以立案处理。但是警方认为,这是茶商自发的市场行为,即“自己买茶买亏了,掉价了,现在不服气,找厂家理论”。有茶商认为,更为重要的是,他们没有实际的证据证明这是一起涉嫌非法集资的诈骗事件。无论是加盟商签订的合同,还是微信群里的聊天记录,没有任何承诺回收的字眼。茶商“托”口头上说有承诺,但是茶商在面对面询价交易的时候也没有录音,没办法指证。

    广州市昌世茶茶业有限公司成立不足一年,陈文帆与刘嘉豪分别持股60%于40%。昌世茶董事长陈世鸿是一位“00后”潮汕人,曾在类似的“金融茶”平台工作过。据九派财经报道,12月4日下午1点左右,昌世茶公司董事长陈世鸿由警方带离门店。
    昌世茶第二大股东刘嘉豪称:昌世茶从来没有对外承诺过回购茶叶,没有强买强卖,也从来没有承诺会上涨多少。
    12月8日,陈世鸿表示,没有承诺回收产品,昌世茶的经营都是自己一个人做的,没有其他人。李业聪是自己的朋友,自己的账户不方便使用,所以用了李的账户;陈文帆是自己的亲戚。对于茶商“托”,陈世鸿称,那都是茶商的说法,其实没有托,昌世茶是现货的模式。
    目前,昌世茶的理赔方案暂时只对接自己的加盟商,至于加盟商与其他茶商间的纠纷处理,后续会有方案公布。

    将茶叶做成理财产品,凭借一张“提货单”而非茶叶本身流转盈利,在业内被称之为“金融茶”,一直备受争议与关注。这不是芳村茶叶市场第一次出现“金融茶”崩盘。而对于过去的事件,警方多予以立案,涉案金额一般没有超过1亿元。

    今年7月,有广州市民向记者反映,他们花重金参与了一家茶叶公司推出的普洱茶回购活动,到期后对方却没有按承诺买回茶叶,甚至卖茶公司都已停止经营。

    杨女士今年4月开始接触到广东茶有益茶业有限公司(简称茶有益公司),对方的业务员向她推荐了一些“具有理财价值的”茶叶产品,并且承诺30天之后将由公司回购,届时茶叶价格若有上涨,就作为她投资理财的收益。“他把我拉到一些微信群里,每天都有业务员在里面发茶叶的回收价格,每天的回购价都在涨,搞得行情看起来非常火热。”

    面对高额的回购承诺,杨女士先花3万多元购买了一提(普洱茶常用的包装形态,一提通常有7饼茶叶)某品牌普洱茶“试试水”,30天后公司果然将其回购。在茶有益公司,这款茶叶的回购报价几乎每天都在增长,一进一出之间,杨女士获得了大约2800元的投资利润。有了这次投资经验,她在随后的一段时间里陆续投入大笔资金,共买下16提普洱茶,花费60余万元。

    但这一次,投资者们没有等来茶有益公司的如期回购。6月14日,杨女士和一些投资者在茶有益公司组建的交易群中询问回购安排,却被业务员告知“公司没钱了,不会再回购茶叶”。紧接着,这些每天都在热烈讨论回购茶叶的微信群,也被茶有益公司负责人悄然解散。

    “之前都跟我们承诺回购茶叶,现在又说不要了。”回购热潮停止后,杨女士意识到自己可能被套路了,“大家回过头发现,群里业务员发的消息是最多的,每天都在哄抬茶叶的回购价格,吸引我们去买来持有,等着他们回购。”有投资者表示,没了茶有益公司的回购,他们手上的茶叶根本值不了三四万元一提的价格。因此,他们认为这是茶有益公司谋划的敛财跑路戏码。据投资者们自发统计,目前被茶有益停止回购茶叶的投资者有200多位,累计投入金额约5000万元。

    此前每天都有业务员刷屏的茶叶交易群,已被茶有益负责人解散。

    茶叶涨幅全由老板决定 买卖交易全凭一个“信”字

    涉事的这款名为“拾伍”的普洱茶,在网络上并没有公开售价,在茶有益公司开发的小程序上,这款茶叶的出厂价格显示为4800元一提。该茶叶在茶有益小程序上的行情价格以每天每提100-200元的涨幅不断上涨,截至6月14日,最高行情价格为42400元一提。

    茶有益公司停止营业后,有业务员告诉南都记者,他从今年2月初开始在茶有益做回购“拾伍”等茶叶的业务,这些茶叶的所谓价格涨幅并没有参考依据,涨多涨少全由公司老板当天通知,再由业务员更新到微信群和小程序中。

    值得注意的是,投资者多数是在茶有益业务员的引导下,从包括茶有益在内的四家指定茶商处购买“拾伍”普洱茶,再由茶有益统一回购。回购要求也相当严格,“如果包装被拆,或者不是完整的一提茶叶,公司都会直接拒收。”因此,不少投资者只将其作为一款金融理财项目,投资购茶后也未真正持有茶叶产品,与茶有益公司的所有交易以及约定,都是通过微信对话完成。

    多位受访投资者告诉记者,作为常年在茶叶市场做生意的商家,不少人都没有签合同的习惯,买卖交易全凭一个“信”字。茶有益公司的业务员在推销和回购茶叶的同时,自己也在跟公司购买茶叶,等待被回购赚取利润,有的甚至刷信用卡或借钱去囤积茶叶,“才跟公司做几个月,从来没想到会爆雷”。

    工商登记信息显示,广东茶有益茶业有限公司成立于2020年9月,原法人代表为肖某,2023年4月变更为林某。不少投资者称,之所以会相信茶有益的回购计划,是因为肖某和林某从业多年,具有一定的影响力,大家愿意相信他们。

    6月底,南都记者走访茶有益公司办公地址,现场大门紧闭,透过玻璃窗可看到室内装潢还留有“茶有益”等字样,但门口的招牌已被拆除,旁边墙上还挂有属地街道与派出所、市场监管部门联合制作的“天上不会掉馅饼,谨慎对待投资理财”横幅。现场有投资者称,目前负责人已被警方控制,相关情况正在调查中。

    茶有益公司办公地点,招牌已被拆除。

    据茶有益官方微信公众号7月6日发布的消息显示,该公司负责人确已在事件爆发后,被采取刑事强制措施。该公司为此提出一项和解方案:每提“拾伍茶叶”对应补偿现金人民币2万元加一提同款茶叶,同时拥有者持有的“拾伍茶叶”亦无须退还。至于投资者的回购诉求,茶有益公司未再提及。杨女士等大多数投资者并未接受该方案,“四万多元买的茶,现在变成两万,剩下的损失都要我们自己承担,大家没法接受。”

    政府部门号召广大商户 警惕非法集资,防范违法“炒茶”

    茶有益等公司的“炒茶”行为引起政府部门重视。8月30日,广州市荔湾区发展和改革局向荔湾区茶业产业商户发布《告知书》,号召广大商户警惕非法集资,防范违法“炒茶”,诚信为本,守法经营,担当社会责任。

    《告知书》称,近期发现茶叶市场有涉嫌违法的“炒茶”行为,严重扰乱茶叶市场秩序,影响荔湾区茶产业健康可持续发展。“金融茶”“天价茶”等炒茶行为存在风险,交易中或构成非法吸收公众存款与集资诈骗罪,要求广大商户要坚决抵制以上违法行为,警惕非法集资风险。

    9月11日,南都记者从一名投资者处了解到,目前已有部分“拾伍茶叶”投资者选择接受补偿。该投资者还透露,目前属地公安部门等均已介入调查,投资者们都在等待官方的进一步处理。

    9月14日上午,广州市荔湾区发展和改革局回应南都称,针对茶叶市场“炒茶”线索,区委区政府高度重视,区发改局组织相关部门对茶有益等涉事企业进行走访约谈,对相关线索进行甄别,目前区公安部门已介入调查。此外,荔湾区发改局还联合广州金融风险监测防控中心、律师事务所等第三方服务机构,对涉事主体包括经营方式、经营范围、合同兑付情况等方面进行线索甄别、风险监测。并会同相关单位开展多轮跟踪研判,协调属地街道、派出所等做好风险监测、事件调查研判定性等工作,及时掌握最新情况;密切与区商务、区市场监管等行业主管部门沟通,告诫各商户要自觉遵守商圈自律规则,确保市场秩序健康。

    街道和派出所在茶有益公司外挂起提醒标语。

    “金融茶”基于“滴水滚珠局” 是一种新型的“庞氏骗局”

    12月6日,“广州荔湾发布”发文称,在传统经营利润日益微薄的情况下,茶商通过炒作的方式抬高茶叶价格,高价的“金融茶”往往是资金堆砌和控制发行量的结果,通过锁仓和对敲等手段,不法茶商便能够轻松将茶叶商品转变为金融产品从而获利。新进茶商是“金融茶”市场的主要潜在参与者。与2007年和2014年的炒茶高峰不同,2021年炒茶高峰出现了量在价先的迹象。茶商数量的急剧下降导致增量资金无法持续,进而导致近期来“金融茶”“理财茶”的“爆雷”事件层出不穷。

    “广州荔湾发布”发布的文章提到,部分新设茶叶厂商模仿大厂商发展路径,通过集中宣传造势、招揽加盟商,“另起炉灶”打造新“高端”品牌。为了快速变现,新品牌通过对加盟商的兜底回购条款刺激押款压货数量。原本随行就市的茶叶波动,变成了一种“固定+浮动收益”的理财产品,而新品牌茶叶就是理财产品的“底层资产”。茶叶市场上这种以“注水资产”为基础,通过承诺收益的行为存在高度的诈骗和非法集资风险。

    当下盛行于茶市的“金融茶”骗局基本属于传统上所说的“滴水滚珠局”,是一种新型的“庞氏骗局”。

    “滴水滚珠局”的逻辑是寻找稀缺性资源,或不容易批量生产类型的产品,经过加工赋予其新的特性,然后鼓吹市场前景以及其稀缺性,拉升产品价值,通过造势、捂盘限量投入市场,拉长战线,拉升价值感,分阶段进行品相叠加,最后高位抛盘,提现走人,制造或寻找下一个风口锚点。

    所有“金融茶”骗局都是以高回报为诱饵,承诺的回报率甚至超过20%,但这种承诺都不会写进合同,只是通过聊天等方式进行宣传。由于茶叶交易多以口头商定、微信交付的形式为主,对茶商的信任也源自多年积累的口碑和声誉,一些出面做局的人大都有各种各样的头衔加持。他们像炒股一样,通过“枪手”拉高打低反复收割,甚至茶叶根本没动,只是对单交易。这种以理财为名义的炒茶方式,即使有合同等外衣,实际也可能构成诈骗。

    广州市荔湾区发改局(荔湾区处非办)、区公安分局、区市场监管局及广州金融风险监测防控中心提醒,公众品鉴、收藏茶叶时,应聚焦茶文化和茶本身的价值,拒绝“金融茶”投机活动,防范非法集资风险;切记任何投资都存在风险,要警惕打着“保本”“高收益”旗号的任何形式的理财产品。一旦发现涉嫌市场诈骗、非法集资的行为,广大群众应该及时收集和保留广告宣传资料、录音录像、合同协议、转账凭证等涉嫌非法集资的线索,积极向荔湾区发改局(荔湾区处非办)举报或向公安机关报案,举报一经核实将依法依规予以奖励。


    国内“金融茶”屡爆雷多地监管部门关注

    近年来,屡有媒体报道天价茶叶价格暴跌事件,背后都指向“金融茶”的炒作与崩盘。

    据报道,2021年下半年,以大益茶等普洱茶品牌为主的“金融茶”产品出现崩盘形势,引发普洱茶行业乃至整个茶叶行业震动,不少茶行和炒家资金断裂,一夜蒸发千万资产。调查发现,一款大益2003年批次的“四星班章大白菜散筒”,在2021年3月底行情价为160万元一提,至6月27日价格直接腰斩,仅剩80万一提。彼时有茶叶业内人士认为,“金融茶”产品缺少监管,后台交易数据可以随意操控,为交易市场的爆雷埋下不少隐患。对此有茶商呼吁,“远离炒作茶叶,回归普通消费,注重产品本身品质,让茶叶行业重新回到正道上。”

    同样在2021年下半年,广东、云南等多地监管部门与茶叶行业协会均发布文件,提示金融茶产品风险,指出“金融茶炒买方式和价格泡沫次生风险极大”。今年6月30日,云南省西双版纳州召开“整治普洱茶‘金融茶’乱象”专题座谈会,痛斥“金融茶”乱象危害大、影响深,损害消费者利益,破坏市场流通秩序,不利于茶产业的健康持续发展,参会的茶产业链从业者也纷纷表示,全力配合“金融茶”乱象整治行动。

    走访茶有益公司期间,有茶商认为茶有益公司打造的并非金融茶产品。“我也接触过‘金融茶’,把茶叶按照期货交易的方式进行炒作,盈亏全看市场变化,赔了也心甘情愿。但茶有益的回购是带欺骗性质的,我们认为它就是非法集资,是诈骗行为。”

    也不是没有投资者对茶有益的回购模式提出过质疑,但种种怀疑都被公司法人的背书以及高额的回报所冲淡,有投资者还引用了《狂飙》的台词来诠释自己的想法,“(当初)也知道投它有风险,但都说风浪越大,鱼越贵。”

    6月19日,广东省茶业商会等联合发布倡议书,倡议各会员单位依法依规守法经营,抵制期货交易,不参与非法集资理财经营活动,交易过程中以合同、订货单作为交付凭证,并保证货物的实际交付。

    “拾伍”普洱茶生产厂家广州市斗记茶业有限公司也发布声明称:“斗记从未生产及销售任何以‘理财’为功能属性的产品,市场上出现的该类产品均与斗记无关,属于个人行为。”并呼吁茶叶爱好者谨慎投资,警惕非法集资、诈骗、非法期货交易等违法违规行为带来的风险。

    从大益茶到昌世茶,“金融茶”的前世今生

    金融茶,顾名思义就是“炒茶”,厂商通常将某个品牌的茶叶包装为具有很高的收藏和投资价值,然后通过造势、捂盘限量投入市场,拉长战线,拉升价值感,分阶段进行品相叠加,最后高位抛盘,提现走人。

    “金融茶”玩法和金融产品类似,带来的刺激感也和股市类似。

    而这种玩法早在2000年前后就已经出现,而事件的中心也是广州芳村。

    2007年初,云南茶叶原料价格达到顶峰,炒家们买进卖出以拉升价格,制造着普洱茶市场的虚假繁荣。这种繁荣的景象也吸引了不少普通人入局,但2007年6月,庄家把茶价抬高的同时悄然抛货,大茶商也跟着抛货,普洱生饼一夜暴跌,大批茶商关门跑路,千万级市场就此崩盘,不少普通人血本无归。

    最近一次关于普洱茶的暴涨暴跌是颇有名气的“大益茶”。

    据中新经纬报道,云南大益茶业集团有限公司始创于1940年,其出品的普洱茶按照年份、批次、规格等不同分为千余种。大益集团前掌舵人吴远之在2004年率团队收购勐海茶厂后,开创性采用“期货交易”模式运作,普洱茶的收藏和金融属性被放大。

    2021年3月,大益茶的市场价格一路上涨,一款2003年的“班章六星孔雀青饼”价格甚至达到了6500万元/件的“天价”,“有价无市,一茶难求”。但同年8月起,以大益茶为代表的“金融茶”进入一轮深跌,至2022年8月今仍“跌跌不休”。普洱茶市场爆雷,众多在金融茶“期货市场”上做空的商家血本无归。全国茶叶商协会、广州茶协会、东莞茶协会等也曾联合发布“天价茶”抵制书。

    但追逐“金融茶”带来的快感却从未因一次次现象级暴雷事件消退,类似的事情却总在芳村反复上演。

    加速“收割”,当“金融茶”碰到“互联网”

    虽然万变不离其宗,但本次的昌世茶事件却依然有不少“时代特色”。

    以往“金融茶”布局往往周期在一年以上,有的甚至会将展现尽量拉长,比如2009年前后芳村开始炒作“古树”概念,2009年,芳村推出了名山和古树茶的概念,很多普洱茶新品牌,经过4年的炒作运转,2013年名山茶和古树才进入爆炒期,几万元一饼的新茶层出不穷。2014年,古树茶概念才开始暴跌。

    然而在昌世茶事件中,该公司成立于2023年6月5日,整个炒作周期甚至只有两个月,今年9月20日,昌世茶举办开幕仪式,相关产品的宣传才正式开始。各种行情信息通畅在微信群中传播,非常隐蔽。

    虽然芳村“茶商”深谙此道,但与此同时也不乏赌徒心理,据每日经济新闻报道,虽然微信群“叫价”,但往往真正的“买货”都需要私聊,在全部交易过程中,这些人不会在微信群里输入“一个月保证价格升多少”“以多少钱进行回收”“做期货买卖”等字眼。11月底开始,群风向突变,一片喊涨的微信群开始逐渐有人低价出货,当不少茶商醒悟之时已经不再有人愿意接盘。

    找找茶品牌网数据显示,12月3日左右昌世茶开始价格暴跌,昌世通济跌约30%,昌世亨泰跌超43%。

    翟山鹰:公共骗子?

    “大家好啊,从去年我离开中国到今天,有一些人在网上说我是个骗子。我是做了十几年的金融,在这个环境里大家知道金融嘛几乎都是骗子,身边都是骗子。”
    然后他话锋一转,赞扬起了自己的智慧,嘲讽起了那些被骗的人们。
    “如果有人说我是个骗子,我是挺高兴的。你被骗了,你又不是被抢了,不是被强制性的。你让我骗了以后,你肯定还会被很多比我更有智慧的人骗。我是没有听说过特别蠢的人能骗到有智慧的人的,都是有智慧的人去骗蠢人。”
    一个逃到美国的金融大骗,在公共平台的视频中得意洋洋地讲述着自己的经历。

    这个被一些粉丝视为“神一样的男人”的高论震碎了大家的三观,也震碎了仍然抱有幻想的粉丝。
    自从去年他卷钱跑路之后,多数人便看清了现实,但仍有少些人觉得事有蹊跷。“他是说真话得罪了太多人,被人陷害了。”
    为什么他跑路之后,仍然有粉丝执迷不悟地维护他呢?因为他的人设实在太耀眼。
    他的名字叫翟山鹰。
    他甚至可以称之为“中国最著名的金融防骗专家”。你没有看错,这位金融大骗,是专业防骗的。他全网粉丝近千万,还出版过多本大作:《中国金融生态圈》《金融防骗33天》《中国式融资》《资本内幕》。
    说不定你或身边的朋友,就读过他的作品。

    翟山鹰原名翟红鹰,出生于1970年的北京空军大院,家境不俗。
    高起点的“红三代”翟山鹰,像雄鹰一样有着远大的前程。22岁大学毕业后,从乡镇企业城的主任助理开始,一步步爬到了高处。
    2002年,仅仅十年时间,32岁的他就已经成为香港建银国际公司——中国分公司的总经理。这家公司主营投资银行业务,像什么企业融资、投资咨询、财务顾问等。
    后来的他转战培训师领域,那时讲商业的很多,但讲金融的很少。讲金融的翟老师宛如鹤立鸡群,再加上雄辩的口才,在培训界名声渐起,吸引了许多忠实的学员。
    2013年,有20名学员投资一千多万,开了家文化公司。他们决定让德高望重的翟山鹰老师出任董事长,带领公司扬帆起航。
    结果,他们在满怀期望中,成为了第一批受害者。由于公司长久没有盈利,他们展开了调查,竟发现老师偷偷地又开了一家公司。
    老师把培训所得的收入转到自家公司,所有的支出则走学员公司的账。如此一来,别说赚钱了,反背上600多万的债务。
    由于过了诉讼时效,这600多万债务至今仍由学员们担着。学员之一的陈琪感叹:“他发家就是从我们开始,在我们之后才有资本越玩越大。”

    有了足够多的本钱后,翟山鹰如虎添翼,飞上苍穹俯视大地,成功升级成了更大的祸害。
    2014年,翟山鹰又创立了一家公司——普华商业集团。以此为大本营,不断打造自己的帝国。
    除了激昂的语调外,翟山鹰讲课还有三大特点。
    一是胆大,传授企业经营的捷径。什么捷径呢,比如避税、用专利替代货币进行企业实缴注册资本。
    二是接地气,能够将各种硬核的金融术语,讲得通俗易懂。比如他把银行贴现比作打白条,特别适合想要快速入门的客户学习。
    三是传授防骗技巧,为此专门写了一本《金融防骗33天》的书。他不断地警告大家金融的邪恶,甚至采取咒骂的方式:“地狱十八层,最底下十层都住满搞金融的!”
    由于他屡次在媒体上痛斥资本,许多粉丝怒赞他是“唯一敢说真话、神一样的男人”。

    翟山鹰并不满足于金融防骗大师的名号,又扛起了国学的大旗,蹭起了爱国的流量,并拥有一堆头衔。
    他自称11岁开始修行国学智慧的门派自然禅,如今身价百亿全凭国学修行,现在是自然禅国学门派第18代传承者。
    与此同时,他还直言当今的中国就是世界最强,美国则会在未来十年内崩溃。伴随着时间的推移,他对美国越看越衰,又坚定地把美国崩溃的期限定为六年、五年。
    各种闪瞎眼的头衔就更不用说了,号称“唯一有资格竞争诺贝尔经济学奖的中国人”,还是多所顶级大学的客座教授(目前清华、北大、中央财经大学等高校已辟谣)。
    这样一个正义、爱国、传承文化的金融大师,自然吸引了大量关注。他的微博粉丝数高达600万,抖音粉丝则超100万,再加上其他平台,全网粉丝接近千万。

    成为了他的粉丝,也就离被骗不远了。不过他就像张麻子一样,懒得挣穷人的钱。
    根据北青报记者的采访,翟山鹰主要卖揭露“金融诈骗”的课程,售价高达5000元,以此吸引有钱的客户。
    如果你以为翟老师志在卖课的话,那就太小看他了。卖课收入只是毛毛雨,更大的目的是为了筛选出财力雄厚的学员。对于这些优质学员,翟老师将亲自带他们飞。

    翟老师首先推出了SEA虚拟货币,官方介绍是:“SEA是全球唯一一条跟实体企业相关的公链,专门解决中小企业融资难的问题,数据和银行对接。”
    而且,这个币被翟老师讲得比比特币还牛,年收益能达到16%。只要长期持有,财富就可增值十倍乃至百倍。
    能轻松赚大钱,又能拯救中小企业,利国利民还利己,许多敬仰老师的学员果断买入。没过多久,翟老师又推出了基于区块链技术的BSC云盒。
    这个云盒就更厉害了,号称“接入国家一带一路项目的云存储服务器”。只要往电脑上一插,它就能24小时不间断地产生SEA积分和虚拟币,都能增值和交易。
    这简直就相当于摇钱盒啊,定价多少钱呢?SE版本是4.4万一台,全功能版本的则是8.8万一台,多买还能够打折。

    由于入局的学员越来越多,为了防止提现,翟老师一方面拔高提现门槛,又成立了许多小公司,让大家用积分购买公司股权,到时候将有更高的收益。
    虚拟币、区块链,每一次翟老师都站在了时代的风口浪尖。学员们也满以为跟对了老师,依托最新的技术和政策,轻松地躺赚。
    一位董姓学员表示,她累计投资了240多万元。仅仅是她所在的弟子群,就有大约5000多人,绝大多数人都投资了至少几十万。

    但令他们怎么也想不到的是,温和善良的翟老师,竟然会骗学生的钱。
    2020年年底,有位曹姓学员突然发现,这个云盒产生的积分,根本在国际区块链交易系统查不到,而且积分竟然从高峰期的1.3元跌到了几毛钱。
    她一怒之下拆解了几万买来的云盒,看到里面就是一个简陋的插卡硬件。送到专业机构检测后,发现没有任何区块链技术,就是一个跑分程序,成本只有100多块钱。
    她把视频上传到网络后,许多人意识到被骗,于是联合起来维权,却遭到了普华商业集团的恐吓。
    后来他们找到了“知名打假人”王海,通过王海的微博,防骗专家翟山鹰诈骗事件终于引发了广泛关注。

    “据受害者爆料,普华集团翟山鹰谎称投资其产品一年可获利10倍,2年能获利100倍,大肆诈骗,非法所得或高达数十亿。”
    2021年5月,北京市公安局朝阳分局在接到群众举报后,正式对普华商业集团涉嫌诈骗事件予以立案。
    在警方调查期间,翟山鹰见形势不妙,立即跑到了迪拜,然后辗转抵达了一直厌恶的、“即将崩溃”的美国。
    到达美国的他,好像换脑一般,猛烈抨击起了中国。中国哪是什么世界最强啊,经济没救了,科技命门都在美国手里……
    此情此景,或只能用上《三国演义》里的一句话:我从未见过如此厚颜无耻之人。

    高级的骗术,往往是七分真实,掺三分虚假。真真假假,假假真真,让人防不胜防。

    2022 陈春花们:真的假学位与假的真学位

    2022年7月6日,华为公共及政府事务部在华为“心声社区”发布一则的辟谣声明,该声明称:近期网络上有1万多篇夸大、演绎陈春花教授对华为的解读、评论,反复炒作,基本为不实信息,我们收到不少问询,所以正式声明:华为与陈春花教授无任何关系,华为不了解她,她也不可能了解华为。
    2022年8月3日,北京大学发布声明:近期,我校对陈春花老师的有关情况进行了调查。8月3日,我校国家发展研究院收到了陈春花老师的辞职申请。学校按程序终止其聘用合同。

      陈春花自述的“读博”经历

      2021年6月16日,陈春花教授在自己的公众号发文《陈春花:悼念恩师苏东水先生》,描述了苏东水成为自己恩师的渊源。
      陈春花在香港科技大学的一次研讨会上,结识了新加坡国立大学的曾在本老师,曾在本把她引荐给苏东水。
      于是,陈春花作为晚辈,前往上海拜见已经是泰斗级的苏东水。
      苏东水在家接待了陈春花。
      这是陈春花第一次见到苏东水,谈的很好,苏东水很高兴,不但让太太留饭招待,而且主动提出,陈春花是否愿意当他学生?
      苏东水说,刚好有一个论文博士的项目适合她,于是陈春花毫不犹豫接受了这个推荐,去读了。
      她继续写到:倾听苏老师和复旦其他几位老教授的课程,让我从另外一个角度去看中国企业的管理。

      那么,接下来的问题,自然是,陈春花有可能就是这样“读博”拿到“爱尔兰欧洲大学”的假DBA博士吗?

      显然,师从苏东水的“读博”,和假博士证有大背景的高度吻合。

      首先,《陈春花:悼念恩师苏东水先生》,是她对外唯一正面讲述“读博”经历,可视为其唯一“读博”经历,而她只有一个“博士”头衔。经历和结果的唯一性吻合。

      其次,时间背景高度吻合。她第一次见到苏老师,苏老师就向她推荐了“论文博士”课程项目。当时“苏老师还讲到了他从教40多年的心得”。

      苏东水,复旦大学首席教授,复旦大学东方管理研究院名誉院长。据称为经济学家、管理学家,东方管理学派创始人。苏1956年9月起,在上海社会科学院、上海财经大学等单位任教。1972年1月进入复旦大学工作。2021年6月13日辞世,享年91岁。

      故陈春花第一次见苏东水,对应时间是1997年(从教41年)-2005年(从教49年)。

      她还写到:当时的苏老师已经是复旦大学的首席教授,自己还是一个很普通的年轻老师。她2000-2003年担任华南理工大学管理学院副院长,职称也是副教授/教授,已非普通老师。

      故她第一次见苏东水,时间在1997-2000年。

      陈春花读苏东水“论文博士”又是何时?她1999-2000年读新加坡国立大学EMBA,她不可能先读“论文博士”,再读EMBA,因而“读博”时间不会早于1999年。既然苏东水第一次见面就推荐她读“论文博士”课程,故她“读博”时间很接近,可以推断为1999-2001年。这和她读“爱尔兰欧洲大学”完全吻合。而她可能同时攻读两个“博士”吗?

    苏东水推荐的“论文博士”课程是复旦大学的博士课程吗?很简单,如果是复旦大学的博士课程,那陈春花应该有2001年前后复旦大学的“论文博士”课程结业证书,或者复旦颁发的博士证,对吧。显然她没有。

      以上是根据已知事实,用排除法,证明陈春花师从复旦名师苏东水读“论文博士”课程,和其假博士学历高度吻合。

      那么,有没有直接的事实依据,可直接证明苏东水当时推荐的“论文博士”课程,就是“爱尔兰欧洲大学”的“博士”课程?

      爱尔兰欧洲大学招生简章和课程表

      “中国海峡人才市场”官网上“www.hxrc.com”,2022年7月还挂着“爱尔兰欧洲大学”2001年和2003年的工商管理博士班招生简章。

      以上2003年招生简章截图网址是:“http://app.hxrc.com/services/news/wap/NewsDetail_26356.html”

      再看2001年招生简章:

      以上2001年招生简章截图网址是:“http://app.hxrc.com/services/news/wap/NewsDetail_18251.html”

      这还没完,还有2001年的“爱尔兰欧洲大学”DBA博士课程表。

      以上课程表网址是:“https://app.hxrc.com/services/news/wap/newssearch.aspx?id=18252”

      这3份事实性材料,完整地反映了“爱尔兰欧洲大学”的“入学”条件、“课程”设置、收费标准和发“博士证”,揭示了“爱尔兰欧洲大学”在国内运作的关键事实:

      无需入学考试,申请就行,在国内上课。福州“博士班”在福州上课。
      2年学完,复旦和上海交大7个教授和博导到福州每月面授一次,还有2个“爱尔兰欧洲大学”“教授”。
      凭博士论文通过答辩毕业,“爱尔兰欧洲大学”授予“博士证”。学费6万。
      而且2003年招生简章还透露了,2001年的博士班一共有19人在读。

      这3份事实性资料,发布来源靠谱权威。根据发布网站官网介绍:中国海峡人才市场是福建省人民政府与原国家人事部于1998年1月在福建人才智力开发服务公司(1988年6月成立)基础上共同组建的国家级人才市场,是福建省人民政府所属的事业单位、综合性大型人才服务机构。是一家事业单位。发布网站:“www.hxrc.com”也确实是中国海峡人才市场的官网,有正式的备案号。具体的发布者是中国海峡人才市场下属的事业单位“福建省企业经营管理者评价推荐中心”。根据官网介绍,这是2000年1月由福建省委编办批准成立的事业单位,主要从事社会化考试、人才测评、管理咨询、经营管理人才评价、技能人才评价、人才背景调查以及研修培训等服务的专业机构。  至此可以总结,福建省企业经营管理者评价推荐中心只有人才服务职能,不可能和什么外国大学联合办学。它实际是在福州推销“爱尔兰欧洲大学”“博士”课程项目,也就是卖课。2001年还成功举办了1期,帮助19个学员在2003年拿到“博士证”。

      “爱尔兰欧洲大学”福州博士班的课程表信息量也很大。所列教授名单:两个来自“爱尔兰欧洲大学”

      V.J. Walden教授,爱尔兰欧洲大学校友:自称是音乐家,牧师,公司董事长,本硕博在“爱尔兰欧洲大学”连读!他介绍自己的专长是服务招待行业,比如旅店、酒吧、音乐节等等,可以从事这方面的全职或兼职工作。这位在英国从事服务招待的绅士,2001年作为“教授”,和复旦、上海交大的教授博导一起,给中国学生上财务会计课!

      Vale教授,“爱尔兰欧洲大学”的老板之一

     再看国内的教授,6个复旦大学的教授、博导,1个上海交大的教授、博导,阵容豪华!

    一 管理经济学 孟宪忠教授、博导 上海交通大学管理学院 

    二 银行管理与货币政策 甘当善教授、博导 复旦大学经济学院 

    三 国际市场营销 薛求知教授、博导 复旦大学管理学院 

    四 组织行为与管理文化 苏 勇教授、博导 复旦大学管理学院 

    五 人力资源管理 张文贤教授、博导 复旦大学管理学院 

    六 企业策略与政策 胡建绩教授、博导 复旦大学管理学院 

    九 东方管理专题讲座

    1 中国国民经济管理研究 芮明杰教授、博导 复旦大学管理学院副院长 
    2 企业创新 孟宪忠教授、博导 上海交通大学管理学院

      授课老师里并没有苏东水,为什么招生简历强调有苏东水?  苏东水和这个“爱尔兰欧洲大学”博士班有什么关系?

      国内是谁和“爱尔兰欧洲大学”合作?

      在“淘课网”“www.taoke.com”上,有一个“上海东华国际人才学院”,2006年发布了6个课程,分别是:
      复旦大学职业经理人卓越领导与创新管理高级研修班,2000元。
      国际商务与跨国经营(3月份公开课程),2400元。
      东方精英大讲堂――合作与竞争,价格待定。
      爱尔兰欧洲大学工商管理硕士MBA,45800元。
      工商管理硕士对接班,32000元。
      爱尔兰欧洲大学工商管理博士DBA,66000元(陈春花所读项目)。

      以上截图网址:“https://www.taoke.com/company/1462/course”

      上海东华国际人才学院自我简介是:

      以上截图网址:“https://www.taoke.com/company/1462.htm”

      学院从1999年开始与爱尔兰欧洲大学(简称EUI)合作,举办工商管理硕士(MBA)和工商管理博士(DBA)学位课程班。

      这个上海东华国际人才学院,是什么机构?简单说,它是培训机构。但地位特殊,因为它是苏东水1991年创立并担任院长,某种程度可以把它比作苏东水的化身。

    自1997年开始,由世界管理学者协会联盟(IFSAM)中国委员会、复旦大学东方管理中心、复旦大学经济管理研究所、中国国民经济管理学会、上海管理教育学会、上海东华国际人才学院等机构组织每年举办一次“世界管理论坛及东方管理论坛”,先后在复旦大学、上海外国语大学、上海交通大学、北京大学、河海大学、法国国立艺术及文理学院、国立华侨大学、上海工程技术大学及东华大学等国内外知名学府,举办了23届世界管理论坛暨东方管理论坛,

      以上内容出自世界管理论坛暨东方管理论坛简介:“http://www.omforum.cn/portal/Page/index?id=3”

      上海东华国际人才学院可以和众多一流大学、官方机构一起举办学术研讨活动,地位可见一斑。

      虽然苏东水担任上海东华国际人才学院院长,但1998-2007年期间,苏东水的儿子苏宗伟,担任上海东华国际人才学院的执行院长。

      这个苏宗伟就是《(更新)陈春花教授都有哪些“爱尔兰欧洲大学”校友?上海教授,职场精英,还有一个假民校?》里第一位校友,上海外国语大学工商管理系主任、东方管理研究中心执行副主任。

      也就是说,执行院长苏宗伟才是上海东华国际人才学院的实际操盘者。

      他1998年10月担任执行院长,而1999年上海东华国际人才学院就和“爱尔兰欧洲大学”就开始合作。

      如果这就是最终谜底,那么,“爱尔兰欧洲大学”所有事情都可以完美解释了。

      虽然没有资料可以看出,上海东华国际人才学院和“爱尔兰欧洲大学”是如何在1999年走到一起的。但闭着眼睛也可以料想执行院长苏宗伟独一无二的优势。毕竟父亲苏东水会信任和帮助儿子的,对吧。

      借着苏东水的旗号和影响力,一般人办不了的事不再是难事,包括轻松组织起复旦和上海交大的豪华“授课”团队,找到福建省企业经营管理者评价推荐中心卖课。苏东水是泉州人,1987年牵头发起了上海泉州侨乡开发协会,在福建和泉州的影响力也非常大。

      DBA课程表名单里的7位教授,有确切资料可查的,其中3位教授是苏东水的学生,1位教授是他的好友。

      上海交大孟宪忠教授、博导,1995年-1997年在复旦大学师从苏东水教授做经济学博士后研究。

      以上截图网址:“https://www.sohu.com/a/253292137_488818”

      复旦教授甘当善,是苏东水好友。

      以上截图网址:“http://www.fudanpress.com/news/showdetail.asp?bookid=11518”

      复旦苏勇教授,1991年考取苏东水的博士生。

      以上截图网址:“https://www.fdsm.fudan.edu.cn/anniversary30/30th1393503572878”

      复旦芮明杰教授,是苏东水的硕士生和博士生。

      以上截图网址:“https://weibo.com/p/100202read7317420/author?from=page_100202&mod=TAB”

      第四块拼图:淘课网上的“上海东华国际人才学院”可能被冒名吗?

      和中国海峡人才市场网发布的“爱尔兰欧洲大学”招生简章、课程表不同,上海东华国际人才学院与“爱尔兰欧洲大学”合作办学的信息,并非发布于这个学院的官网,而是发表于“淘课网”。在淘课网上,任何培训机构都可以发布培训课程信息。

      有可能是上海东华国际人才学院被人冒名顶替,发布了假大学的课程?

      理论上可能被冒名,但大量课程细节证据显示不太可能被人冒用,它应当就是本尊。

      淘课网上,上海东华国际人才学院2006年发布了6个课程,除了2个“爱尔兰欧洲大学”课程,还有4个其他课程。

      复旦大学职业经理人卓越领导与创新管理高级研修班,2000元。

      东方精英大讲堂――合作与竞争,价格待定。

      国际商务与跨国经营(3月份公开课程),2400元。

      工商管理硕士对接班,32000元。

      这些课程与上海东华国际人才学院的实际日常活动完全吻合。

      首先看“东方精英大讲堂”课程。

      以上截图网址:“https://www.taoke.com/opencourse/7897.htm”

      根据课程描述,上海东华国际人才学院自2006年3月至12月,每月举办一期“东方精英大讲堂”系列活动,可以给报名企业提供冠名机会,和一定数量入场券,相关活动在“三报两台”报道。活动结束后,复旦大学出版社会结集出书。

      根据百度百科,复旦大学出版社的确在2006年11月,对“东方精英大讲堂”活动出版《东方精英大讲堂:领先与创新专题》,编著者正是苏宗伟。

      《东方精英大讲堂:领先与创新专题》一书的内容,正是来源于“东方精英大讲堂”组织的学术报告记录,付诸出版之前,演讲者对记录稿做了较大修改补充。

      再看“复旦大学职业经理人卓越领导与创新管理高级研修班”课程。

      以上截图网址:“https://www.taoke.com/opencourse/8252.htm”

      这个课程指出,可以通过“东方管理论坛”、“东水同学会”等资源,为学员搭建沟通交流平台。而前面的资料拼图里已经讲过,上海东华国际人才学院地位特殊,可以和一流大学以及官方机构合办“东方管理论坛”;“东水同学会”也是依托上海东华国际人才学院运转的苏东水学生群体。

      以上截图网址:“http://www.donghuaxueyuan.org/dsac_detail.asp?id=41&type=8”

      “东方精英大讲堂”和“复旦大学职业经理人卓越领导与创新管理高级研修班”这两个课程具体内容,和上海东华国际人才学院的日常活动完全一致,足证在淘课网里发布这些课程的是其本尊。

      而且,在一个标注为上海东华国际人才学院的网站上,其课程栏目也列出了“东方精英大讲堂”和“复旦大学职业经理人卓越领导与创新管理高级研修班”。

      以上截图网址:“http://www.donghuaxueyuan.org/lj.asp?id=13&type=4&pageno=4”

      再仔细看,上海东华国际人才学院在“淘课网”的自我简介,甚至有更多彩蛋。

      以上截图网址:“https://www.taoke.com/company/1462.htm”

      彩蛋两处。首先独家透露了上海东华国际人才学院和“爱尔兰欧洲大学”的合作始于1999年,这个时间节点是全网独一份的信息。第二处彩蛋,就是透露了“第二届DBA课程是与福建省组织部所属单位联合举办”。这个信息,恰好完全吻合前面所列的2003年招生简章内容。

      根据2003年招生简章,“爱尔兰欧洲大学”DBA“博士”课程为期2年。1999年-2001年是第一届(陈春花和苏宗伟读的就是这第一届);2001-2003年,是第二届。这第二届就是福建省企业经营管理者评价推荐中心卖出的福州课程班,一共19人参加。

      试问,除了上海东华国际人才学院的真身本尊,谁还能编出这些真实准确的课程详情呢?

      还可以从反面假设:有人2006年“冒用”上海东华国际人才学院名义在淘课网上发布虚假课程,想诈骗钱财。按照淘客网上的数据显示,这些课程的人气值(大概率是浏览量)都是好几千,如果真有人被这些“冒牌”课程骗去财物,从几千到几万元不等,受害者早就举报了,这些“冒牌”课程也早就应该被网站封禁下架了。

      这些课程从2006年发布至今已经16年了,仍然完好地存在,也从侧面说明这些课程是真实有效。

      上海东华国际人才学院

      上海东华国际人才学院成立于1991年,2001年10月办理工商登记,登记名称为上海东华国际人才研修学院。官网是“www.donghua.org”

      实际上,上海东华国际人才学院和上海东华国际人才研修学院,这两个名字平时都是混着用。苏宗伟在个人简历上就写的是上海东华国际人才学院的执行院长。

      很凑巧,它官网“www.donghua.org”最近不能访问了,在本号7月13日发出《(更新)陈春花教授都有哪些“爱尔兰欧洲大学”校友?上海教授,职场精英,还有一个假民校?》,当时还能正常访问。

      不过除了这个官网,还有两个网站可以参考。“www.donghuaxueyuan.org”,“www.dhiti.org”,都写着上海东华国际人才学院。

      以上截图是“www.donghuaxueyuan.org”

      以上截图是“www.dhiti.org”

      这两个网站一模一样。

      按照这些网站对上海东华国际人才学院的介绍,它“与国外院校合作开办工商管理硕士(MBA)和工商管理博士(DBA)学位课程班”。

      这个和“国外院校合办工商管理硕士MBA和工商管理博士DBA学位课程”是不是很熟悉?这个国外院校又是哪个国外院校?

      按照工商管理登记,上海东华国际人才学院只能从事非学历教育,它如何可以开展所谓的学位课程班?

      “www.donghuaxueyuan.org”,“www.dhiti.org”,两个网站都有备案号:沪ICP备06003293。但这个备案号是2006年的备案号,现在已经失效,没有备案数据可查。

      这两个网站和官网“www.donghua.org”是什么关系?

      由于官网“www.donghua.org”暂时不能访问,暂时无法对比。

      但初步分析,“www.donghuaxueyuan.org”,“www.dhiti.org”两个网站,可能是“www.donghua.org”的备份网站。

      如果有什么不轨之徒想要冒充上海东华国际人才学院,发布课程,假冒网站,诈骗钱财,按照上海东华国际人才学院的特殊地位,那些山寨版的不轨之徒一经查实,早就会被有关部门依法查办了,对吧。

      上海东亚管理学院

      苏东水还曾经创办过一个“上海东亚管理学院”,工商注册时间为2001年4月,后来注销了。从注册信息看,这个东亚管理学院是民办大学,主管单位是上海市教育委员会。

      而这个上海东亚管理学院,也有一个网站:“http://www.sheac.org/index.html”

      在这个上海东亚管理学院网站上,也介绍自己是全日制民办大学。

      以上截图网址:“http://www.sheac.org/introduction/4394510.html”

      就在这个介绍里,我们又看到了熟悉的那个外国大学。

      上海东亚管理学院的学生“在本院可继续申请报读爱尔兰欧洲大学等国外院校的工商管理学士(BBA)和工商管理硕士(MBA)”。

      按照这个介绍,东亚管理学院和“爱尔兰欧洲大学”也有某种合作关系。但暂时不能确认这个网站“www.sheac.org”就是上海东亚管理学院的官网。

      上海东华国际人才学院,上海东亚管理学院,这两所原本都是苏东水创办(具体运转未必是苏东水亲自过问)的机构,都可以报读“爱尔兰欧洲大学”的课程呢?可以确认的事实是,上海东亚管理学院后来在2009年终止办学了。

      以上截屏网址:“https://xxgk.shu.edu.cn/info/1338/1373.htm”

      在上海大学的官网上只有这个终止办学的标题,没有具体文件内容。

      为何是上海大学发出民办东亚管理学院的终止办学公告?东亚管理学院是依托上海大学办学吗?

      上海东亚管理学院为何终止办学?

      而这个终止办学,有可能会和“爱尔兰欧洲大学”这个假大学有关系吗?

      这些问题就不得而知了。

      总结

      根据以上六块拼图的资料,可以确认无可辩驳的事实有:

      “爱尔兰欧洲大学”的MBA硕士班、DBA博士班,当时都是在国内开班。

      DBA博士班,是组织了以复旦大学教授博导为主的授课队伍。(实际上课情况是否按照课程表开展,这个无从考证)

      DBA博士班,学期2年。1999年-2001年是第1批,毕业生代表有陈春花和苏宗伟;2001-2003年是第2批,在福州开课,有19人;2003-2005年是第3批,是否办成,不得而知。

      可以有较大理由认为成立的事实有:

      “爱尔兰欧洲大学”在国内的合作方有上海东华国际人才学院。具体操盘是它的执行院长苏宗伟(苏东水之子)。这才能解释“爱尔兰欧洲大学”那时的组织“办学”能力,和收割能量。

      陈春花的“读博”经历,也完全吻合了以上这些事实,和有较大理由可以成立的事实。

      那么接下来,大家显然可以提出的问题是:所有这些曾经的参与者,授课教师,学员教师,职场精英,从头到尾没有怀疑过,“爱尔兰欧洲大学”的真实性吗?这些所谓硕博学位课程授予硕博学位,真地合法合规吗?

      一群以研究企业管理、商业管理为业的一流大学专家教授,最后竟然是参与了一个并不高明的假大学的课程,这是何等巨大的讽刺和伤疤。

    “爱尔兰欧洲大学”一段荒谬的往事

    2000年英国《泰晤士报高等教育副刊》就曾报道,爱尔兰教育部门正在调查一个未经官方批准就自称为“爱尔兰欧洲大学”的机构的运营,这个机构在爱尔兰首都都柏林的一个宿舍地址运营。“爱尔兰欧洲大学”在英国和国际上做广告,招收研究生学历以上的学生,但实际上从未向爱尔兰官方申请“大学”身份的许可。

    另外,2005年,爱尔兰共和国《独立报》曾经揭露了三家贩卖学位的野鸡大学,其中有一家就是“爱尔兰欧洲大学”。

    在国内,“爱尔兰欧洲大学”也没有被官方认可。教育部今年3月更新的爱尔兰高校名单中,总共有25个大学,并没有“爱尔兰欧洲大学”的身影。

    根据爱尔兰工商查询网站的信息,“爱尔兰欧洲大学”的注册时间是1997年6月26日,注销时间为2010年8月20日。不过它的全称是“爱尔兰欧洲大学有限公司”,仅仅是名字看着像一所高校。“爱尔兰欧洲大学”的经营者们有4家共同拥有的公司,但如今没有一家公司存续。

    就是这样一家机构,如何与国内知名大学的教授挂上勾?苏东水扮演了重要角色。

    除了是复旦教授,苏东水还是一家教育机构的法人,这家机构名字为上海东华国际人才研修学院。而这个名字也将苏东水和爱尔兰欧洲大学紧密联系到了一起。

    苏东水成立两家教育机构均与爱尔兰欧洲大学紧密相关

    2006年上海东华国际人才学院曾在淘课网上发布过6个课程,同时该网站上还有上海东华国际人才学院一段介绍。介绍中指出,上海东华国际人才学院从1999年开始与爱尔兰欧洲大学(简称EUI)合作,举办工商管理硕士(MBA)和工商管理博士(DBA)学位课程班。

    以此来看,陈春花是上海东华国际人才学院与爱尔兰欧洲大学合作的第一届博士生。

    “上海东亚管理学院”号称是经过批准的民办大学,堪称互联网化石,最后的更新日期似乎是2013年。

    上海东华国际人才学院全称就是上海东华国际人才研修学院,由苏东水成立。苏东水的儿子苏宗伟从1998年到2007年在上海东华国际人才学院担任执行院长。

    也就是说苏宗伟1999年在爱尔兰欧洲大学攻读博士时,同时是这所“大学”的管理者。

    上海东华国际人才学院官网www.donghua.org,目前已经无法打开。

    另外,苏东水还在2001年成立过另一家教育机构东亚管理学院,不过该学院已经注销。

    东亚管理学院的网站还在。其学院简介上有这样的表述:学生在本院可继续申请报读爱尔兰欧洲大学等国外院校的工商管理学士(BBA)和工商管理硕士(MBA)。

    上述两所机构都是苏东水创立,一个合作举办爱尔兰欧洲大学的相关课程,一个可以申请报读。

    爱尔兰欧洲大学的博士校友们

    校友一 上海外国语大学苏宗伟教授

    陈春花教授的正宗同期校友:上海外国语大学工商管理系主任、东方管理研究中心执行副主任苏宗伟教授。2001年荣获“爱尔兰欧洲大学”工商管理博士学位,和陈春花教授正宗同期校友。

    以上苏宗伟教授的简历地址是:“
    http://www.sbm.shisu.edu.cn/_upload/article/17/25/b8b229544ab4a6de1af6befa5ef4/dd740a92-dbf7-4878-a2d3-39bcb86344c4.pdf

    这位苏宗伟教授简历更大胆,直接在英文页上写自己是Ph.D。(Ph.D全称是哲学博士,是学历架构中最高级的学衔,是学术研究型博士,一般采用全日制学制。DBA工商管理博士学位,属于在职非全日制学制,是工商管理领域最高层次的学位教育项目。)

    校友二:华东政法大学商学院陈燕教授

    陈燕教授在学校官网的简历地址::“
    https://sxy.ecupl.edu.cn/2792/list.htm

    校友三:香港人陈之望

    这位同学的“爱尔兰欧洲大学”“博士证”收获于2007年,在香港当过香港名校培正中小学及幼稚园校监(校长)。

    校友四:以前纳斯达克上市公司(代码CPSL)前CEO Wo Hing Li

    这应该是个香港人。

    校友五:一位捣鼓类似爱尔兰欧洲大学业务的英国“教授”

    这位拿了13个学位,其中2个来自“爱尔兰欧洲大学”,比陈春花教授还早一年。

    校友六:一位英国绅士

    在爱尔兰欧洲大学一路从学士读到了博士。

    校友七:马来西亚一位幼儿园园长

    这位园长一口气从爱尔兰欧洲大学拿了三个证书。

    更多校友:职场精英

    上面这个截图的网址是:“http://qccdata.qichacha.com/ReportData/PDF/560c6e31994933a9704139759091524d.pdf”,是企查查发布的一个企业的董事换届公告

    爱尔兰欧洲大学复旦大学分校?这也太没边了吧,假证上也不至于这么写吧?

    上面截图网址:“http://www.shm.com.cn/2018-07/25/content_4745852.htm

    王靖:从洗浴中心到尼加拉瓜大运河

    王靖1972年12月出生,被称为“中国最神秘的商人”,其履历及财富来源,一直像一个谜。王靖出生于北京,父母都是工人;由于成绩一般,大学就读于江西中医药大学中医专业。王靖大学还没毕业就回到北京寻找机会,时值1993年,他在北京开了个洗浴中心,取名为“北京昌平传统养生文化学校”。其时,养生是新鲜概念,21岁的他出任北京昌平养生学校校长。
    90年代末,王靖关了他的洗浴中心,去香港先后开了香港鼎福投资集团、香港宝丰黄金有限公司和中国新华国安科技有限公司等数家公司,接着又去到柬埔寨开金矿。虽然王靖所开的公司全部倒闭了,但他对金融市场有了丰富的了解。1998年,他回到北京创立了一家投资咨询公司。
    王后来接手了信威集团外,也是天骄航空、香港尼加拉瓜运河开发投资有限公司、中国海外安保集团董事长。

    柬埔寨的30亿订单

    1995年,王靖还在开着洗浴中心时,“巨大中华”之一的大唐电信成立了北京信威,立志把信威打造成中国的高通。信威首任董事长是被称为中国“3G之父”的李世鹤,信威研发了SCDMA、TD-SCDMA和McWiLL三大国际无线通信技术标准,拥有TD-SCDMA技术标准下14项核心专利中的6项。2006年开始,北京信威因经营不善,连年亏损。2009年,大唐电信决定甩掉这个包袱。王靖抓住该机会,以8800万元的价格控制了信威41%的股权,成为信威第一大股东,出任信威集团董事长。

    当时信威债务累累,房租和水电都交不起,门口每天都是讨债者。王靖上任后,第一件事就是从柬埔寨获得了一笔30亿的电信设备订单。信威赚了5.7亿,还清了债务,当年盈利3800万。在获得柬埔寨订单之后,信威集团先后获得了乌克兰、俄罗斯、尼加拉瓜、坦桑尼亚等国家的大宗电信设备订单。2012年上半年,北京信威和尼加拉瓜政府签了一份价值超过3亿美元的合作协议,获得在尼加拉瓜建设并运营覆盖全境的McWiLL公众通信网络和行业专网。一时间,信威的业绩亮眼。同期的标杆电信企业中,中兴的毛利率才到30%,华为也不过40%,而信威却高达88%。因以前的国企背景,信威不仅很快获得了进入特种行业所需要的相关许可证,而且还获得了工信部为其分配的应用频段。

    王在接受采访中多次表示,自己在越南和柬埔寨淘金,两个国家都有金矿、宝石矿等矿业投资,光是金矿估值就有50亿美元。

    不过,后来被发现是一个骗局,这个信威的柬埔寨客户,就是信威子公司重庆信威设立的分公司。信威与柬埔寨信威先签订一份30亿的设备订单,然后信威用现金等做抵押,向国开行申请一笔30亿的贷款,柬埔寨信威用这笔钱来向信威支付货款。而接盘柬埔寨信威这家公司的实际控制人,只是一个代办注册公司业务的越南人,注册花费了2000瑞尔(柬埔寨货币,约合5元人民币)。

    6年发射32颗卫星

    2010年信威与清华大学共同发起“清华—信威空天信息网络联合中心”项目,王靖出任管委会主席,合作研制灵巧通信卫星。2014年9月4日卫星成功发射,主要用于卫星多媒体通信试验,这个卫星被誉为“中国民企第一星”。王靖对外称将在六年之内发射至少32颗卫星,组成全球无缝覆盖的通信卫星星座,此时,马斯克的SpaceX公司才刚刚起步。

    2015年5月,王靖携信威集团通过全资子公司卢森堡空天通信公司实施“尼星一号”项目,面向海外进行卫星运营。2016年,王靖又在尼加拉瓜启动了“尼星一号”项目,拟投资建设尼加拉瓜通信卫星系统并开展商业运营,并借机拓展以拉丁美洲为主、覆盖美洲地区的卫星通信市场。项目原计划2019年4月发射,当年二季度开始运营,2023年达产。不过后来信威集团更改了计划,将发射时间推迟到2022年。2016年8月,信威披露拟以2.85亿美元收购以色列通信卫星运营商SCC100%的股份,将这家上市公司私有化。不过这一收购事项,因几天后马斯克SpaceX 公司的猎鹰 9 号火箭发生爆炸导致 SCC 的Amos-6 卫星全损而“泡汤”了。

    王靖抛出“空天信息网络”战略:3年内,发射“一箭四星”,到2019年,要发射32颗或更多卫星,而他的终极规划是,要让信威集团运营的卫星将覆盖全世界95%的人口分布区域,成为为数不多的、几乎覆盖全球的卫星运营商。

    不过后来有人爆料,信威声称注册资本达70亿的天骄航空厂房一直处于烂尾状态。

    投资400亿美元挖尼加拉瓜运河

    2012年8月,他在香港注册成立香港尼加拉瓜运河开发投资公司(HKND),扬言要投资3300亿人民币开挖尼加拉瓜大运河。此前王靖通过当地电信投资,认识了尼加拉瓜总统丹尼尔·奥尔特加。

    2013年6月14日,王靖与尼加拉瓜总统丹尼尔.奥尔特加签署《尼加拉瓜运河发展项目商业协议》,运河项目投资额高达400亿美元(约合2450亿元人民币),HKND集团拥有独家规划、设计、建设,以及在一百年内运营并管理尼加拉瓜运河和其他潜在项目的权利。根据协议,王靖的私人公司香港尼加拉瓜运河开发投资有限公司将在尼加拉瓜开挖一条全长276公里的跨海运河,连通太平洋和大西洋,并开建两个深水港口,一条输油管道,一个世界级自由贸易区,一个机场。随后,尼加拉瓜国民议会正式批准该商业协议。

    消息一出,震惊世界。南美洲航运主要依赖巴拿马运河,巴拿马运河通航能力严重不足,尼加拉瓜运河将极大提升南美洲的航运吞吐量。但开挖尼加拉瓜运河并不是一件容易的事。王靖在发布会上说,此项目一旦完工,将直接挑战500英里外巴拿马运河的国际地位,改变当时的国际航运格局;信威集团将会获得全球8%的物流定价权,是个持续盈利的大项目。王靖在国内被券商称之为“人中龙凤”。

    2014年,王靖宣布工程开工,项目在五年后完工。

    王靖曾称尼加拉瓜运河项目参与人员多达千人,“公司在尼加拉瓜,单单是科技人员就有500多人,在中国国内还有600多人”。后来的调查却发现:所谓的运河项目,当时对外宣扬的海内外的员工数量达到了上千人,但其团队数量还不到30人,并且整个运河工程只修了一条11公里的石路。就连这条砂石路也出了问题,欠尼加拉瓜运河项目服务公司200,000美元的工程资金,折算成人民币约130万元。因为欠薪,工人们罢了工,逼得尼加拉瓜领导人的儿子跑到信威北京的总部讨债。外交部出来辟谣:“该项目与中国政府无关,是民营企业自主行为”。

    运河没动工,但信威集团在资本市场备受追捧。2014年9月10日,北京信威集团借壳“中创信测”登陆A股市场,12个交易日连续涨停,股价从8.45元一度涨至47.21元,累计涨幅高达458.70%,市值达到2000多亿元,成为A股市值最高的民营科技企业。持股31.66%的王靖身家超过600多亿元,成为位列全球前200名的超级富豪,比2010年入股北京信威时暴增300多倍,被资本市场誉为“运河狂人”。

    王靖因此入选英国《金融时报》“25位最值得关注的中国人”,比肩雷军、马化腾,在2015年的胡润富豪榜上,与贾跃亭以395亿身家并列第7名。

    由此,信威看似走上了快车道,高潮一个接一个,好消息应接不暇,股民们也疯狂追捧,信威的股价持续高升。2015年,信威集团市值突破2000亿。王靖的身价水涨船高,估值高达500亿元,而当时阿里巴巴的马云身价也才286亿元。

    航空发动机与深水港

    2013年12月,王靖还宣布在乌克兰投资“克里米亚海港”项目,计划一期投入30亿美元,二期投资不低于70亿美元。但仅隔了一年,由于地方局势原因,王靖暂停了深水港项目。王靖宣称:“克里米亚深水港建成后,年吞吐量将超过1.5亿吨,直接缩短中国到北欧的运输距离近6000公里,极大地促进中国与亚欧国家的商贸往来。”不过,很快乌克兰政府换届,新总统波罗申科上任,就否决了该项目。

    又比如,2015年,他成立中国海外安保集团公司(空壳)。

    再比如,2014年,成了北京信威集团老板后,王靖陆续成立4家“天骄”系投资平台(空壳):北京天骄航空产业投资有限公司、北京天骄影视产业投资有限公司、北京天骄建设产业投资有限公司、北京天骄体育产业投资有限公司。

    王靖还计划引进乌克兰航空发动机,让中国航空技术进步10年,2014年10月,王靖在北京成立了天骄航空产业投资有限公司。此后,天骄航空与马达西奇建立了全面战略合作关系,双方计划在我国国内合作建设航空发动机生产基地。

    乌克兰的马达西奇公司是世界知名的发动机生产商,主要为固定翼飞机和直升机提供动力系统,在苏联时期,有“苏联航空工业的心脏”之称。苏联(俄罗斯)赫赫有名的安-124、安-225、米-17、米-26、卡-27等飞机都使用它的发动机。苏联解体后,厂长博古拉耶夫将公司收为己有并运作上市。2014年,乌克兰与俄罗斯的关系陷入冰点,政府禁止本国企业向俄罗斯出口军用设备,这导致长期依赖俄罗斯市场的马达西奇公司陷入订单大批被中止,即将破产的境地。博古拉耶夫于是有意将公司出售。航空发动机版块是优质资源,而且这次的性价比比较高,自然就引来不少买家围观。王靖是最终的赢家。

    一方面,北京天骄航空产业投资有限公司借款1亿美元给马达西奇公司补充流动性。王靖通过掌控在巴拿马、塞浦路斯、维京群岛等地的7家离岸公司,悄悄收购博古斯拉耶夫家族手中的马达西奇公司股份,连同在二级市场上隐蔽吸收,最终他持股56%马达西奇公司。

    另一方面,马达西奇公司协助北京天骄在重庆建厂(重庆马达西奇天骄航空动力有限公司),生产和维修马达西奇产的发动机。这个项目得到重庆市政府的大力支持,被寄予了牵引地方航空产业链发展的厚望,成为战略性新兴产业培育的重点项目。

    2015年底,在重庆渝北区的天骄航空动力产业基地项目正式签约,乌克兰第一副总理、乌克兰驻华大使、马达西奇公司总裁等均到场。该基地由乌克兰航发巨头马达西奇提供全套技术方案,规划总投资额200亿元人民币,一期项目建成后,2020年产值就有望达到500亿元。

    王靖计划把北京天骄旗下的马达西奇注入信威(借壳上市),因国内的铺垫己经完成,目标指日可待。

    2017年,王靖向乌克兰证券监管机构(乌克兰反垄断委员会)申请将全部股份(之前通过不同公司购买)归集到北京天骄。如果如愿,回国借壳稳成。由于飞机发动机属于战略技术产品,7月,乌克兰国家安全局以涉嫌“破坏活动”的名义,开始介入马达西奇并购案,对双方合作展开调查。

    2018年3月,乌克兰最高国安会议做出决议,要将马达西奇公司国有化,乌克兰法院冻结了王靖公司的股份。2019年,新总统泽连斯基上台,直接否决了这项收购案。

    在乌克兰那边,2021年3月,总统泽连斯基签署命令将马克西奇公司国有化,即是政府没收马达西奇公司100%的股份,同时,制裁北京天骄公司及其公司控制人王靖:冻结资产、限制交易、禁止进入乌克兰领土等。王靖通过国际仲裁索赔,许多人认为,这只不过是他做做样子而己。

    在重庆,注册资本达70亿元的天骄航空产业园早己处于烂尾状态。

    但王靖将停牌两年半的信威集团复牌,且伴随的是一条“重磅消息”:信威集团将与北京天骄航空产业有限公司重组,引进乌克兰马达西奇发动机技术,解决中国的飞机发动机难题。

    这次投资者美元不买帐,硬着头皮复牌的信威集团迎来连续43个跌停。2020年4月20日,信威集团再次停牌。2021年5月,上交所决定终止信威股票上市,6月1日,被正式摘牌。王靖被上交所公开谴责,要求他10年内不得担任上市公司的董事、监事和高管。2022年2月23日,信威集团被北京近岭资本管理有限公司申请破产清算,法院方正式开始着手选任破产清算管理人的工作。

    信威集团玩完了,输家是超过15万的股民,以及中了王靖套路的那些金融、投资机构。

    王靖早已将持有的信威股票全部减持或质押,套现超过百亿元人民币。

    早在2016年,企业正风光无限的时候,王的老底被人查了个底朝天。此后不到6年时间,信威巨亏268亿,暴雷退市,社保基金都被拉下水,为其提供贷款的国开行280亿资金打了水漂,15万股东人均爆亏24万,总部大楼被拍卖,最终无人问津流拍……

    2015年9月以后,信威集团借壳上市和定向增发的巨额限售股陆续到期解禁,相关的股东套现。2015年,一位名叫“杨全玉”的七旬股民出售信威股票套现41亿元,迅速引起媒体关注。

    当年12月,有媒体刊出长篇报道《信威集团隐匿巨额债务,神秘人套现离场》,迅速把王靖与他的骗局推向了大众的视野。除了指出信威集团债台高筑、财务造假,报道还提到,像“杨全玉”这样的神秘套现人足足有37位。重磅“报料”一出,信威股价应声跌停,次日,信威集团宣布停牌。

    (自此之后,信威集团陷入连年的巨额亏损,自2017年-2020年4年的时间里,信威集团的对应亏损金额分别为17.54亿元、28.98亿元、184.36亿元、33.84亿元。)

    2016年2月,信威集团宣布资产重组。

    王靖开始谋划新业务、新故事装入上市公司,试图拉升股价。他“扯”起几面“大旗”:1. 宣布收购以色列商业航天公司太空通信集团,号称为“一带一路”提供通信保障服务;2. 投入10亿元资金购买大型通信卫星“尼星一号”(尼加拉瓜通信卫星一号),从地面通信设备供应商“一步登天”,转型“空天信息网络”服务商;3. 与湖北省产业投资平台合作,联合打造航空及舰船动力科技园区,争取两机专项(“发动机和燃气轮机重大专项”)国家资源扶持。

    这几个“大动作”(最终是不了了之)没能“吹”出效果,2016年5月复牌后,股价没能提升,2016年12月,公司再次停牌。

    2021年,上交所发文谴责王靖,称其在十年内不适合就任上市公司高级管理职位。

    王靖虽然身败名裂,但他早已套现离场,不知所踪。

    把报效国家做成生意

    王靖在画饼方面炒的是国家战略,企业的发展理念更是简单粗暴——“报效国家”。

    王靖入主信威之后,不仅在信威集团办公大楼前立下“报效国家”的巨幅石碑,更做成巨幅字幕挂在大厅,公司办公室里、会议厅内随处可见爱国语录。甚至公司的广播也是上午播放国歌,下午播放《打靶归来》。

    政府鼓励让民营企业进入空间领域,王靖就放卫星;政府说中国企业要走出去,王靖就去挖尼加拉瓜大运河;政府打造5G技术,王靖就进入5G通信领域。

    王靖的这些行为,让人对他的背景揣测纷纷,甚至有国外的媒体把王靖称之为“帮助大国崛起的神秘大拿”。王靖不仅把爱国故事讲得天花乱坠,而且连尼加拉瓜的领导人也被忽悠成了他表演的陪练。

    只是当王靖画的“大饼”消失后,大家才缓过神来。用“爱国”作为一种手段来推动股价,王靖可以说是商界第一人。

    卢恩光:五假干部

    年龄造假

    卢恩光出生在山东阳谷县,什么时候出生的,除了他没人能说清楚,因为他的年龄存在造假情况。

    履历表上填写的出生年龄是1965年,而认识他的人则说他的实际出生年龄是1957年,竟然少填写了8岁。

    为什么这样?为了当教师。

    卢恩光是1984年才通过不正当手段当上民办教师的,据卢恩光小时候相交的两位人士说,卢恩光是初中毕业,但是学习成绩一般。除了语文成绩尚可,英语、数学和物理考试没有及格过,数学成绩还总是年级倒数,没有考过高分。

    这样一个标准的“差生”,是如何进入学校教书的,已经不得而知,一个流传很广的说法是,他靠两瓶罐头贿赂村支书,当了民办教师。

    为了能当上教师,他将自己的学历填写为高中。

    实际上他到了上高中的年龄,当地还根本没有高中,于是他将年龄推迟了8岁,弄到了一张高中毕业证,如愿以偿当了教师。

    语文成绩相对较好的卢恩光,偏偏被安排到小学五年级担任数学教师,这可让他出了不少洋相。

    他的学生们回忆说,当学生们问卢恩光数学题的时候,他的口头禅有两句:“自己钻研”、“你问我,我问谁?”

    名字造假

    卢恩光不仅年龄造假,名字也造假。

    名字造假又是为了什么?跟过去切割。

    在当民办教师之前,卢恩光只是个街头混混、地痞流氓。他的家乡阳谷是水浒英雄武松打虎之地,因此早年的卢恩光崇尚暴力,到处拜师学艺,学得一身好武艺。

    俗话说,艺高人胆大,武艺在身的卢恩光在家里开始招收徒弟,传授武艺,身边有了一批追随者。

    之后,他有了底气,整天带着一帮弟兄在大街上打打杀杀。

    久而久之,卢恩光就打出了名气,他的名字在阳谷无人不知,无人不晓。因为卢恩光在家里排行老三,发迹后被道上的人唤作“三哥”。

    他的真实年龄,则是通过他当年的小兄弟推断出来的。

    一位喊卢恩光“三哥”的拜把子兄弟,是出生于1958年1月,说明他至少是1957年出生。而曾经的“三哥”到了学校之后,他社会上的兄弟经常去学校找他,在办公室抽烟喝酒,搞得学校里是乌烟瘴气。

    因此,当时村里人没有几个能瞧得起他的,认为他这辈子就那样了,不会有什么出息。谁知道,卢恩光一不小心竟然成功了。

    上世纪90年代,社会上兴起校办企业之风,让卢恩光看到契机。

    1990年,默默无闻的卢恩光找到高庙王中学和当地教育局、财政局领导,吹嘘自己有经商才能,还发明了快速绘图仪,能在一年内创收千百万。

    卢恩光凭着三寸不烂之舌,说动了各位领导,得到了县财政局下拨的20万元贷款,创办了一家校办企业。

    这家企业名为校办企业,其实就是卢恩光的家族企业,从厂长、会计,到出纳、保管,甚至车间主任和门岗,都是他的亲信和当年道上的小兄弟。

    最后,卢恩光这个方丈肥了,20万资金打了水漂,厂子也倒闭了。

    尽管赔得一塌糊涂,但是卢恩光却就此洗白,成为企业家。1994年,阳谷县科仪厂厂长卢恩光被评为山东省十大杰出青年。

    在参加杰出青年评选的时候,卢恩光心说自己不能用自己原来的名字卢方全了,那是自己在道上混的时候用的名字,面子上并不好看。现在自己已经走上正道,当然要与过去切割,避免人们起底他不光彩的历史。

    因此,用了几十年的名字卢方全被弃用,他开始以卢恩光的名字走入新生。从此,江湖上不再有卢方全,政坛新星卢恩光冉冉升起。

    不过要说卢恩光发达全靠造假,也不符合事实。

    比如1997年,卢恩光成立山东阳谷玻璃工艺制品厂后,赚得第一桶金,靠的是掌握了诺亚口杯(即双层玻璃杯)的专利,产品在市场上畅销。

    双层玻璃杯就是我们现在生活中常见的真空杯,它注入开水之后,既可以保温,杯口还不烫嘴,手捧杯体的时候不也烫手,这种产品很快风靡全国,让卢恩光赚足了钱。

    不过他的钱来路是否干净,也有争议。

    吉林农民董玉杰,就指控卢恩光剽窃了自己的专利。他说自己在1993年,就申请了“双壁式口杯”专利,专利到1997年4月失效。但是他发现,卢恩光的企业一直在使用这项技术,牟取不义之财。

    他随即找到卢恩光,要求对方支付专利费100万元。卢恩光假意答应,背地里报警,董玉杰锒铛入狱,阳谷警方以敲诈勒索罪,判处其有期徒刑四年。

    由此可见,卢恩光在整人方面,还是有些“真本事”的。

    古人说,为商者一本百利,为官者一本万利。卢恩光深谙此理,在生意如日中天的时候,果断向官场过渡,当了乡党委书记,阳谷县政协副主席、党组成员。

    卢恩光是什么时候成为党员的?这又引出他的一项造假历史——

    入党资料造假

    卢恩光知道,要想步入政坛,不是党员可不行。但按照程序入党太慢,需要一到两年时间;他觉得太慢了,要只争朝夕。这样的话党龄长,升迁快。

    怎样才能突击入党?只能造假。

    于是他找到时任高庙王乡党委书记的李恒军,将5000元入党介绍费装在玻璃杯里,放到了办公桌上。李恒军见钱眼开、心领神会。

    为了让卢恩光早日入党,他们合伙造假,将《入党申请书》申请书的时间往前提了两年。可是卢恩光造假心切,还是穿帮了,他未卜先知,在1990年的《入党申请书》中 ,就写到了在“南巡精神鼓舞下”云云。众所周知,小平同志是在1992年南巡的,你卢恩光两年前就得知了这个“内幕”,真是滑稽之极。

    由于卢恩光打点到位,开会讨论的时候一致通过。就此,卢恩光如愿以偿入党,仕途平步青云。

    履历文凭造假

    入党之后,卢恩光并没有忘乎所以,他明白这只是万里长征,才走了第一步。要想升迁,自己的“高中学历”和民办教师经历,以及开工厂的经历,都是搁不到桌面上的,要继续造假。

    同样用金钱开道,他轻松地制造了假的档案,假的履历,为自己升迁铺平道路。

    凭着自己的高学历和辉煌履历,他开始进入政坛快车道。1999年5月,山东省政协因人设岗,增设鲁协科技开发服务中心。卢恩光得到消息后,立即带着资金前去“运作”,最后如愿成为中心副主任。

    一年多后,卢恩光又用同样的手段,赢得了领导的重视,担任了中心主任,成了正处级干部。

    反正卢恩光仍然控制着自己的企业,挂着科技开发服务中心的牌子做生意更加方便,税收方面一年少交千八百万不是问题,拿这笔钱来打通关节已经绰绰有余,这样的“买卖”实在是太划算了。

    由于卢恩光财大气粗,能为机关干部发福利创收,完成各项任务,所以大家都对他毕恭毕敬,即使他一年到头不去开发服务中心上班,大家也不管。

    其实,卢恩光造假的手段并不高明,甚至连学历都舍不得让办假证的人去制作,而是自己随便填写,用假公章盖上,一眼就能看穿。

    而且卢恩光的任免文件、工资表等重要内容缺失,牛唇不对马嘴。

    但是因为他打点到了党组会,组织、人事部门也就不好意思提出质疑,就抱着走过场的心态。他们不仅不认真把关,甚至即使从中发现问题,也没有人敢去深究。

    卢恩光从一个街头混混、民办教师逆袭成为处级干部,按理说应该知足了。但是卢恩光有远大志向,根本不满足于现状,他的目标是到北京去做官,好光宗耀祖,让本族人引以为荣。

    2001年,他从自己的企业中拿出500万元,以其他企业的名义捐助给报社,谎称是自己拉来的捐款,因此在华夏时报社买到一个职务,一跃成为副局级。

    2003年,卢恩光他再次拉来了1000万所谓“赞助”,顺利晋升为正局级。

    这天晚上,他高兴得睡不着觉,早知道可以花钱买,何必原地等待这么多年。

    从1997年到2003年,卢恩光仕途最顺利的时期,他像坐火箭一样,一年一升迁,六年提六级,从乡镇一直到京城,从副科级到正局级,让人叹为观止。

    到了京城,成了正局级,卢恩光该满足了吧,其实不然。他认为自己级别虽高,但是报社不是党政机关,有点低人一等的感觉。只有调入政法、组织、纪检等系统,才能挺直腰杆,扬眉吐气。为了这一战略目标,他像管理企业一样,给自己制定了三个“狠抓”、两个“满意”的工作计划。

    三个“狠抓”,就是狠抓工作,狠抓领导,狠抓群众。

    两个“满意”,就是让领导满意,让群众满意。

    说白了,就是让大家得到的利益最大化,给他点赞,为自己的升迁赢得资本。

    功夫不负有心人,2009年05月,喜讯再次传来,卢恩光终于好梦成真,被调到司法部,担任司法部政治部副主任、兼人事警务局局长;2015年11月,卢恩光更上一层楼,担任了司法部政治部主任、党组成员,达到了人生巅峰。

    从乡干部,到部级干部,卢恩光只用了短短18年的时间,升迁速度之快,让人瞠目结舌。

    然而,人们只羡慕卢恩光的成功,而忽略了他的“艰辛”。卢恩光每升迁一步,都是用大量金钱开道。为了到司法部工作,卢恩光的付出更多,不只是金钱,还有精力。

    为了给领导一个好印象,年近花甲的他,每周都到领导家里去。送肉菜水果,送土特产品,耗资虽不多,精力却都搭上了。

    即便是对自己的父母,卢恩光也没有如此孝顺过。

    更让人感慨的是,卢恩光一大把年纪了,像个忠诚的仆人一样,将领导家里的家务活全承包了。什么书架坏了,玻璃破了,花盆小了,下水道不通了,他全管。

    回想一下,卢恩光真不容易。他甚至不敢让自己的孩子叫他爸爸,而是叫“姨夫”。

    之所以如此,是因为他还涉及一个造假行为。

    家庭情况造假

    卢恩光共有七名子女,但只敢填报了两名,因为他怕自己因违反计生政策,影响自己升迁。

    其他五名子女,这些年的户口都跟他不在一起,当然也就不能和他生活在一起,而是通过假手续落户在亲戚家。

    为了不穿帮,到了家里,那5个孩子都不能叫他爸爸,而是叫姨父、姑父。

    用卢恩光的话说,就像干地下工作那样。

    “吃得苦中苦,方做人上人”,卢恩光经过千辛万苦,终于达到了人生的光辉顶点。

    但是,他过得舒心吗?答案是否定的。

    他自己坦诚,过得提心吊胆。

    尤其是成为副部级之后,他活得更累。

    因为这一来,自己是中管干部,成为中央巡视组、中央纪委重点监督的对象。而自己是一路造假过来的,不是靠真才实学和政绩是靠买或靠送得来的官位。

    一切就像建造在沙滩上的楼阁,一有风吹草动,就会倒塌。

    果然,2016年12月中旬,卢恩光突然落马。

    可悲的是,有的官员升迁是为了受贿,而卢恩光仅仅是为了一个虚名而不停行贿,在他的政治生涯中,并没有贪污的记录。

    这些年,他为了当官,行贿出去1278万元。

    最后,乌纱帽被摘,还锒铛入狱,获刑12年,处罚金人民币300万元。看似精明过人、很有生意头脑的的卢恩光,却做了人生一笔最亏本的“买卖”。

    黄德坤:从杀人犯到

    1998年10月17日深夜,凯里某派出所副所长安坤正准备到出租房休息。只是安坤不知道,自己一个副所长早就被人盯上了。

    当安坤一个人走在无人的拐角处时,两个黑影突然冲了出来。两人动作迅速,一个人用钝器击打安坤头部,一个人对着安坤连刺两刀。很快安坤就没了气息。其实整个过程都没超过两分钟。

    这两个人的目的不仅是安坤,还有他腰间那把六四式手枪和一匣子子弹。得手之后,两人就无影无踪了。

    第二天一大早,安坤的尸体被路过的同事发现,而安坤早就没了性命。手段如此恶劣的行径,很快引起了警方注意,只是,警方没想到,破案足足等了18年。

    另类小伙黄德坤

    其实,安坤之所以被害,跟发小黄德坤分不开关系。

    黄德坤是贵州凯里市人,黄家一共有五个孩子,排行老四的黄德坤,从小就是一个异类。跟整个家庭都格格不入。

    黄家是标准的根正苗红,黄德坤的四个兄弟姐妹全都在公安系统工作。因此,黄德坤从小,也被父亲寄予厚望。只是黄德坤志不在此,满心满眼都是武侠梦

    当时的黄德坤,不仅不喜欢学习,每天都梦想着自己做一个逍遥快活的武林高手。因此,黄德坤还跟着武功师傅学习过一段时间,而且力气特别的大。

    所以,黄德坤在外行走的时候,经常一言不合就动手,向来奉行的就是拳头说话。只是,黄德坤不好好学习,稍有不顺就动手,根本没有工作单位愿意收。

    看着儿子的不靠谱,父母非常的着急。于是就托关系把黄德坤送进了凯里运输公司上班。当时,二老想着给国企工作,最起码是个铁饭碗,饿不着。

    只是,黄德坤根本不明白二老的一片苦心,反而干了几年之后就不耐烦了,直接瞒着父母辞职做买卖了。

    可是黄德坤根本不是经商的料,最开始的时候,黄德坤开了一家录像厅,专门给小年轻播放影片赚钱,后来,黄德坤开了一家歌舞厅。一段时间之后,歌舞厅经营得有声有色,可是歌舞厅有个弊端,那就是环境相对闭塞,最容易造成火灾。

    1996年,就在黄德坤歌舞厅开始盈利的时候,一起火灾烧光了黄德坤所有积蓄。无奈之下,黄德坤只好转让给别人,收回本干别的营生。

    没多久,黄德坤开了一家冰淇淋加工厂。可是冰淇淋本来就是季节性食品,而且竞争压力非常的大。因此没多久,黄德坤的加工厂就宣告倒闭了。

    经商失败起贪念

    因为两次经商失败,黄德坤背负巨债,心情烦闷的黄德坤,叫了自己的发小潘凯平出去喝酒。两人是一个在大院长大的发小,而且还曾一起到凯里货运公司上班。

    而且,潘凯平母亲早逝,父亲另娶了一个后妈,当时的潘凯平日子很不好过,在家里被后妈欺负,在学校被同学欺负,每次被欺负的时候,黄德坤都会出手帮忙。所以,打小潘凯平就被默认成了黄德坤的小弟,而跟黄德坤一起长大的,还有安坤。只不过,后来安坤进入了公安系统,三个人的人生轨迹发生了变化。

    听到黄德坤叫自己喝酒,潘凯平想也没想就答应了。两人一边喝酒,一边互相吐露自己的不如意。说着说着就说道了安坤。安坤当时是副所长,每天坐办公室,出门腰里挎着枪,看着就神气。

    本来是羡慕,而是由于酒精的作用,黄德坤对安坤腰里别着的枪起了兴致。还产生了一个念头,如果自己有一把枪,然后抢劫银行还债,就再也不用天天躲债了。

    可是酒醒之后,黄德坤觉得自己很荒谬,早就禁枪了,自己到哪儿去搞一把枪呢?但是,债台高筑的他,已经没有了退路。

    于是,黄德坤再次找到了潘凯平,对他说:我有一个办法来钱快。潘凯平本身就活得不容易,听到发小这个提议,想也没想就同意了。

    周密的夺枪计划

    当黄德坤说出,自己想要夺走安坤的手枪,然后抢银行的时候,潘凯平犹豫了一下,但是苦日子早就过够的潘凯平,还是同意了跟黄德坤合伙。

    可是两人都知道,想要对付一个身手了得,而且警惕心很高的派出所副所长,可不是一件轻松的事情。于是,黄德坤特意买了一把匕首,找了个废弃仓库开始计划。

    黄德坤每天跟踪安坤一家的作息规律,一段时候,黄德坤就发现,安坤最近经常不回家,有时候半夜下班后,就会独自跑到租住的房子里休息。

    于是,就在1998年10月17日这天,安坤照旧到出租房休息,可是走到半路的时候,就被两个人伏击,一个人猛击安坤头部,一个人对安坤身体连刺两刀。最终了解了安坤的生命,夺走了安坤的配枪。

    银行行长灭门案

    就在安坤殉职之后,警方集中警力准备把这伙猖狂的匪徒逮捕。可是由于侦破手段比较落后,一直没有什么线索。

    谁知就在警方焦头烂额的时候,仅仅时隔44天,凯里又发生了一件特殊的火灾。被害人是当地某银行行长乐贵建一家三口和一位邻居。

    当时乐贵建家发生了一起火灾,可是蹊跷的是,火灾现场发现了安坤手枪子弹的弹壳,很显然两起命案是同一伙人所为。

    只是,这个案子跟安坤案一样,一直没能侦破,而且一等就是十多年。

    被指纹泄露的天机

    2016年,凯里澎湖改造办副主任黄德坤,因为严重违纪被纪检委请去调查。

    就在凯里市发生两起重大命案的同时,黄德坤的命运开始步入正轨,黄德坤成为了开发区一把手杨某的专职司机。

    由于黄德坤身手了得,而且办事细致认真。从来不会在领导面前乱说话,所以黄德坤给杨某留下了极其深刻的印象。

    2006年,杨某离任,黄德坤被推荐去给洪金洲开车。而洪金洲也很看好黄德全,一段时间相处之后,就萌生了提拔黄德坤的想法。

    很快,黄德坤就拖累了司机岗位,成了开发区内部职员。从此之后,洪金洲在局里发号施令,而黄德坤就是他手下最得力的实施人。

    2007年,黄德坤由于能力出众,被调任到城管局工作,专管拆迁协调工作。由于黄德坤学习过功夫,在黄德坤的努力之下,拆迁工作异常顺利。

    很快,黄德坤就等来了升职的机会,成为了开发区城管局局长。之后,又被调任为棚改办公室副主任。只是升官之后的黄德坤,很快就露出了真面目。

    深知拆迁容易捞油水,于是,黄德坤开始将手伸到拆迁里,很快就靠赚差价捞了不少好处费。

    有了钱之后,黄德坤开始嫌弃妻子不争气,不满妻子只给自己生下一个女儿,想要有儿子养老的黄德坤,在外包养情妇,还偷偷生下一个私生子。

    只是,黄德坤并没有嚣张太久,很快就被监察部门盯上了。

    由于证据确凿,黄德坤对于自己的违纪行为供认不讳,就在签字画押的时候,指纹识别系统却发生了“异响”。

    闻讯赶来的民警发现,黄德坤的指纹出现异常。发现,黄德坤的指纹居然跟十八年前的旧案指纹一模一样。于是,对黄德坤进行了审查。

    根据黄德坤提供的信息,警方赶往清水河打捞弃枪。看着锈迹斑斑的枪体,一串编号证实了这把枪,就是当初安坤的配枪,也是行长灭门案的重要凶器。

    还原惨状

    十八年前,警察被害案和银行行长灭门案的凶犯正是黄德坤。而轰动一时的凯里双案,终于有了进展。

    根据黄德坤交代,当时之所以对付安坤被,就是想要夺枪抢劫。

    等枪到手之后,黄德坤和潘凯平就准备去抢劫银行,由于安坤被杀而且配枪丢失,所有银行金铺都加强了戒严。

    看到抢劫银行毫无胜算之后,黄德坤注意到了银行行长乐贵建。作为行长,乐贵建家里肯定不缺钱,既然银行去不得,一个乐贵建还是很容易搞定的。于是给潘凯平商量,去抢劫乐贵建的家。

    于是,黄德坤就开始去乐贵建家里踩点。由于黄德坤的妻子,曾经在乐贵建手底下工作过。所以,黄德坤灵机一动,拎着一点礼物就敲开了乐贵建家的大门,装作访客的样子大摇大摆地走了进去。

    只是,百密一疏,黄德坤忘记关防盗门了。就在黄德坤和潘凯平行凶的时候,由于发生了巨大的声响,导致楼下邻居意外夫妻二人在家里打孩子。

    邻居刘某跟乐家关系极好,听到孩子的哭声,就冲了上来,想要劝一下夫妻二人。冲动之下进入屋里后,发现客厅居然有两个陌生人。察觉不对劲的刘某,赶紧往门外跑去。
    情急之下,黄德坤对着刘某就是一枪,然后潘凯平拿着匕首连续刺了几刀。
    乐贵建看到两人手段如此凶残,再跟黄德坤搏斗的时候,逃到了主卧室。看着乐贵建反抗的太激烈,担心事情发生变故,黄德坤直接朝着乐贵建开了两枪,最后乐贵建头部中枪倒地。
    剩下乐贵建的妻女,很快就被解决了。
    最后四个人全部遇害,而乐贵建一家所有的现金和贵重物品,被黄德坤两人全部搜走。为了毁尸灭迹,黄德坤临走之前打开了两瓶白酒,打开了煤气罐阀门,然后点上火就逃走了。
    只是,黄德坤没发现,其实煤气罐根本没有多少气儿。虽然点了火,但是并没有引起火灾,所幸,帮警方保住了不少证据。其中就有黄德坤留下的指纹

    小结

    黄德坤以为自己做得天衣无缝,还错开时间处理了作案枪支。结果,还是被一组指纹暴露了行踪。
    也许,多年前的侦破手段不高,指纹采集并没有完善,但是完善指纹库是迟早的事情。黄德坤最终还是被逮捕归案了。
    2018年,在逃18年的黄德坤潘凯平,最终还是在法庭上认罪了,当年惨绝人寰的凯里双案,终于告一段落。等待两人的,则是法律的惩罚。

    1984年,王洪成发明“水变油”

    自1984年初开始,哈尔滨的公交车司机王洪成正式推出他的“发明”,他在各地进行所谓的“实验展览”,向政府部门与公众介绍“水变油”的发明。当时还引起中央领导的注意,还亲赴哈尔滨去看望王洪成,后来王洪成得到数以亿计的“科研投资”。
    当年王洪成的发明引起科学家很大的轰动,如果真的能让普通的水变成油,将会为国家节省一笔巨大的能源投资,他的发明还被认为是“中国第五大发明”。1995年,全国有41位科技界的政协委员联名呼吁调查“水变油”的情况,一场惊天骗局的真相逐渐浮出水面。
    根据调查统计报告,王洪成发明“水变油”的骗局,直接经济损失达4亿人民币之多,对社会造成了非常恶劣的影响。

    67路公交车

    王洪成,1954年8月出生在黑龙江哈尔滨,由于家庭条件比较差,他只上过4年学,连小学文凭都没有拿到。辍学后,王洪成在人民公社养过猪,学过一段时间的木匠,后来还参军入伍。
    在部队期间,王洪成拿到了汽车驾驶证,从部队退伍后直接在哈尔滨公共汽车公司当司机。日复一日的工作让王洪成觉得非常无趣,他希望自己能够出人头地,并且过上富裕的生活。当时改革开放的浪潮已经涌来,王洪成也在其中看到发展的机遇,希望能够赶上这波发展的浪潮,于是开始琢磨怎样才能赚钱。
    通过某些关系,王洪成还在学校换了一张初中的文凭证书,这样能够在公司发展得更快。王洪成虽然没有什么文化,但他对科学研究有着非常高的兴趣,尽管自己没有过硬的知识作为研究基础,但他的想法还是挺新奇的。比如在书本中看到的“永动机”,在王洪成看来是可行的,他把一切发明的可行性都通过自己脑海中的理论来验证。
    在公共汽车公司工作多年,王洪成突然觉得汽车每次都要加油,这是一笔非常大的开支,能不能用别的东西来替代它呢?当时全国都在提倡大力发展科学技术,在科学的基础上发展,很多科技产品都相继问世。在这样的大背景下,王洪成也是脑洞大开,他决定开始研究替代汽车燃油的材料。
    为了达到成本最低化,王洪成查找了很多化学类的书籍,但只有小学文化程度的他,根本看不懂书本的内容。为了搞懂很多知识,王洪成还特意请教很多老师,但他学到的知识也仅是一点皮毛。想要研究燃油的替代材料,学一点化学知识是没有用的。既然走正道没有用,王洪成便开始想歪门邪道。

    一次偶然机会,王洪成在街头看到表演魔术和杂技的团队,他突然来了灵感,为何不将魔术和杂技的元素融入“研究”呢?

    上世纪80年代,人们的普遍文化水平还非常低,大部分人根本没有上过学,对于很多物理、化学现象的认识程度不足。王洪成正好看到这一点,于是开始油的替代品的研究计划。为了节约成本,王洪成直接用水来进行“转化。他最先在水中滴入几滴油,然后点火,发现油能够正常燃烧,这让他有了一个新的想法。

    既然通过技术手段无法研制出油的替代品,那干脆来个掩耳盗铃,通过水和油的混合物来骗人。为了保证“实验”万无一失,王洪成还用手段将眼前的水完全调换成油,在展示实验前可以让观众品尝容器中的水,当观众确定是水后,他再用手法将水给调换,最后再向水里随便滴几滴液体,便说这是“水变油”的重大发明。

    王洪成的这些手段只能骗一骗文化水平比较低的观众,肯定是骗不过专业人士的眼睛的。为了能让“实验”看起来更加科学,王洪成利用从书本中学到的一点知识,在水中投入电石粉末(碳化钙),二者产生反应后会形成乙炔(C2H2),然后直接点火就能燃烧起来,并且可以冒黑烟。汽油等在燃烧的过程中如果燃烧不充分,也会有比较相似的现象产生。

    如果遇到比较难骗的人,王洪成将会采用更加高级一点的方法,他在水中放入四氢化铝锂,物体与水发生反应后会冒出氢气,还能有许多小气泡冒出,点燃后会发生微爆声,这种方法看着更加能让人信服,但不到特殊情况,王洪成基本上不会用这个方法。既然“水变油”的诀窍已经掌握,王洪成便开始展示自己的“科研成果”。

    1984年3月,公交车司机王洪成向媒体宣布一项重大发明“水变油”,由于从未听说过这种科学产品,从而引起社会各界的关注。根据王洪成的介绍,在四分之三的水中加入四分之一的汽油,然后再加入自己多年的研究产品“洪成基液”,就能够变成为“水基燃料”,用明火一点即燃,热值还要比普通的汽油、柴油还高,更重要的是没有任何污染,成本也非常低。

    王洪成的“科研产品”一经问世,引发了社会各界的广泛讨论,很多人觉得如果产品真的有效,将会节省下很多成本。对于大部分汽车公司而言,也能节约很多燃料费用。普通老百姓用燃油的,也将更加便宜。在相对浮躁的思想环境下,更多的人愿意相信这种产品是可行的。

    为了让自己的“科研产品”更加具有权威性,王洪成竟然还开办了一家新能源公司,聘请了很多“权威专家”,其实都只是一些高中毕业或大学毕业的学生,并不是专业领域的权威。社会上对王洪成的质疑声也非常多,他于是准备先发制人,请人写了一篇题为《王洪成水基燃料是领先世界的常温核聚变创举》的文章。

    文章中还说明:“本文试图用国际上最新的高科技研究成果,常温核聚变反应来解释’以水代油’的形成机理,希望有助于克服中国第五大发明——洪成燃料推广中认为的观念障碍。

    明确来说,王洪成让人写的科学论文完全是胡编滥造的,然而封面上竟然还写着指导教师南京某某大学化学系教授的名字。后来有人去采访这位教授,得知此事后怒不可遏地说:“这是个骗子!一天有人打电话给我,让我指导研究水变成油的问题,我从来不相信水能变成油,就严词拒绝了。”

    王洪成的目的已经达到,并且民众也相信他的研究成果。为了达到宣传的目的,王洪成还不断通过登报的方式来宣传产品,人们更加不敢轻易否定,普通老百姓认为登报的事情真实性比较高,并且还有权威专家的验证,这更加确立了“水变油”的真实性。1984年,黑龙江省副省长与王洪成取得联系,希望能够对“水变油”研究的真实性进行检测,但王洪成以仍在继续研究为由拒绝了。

    同年5月,中央有一位领导亲赴哈尔滨探望王洪成,还观看了实验流程,最终被王洪成的手段所蒙骗。王洪成以科学研究为名,让领导批给他60万科研费用,并且还配了一辆豪华皇冠车。既然有领导的认可,王洪成的研究产品自然就成为了“香饽饽”,一个部队企业还专门为此成立公司,300多家乡镇企业拿出上亿资金给他搞共同开发。

    估计连王洪成本人也没有想到自己能够骗到上亿的资金,他自己甚至都开始觉得“水变油”是真的,并且真的把自己当成了科学家。

    这一场“水变油”的闹剧持续了十多年。1993年,公安部和物资部都发出通告,有关单位立即停止宣传“水变油”事件。原物资部干部严谷梁还在报刊上刊登一篇题为《应该用事实澄清“水变油”真相了》。可并没有引起人们的重视,反而还被王洪成给告上法院,最终王洪成反而成为“受害者”,得到广大民众的同情。

    1986年,王洪成前往中国科学院说要求鉴定,可但准备鉴定时,他又毁约不干。还在中科院专利管理处偷了一份盖有中国科学院公章的文件和印有中国科学院抬头的空白信笺。王洪成回到家中用剪贴和复印的办法伪造了一份中科院发布的《王洪成发明成果证明》的文件,并到各地骗取合作单位的信任,到处招摇撞骗。

    王洪成有了中科院的“权威证明”,于是变得更加自信。当时哈尔滨工业大学还特意组织水变油的鉴定会,参加鉴定的有哈工大和吉林大学的博士生导师等一批专家,当他们看到王洪成手中的中科院证明材料时,于是更加倾向于相信王洪成的科研产品。哈工大的校长和党委书记还因此两次给中央领导写信,非常诚恳地说明水变油是可信的,还希望能够大力发展水变油产业。

    善良的大学教授们碰到了骗子,而恰恰又忘记了自己所应该坚持的科学真理,最终被王洪成所利用。有了大学教授的“权威认证”,王洪成的路更加顺畅了,无论社会上有怎样的质疑声,他都有反驳的资本。

    1993年6月,王洪成正式对外宣布哈尔滨67路公共汽车全部使用“洪成燃料”,很多人都开始说:“洪成时代开始了,这是走向造福社会的里程碑。”为了真的让汽车跑起来,王洪成将各种燃油进行掺杂,还在其中混入肥皂类的物质,搅拌成乳化液,看起来是非常“先进”的物质。这种油的确能够让汽车运作,但它不仅不省油,反而还会腐蚀发动机。

    为了让广大民众相信,王洪成根本不在乎发动机坏不坏,只要能够用这种油然汽车在大街上跑起来就行。在鼓乐声中,十几辆灌上“洪成燃料”的公共汽车都行驶到了大街上,这件事情还被制作成录像带发布在社会上进行宣传。王洪成的确有点得意忘形了,在多年的赞美声中,他已经彻底迷失自我,竟然把自己的“水变油”发明当成真的了。

    没出一个月,哈尔滨很多公交车的发动机全部损坏,人们这才意识到所谓的“水变油”根本不起作用,汽车公司一边让人修理汽车,一边向王洪成索要赔偿,但王洪成根本不理睬。宣传用的录像带仍然继续在社会上播放,骗取人们的投资。谎言骗得了人们一时,却骗不了一世。

    1995年,中科院院士何祚庥、郭正谊等人在全国政协八届会议上,联名提交提案,呼吁调查“水变油”的投资及对经济建设的破坏后果。中科院、哈工大、吉林大学等都是此次事件的受害者,由于王洪成伪造鉴定证明,导致很多人受骗,直接造成上亿元的经济损失。科学界都开始联名声讨王洪成,他的这种行为是在给科学界抹黑,同时还动摇了民众对科学的信任。

    事情发生后,王洪成被收容审查。1997年11月14日,哈尔滨中级法院认为,以虚夸发明并触犯刑律,最终以销售伪劣产品罪,判处王洪成有期徒刑10年。这一场“水变油”的闹剧终于结束,可民间仍然还有人相信水能够变成油,王洪成的这一场骗局影响颇深。

  • 人口与儿童

     焦长权:“换亲”:一种婚姻形式及其运作——来自田野与地方志的分析

    (本文原载2012年《中国乡村研究》)

    杏敏的婚姻

    河南省Z县刚刚脱去国家级贫困县的帽子,但还属于省级贫困县,Z县最穷的乡是JH乡,JH乡最贫穷的是ZK村,而贾玉香家是本村最贫穷的家庭之一。1977年3月,贾玉香的小女儿高兴敏出生时,上面已经有两个哥哥和姐姐。1989年,杏敏的父亲去世,家中失去了顶梁柱。
    农历1997年正月,新年的喜庆氛围尚未散尽。这天晚饭后,杏敏的母亲贾香玉突然抱头痛哭起来。杏敏忙问“妈,这大正月里,你哭啥?”,“小敏,你二哥都快三十的人了,还没说上媳妇,这辈子怕要打光棍哩!妈一想起这事,就忍不住掉眼泪”,“妈,别哭了,明儿个多托几个人给二哥说亲,总有说成的”杏敏安慰到。“你也知道,都托了十几个亲戚了,一家也没说成,人家姑娘都嫌俺家穷,还嫌你二哥个子矮,嘴笨,没本事!”看着满头白发的母亲老泪纵横,杏敏禁不住也跟着哭起来:“妈,您别着急,今年我出去打工,挣钱给哥讨媳妇”。“哎,你大姐二姐出嫁时,娘没啥陪送的,是用彩礼钱把你大嫂取进家,可现在,媳妇娶进门,少说也要花个一两万元,家里还欠着几千块钱,靠你打工那几个子儿,你二哥怕要等到40也娶不上媳妇哩!”说到这里,贾玉香擦了擦眼泪说“妮子,妈倒有个办法,不敢跟你说啊!”,“妈,只要能给哥娶上媳妇,啥办法不能说”,“小敏,妮子呀,妈想着,把李灵韦说给你二哥,灵韦她爸妈都同意了,可是,人家是有条件的,想让你和他们家老大成亲哩!”犹如晴天霹雳,杏敏一下子惊呆了“换亲?嫁给那个33岁的李书力?”,很快,回过神来的杏敏大哭起来:“妈,哥没娶上媳妇,我也心焦,可我死也不嫁给他!您别往这上面操心了?”,“为啥,人家两层楼,在村里算是中上等,比咱家强多了”,“李书力都30多了,咱村出了名的木瓜脑壳,右眼还残疾,您忍心让女儿嫁给他吗?”一向孝顺的杏敏质问母亲。贾香玉又痛哭起来:“小敏啊,你哥不能打一辈子光棍啊!娘求你了,不管咋样,你替娘想想,替你二哥想想”,“光为娃子想,不为闺女想,我就是不同意”,杏敏越说越生气。“小敏,妈给你跪下了!听妈的话,啊?”扑通一声,贾玉香跪在了亲生女儿面前。杏敏吓坏了,慌忙扶起母亲:“妈,别说了,您先睡吧,我先考虑考虑,明天再说”。同一个晚上,与高家仅300米之遥的李振峰家,李灵韦的母亲正跪在25岁的女儿面前痛哭、哀求。思考了一夜的杏敏将自己的决定告诉了母亲,自己已经谈了对象。贾玉香火帽三丈的训斥了女儿,而后又转过来继续哀求女儿答应换亲:“小敏,别怪妈,妈也是没办法啊!你二哥要是打光棍,妈死也不瞑目啊!”。无论贾玉香怎么说,杏敏默不作声,就是不答应。急的团团转的贾玉香病倒了,躺在床上长哭短叹,水火不进。杏敏的两个姐姐说“小妹,妈这是心病,你就听妈的话吧,要不妈这病好不了啊!”。贾玉香病倒的第三天,杏敏跪在了妈妈的床前痛哭一场,终于屈服了:“妈,女儿答应您”。第二天,高、李两家举行了定亲仪式,婚礼定于三月十五举行······
    这是一例典型的“换亲”婚姻的协商场景和过程。可是,谁曾注意到:这种婚姻形式在中国的底层社会中到底有多普遍?2009年7月,罗兴佐教授带领包括笔者在内的24人在安徽省长丰县Z镇的J村等4个村庄开展了22天的集体调研,笔者与另外5位研究者负责在J村驻村调研,在对J村的亲属关系展开的调研中,类似上述小敏的“换亲”婚姻的故事不断出现在笔者的视野之中,让我无法不去正视它的存在并对其作出解释。

    J村的“换亲”

    J村位于安徽省长丰县Z镇,全村有12个村民小组,350户家庭,人口1400余人,全村耕地面积2300余亩,人均耕地1.5亩左右。J村最大的特点就是脆弱的村庄生态。一方面是指它的自然生态较为恶劣,由于正处于江淮分水岭地带,同时又地处淮河蓄洪区,区内自然灾害极为普遍,涝旱灾害经常交替出现,用村里百姓的描述就是“大雨大灾,小雨小灾,无雨旱灾”。另一方面是指其脆弱的社会生态,主要是频繁遭受战争侵袭破坏。长丰地处江淮要冲,历来为兵家必争之地。而就最近100年来说,长丰地区离“徐州—蚌埠”一线非常之近,20世纪在“徐州—蚌埠”一线发生的北伐战争、抗日战争、解放战争都直接席卷G镇地区,抗日战争期间日军与抗日游击队更是以J村为南北分界点长时间对抗。同时,长丰县是1964年才由肥西、肥东、定远、寿县四县交界部分组成,而四部分均为原来各县边缘的贫穷落后地区,县成立不久又开始了文化大革命。而后80年代虽然分田到户,但由于人地矛盾紧张和80年代末以来农民的承重负担,直到90年代中期,J村的整体经济水平都极为低下(《长丰县志》,1991)。J村的换亲正是在这种脆弱的村庄生态中生发了出来。“换亲”在J村又叫做“双亲”。具体做法是在同时有女儿和儿子的两家庭之间,在协商好的情况下,张家的女儿嫁给李家的儿子做媳妇,而同时李家以女儿嫁给张家的儿子做媳妇为“交换”。在70年代末到90年代初,换亲婚姻在J村是十分普遍的,按照村民们的说法是“那个时候的婚姻有一半是换亲”,“我们村换亲的总共怕有100对左右”。而根据我们调查共搜集到换亲婚姻50例,显然是一个不完全的统计,而目前全村的总户数是350户左右,换亲婚姻的家庭在目前的总户数中都占了七分之一。下面看看各个村民组的统计情况:

    由表一可见,J村换亲婚姻是相当普遍的,每个小组都有换亲婚姻存在,而且有的小组换亲户在目前所有的总户数中所占的比例都接近或超过了三分之一,这可见换亲婚姻在他们的同龄婚姻中会占据多大的比例。例如,在我们搜集到的小圩组的换亲案例中,全部6户都是鲍姓中的“广”字辈的一代(广Y,广L,广M,广X,广T,广C),他们都是兄弟或堂兄弟关系,也就是说,在他们的同龄的这一辈人中,有6人是换亲,而他们同龄的广字辈总共也大概只有10余人,换亲婚姻占据了一半。而在油坊组的8个换亲中,有3个是鲍姓“广”字辈(广Z,广G,广N),有5个是鲍姓“士”字辈(士Y,士J,士Y,士红,士团),而“士”字辈正好是“广”字辈的下一辈,也就是说在70年代和80年代完婚的“广”字辈和“士”字辈两代人中,换亲是相当普遍的。又如王西组,4个换亲的全是王姓“绍”字辈人(绍X,绍Y,绍D,绍Z)。可见,这些“换亲”婚姻大部分都是集中发生在紧接着的一两代人身上。

    调查同时发现,换亲婚姻主要集中发生在70年代末到90年代初这段时间,而到90年代中期以后就从没发生过,我们调查发现的最晚的一例“换亲”婚姻是王西组的王绍兴,目前39岁,1991年结婚。这从我们调查的换亲男性目前的年龄分布也可以看出来,相关统计见下表:

    因为“换亲”婚姻中的男性大都是因为年龄越来越大而却还没有找到老婆所以父母用其姐妹去帮助“交换”一个媳妇的情况,所以他们结婚的平均年龄比一般正常的婚姻相对较晚,且大部分都比“交换”过来的媳妇年龄为大。在这种情况下,我们姑且将他们的平均结婚年龄假设为25岁左右。所以由他们目前的年龄减去25岁就是他们的“婚龄”。我们可以发现,他们结婚已经35到40年的为4人,结婚时间是1970年到1975年之间,结婚已经25到35年的有13人,结婚时间是1975年到1985年之间,而结婚已经15到25年的有29人,结婚时间是1985年到1995年之间。我们通过这种估计以及调查中村民们的介绍都可以发现,“换亲”婚姻最为集中出现是在70年代末到90年代初这段时间。由此可见,村民们所说的那时结婚的夫妇中有一半是“换亲”并非虚言。而就在我们调研的其他3个村庄中,我们发现每个村庄都存在着至少10例以上的换亲婚姻。那么,“换亲”婚姻是不是仅仅是J村或其邻近的几个村庄的特殊婚姻形式,它在全国的其他地区有多大的普遍性?

    地方志中的换亲

    为了进一步了解换亲婚姻在安徽省内及全国的普遍性,笔者想到了去查阅20世纪80、90年新出版的全国各地的地方志,试图从中勾勒出换亲婚姻在全国的整体图景。
    首先以安徽省为例。笔者首先去翻阅了《安徽省志》,但是其人口卷、民俗卷、民政卷等可能会涉及到婚姻习俗的部分都没有提及安徽省内有“换亲”婚姻,这让我开始怀疑“换亲”在安徽省内存在的普遍性。但是,当笔者进一步去查阅安徽省内的各地方县(市)志时发现,在很大一部分的县志中都记载了本县中存在的大量的换亲婚姻。在笔者查阅的安徽省内的85本地方县志中,其中有32本都记载了本县中存在的换亲婚姻,这32个县(市)志分别是:《安庆地区志》(1156页)、《六安市志》(61页)《铜陵市郊区志》(328页)、《巢湖市志》(883页)、《凤阳县志》(738页)、《蒙城县志》(466页)、《肥西县志》(462页)、《界首县志》(480页》、《萧县志》(67页)、《霍邱县志》(791页)、《郎溪县志》(159页)、《祁门县志》(758页)、《来安县志》(87页)、《芜湖县志》(736页)、《濉溪县志》(649页)、《金寨县志》(698页)、《南陵县志》(697页)、《亳州市志》(581页)、《临泉县志》(430页)、《枞阳县志》(578页)、《无为县志》(118页)、《凤台县志》(628页)、《阜阳县志》(426页)、《肥西县志》(603页)、《太和县志》(357页)、《铜陵县志》(87页)、《灵璧县志》(92页)、《怀宁县志》(832页)、《潜山县志》(164页)、《定远县志》(140页)、《利辛县志》(450页)、《长丰县志》(643页)。
    这些县(市)区覆盖了安徽省的绝大部分地区,而且这些县志中很多都记载了换亲婚姻在新中国成立以后还存在特别是70年代末以来大量蔓延的情况。如《萧县志》记载“县妇联1986年组织对47个乡镇、132个行政村的3055名30岁以下青年1983—1985年的婚姻状况调查发现,在其中转亲的有64人,占2.09%,换亲的34人,占1.11%,二者合计占3.2%”(《萧县志》:67)。《定远县志》也记载“80年代,旧的婚姻习俗出现‘局部’回潮,1986年对成桥、西卅店两个乡的14个自然村婚姻状况的调查统计发现,1979—1985年共有1256对男女成婚,其中换亲208对,占16.6%”(《定远县志》:140页)。由此可见其在安徽省内的普遍性。笔者通过进一步查阅一些省的地方志发现,“换亲”在中国很多省份的农村中一直普遍存在。在陕西、江苏、福建、河南、湖北、广西、广东等省志中都记载了本省存在的大量的“换亲”婚姻(《陕西省志(民俗卷)》:200;《江苏省志(民政志)》:728;《福建省志(民俗志)》;《河南省志(民俗卷)》:285;《湖北省志(民俗方言志)》;184;《广西通志》(民俗志):261;《广东省志(民俗志)》:78)。而有的地方“换亲”婚姻还占了极高的比例,如《广西通志(民俗志)》中记载,“建国前,在广西田林县凡昌乡地区,双方以自己的女儿交换成亲,全乡有60%的婚姻都是采取这种形式”(《广西通志(民俗志)》:261)。而由前南京国民政府司法行政部为制定一部现代民法典而编的《民事习惯调查报告录》一书中也多处提及了湖北、内蒙古等民间存在的“换亲”婚俗(《民事习惯调查报告录》,2000:下册:771,941)。而笔者对江苏省50余部地方志的翻阅也发现有包括《南京市志》(488页)在内的16部记载了当地存在的换亲婚姻。而如皋市统计局1995年对全市19个乡镇343个村情况进行的抽样调查显示,自1980年以来,这些乡镇结为换亲的夫妇共有1639对,平均每村4.82对,以此推算,该市49个农村乡镇886个村约有换亲夫妇4195对,数量惊人。在1639对换亲夫妇中,1990年以后结婚的有372对,占总数的23%。在19个乡镇中共有个7乡镇超过100对,最多的一个乡有337对。在这些村中,有6个村超过10对,其中3个村超过15对,最多的一个村为29对(吴志强,1995:47)。连云港市妇联对灌云、东海、赣榆三县1985-1987年结婚的夫妇做的初步调查发现,三年结婚的夫妇中换亲、转亲的就有633对(李奎芳,1987)。这些统计可以大致让我们窥见换亲婚姻在江苏省的普遍性。笔者通过翻阅六个省的地方县、市、区志来对换亲婚姻在这些省的情况做一个大致的素描,结果如下:

    注:此表中统计的地方志都没有穷尽本省所有的地方志,只是翻阅了在北京大学地方志阅览室中收藏的关于本省的地方志,同时,由于有些县、市、区出版过各个时期的地方志,笔者在翻阅时全部查阅过,所以在地方志总数一栏中的数字可能比本省真正的县、市、区总数略多,但是在有关换亲婚姻记载的统计一栏中,如果是一个县志的不同年份的版本中都出现记载,则只算一次,所以,有换亲记载的地方志数目基本与有此习俗的县、市、区数相同,因此,有换亲习俗的县、市、区在总共县、市、区中所占的比例要比上表中的比例高。

    由上表可以清晰的发现,换亲婚姻在以上六个省份中是非常普遍的存在的,尤其是在河南、河北、山东、安徽四个省份中,每个省都有超过30个县、市、区志中记载了本地换亲婚姻的习俗,而由于地方志记载的体例不一以及其本身的简略性,我们可以有把握的判断:实际情况比上述的统计应该更加普遍。而且,上述的统计涉及的六个省刚好是黄淮海地区和长江中下游地区,是传统的中原地区与江南地区的主要组成部分。所以,我们已经可以确切的判断,换亲婚姻在传统中原地区以及江南地区的大部都是普遍存在的。而80年代以来大量的以“换亲”为主题的报告文学、小说、话剧、新闻报道、法律争鸣等也从另一个侧面证明了“换亲”这种婚姻形式在整个底层社会的普遍存在(文勃,1988:111-133;常庚西,1986;汪荡平,1989;张攀峰,2006;孔维国,1998;等等)。从上文的整个分析来看,我们应该有把握的认为:换亲婚姻在底层社会的普遍存在性应该是超乎了我们的一般预想,与一般民众和学界对“童养媳”的熟悉和研究热情形成鲜明对比的是,换亲这种普遍存在的婚姻形式却被我们“遗忘了”。这可能真是因为“这种婚姻不易被政府发掘,无法干预,所以沿袭至今”(《利辛县志》:450页)而没有引起我们的兴趣。

    既有的解释

    “换亲”通常又被称为“转亲”、“双亲”、“交换亲”、“姑换嫂”、“互相结婚”等,在学术传统上一般称为交换婚。它是指即将结成姻亲关系且自家都同时有女儿和儿子的家庭用自家的女儿交换到对方家庭为媳妇,以换取对方家庭的女儿做自家媳妇的一种婚姻形态。有学者认为,在人类婚姻史的早期出现的族外群婚,其最主要的特征就是男子互相交换姊妹或其他亲族子女为妻。即甲氏族女子须嫁给乙氏族男子为妻,乙氏族女子须嫁给甲氏族男子为妻。这种婚制在亚洲、澳洲和非洲等世界上的许多地方都可以看到其遗迹,如印度的阿萨姆和缅甸的克钦、奇鲁、库基等部落中都有这种婚俗,而我国云南省的景颇族、独龙族等也保留了这种婚俗。而我国古代的“西周之初,迄于春秋,姬姜两姓世为婚姻”的记载,即为交换婚的痕迹(孙淑敏,2004:41)。人类学者认为,交换婚姻可分为对称交换婚和形式交换婚两种,前者包括对等交换婚、三角交换婚和多边交换婚,后者包括同期交换婚和信用交换婚(优惠交换婚)。
    对等交换婚主要是指一个男子用自己的一位姊妹为自己换来新娘,而这位姐姐或妹妹嫁给新娘的兄弟,由此而形成“对等交换婚”。
    三角交换婚是指一男子娶某一位女子,作为交换,他不是把自己的姐姐或妹妹嫁到妻子家,而是嫁到第三家,这第三家与自己和妻子皆无血缘关系,因而形成“三角交换婚”。如图三所示。如果交换婚在三家或更多的家庭之间进行,则形成“多边交换婚”。笔者在查阅地方志时发现,在国内农村中大家一般将两户直接换亲的叫“换亲”,而将三户以上连环换亲的叫“转亲”,“转亲”最多的有16户相互转亲的情况,其实这都是“换亲”的不同形式而已。如果参加对等交换双方的两个婚礼仪式同时举行,则为“同期交换婚”。如果新郎暂时没有适龄的姊妹或其他女性亲属,许诺将来还给女家一位女子,则形成“信用交换婚”,又称“优惠交换婚”。
    那么,为何“换亲”婚姻会在世界上的许多地方和中国的一些农村地区中普遍存在呢?其本身的运作逻辑又是怎样呢?在国外对“交换婚”的研究较多的在人类学领域进行。1919年,弗雷泽在其《圣经旧约中的民俗》 第二卷中对原始社会各种各样的亲属和婚姻行为进行研究时发现,澳大利亚土著居民明显喜欢交表(cross—Cousin)联姻而不喜欢平行表(parallel—cousin)联姻。在其解释中,弗雷泽引用了“经济动机”的法则:如果一个澳大利亚土著人没有相应的财产去讨老婆,一般情况下他就会被迫用自己的女性亲属(通常是他的姐妹或女儿)进行交换以得到老婆(特纳,2001:261)。这样,物质的或经济的动机成为弗雷泽解释交换联姻的主要依据,即他认为财产的匮乏是导致交换婚姻的主要原因。应该说,这看到了“交换婚”发生的一个重要的原因,但是还很不完全。而列维·斯特劳斯在其经典著作《亲属制度的基本结构》一书中分析了交表婚姻模式,他对弗雷泽关于交表婚姻结构的功能主义分析表示了异议。他首先对弗雷泽的功利主义概念本身提出质疑,他指出,弗雷泽“描述了贫穷的澳大利亚土著人由于没有物品拿来交换而不知如何娶妻子”,并且发现交换方式是解决这一难题的办法,“男人用自己的姐妹来交换以得到妻子,这是最廉价的办法”。相反,列维·斯特劳斯认为“重要的是交换关系本身而不是交换的东西”,必须从其对更大社会功能整合的观点来看待交换。他继而提出了三个基本的交换原则,并指出这些原则提供了一组更有用的概念,可以用来描述交表婚姻模式。因为,现在可以用其对更大的社会结构的功能来看待这些模式。也就是说,特定的婚姻模式和其他亲属关系组织的特征不再只用个体间的直接交换观点来解释,而可以用社会与个体间单项交换的观点来加以解释。这样,通过将交换行为的分析从直接的和相互的交换模式中解放出来,列维·斯特劳斯提出了一个尝试性的理论来解释社会整合和社会团结(特纳,2001:264—265)。他指出,亲属制度的本质在于男人之间对于女人的交换,他认为原始社会人们是通过送礼来表达、建立和确认交换者之间的社会联系,送礼赋予参与者一种信赖和团结的特别关系。而婚姻是礼品交换最基本的形式,女人是最珍贵的礼物,因为通婚能以永久的方式把大家联结起来。在亲属关系的联结过程中,女人被做了交易,赠送和接受女人的两群男人之间则建立了联系。在这种关系中,女人只是建立关系的中介,等同于一件物品,而不是伙伴(Claude levi-strauss,1969)。也就是说,他是以妇女在群体间的流动以创造永久性的联姻来整合群体间关系的机械作用来理解婚姻交换和亲属关系的。所以,“婚姻交换起着自然和文化之间进行调节的作用,而文化与自然最初被看作是分离的。这一联合通过用一个文化系统替换了一个超自然的原始系统而创造了由人操纵的第二自然,即一个中介化了的自然”(列维·斯特劳斯,1987:145—146)。显然,列维·斯特劳斯是从一种抽象的结构主义的角度来讨论交换婚,其更注重从逻辑上解释交换婚对于人类社会整合的可能意义和功能,而并没有从历史经验的角度完全解释交换婚的发生原因以及其具体的运作逻辑。与国外相比,国内学者对于大量存在的交换婚的相关研究极少。孙淑敏在对甘肃赵村的4例“换亲”现象的考察和解释过程中发现交换婚的存在不仅仅是“钱”的问题,而还涉及到配偶供给及其可得性相关的原因(孙淑敏,2005:276-286)。这是一个重要的发现。除此之外,笔者还没有发现过专门对于“换亲”这种婚姻形态进行具体深入的学术研究。在下文中,笔者试图通过对J村50例“换亲”婚姻的具体考察来阐述“换亲”婚姻产生的原因、“换亲”家庭中的权力关系及“换亲”婚姻运行的一些深度逻辑。

    为何“换亲”

    现在,我们可以回到文章开头小敏换亲的故事中来,在这个婚姻中,小敏将来的丈夫是因为是个“木瓜脑壳”同时还有残疾而换亲的。那么,是不是大部分的换亲都是因为身体缺陷?从逻辑上讲,J村在短时期内出现的如此大量的换亲已经否定了这一答案(一个村落中不大可能在一个时刻有这么多身体残疾的人出现),虽然在J村中也有两例换亲是因为身体缺陷而发生的,但是其余绝大部分的换亲却不是因为这一点,而主要是因为下面将要叙述的三个方面的原因:第一,婚龄人口中严重的男女性别比失调。长丰县人口的性别比失调问题一直以来就比较严重,上世纪80年代也是如此。据1982年全国第三次人口普查显示,全县总人口为758086人,年龄在35到49岁的男女悬殊极大,性别比例失调最严重。其中40到49岁的男女比例为153:52,而全县15岁以上人口为468279人,其中男248777人,女219502人,这其中未婚人口145287人,其中男93294人,女51993人,二者比例为179:100。可以看出在80年代适婚而82年未婚的男女性别比严重失调(《长丰县志》,1991:67-73)。而这种长时期延续的性别比失调在日常生活中的一个主要表现就是村庄中“单身户”比例的居高不下,比如1964年全县单身户比例占总户数的10%,而这与上述的1982年统计时40到49岁男女性别比为153:52的严重失调是完全吻合的(因为这批人恰好是60年代初的婚龄人口)。而在J村,与这一点相契合的就是高龄“单条”(光棍)极多,据不完全统计,全村目前已去世或者在世的高龄光棍就有20余人,他们年龄都在70岁左右,而他们在60年代正好是适婚人群,这也验证了60年代适婚人群中的年龄性别比严重失调的现象。而这种性别比失调虽然在80年代的婚龄人口与60年代的婚龄人口相比有一定的缓解,但是确实还是非常严重。一位已经退休的老师的经历可以进一步佐证J村这一时期的严重的出生性别比失调,他告诉我他在本村小学任教时,每个班级(年级)的学生中都是男生多于女生,而且有时多出的比例还非常之高。这种上一代(60年代适婚人群)的严重的性别比失调所留下的如此多的“单条”(光棍)给下一代适婚男性(正好是60年代的儿女,即80年代的婚龄人群)和他们的父母以极大的压力,他们知道如果不抓紧时间“搞到人”(结婚)就会重蹈父辈很多“单条”的命运。所以,解放前就有的换亲、抱养童养媳等相继恢复。而上文已经提及的同时期内换亲婚姻盛行的安徽省萧县,其主要原因之一也是极其严重的性别比失衡,1982年男性比女性多17434人,但婚龄期以下男性比女性多27065人,退出婚龄期以上男性比女性少12387人,这就是说,有27065个婚龄期男性找不到对象。同期本县男性未婚率为31.77%,比女性高9.38%,1982年时30—44岁男性人口84572人,未婚8711人,占10.37%,而同年龄段女性未婚只占0.11%。(《萧县志》:60,67)。第二,80年代以来村民之间日益明显的经济分化和婚姻成本的大幅上升,这是“换亲”婚姻的直接推动力。自80年代初农村改革以来,与集体化时期相比,J村一个非常明显的变化是村民之间的经济分化日益明显。在集体化时期的J村,由于相应的“工分”分配制度及极少的农业外就业机会,这使得村民之间的经济分化较小。而80年代初以来,随着分田到户和相应的国家政策松动导致的农业外就业机会的增加,村民从农业中或农业外获得的经济收入的差距迅速拉大,特别是J村离合肥市较近,一些较早的在农业外兼业的村民就获得了较好的经济收入,这在J村非常明显,从80年代初开始外出打工就已经较为普遍。这种经济分化对J村村民的婚姻产生了明显的影响,最重要的就是经济地位好的家庭在婚姻开支上开始“讲究”,“婚礼”竞争日趋激烈,这使得“婚姻成本”急速上升(集体化时期由于整体的经济水平低下和经济分化不明显,“婚姻成本”相对较低),《长丰县志》也记载,自分田到户以来,长丰县农村婚姻的开销飞速增长,弄得很多父母债台高筑(《长丰县志》,1991:664)。而我们在村庄中调查也发现,J村内为了完婚所需要的开支自80年代初就开始大幅上涨,80年代时结婚花费就得数千元。比如,我们调查的一位阿姨告诉我们,她1985年时结婚的花费是2200多元,其中彩礼就花费了1200元,这在80年代中期的J村是一笔不小的数字,而她特别指出,她当时的婚姻办酒只是按照村里一般的标准,而不是上等的标准。而同时期与长丰县经济水平差不多的安徽省亳州市农村的婚姻成本更是惊人:古城区妇联会1986年针对青年婚姻情况在杨店等4个村进行了调查,杨店村20—25岁的青年121人,其中女青年72人,内要“压书礼”(定亲)500元以上的19人,占26.4%,在“传书”(进一步确亲)时要900元以上的彩礼的21人,占29.2%,在17对已婚青年中,初一对以外,其余15人要彩礼均在500—1000元之间。另外两个村64个女青年,结婚时要砖木结构瓦房三间,其中19个要10套衣服,34人不仅要10套衣服,还要自行车,缝纫机,手表,皮鞋等。经媒人介绍,在订婚,结婚时要彩礼的占绝大多数,所谓“压书”,就是订婚贴,也是索要彩礼的第一环。如杨店村女青年刘某,在“压书”时向男方要10件衣服,鞋4双,猪肉60斤,白酒一箱,见面礼200元,折合人民币500元。接着“传书”时又要衣服30件,鞋袜各4双,猪肉100斤以上,白酒一箱,缝纫机一部,自行车一辆,手表一块,折合人民币900元。这还没有到结婚,结婚时还需花钱。在这种高婚姻成本的压力下,这几个村当年结婚34对新人中就有3对换亲。(《亳州市志》:581)这种高昂的“婚姻成本”对于村庄中经济水平较低的家庭来说确实是一笔沉重的负担。在这种情况下,不同经济阶层的农户对高昂的“婚姻成本”的支付能力的差异迅速体现出来。

    而“换亲”虽然不能从整体上缓解男女性别比失调的问题,但是却减少了能够完成婚姻的男女之间的“婚姻成本”,因为“换亲”婚姻可以使换亲的两个家庭之间既都完成了一对婚姻,同时也省去了大笔的彩礼等各种费用,也就是大大降低了贫穷家庭的男性完成婚姻所需的成本。这就是从一定程度上减少了贫穷家庭的男性成为光棍的可能性,如不如此,经济条件较好的家庭的男性能够支付高额的婚姻成本,从而更容易完成婚姻,而男女性别比失调所导致的“光棍”命运就会更多的落到贫穷家庭的男性身上。在我们调查的案例中有许多都可以说明这一点,下面举两例:
    案例一:小圩组的BGX(老大),BGT(老二)两兄弟都是换亲婚姻,都是他们的两个妹妹帮忙换的媳妇,两个妹夫比换亲过去的妹妹都大很多,所以村里人笑他家换了两个女婿“一个77,一个88”(年龄太大)。而其弟BGJ(老三)因为已经无妹妹帮其换亲,而且家里当时也非常贫穷无力帮其找媳妇,所以一直都没有“搞到人”,目前已经40多岁还是单身,而家里还有一个兄弟被迫到隔壁宿县做上门女婿去了。
    案例二:薛庄组的ZMC三兄弟和一个妹妹,家里也非常的贫穷,当时为了给三个儿子结婚,就让妹妹和林湾村的林家换亲,最后那边觉得ZMC和林家的女儿年龄相差最小,所以就把LYH换给了ZMC做老婆。而ZMC的另外两个兄弟由于家里贫穷,同时也再没有姐妹帮忙换亲,所以一直都没有找到老婆,到目前还是单身(均已经60多岁)。

    一方面,60年代时中国农村正是笼罩在新中国“破四旧”以及文革时期,“换亲”这种婚姻形式在当时被认为是封建残余的典型,是封建时期压迫妇女和男女不平等的一个确凿罪证,所以在那样的社会背景下,即使有人想要这么做,在实际中也不敢为之。而到了80年代,随着农村改革的进行,国家权力和革命主义的意识形态迅速从村庄中撤出,特别是对于人们诸如婚姻之类的日常生活(计划生育除外)干预已经大大减少。在这种情况下,“换亲”这种婚姻形态的出现就有了它的生存空间。

    “换亲”与家庭权力关系

    “常常受感情支配的家庭社会学可能只是政治社会学的一个特例:夫妻在家庭力量关系中的位置,以及他们在家庭权力,以及在对家庭事务的合法性垄断的争夺中获胜的可能性,从来就和他们所拥有或带来的物质和象征资本相关”——(布迪厄,2003:248-249)   J.范.巴尔(J.Van.Baal)在论述交换婚中的女性时认为,“女性并不是与交换中的其他物品相同的东西,她根据自己的意志,选择了有利于自己和自己子女的道路。”。他认为根据互惠性的特点,女性参与交换婚后,她的兄弟就会感激她,有一种欠债似的情感,所以,以后为了她的孩子会尽到做舅舅的义务。再者,她的夫家因为得到了她,也会对她的兄弟有一种欠债的感觉。这样,她的丈夫欠她兄弟的债,而她的兄弟欠她的债,在这连环债中,她是债主,“这种还债的义务是无尽头的”(转引自夏建中,1997:287)。关于他的这种说法,笔者在调查的案例中发现不尽其然。一方面,笔者在调查中发现,换亲中的女性极少是根据自己的意志选择了有利于自己和自己子女的道路,几乎都是在父母“做工作”(父母也是一种没有办法的办法)的情况下为了自己的兄弟的婚姻而做出的牺牲。这里面有两点重要的原因使得女性及其父母都是被迫才走上换亲的路。第一,因为换亲中不仅仅涉及一对夫妇和一个家庭,他至少就涉及到两对夫妇及其父母,一旦一家婚姻有变或者家庭关系有变,就必定会引起另一方连锁反应,而且很多换亲家庭其经济条件都很一般,有些甚至男方有身体残疾等因素,这些都使女性不愿意主动去选择换亲。第二,“换亲”婚姻对于换亲的双方家庭都还有一项重大的“社会关系成本”或者说是损失。在乡村社会中,广阔的亲戚关系成为其最重要是社会关系资源,而一般来说通过婚姻达成的“亲家”关系又是所有社会关系中最为有力的社会关系。但是,“换亲”婚姻的家庭双方都在这方面遭受了极大的损失,那就是,如果不是通过“换亲”,一个家庭的一男一女可以分别与其他家庭建立独立的“亲家”关系,这样总共就通过联姻达成了两处不同的重要社会关系网络,但是“换亲”婚姻却使得双方通过联姻都只获得了一处重要的“亲家”关系网络,这种社会关系的损失对于农村村民的生活影响是很大的。所以,“主动选择换亲”的说法在实际中是极少有的。另一方面,女性的兄弟对其是否会有一种欠债的感觉,这也得因情况而定,这更多的考量其兄弟的个人品质等因素而不存在一种约束机制。但是,笔者在调查中却从换亲后成立的家庭中的权力关系的角度有了一些新的发现。笔者的调查中发现,在很多换亲以后成立的家庭中女性在家庭中的权力都比较大,地位也比较高,这其中主要的原因就是因为家庭中的男性和父母因为媳妇是换亲过来的而对其“迁就”和“忍让”,这其中形成了一种隐性的“迁就机制”。换亲家庭的父母在这个过程中有两重的考虑,一是因为自己家境不好而没有给儿子风光的娶上媳妇而觉得有“愧”,同时对于千辛万苦通过换亲得来的儿媳妇“倍加珍惜”;另一方面,他们还惦记着自己的亲生女儿在对方家庭中的情况,他们知道在换亲过程中女儿所做出的牺牲,同时还担心自己对待儿媳妇不好就会导致对方家庭对自己的亲生女儿不好,这一点比较关键。而男性对于女性的“迁就”也是比较容易理解的。一方面,自己家境或身体的原因难以娶上媳妇,而通过换亲得来的媳妇自然不敢太“大意”,而且在协商换亲的过程中媒人和父母都会强调男性“脾气不错”,同时叮嘱要对将来的媳妇好好对待。同时如果男性对于女性不好好对待或真是把婚姻闹破裂,就意味着要面临着难以再婚的处境和破坏两对婚姻的谴责(一方家庭婚姻的变动会直接导致另一方的变动),特别是后者对男性是一种很强的约束机制。尽管如此,笔者在调查中发现,换亲婚姻刚成立不久的时候家庭中的争吵或者闹矛盾是非常普遍的,明显的比普通婚姻成立的家庭多。以至于有当年换亲的妇女对我说“双亲嘛,刚开始都肯定吵,肯定打架,吵吵不就好了”。在进一步调查和分析后笔者发现,换亲家庭刚刚成立的时候的矛盾,绝大部分都是因为女性对于换亲中的不满意或者觉得“委屈”的一种反应,也就是说很多时候都是家庭中女性所引起的。在这种情况下双方的父母就会去做自己的女儿和儿子的“工作”,一方面要让自家女儿进一步安心在对方家庭做媳妇,另一方面对方父母也会对儿子做工作让他对媳妇“能忍让的就忍让些”,这正如布迪厄描述的家长为了维护家族财产的延续性和整体性时对长子进行的“灌输工作”一样(布迪厄,2003:242-243)。从这种角度来讲,刚成立家庭初期女性的频繁的“吵闹”无形中成了一种进一步加强男性对其“迁就”的约束机制,使女性在新成立的家庭中的权力地位得到慢慢的巩固。上文对换亲家庭中的父母、男性和女性三者成立家庭后的行为逻辑进行了分析,可以发现三方的行为有意无意的形成了一种隐性的约束机制,这种机制不仅约束着男性对待女性的行为,使男性不得不在很多方面对于新成立的家庭中的女性“迁就”,同时,这种机制通过父母的“规劝”和“做工作”以及初婚时女性的“吵闹型反抗”进一步得到形塑。而在具体调查中,有村民就告诉我“这种情况占90%,大多数都是如此,你不让着点她跑了你怎么办?你就搞不到人了!还会影响对方的家庭”。要对上述分析从普遍意义上进行证明并不是一件很容易的事情,也就是说要普遍证明换亲家庭中的女性在家庭中拥有更大的权力和很高的地位是比较困难的。为了对此作出部分的证明,笔者专门对换亲家庭中“由谁来当家”的问题进行了调查。结果如下表:

    500

    在笔者所调查到的45户换亲家庭中,有34户是有由女性来当家,占75.5%,另外有8户是有男性当家,占17.7%,就是在这8户男性当家的家庭中,有一户是因为妻子已经去世,去世前由妻子做主,有一户是因为妻子大脑有问题。剩下的3户是由男女协商。虽然目前在J村一般家庭中妇女当家的比例也非常的高,但是从上面的统计我们还是可以部分的发现和证明妇女在换亲家庭中的权力地位。这种婚后女性在家庭权力关系中的核心地位在某种程度上对女性在换亲开始时对自己选择婚姻的权利的牺牲形成了一种无形的“补偿”。这种对男性的无形约束机制和对女性的无形“补偿”机制在一定程度上维持了换亲婚姻的稳定和均衡。

    “换亲”与婚姻市场

    “如果对于一个家庭来说,每个孩子的婚姻可比作一局牌的一次出牌,那么人们就会看到,这次出牌的价值取决于从双重意义上理解的牌的质量,也就是说取决于发牌,亦即其好坏由牌戏规则决定的全部得到的牌,同时取决于使用这些牌的高明程度”,“婚姻策略的直接目的基本和直接功能是确保家族再生产”——(布迪厄,2003:235)婚姻市场理论认为,婚姻市场由三个主要因素构成:供给、偏好和资源。在婚姻市场上积极寻求配偶的男女代表“供给”,偏好则指择偶男女希望配偶具备哪些条件,如对年龄、身高等的重视程度等,资源则指择偶男女在婚姻市场上所展现的一些特征,如社会地位、收入水平、受教育程度等。一个人所拥有的资源决定了其在婚姻市场上的价值,并决定着其在婚姻市场上的位置(孙淑敏,2004:83)。他们认为,婚姻市场上男女之间的匹配过程在很多方面都类同于劳动力市场上雇主与雇员的匹配过程。因此,在一个紧缩的婚姻市场上,能否找到配偶则取决于择偶者本人及其家庭所拥有的资源总量,这种资源总量决定了其在婚姻市场上的价值和获得配偶的可能性(贝克尔,1998)。应该来说,这些学者将男女的择偶行为进行的经济分析是比较深入的,特别是将择偶男女双方的供给与其拥有的资源总量统合起来考虑在很大的程度上解释了人类择偶行为背后的“隐秘”。具体到本文的换亲研究中,我们可以发现,换亲本身并不能增加当下这个婚姻市场上择偶女性的供给,它只是在一定程度上改变了婚姻市场上的匹配规则(将部分女性自由选择婚姻和配偶的权力给剥夺了)。但是,它却深受婚姻市场上两大因素的影响:一是婚龄男女性别比失衡,导致女性供给不足,二是婚姻市场上“交易成本”(完成婚姻的费用)大增,使得那些拥有的资源总量不足(特别是经济资源)的男性在婚姻市场上处于劣势。按照婚姻市场理论的观点,这时符合逻辑的事情应该是婚姻市场上女性的地位大大提升,他们应该能够有更大更多的选择权来获得自己满意的男性。而那些在婚姻市场上拥有资源相对处于劣势的男性可能就要承担这一市场供求“失衡”所导致的后果,那就是无法获得合适的配偶或者从该婚姻市场以外获得女性供给。但是,事实却是人们自觉或不自觉的改变了婚姻市场上的交易规则,用“换亲”的办法来使拥有资源相对不足的男性获得了部分的配偶。在这一过程中,被换亲的女性在一定程度上成了其所在家庭的一部分“资源”,把她当作其兄弟获得配偶的“资源”交换了出去。那么,这一规则的改变之所以可能,就必须考虑到中国人的家本位的生活原则。李银河研究发现,相对于西方人的个人本位,中国人则是家庭本位的,而生育和繁衍后代则是维持家本位逻辑的最重要一环,人们从一降生人世就落入了“生存繁衍原则”的生活逻辑之中,一生的主要目的就是为了家庭的传宗接代和兴旺发达,在“家”面前,“个人”是微不足道的,个人的享乐是无足轻重的(李银河,1993:90)。而在笔者所调查的J村,在90年代中期以前,村里的“房份”竞争还非常的激烈,而这其中很重要的一项竞争就是看谁家的儿子多,在这种情况下,结婚成家和生育后代成了村民在村庄内“安身立命”的必备要件。在这种情况下,女儿一出生就是属于这个家庭的,而不是一个完全独立的个体,她也承担着为这个家庭“延续香火”的重任,而体现在婚姻中,就是部分贫穷家庭的女儿能够在父母细致的“做工作”后接受换亲以成全自家兄弟的婚姻和整个家族的延续。如此看来,以完全理性人假设为基础的婚姻市场理论在面对换亲时遭遇到了另一种规则和另一种理性,所以它也无法完全按照其本身的逻辑演绎。同时,这也促使我们更加深入的去认识人口性别比失衡这一社会问题。在很多时候,人口性别比失衡的社会后果均会由男性去承担(因为大部分人口性别比失衡的情况是男性比例相对女性过高),直接结果就是有部分男性无法完成婚姻,而在这个供大于求的婚姻市场中,女性会拥有更高的“身价”,会有更大的自主权来选择满意的男性作为配偶。但是,正如上文所述,在一定的社会情境下,性别比失衡的社会后果是针对整个族群或人类的,不仅男性会承担由此引发的社会后果,女性同样会遭受到因婚姻市场交换规则的改变(换亲)所带来的负面影响,也就是说,婚姻市场上的优势不一定就会转化成社会婚姻生活实际中的优势。

    次级婚姻体系与生存策略

     “婚姻策略与财产继承策略、生殖策略,甚至是教育策略,也就是说,与任何集团把权力和世袭特权传给下一代并使之得到维持或增加而采取的全部生物学、文化和社会再生产策略密不可分,故他们的原则不是计算理性,也不是经济必要性的机械决定,而是由生存条件灌输的潜在行为倾向,一种社会地构成的本能,在这种本能的驱使下,人们把一种特殊经济形式的客观上可计算的要求当作义务之不可避免的必然或感情之不可抗拒的呼唤,并付之实施”——(布迪厄,2003:254)沃尔夫与黄介山在研究中国社会的婚姻体系时根据一套不同的权力-义务关系将中国人的婚姻分成了三种形式:主婚姻形式(major marriage),次婚姻形式(minor marriage)和从妻居婚姻(uxorilocal marriage)。其中主婚姻形式是说人们一般所说的成年男子与成年女子之间的正常婚姻,次婚姻形式主要是指童养媳,而从妻居就是“招赘”婚姻。二人的研究还指出,我们只可能结合人们的经济选择和整个的人口变迁才能理解人们在这些不同的婚姻形式中所进行的选择(Wolf & Huang,1980)。其实,在中国底层社会中存在着极多其他形式的婚姻形态,比如童养媳,“一子顶两房”(兼祧),娃娃亲,买卖婚,转房,典妻租妻,指腹婚,等郎媳,招夫养夫,换亲等等(《陕西省志(民俗卷)》;《江苏省志(民政志)》;《福建省志(民俗志)》;《河南省志(民俗卷)》;《湖北省志(民俗方言志)》;《广西通志》(民俗志);《广东省志(民俗志)》等),笔者将这些婚姻形式统称为“次级婚姻体系”,换亲只是其中的一种具体形式。
    在我所调研的J村,还有一种与换亲一样并行的次级婚姻形式就是“抱养女儿”。这种大规模的抱养女儿的现象出现也是70年代末以来的事情,70年代以前也有抱养女儿的行为,但那时并不是特别的普遍,因为在农村改革以前要将抱养的女儿做儿媳妇还有很大的政治压力。而自70年代末以来,全村抱养女儿的家庭就特别多。而且那时由于村民生育中强烈的男孩偏好,所以有很多家庭就将生育的女孩送给人家抱养了。按照老百姓的说法是“那个时候你只要想保养都能抱养到”,比如薛庄组有一个叫做张国多的农民,张比其老婆大12岁,为了生一个儿子,其老婆共生了8个孩子,最后一个才是男孩,前面七个女儿中送给别人抱养的有3个,自己养着3个,还有一个因为大雪天用一个小棉袄包裹放在路边等别人抱养而被冻死了。而前马组的孟凡山老人说,他也抱养了一个女儿,就在他抱养女儿那一年,他们这个小组共有6户人家抱养了女儿。而这种抱养女儿的行为到最近几年都还时有发生,但数量已经大为减少。据我们的粗略统计,金桥村抱养女儿的家庭总数30余户,我们相信实际的数目还要多许多。一个家庭抱养一个女儿可以有三重的打算:最好是做儿媳妇(那就是典型的抱养童养媳),其次可以和其他有女儿的家庭给儿子换亲,再不行还可以做个女儿嫁出去获取彩礼。这种抱养女儿的行为是将“童养媳”、“换亲”结合起来的最典型的次级婚姻形式,在我们调研的换亲案例中,就有两例其本身就是被父母抱养的女儿,后来又走上了换亲的道路。一个家庭抱养了一个女儿就可以大大的增加自家儿子找到媳妇的可能性,因为女儿成了一份极其重要的家族“资源”,特别是抱养的女儿,既可以以后嫁给儿子直接作为媳妇,次之可以与别的家庭的女儿交换以换回媳妇,再次之还可以通过女儿出嫁而交换大笔的彩礼。由此可见,这种抱养的女儿实现了“通货”交换与“物物交换”之间的顺利转化,成了二者之间的中介。除了换亲、抱养童养媳以外,J村还有招赘,买卖婚等次级婚姻形式。由上文的分析可见,由“换亲”、“抱养童养媳”等组成的次级婚姻体系都是村里的贫苦阶层为了完成最基本的人口和家族再生产所采取的一种“集体生存策略”。如果不采取这种策略以改变一般的婚姻交换中的规则,那么贫穷阶层的男性将要承担更多的由性别比失衡所带来的社会后果,其现实表现就是更高比例的“光棍”和更多的家庭“断了香火”,这对于将“传宗接代”作为有一定宗教性使命的中国农民来说,无疑失去了其生活在村落的理由以及其生活的本体性的价值和意义,因此,他们要通过一系列的次级婚姻体系来作为一种生存策略在村落中安身立命。而苏成捷关于中国底层社会中的“一妻多夫”、“典妻”等婚姻形式的开创性研究也得出了同样的判断:“表现形式不尽相同的一妻多夫现象是一种生存策略,是‘小人物’应对社会和经济的重大问题的一种方式······概况的说,这些策略凝聚着更广阔的三种力量,即失衡的性别比例和随之而来的单身男子过剩,遍布各地的妇女和生殖力的市场,以及越来越多的农民家庭的生存危机”。(苏成捷,2009:136)正如布迪厄所言“一种婚姻形式的特征······取决于有关集团之集体策略的目的和手段”(布迪厄,2003:296),这在中国底层社会所采取的所有的次级婚姻形式中得到了最淋漓尽致的展现。

    历史遗留问题

    美国数据显示,从1999年到2017年,共有80162个中国孩子被美国家庭收养。其中2005年的一年里,就收养了7903个。
    根据美国披露的1990年以来的接受弃婴数据,第一来源国,绝大多数年份里都是中国。

    将时间拉得更长些,结合之前的官方记载与媒体报道,从1992年算起,至今已经有近10万中国孩子被美国家庭收养,其中85%是女孩。
    根据加拿大统计数据,2000年到2019年共收养了约28000个国际婴儿,其中最多的就是中国出生的儿童,比例约40%。也就说,现在有超过1万名中国原生的孩子,生活在加拿大。

    全州县卫生健康局
    关于唐月英、邓振生信访事项不予受理告知书

    唐月英、邓振生同志:
    全州县信访局于2022年6月28日将你们向广西壮族自治区信访局反映“要求追究高丽君等人涉嫌拐卖儿童一案,要求公安机关立案侦查”的信访事项转交我局办理。根据20世纪90年代全区计划生育工作严峻形势,严格执行“控制人口数量,提高人口素质”的政策,对违法计生法律法规和政策规定强行超生的子女中,选择一个进行社会调剂,是县委、县政府根据当时区、市计划生育工作会议部署要求和全县严峻的计划生育工作形势需要作出的决定。经核实,你们超生的孩子是由全县统一抱走进行社会调剂,不存在拐卖儿童的行为,为便于和促进全县计划生育工作的开展,当时被全县统一进行社会调剂的超生孩子去向,没有留存任何记录。因此,我局对你们提出的信访事项不予受理。
    特此告知。
    全州县卫生健康局 2022年7月1日

    1990年8月26日,唐月英、邓振生生育的第七个孩子邓小周,因为属于超生,被当地计生部门工作人员强行抱走,自此不知去向。 为此,唐月英、邓振生希望追究当年的计生干部高丽君等人涉嫌拐卖儿童,并要求公安机关立案侦查。为此,夫妻二人不断信访。

    中国青年报2014年5月7日刊发的《超生女孩因家庭交不起罚款被送养 “调剂”23年》报道:
    四川省达州市魁字岩村的姑娘谢先梅,同样是生于一个超生家庭,因为原生家庭交不起“罚款”,而被计生干部抱走,并交给其他人“领养”。
    数十年后,谢先梅通过艰难寻亲,找到了自己的生母。她们想找计生办要个说法,“就算让他们赔给我一块钱都好,不是为钱,就是让他们认个错”。
    但是,没有人向她们认错。

    四川达州中院2017年作出的一份裁定书内容显示:
    达州的罗明弟、张林秀夫妇称,1991年7月,达州市达川区木子乡政府组织该乡计生办、驻村干部、治安室联防队员等人,将夫妻俩超生的儿子罗仕方抱走,并违法调剂给他人收养。
    20多年来,夫妻俩要求乡政府公开儿子被送养的信息情况,一直无果。为此,他们起诉乡政府“不履行法定职责”。

    山东东营市2015年作出的一份裁定书内容显示:
    东营的李永清、苏云英称,1982年8月,东营区六户镇计生办工作人员来到他们家中,将超生女儿强行带走,调剂给别人收养。
    他们多次到计生部门索要孩子,并要求告知孩子下落,但计生部门拒绝告知。

    2011年,央视网、新华网报道:湖南省邵阳市计生部门,为收取社会抚养费,将非婚生育、超生的婴幼儿强行抱走,送入邵阳福利院,统一改姓”邵”。福利院甚至主动和人贩子互相勾结,收买拐卖来的婴幼儿,并将其变为”弃婴”,送入涉外收养渠道从中牟利。2011年5月初,”邵氏弃儿“案引起全社会的关注。

    以下为财新《新世纪》的报道:

    湖南邵阳计生官员抢婴儿牟利 每名3000美元外销

      为收取社会抚养费,十余名“非法”婴幼儿被计生部门强行抱走,送入邵阳福利院,统一改姓“邵”。部分后来找到下落,有些已被收养在海外——不能被尘封的悲剧
    漫漫寻亲路上,湖南人杨理兵随身携带着一张压了层塑膜的照片。照片上的女孩叫杨玲,是他的第一胎孩子,算起来今年应该七岁了。
    2005年,杨玲尚在襁褓中,就离别了亲人。她不是被人贩子拐跑,而是被镇里的计生干部以未交“社会抚养费”为名强行抱走的。
    四年后,杨理兵终于得知女儿的下落——远在美国。
    2009年的一天,杨理兵和妻子曹志美在湖南常德一家酒店里,从一位素不相识的人手中,得到女孩的两张照片,“我一眼就能肯定,她就是我的女儿。”杨理兵说。
    杨家的遭遇并非孤例。多年来,湖南省邵阳市隆回县至少有近20名婴儿曾被计划生育部门抱走,与父母人各天涯。当地计生部门的解释是:这些婴幼儿多是被农民“非法收养”的弃婴。但实际上,有相当多一部分婴幼儿是亲生的;更甚者,有的并非超生儿。
    2002年至2005年间,以计生部门违反计划生育政策为由、强行抱走婴幼儿的行为,在隆回县高平镇达到高潮。多年后,因部分家长锲而不舍的寻亲,类似事件浮出水面,乃至波及美国、荷兰等国。
    上篇:抢婴
    湖南省邵阳市隆回县,是一个国家级贫困县。从县城北行70多公里,到达高平镇。这是一个位于大山群中的乡镇,人口7万多人。
    看似人口不多,长年来,高平镇却面临着计划生育的压力。
    上个世纪70年代初,中国开始推行以“一胎化”为主要标志的计划生育政策。1982年,计划生育政策被确定为基本国策。当时,和全国很多地方一样,湖南省也对计划生育工作实行“一票否决”制。违反《人口与计划生育法》和《湖南省人口与计划生育条例》禁止性规定的,地方政府的主要负责人、人口和计划生育工作分管负责人及责任人和单位,一年内不得评先评奖、晋职晋级、提拔重用、调动。
    隆回县连续十余年,保持湖南省“计划生育工作先进县”的称号,其制定的处罚和考核细则更为严苛。层层考核压力下,基层政府甚至不惜使用暴力手段。在那时的高平镇乡村,常常可以看到诸如“通不通,三分钟;再不通,龙卷风”等标语——乡民们解释称,其意思是计生干部给违反政策的家庭做思想工作,大约只需三分钟时间,之后再没做通,家里值钱的家当就将像被龙卷风过境一样被一扫而空。
    此外,“儿子走了找老子,老子跑了拆房子”的标语,也让人惊悚。因超生问题而被处罚过的西山村农民袁朝仁向财新《新世纪》记者介绍,在1997年以前,对违反计划生育政策的处罚是“打烂房子”“抓大人”。他就曾因超生问题,被拆了房子。
    “2000年以后,不砸房子了,‘没收’小孩。”袁朝仁说。
    袁朝仁所说的“没收小孩”,是高平镇计生部门处理违反计划生育政策的方式之一。其方式是,计生办人员进村入户,将涉嫌违法生育、抚养的婴幼儿抱走。
    因此,每当计生干部下乡入户核查,乡民们便四处逃避。在2002年至2005年间,高平镇出现坊间所称的“抢婴潮”。
    “没收”杨玲
    杨理兵清楚地记得,2004年7月29日下午,女儿在自己家中呱呱坠地。
    那天下午,高平镇凤形村杨理兵妻子曹志美有了生产迹象。父亲叫来了村里的接生婆袁长娥。袁长娥对财新《新世纪》记者回忆说,当她赶到杨理兵家时,杨的母亲正陪在儿媳身旁。“那是下午四五点钟,生产很顺利。”
    女儿降生后,杨家为其取名“杨玲”。哺育女儿到半岁后,杨理兵夫妇便离开老家,南下深圳打工谋生,“孩子交给爷爷奶奶哺养了。”
    2005年5月的一天,杨理兵照例给家里打电话,得到惊人消息,“女儿被人抢走了!”他匆忙从深圳赶回家。但一切已晚。
    对于头胎女儿为什么会被抢走,杨理兵百思不得其解。后来他猜到了原因:因为他们夫妻双双外出打工,女儿由爷爷奶奶抚养,结果计生干部误以为这个女孩是被两个老人收养的,因此也在征收“社会抚养费”之列。
    杨理兵的父亲对财新《新世纪》记者回忆称,2005年4月29日,高平镇计划生育办公室(下称计生办)刘唐山等一行近十人来到杨家。“他们很凶,她奶奶在屋里看到后就抱着孩子躲,后来躲到了猪圈里。”
    计生干部最终发现了被奶奶抱着躲在猪圈里的杨玲,以杨家未交“社会抚养费”为由,要带走这个“非法婴儿”。
    事发当天下午,杨理兵的父亲跟到了高平镇。“他们说,必须交6000块钱才可以把人抱回来。”但四处筹借,只借到4000元,“我第二天再去,计生办的人说,就算交一万块,人也要不回来了。”
    那时,计生办人员已将杨玲送到了邵阳市社会福利院。由于通讯不畅,时隔多日,杨理兵才赶回高平镇。他赶到镇里去要人,小孩已经被送走,争执中还发生了冲突。
    杨理兵回忆说,镇里主管计生工作的干部承诺,只要他不再继续追究此事,以后允许他生两个小孩,还不用交罚款,“他们答应给我办理两个‘准生证’。”
    “准生证”后来被改名为“计划生育服务证”,是中国新生婴儿赖以证明合法身份的主要凭证。为了控制人口需要,育龄夫妇在生育前,必须到当地计生部门办理这一证件,这是合法生育的法定程序。
    杨理兵并不理会这些。他赶到邵阳市社会福利院时,“根本就不知道女儿在哪里。”杨说:“他们‘没收’了我的女儿?!”
    拆散双胞胎
    计生办“没收”的孩子,不仅杨玲一个。早在2002年,同是高平镇的计生干部,就抱走了曾又东夫妇的一个女儿。
    曾又东是高平镇高凤村人,与上黄村的袁赞华结为夫妻。1995年和1997年,袁赞华先后生下两个女儿。二女儿降生后,由于交不起罚款,家里的房子被计生办人员拆掉了屋顶。夫妇俩由此跑到外地谋生,发誓要为曾家生个儿子。
    第三胎怀孕后,曾又东、袁赞华夫妇躲到了岳父家。“为了躲计生办的人,我们在竹林里搭了个棚子住。”曾又东对财新《新世纪》记者说。
    2000年9月15日,在岳父家的小竹林里,曾又东的双胞胎女儿降临人世。给袁赞华接生的,是上黄村的接生婆李桂华。
    在接受财新《新世纪》记者采访时,李桂华对当年的情形历历在目,“是一对双胞胎,一个先出头,第二个先出脚。”
    很难说曾家此时是欢喜还是烦恼。袁赞华发誓:“再生一个,无论是不是男孩,都不再生了。”

    2001年2月,曾又东夫妇决定到重庆打工。四个小孩,“我们决定带三个在身边,留一个在妻子哥哥家代养。”曾又东说。

    于是,袁赞华的兄嫂袁国雄、周秀华夫妇,为曾又东夫妇抚养了双胞胎姐妹中的大女儿。

    厄运于次年发生。2002年5月30日,高平镇计生办陈孝宇、王易等十余人闯进上黄村袁国雄家,将一岁半的小孩带走。一同被带走的,还有袁国雄的妻子周秀华。

    “刚开始他们叫交3000,后来就涨到5000元,再后来就要1万元了。”袁国雄夫妇曾据理力争,向计生办人员坦陈,这是代妹妹家抚养的。但计生部门原则性很强,一口咬定交钱才能赎人。因交不起罚款,双胞胎姐姐被送到了邵阳市社会福利院。

    因通讯不畅,曾又东夫妇当时对此一无所知。那年3月,在重庆朝天门批发市场做小生意的曾又东夫妇,还沉浸在幸福中,袁赞华生下了他们期盼的儿子。

    2003年,因母亲过世回家奔丧的曾又东,才知道女儿被计生办带走的消息。

    如今,曾又东对这对双胞胎女儿中的姐姐已经印象模糊,“右耳朵好像有一点小赘肉?”
    四类婴儿
    杨理兵和曾又东的遭遇并非孤例。高平镇被计生办以“超生”或“非法收养”等名由“抢走”的婴幼儿,不在少数。而领回小孩的条件,无一例外都是交钱。数额多少没有定数,全凭计生干部们张口。
    高平镇西山洞村五组农民袁朝容对财新《新世纪》记者称,2004年8月,他在广东省东莞市一家家具厂打工时,逛街时看到一个包裹,打开一看,是一个奄奄一息的女婴。“这是一条生命啊。”袁朝容将女婴救起。在工友建议下,时年42岁无妻无子的袁朝容,喂养了这名婴儿,并取名“袁庆龄”。
    2004年12月,袁朝容将孩子带回老家,向村长汇报此事,交了些钱,希望村长帮忙办理领养手续。

    第二年,袁朝容每月支付350元生活费,委托姨妈代养孩子,自己再次离家南下打工。

    然而,2005年7月28日,高平镇李子健、陈孝宇等四五名计生干部闯入袁朝容姨妈家,称此女婴为“非法收养”,将袁庆龄抱走,并称必须交8000元才能将人领回。

    袁朝容胞兄袁朝福对财新《新世纪》记者介绍,当时弟弟在广东,自己多次到镇计生办请求放人,得到的答复是“必须先缴纳社会抚养费”。四个月后,当袁朝福回到老家要人时,得到的答复是,小孩已被送到邵阳市社会福利院。

    大石村十组农民袁名友夫妇,生育了两名男孩之后,妻子进行了结扎手术。1999年,他们在湖北省洪湖市沙口镇做生意时,捡到一名被遗弃的女婴收养下来。年底,回乡过年的袁名友将此事向村干部汇报,并委托办理收养手续。
    袁名友说,2002年5月10日,在缴纳了2000元社会抚养费后,该名女婴在高平镇派出所进行了人口登记。在初次户口登记上,女婴取名“袁红”,与户主袁名友的关系是“养女”。
    虽然已缴纳社会抚养费,且上了户口,但是,2002年7月29日,高平镇计生办干部刘唐山等四人还是来到袁家,将袁红抱走。彼时,袁名友夫妇在田地里劳作,看到来刘唐山等人抱着孩子驾车离去,飞奔尾追。
    “他们把我女儿抓到了镇计生办。”袁名友向财新《新世纪》记者回忆说,“说我非法收养,叫我按手模。说要拿4万块钱赎人,否则就不放人。最后说至少要交3万。”

    然而,第二天袁名友凑足钱带到计生办时,女儿已经不见了。“她的脖子底下,左边有颗黑痣,豆子一样大的。”回忆起养女的模样,袁名友眼圈红了起来。

    吊诡的是,袁红被计生办抱走三年后,2005年12月30日,当袁名友家更换新户口本时,袁红仍是袁家的一员。户口本上,袁红与户主的关系是“女儿”。但袁红至今下落不明。

    与袁名友的遭遇类似,高平镇合兴村二组农民李谟华收养的女儿,也于2002年被计生干部抱走。

    早在1998年,李家就为收养的女儿李艳上了户口。彼时施行的《收养法》,尚无“收养应当向县级以上人民政府民政部门登记”的规定(1998年11月法律修订后才增加此规定)。女儿被抱走后,李家无力缴纳罚款,李艳由此不知所踪。

    在黄姓村,2002年上半年,村民周英河与女友唐海梅结婚。当年12月底,夫妻俩为周家生了第一个女孩,取名周娟。

    与中国农村很多地方一样,周英河和唐海梅当时按传统习俗,办过酒席即宣布结婚,暂未到民政部门注册登记。
    三个半月后,周英河夫妇南下广州打工,周的母亲刘素珍(音)承担了哺育孙女的任务。然而,周娟最终还是被高平镇计生办的工作人员“抱走”了。
    据刘素珍向财新《新世纪》记者回忆,那是2003年3月15日,“有八九个干部又来抢小孩,我抱着孙女就跑了,躲在附近的邻居家。”

    计生干部最终找到了被放在床上睡觉的周娟。“他们说,你老人家不会带小孩,我们带比你带好些。”刘素珍跟着他们来到计生办后,按要求照相压手印,“他们就叫我走了。说要交1万5千块才能把孩子抱回来。”刘素珍没有能力筹款,孙女被计生办送到了福利院。

    毛坪村四组的袁新权,头胎女儿也被高平镇计生办工作人员抱走。2005年11月2日,袁新权的女儿降生。当年11月25日,家人抱着女儿在路上行走时,被计生办人员强行将女儿抱走。

    不独隆回县,在邵阳市洞口县,也有类似情况。
    2008年12月2日,该县城关镇的厚永军、肖绚丽夫妇,因超生未及时上交社会抚养费,他们诞生才40天的一名男婴,被当地计生干部抱走,后因找人说情才被还回。
    据曾因超生被处罚过的西山村农民袁朝仁等人初步统计,从2000年至2005年间,湖南省隆回县高平镇至少有16名婴幼儿,被镇计生办以违反计划生育政策的名义强行抱走。
    “被抱走的小孩有四种情况,第一种是‘未婚先育’(一般已按传统习俗摆喜酒,但尚未办理结婚登记)的,第二种是超生。”袁朝仁称,前两种情况,被抱走的婴幼儿都是其父母亲生骨肉。“第三种,就是抱养的,有的可能不符合收养规定;第四种,应该说是合法收养的,因为他们已经上户口了呀!”
    这四类婴幼儿,都是当地计生干部锁定的目标。散落在大山深处的高平镇各地乡村,乡民们谈计生色变。一些乡民称,每当计生干部下乡入户时,家有属于上述四种情况婴幼儿的农户,便闻风而四处逃避。
    依据多位家长描述,计生干部抱走婴幼儿的过程几乎大同小异。
    锁定目标后,计生工作人员少则四五人多则十余人,在村干部的带领下,迅速包围计划对象家庭,将婴幼儿强行抱走。赎回小孩的惟一条件,就是交钱。
    经财新《新世纪》记者采访调查核实,截至2005年,被高平镇计生工作人员强行抱走的婴幼儿,至少有16名。

    中篇:生意经
    隆回县对计划生育国策的执行,经历了一个不断从紧的过程。
    2001年11月,因违反计划生育问题突出,隆回县开始对高平镇进行集中整治。全县抽调230多名干部进驻高平镇,入驻各个乡村督导工作。
    在此期间,原先对违反计划生育人员收取的“计划外生育费”,统一更名为“社会抚养费”。
    扭曲的“社会抚养费”
    按政府给出的定义,社会抚养费是指“为调节自然资源的利用和保护环境,适当补偿政府的社会事业公共投入的经费,对不符合法定条件生育子女的公民征收的费用”;属于行政性收费,具有补偿性和强制性的特点。
    2002年8月2日,国务院经国务院令第357号公布了《社会抚养费征收管理办法》,征收的对象主要是超生家庭,即“不符合人口与计划生育法第十八条的规定生育子女的公民”。
    而依据《湖南省人口与计划生育条例》规定,未婚生育、超生、非法收养的家庭,都要缴纳社会抚养费。

    隆回县在对高平镇计划生育问题进行整治的运动中,为了顺利收取社会抚养费,县法院“计生行政审判合议庭”抽调了七名法官进驻高平镇,派出所抽调四名干警协同,负责强制执行。

    1999年,隆回县“大胆探索”,成立了计划生育行政审判合议庭,由审判员和来自县计生委的公务员(由法院任命为助理审判员)组成,日常工作由计生委管理。这个法庭的主要任务,就是负责对计生行政案件的强制执行——主要就是罚款或收费。这一“成功经验”,后来被全省推介。

    通过整治,高平镇的超生势头得到一定遏制。然而,在经济凋敝的大山深处,乡民们“养儿防老”“男尊女卑”“多子多福”等传统观念并没有因此改变。

    2005年3月22日,隆回县提出了以“县乡村三级联包”的形式加强计划生育管理。除“一票否决”,再以职务升迁和经济奖励的方式,刺激计生干部的工作积极性。

    在此背景之下,县、镇、村三级相关干部的升迁、工资待遇等,均与计生绩效“捆绑”在一起。分管及负责计划生育的干部们,决定“破釜沉舟,背水一战”(当地计生标语——编者注),高平镇的大街小巷再次贴满与计划生育有关的标语,例如“谁敢超生就让他倾家荡产”。

    计生部门为何如此热衷“没收”婴幼儿并送往福利院?除了政绩考量,以收取“社会抚养费”为目的的创收,也是主要动力之一。

    据高平镇官方人士介绍,农业税取消后,该镇维持干部队伍的工资时常捉襟见肘。收取社会抚养费,不仅仅是在落实计生国策,更是为充盈地方财政收入。
    社会抚养费未按规定支出,在湖南省是普遍现象。依据湖南省人口和计划生育委员会的初步统计,仅2004年和2005年,社会抚养费非规定支出的比例分别高达88.04%和87.11%。其中,绝大部分用乡镇机关支出。对于乡镇政府将社会抚养费直接“坐收坐支”的现象,湖南省财政厅曾给予批评。

    在2006年5月17日,隆回县发布当年上半年计划生育督察通报。通报称,“有些乡镇将社会抚养费作为乡镇财政的主要来源,财政所无能开发财源,只能绞尽脑汁管死这笔钱”。

    上述督察通报进而称,“有的乡镇按月定计生办上交社会抚养费指标,否则扣发计生办人员工资。”乡镇计生办“重点工作(孕检、节育措施落实)没人做,难点工作不愿做,有钱的工作(社会抚养费征收)抢着做。”

    2010年,隆回县县长钟义凡在该县人口和计划生育工作春季集中整治活动动员大会上发表讲话时说,在“一票否决”等压力下,“乡镇党委、政府与计生队伍存在较深的利害关系,不敢得罪,导致计生队伍绑架党委和政府”。

    2002年4月,高平镇计生办主任由周小方担任。彼时,主管该镇计生工作的是镇党委副书记刘述德。为了摘掉因计生问题而被“黄牌警告”的帽子,高平镇进行专项集中整治中,主要一项工作就是征收社会抚养费。

    当时,计生办成为高平镇政府第一大部门。镇政府120多名工作人员的建制,计生办就占到30名。据周小方介绍,全镇每年补报生育和超生的婴幼儿在100人左右。

    计生办的工作人员开始搜寻并锁定超生、“非婚生育”和“非法收养”子女家庭。据当地官员介绍,在高平镇刚开始收取社会抚养费时,每人约3000到4000元。而以强行抱走小孩相“要挟”时,价格就涨到1万元甚至几万元。

    “弃婴”收养黑幕
    被计生办工作人员抱走的婴幼儿,不仅仅是征收社会抚养费的筹码。有知情者称,每送一名婴幼儿到福利院,计生干部可得到1000元甚至更多的回报。
    但邵阳市福利院院长蒋德伟在接受财新《新世纪》记者采访时,没有正面回应这一说法。
    邵阳市福利院能够证实的是,在2002年至2005年间,隆回县高平镇民政办、计生办共送来了13名婴儿,其中,一名男婴被领回。其他未被领回的婴幼儿,经民政公示程序被宣布为“弃婴”后,进入社会收养程序——更多是涉外收养渠道。
    “收养人要捐助一笔收养金。”蒋德伟说,正常的行情是,每收养一位中国孤儿(弃婴),外国收养家庭通常需支付3000美元。在湖南省,民政厅收养中心接收到收养人捐助的收养金后,绝大部分回拨给福利院。
    在此利益诱惑下,有人专事贩婴生意。2005年11月,湖南省本地媒体曾披露衡阳祁东县一起团伙贩婴案,幕后指使就是衡阳市多家福利院。福利院与人贩子互相勾结,收买婴幼儿,并将其变为“弃婴”,送入涉外收养渠道,从中牟利。
    自2003年以来,衡南县福利院“买进”婴儿169名,衡山县福利院“买进”232名,衡阳县福利院“买进”的婴儿最多,为409名。
    经湖南省祁东县法院的判决证实,为了多向境外输送可供收养的婴儿,衡阳市各福利院不但给职工下达搜寻婴儿的任务,甚至主动通过人贩子等各种中间人“收购”婴儿。福利院至多支付两三千元人民币“买入”婴幼儿,送养国外后即可获得3000美元。
    前述案件,撕开了“弃婴”收养黑幕一角,福利院成为“洗白”人口贩卖的合法中介。2006年2月22日,湖南省祁东县法院公开审理这一福利院贩婴案时,引起海内外舆论哗然。
    巧合的是,前述衡阳市多家福利院疯狂“买进”婴幼儿的时间段,正是隆回县各乡村爆发“抢婴潮”的时期。
    2009年7月,中国媒体再次披露了计生部门将超生婴儿抢送到福利院,并在涉外领养过程中牟利的事件。在贵州镇远县,计生部门将交不出罚款的超生婴儿强行抱走,送入福利院后再通过“寻亲公告”等程序,将其变为“弃婴”,多名婴儿被送养到美国、荷兰及西班牙等国。
    与多年前衡阳市的多家福利院一样,镇远县福利院每送养一名婴儿,亦可获3000美元“赞助费”。

    “弃婴”制造链
    为了将这些抢抱走的婴幼儿变成合法“弃婴”,高平镇计生办的工作人员伪造或编造了相关文件材料。

    财新《新世纪》记者根据这些资料,就2005年计生办抱走杨理兵女儿的案卷,进行了采访核实。
    当年,该案的案由系杨理兵“非法代养一个孩子”。立案负责人为时任主管计生工作的高平镇党委副书记刘述德,经办人包括计生办的刘唐山、李红旺、罗伟等三人。在案卷中,包括了结案报告、立案呈批报告、综合材料、分别对杨理兵父子的两份讯问笔录、杨理兵本人的申请书、民政办证明、村委会证明、派出所证明、村干部证明等十份材料。

    财新《新世纪》记者通过对相关当事人的采访证实,除了高平镇派出所出具的杨理兵登记结婚的证明是真实材料,其他九份材料均系编造或伪造。

    在对“杨清正”的讯问笔录中,文字资料显示,“杨清正”承认抚养的女婴为“儿子杨理兵从外面捡回来的”,并表示“听人民政府处理”。在笔录上,在多处签字“杨清正”处,印上了鲜红的指模。

    但是,杨家人称,高平镇计生办人员从未对杨父做过笔录,而杨理兵的父亲,正确的姓名应该系“杨亲政”而非“杨清正”。

    在对杨理兵的笔录及其“申请”中,于2005年4月30日签字且按指模的“杨理兵”称,“我自愿申请将捡回的小孩送邵阳市社会福利院抚养,绝不后悔”。但事实是,女儿被抱走一个月后,身在深圳的杨理兵才得知这一消息。
    “这全都是伪造的。”杨理兵对财新《新世纪》记者说。
    “村干部证明”文件,是凤形村支部书记“汪先姣”出具的。证明书称,杨理兵在外打工时“捡到一个女孩,未取名,一直放在家里由他的父亲代养。我村杨理兵还不符合收养条件,他父亲又年事已高,无力抚养小孩”。

    事实上,凤形村支部书记汪先蛟的家,与杨理兵家隔着一座山。“我是给镇里的计生干部说过,杨理兵家养着一个女孩,当时听说好像是捡来的。”汪先蛟对财新《新世纪》记者说:“我当时不太确定情况。但这份证明肯定不是我写的。”

    看到记者提供的“证明材料”复印件后,汪先蛟确认,“我的字不能写那么好的。这个签名、手印也都不是我的。我的名字是蛟龙的‘蛟’。”而“证明书”的落款是“汪先姣”。

    在高平镇向上级部门汇报的“计划生育违法案件”中,与杨理兵的案卷一样,相关材料中,当事人无一例外,均“承认”婴幼儿是捡来的来历不明的“弃婴”。

    对此,曾任高平镇党委书记的陈勇称,被抱走的婴幼儿是有亲生的,但当时村民害怕缴纳社会抚养费,同时又希望继续生育男孩,因此都自称是收养的。

    时任高平镇计生办主任周小方说,生下女婴的家庭,多将婴儿放在亲戚家抚养,以逃避违反计划生育政策的处罚。计生干部在执法时,村民不承认抚养的婴幼儿是亲生的。

    但财新《新世纪》记者对案卷涉及的相关当事人进行采访核实时,有血缘关系的抚养家庭,无一人自称这些婴儿是弃婴。

    “他们抢走的是我孙女啊!”为儿子周英河抚养孙女的刘素珍,回忆起孙女被抱走时的情形时失声痛哭。她说,当时自己与孙女周娟被关在计生办二楼,计生干部让她在一份材料上按了手印,不识字的刘素珍不清楚上面写的是什么内容。

    对于伪造“弃婴”文件一事,当年负责高平镇计生工作的刘述德对财新《新世纪》记者称,“不可能造假。”时任计生办主任周小方则对财新《新世纪》记者说,对于抱走计生对象婴幼儿一事,“当时已有结论,没有他们(指寻找子女的家长——编者注)说的那些事。”

    一夜出炉的调查报告
    经邵阳市社会福利院证实,隆回县高平镇被计生部门带走的13名婴儿中,至少有7名是抚养家庭的亲生骨肉。之后,家长们一直抗争不止。
    在“抢婴潮”中失去孩子的家长们相互打听,找到了遭遇相同的家庭。他们组成维权团体,向当地政府讨要公道。

    2006年3月10晚,隆回县政府得知,多位被抢婴幼儿的家长打算到北京上访维权。时任邵阳市委书记盛茂林,邵阳市委常委、市委秘书长向才昂等人做出批示,要求隆回县调查处理。

    当晚,隆回县县委书记杨建新、县长钟义凡等人分别做出批示,要求成立调查组。次日上午,隆回县从县委办、纪检委、计生局、宣传部等四部门抽调11名人员组成联合调查组,由县委办副主任兼督察室主任陈云鹤带队,赴高平镇展开调查。

    时隔仅仅一天,2006年3月12日,联合调查组的报告即出炉。调查组确认确有12名婴幼儿被计生办工作人员抱走。被调查的12户村民分别为:合兴村魏太喜、大石村袁明友夫妇、白地村王义娥夫妇、黄信村周乐平刘素贞夫妇、金凤山村罗如冰、杏升村聂仙银夫妇、金凤山村周英喜夫妇、回小村袁家石、大田村周英明夫妇、凤形村杨清正、上黄村袁国雄夫妇和毛坪村袁新权。

    前述调查报告称,被计生办抱走的12名小孩中,11名不符合收养条件,又未办理任何收养关系手续,属于非法收养。“在非法收养人主动提出送社会福利院的情况下,全部移送邵阳市社会福利院抚养”。

    调查组承认,只有袁新权与孙歌的女儿为“未婚先育”,“袁新权父子请求计生办工作人员协助……将该女婴送到邵阳市社会福利院。”

    但是,经财新《新世纪》记者采访核实,调查报告中涉及的12户村民中,并非报告所称“婴儿或幼儿的来源情况说不清楚”。包括黄信村周乐平夫妇、凤形村杨清正夫妇、上黄村袁国雄夫妇等家庭,其抚养的婴幼儿均与自己有血缘关系。

    其中,周乐平夫妇抚养的,是其儿子周英河夫妇所生的第一胎孩子;凤形村的“杨清正”,抚养的是前述其子杨理兵的第一胎女儿杨玲;而上黄村袁国雄夫妇抚养的,是前述曾又东、袁赞华双胞胎女儿中的姐姐。

    在调查组所涉名单之外,财新《新世纪》记者通过对家长及当时婴儿接生婆的调查核实,至少有七名被计生办抱走的婴幼儿与抚养家庭有血缘关系。

    下篇:宝贝回家
    魏海龙回家
    在“抢婴潮”中,合兴村五组农民魏太喜的养子,是被计生部门强行带走的小孩之一。
    2005年10月16日上午,高平镇五六名计生干部闯入魏太喜家,将时年五岁的魏海龙带走。计生干部留下话,“交钱(社会抚养费)赎人”——魏家要缴纳6500元,才能领回孩子。
    魏海龙是魏太喜收养的弃婴。2000年,魏太喜与妻子龙蕊(当时尚未办理结婚登记手续)在贵州天柱县凤城镇打工时,捡到了一名出生约十余天的男婴。据魏太喜称,因夫妻俩没有生育能力,便将男婴抱养,取名魏海龙。当年春节,回家过年的魏太喜向一名村干部交了100元钱,希望办理收养申请和登记事宜。

    六年后,当魏海龙已届入小学念书的年龄时,计生办干部李子健、陈孝宇等六人,突然登门,将其从家中带走。

    根据中国《收养法》规定,收养关系成立应当同时具备以下条件:无子女、有抚养教育被收养人的能力、未患有在医学上认为不应当收养子女的疾病、年满30周岁。

    针对民间大量存在的私自收养情况,2008年,民政部、公安部、司法部、卫生部、人口计生委等五部委联合下发《关于解决国内公民私自收养子女有关问题的通知》(民发〔2008〕132号),提出了“区分不同情况,妥善解决”,包括补办手续等手法。其中对于不符合规定的私自收养,由当事人常住户口所在地的乡(镇)人民政府、街道办事处,动员其将弃婴或儿童送交社会福利机构抚养,并没有规定可以从收养人手中强制带走被收养人。

    魏太喜家穷极,拿不出钱,他绕了几个弯之后,找到了时任邵阳市人大代表袁忠福。

    袁忠福是高平镇江魏村种粮专业户,曾培育了杂交水稻新品“五彩稻”,当选为邵阳市第十三届、第十四届人大代表。

    接到魏家的求助后,袁忠福找到了时任高平镇党委副书记、分管计划生育工作的刘述德。刘对袁的答复是,小孩已送福利院,要交1万元社会抚养费方可领回。

    对此,袁忠福利用人大代表的身份,分别向隆回县人大、县政府等部门反映此事。

    针对袁忠福的诉求,高平镇计生办于2005年11月2日向相关上级部门领导专函汇报称:魏太喜未年满30周岁(魏1975年12月生),不符合《收养法》第四款关于收养人须年满30岁的规定;此外,收养人未遵守关于“收养应向县级以上人民政府民政部门登记”的规定;而魏海龙是否为弃婴,也无相关证明。

    高平镇计生办还在前述汇报材料称,因收养关系不成立,魏太喜“主动提出家庭困难,无法抚养小孩,请求镇计生办将小孩送社会福利机构抚养”。

    经财新《新世纪》记者采访核实,计生办出具的魏太喜的“申请书”,如前述提到的杨理兵申请书一样,同系伪造。

    在魏家向计生办讨要魏海龙期间,高平镇计生办却向相关上级部门汇报称,魏太喜听闻公安机关将调查其非法领养一事畏罪潜逃。而事实上,魏太喜及其家人,为了从计生部门手中要回养子而一直抗争。

    得知魏海龙被计生办带走的消息后,其就读的雪界小学曾专门致函高平镇计生办,希望计生办领导“以孩子学业为重,让他赶快重返校园”。对此,计生办不予理会。

    魏海龙是“弃婴”,还是如计生办称系魏太喜“买回”?为了查明真相,袁忠福奔赴贵州等地调查了解情况。据魏太喜当年打工的店主陆跃珍证实,2000年6月的一天晚上,陆跃珍的商店门口传来婴儿的啼哭声。陆等人出门查看,发现裙包里放着一个出生未满一月的男婴。“可能是想送给我养的。”陆跃珍说,“但我不想要。我想到魏太喜爱人无生育能力,我劝他俩捡着带养成人,这也是积德。”

    确证了魏海龙的弃婴身份后,在袁忠福的督促下,2005年11月底,高平镇计生办和派出所将魏海龙从邵阳市社会福利院接回。被带走29天之后,魏海龙终于回到家中。

    寻亲之路
    魏海龙回家的消息,激起了更多家长的寻亲热情。
    女儿被抱走后,曾又东不止一次到高坪镇计生办讨要说法,但总是无功而返。“他们说我女儿是捡来的。之后不管怎么说就是不理我了。我去县公安局报了几次警,警察每次都说会给我一个满意的答复,后来就不管了。”曾又东对财新《新世纪》记者说。
    2006年3月25日,为了防止最小的儿子又被抱走,曾又东主动去计生办缴纳了14400元社会抚养费,为儿子办理了落户手续。

    袁庆龄被抱走后,袁朝容曾从广州赶回老家讨要说法。“他们说我这是非法领养,还把我打了一顿。”袁朝容对财新《新世纪》记者说,“这女儿是我救起的,当时不救她就死了。如果她还在人间,希望她能好好活着。”

    袁朝容的哥哥袁朝福则誓为兄弟讨个公道。袁庆龄被计生办人员抱走四个月后,有一天,原高平镇党委书记田昌金对袁称,袁朝容符合收养条件,但收养需要申请。袁朝福转述了当天田昌金对他的话,“他说,我给你们联系,出点钱另找一个孩子来养吧。原来那个女孩不行了,已经不见了。”
    为此,袁朝福找到了主管计生工作的时任高平镇党委副书记刘述德。刘并没有给袁朝福答复。讨要孩子的代价是,袁朝福被拘留了五天。依据隆回县公安局认定,袁朝福打了刘述德,因此将其行政拘留。

    但袁朝福说,“那是陷害!我们吵了起来,他就叫派出所警察抓我。”为了力证自己被诬陷,2006年3月,袁朝福曾向隆回县公安局提起行政复议。

    袁红被计生办抱走后,袁名友曾据理力争,但计生干部们不予理会。能证实袁名友夫妇合法收养袁红的材料,包括当时捡拾时现场目击者的证明、缴纳的社会抚养费收据、袁红已合法进行户口登记等材料。

    “这些他们都不认,就是叫我交钱。”袁名友对财新《新世纪》记者称。由于经济条件有限,袁名友夫妇追寻女儿的脚步,止步于镇计生办。让袁名友更加愤怒的是,袁红不知所踪九年后,2010年11月,袁家上缴的农村合作医疗费中,仍要缴纳女儿的份额。

    “弃婴”的命运
    “高坪镇民政办现送来女弃婴一名。请接收。”2002年至2005年,邵阳市社会福利院每年都会收到高平镇民政办、计生办的接收弃婴申请书。
    对于这些送来的“弃婴”,福利院照单将其收下。“他们也是政府部门,我们不能怀疑吧。”邵阳市社会福利院院长蒋德伟对财新《新世纪》记者解释说。依照惯例,这些婴幼儿入院的时间成为了他们的生日,姓氏则都统一改成了“邵”——邵阳的邵。

    依照《收养法》、《外国人在中华人民共和国收养子女登记办法》的相关规定,福利院的婴儿、儿童可进入本国及涉外将婴儿涉外送养渠道。2003年,《民政部关于社会福利机构涉外送养工作的若干规定》中明确,“社会福利机构送养弃婴、儿童,省级人民政府民政部门应当在当地省级报纸上刊登查找弃婴、儿童生父母的公告。自公告刊登之日起满60日,弃婴、儿童的生父母或其他监护人未认领的,视为查找不到生父母的弃婴、儿童。”

    财新《新世纪》记者查阅了部分2002年至2005年的《湖南日报》,确有湖南省民政厅发布的单独或包括来自邵阳社会福利院的《寻亲公告》。然而,对于生活在大山深处,或者常年在外乡打工的高坪镇乡民而言,这些公告对他们没有任何意义。
    这意味着,公告60天后,早已取名“杨玲”、“周娟”、“袁庆龄”、“袁红”、“李艳”等婴幼儿,统一变成“邵”姓。由此,当地民政部门和福利院,“将确定其为弃婴,依法予以安置”。

    多年来,家长们向外界寻求帮助,追寻亲生骨肉下落的努力从未停息。湖南邵阳、省会长沙、首都北京等多个地方的相关政府部门,都留下了他们信访的脚印。

    2006年3月10日,高平镇部分婴幼儿被计生办抱走后下落不明的家长,决定集体到北京上访。消息被当地政府获悉,家长们的维权行为被阻止。当年3月21日,香港《南华早报》率先披露消息,高平镇计生办工作人员抢走农民婴幼儿的消息第一次被英文读者所知。

    2007年上半年,家长们找到内地记者反映相关事宜。

    2008年,中国儿童第二大收养国荷兰,其EO电视台在中国孤儿问题电视专题片中,除了检讨荷兰从中国收养婴幼儿可能存在的疏漏,也指责了邵阳市社会福利院涉嫌将高平镇计生办送来的婴幼儿变为“弃婴”的行为。杨理兵的亲生女儿杨玲,在未被计生办人员抢走前的照片,出现在该专题片中。

    2009年9月20日,美国《洛杉矶时报》在关于中国弃婴及收养等相关问题的报道中,再次披露了隆回县高平镇多名农民婴幼儿被抢后送到福利院的消息。美国是收养中国婴幼儿数量最多的国家,该报道引发了美国读者的热议。

    1996年6月,中国收养中心成立,中国涉外收养工作当年正式启动。至今,与中国建立收养合作关系的国家有17个。2011年1月18日,经中央机构编制委员会办公室批准,中国收养中心更名为中国儿童福利和收养中心。

    据该中心披露的最新统计数据,至今共有10万多名中国孤残儿童被外国家庭收养。可以确认的是,被高平镇计生部门送到福利院的“邵氏”婴儿,部分就名列其中。

    “我们都是按着政策规定来的。”邵阳市社会福利院院长蒋德伟对财新《新世纪》记者称,福利院涉外的收养程序符合规定。对于那些“弃婴”下落,蒋称,依据《收养法》规定,不便透露任何信息。现行《收养法》第21条规定,“收养人、送养人要求保守收养秘密的,其他人应当尊重其意愿,不得泄露”。

    人伦悲剧
    最终,部分婴幼儿的下落还是有了眉目。2009年底,有热心的美国读者依据媒体报道,找到了三名情况较为吻合的被收养女孩资料——包括刚到达美国时对的信息和照片、几年后的近照等。

    这三人的照片传真到了邵阳。“这就是我的女儿!”曾又东看到其中一张照片时脱口而出。照片中的女孩,与双胞胎妹妹曾双洁长得近乎一模一样。“她会讲中文吗?会回来认我们吗?”曾又东像在呓语,“不是我们抛弃她,她是被抢走的!”

    经财新《新世纪》记者从多方渠道得知,收养双胞胎姐姐的是一对年龄偏高的美国夫妇,丈夫于2010年病故。养女的信息在网上被披露后,这户家庭原有的联系方式均已失效。

    第二个获悉女儿去向的是杨理兵。他已记不清是2009年的哪一天,一位自称“小叶”的人,说找到了与杨玲信息较为吻合的两个女孩。

    杨理兵和妻子曹志美从打工地湖南郴州赶到常德。当见到小叶提供的两位女孩照片中的一张时,曹志美痛哭不已。“没错!这就是我们的女儿。”杨理兵指着其中一张相片说。

    远在美国的小叶,时常为美国收养家庭做翻译。依据收养地点、时间等相关资料,小叶提供了与杨理兵儿女较为吻合的信息。但或是出于尊重收养伦理的考虑,除了确认杨玲被美国家庭收养,小叶再未提供更多相关情况。

    “小孩在她的美国收养家庭生活得很好,她的收养父母都非常爱她。”小叶对财新《新世纪》记者说。在进行DNA鉴定之前,收养家庭也不能百分之百确定女孩是杨理兵的女儿。“但我相信,将来会有她与亲生父母相认的一天。”小叶说。

    相关知情人士向财新《新世纪》记者透露,邵阳市福利院确认接收的十余名婴儿中,“都已送养到国外”。更多信息较为吻合的照片传真回来,然而,那些丢失孩子的父母,除非进行DNA鉴定,都不敢确认谁是自己的骨肉。
    曾又东夫妇认女儿的依据,是双胞胎姐妹中的妹妹,她们就像一个模子所刻。而杨理兵,则是因为在小孩被抱走之前,曾给女儿拍下过照片。
    给杨理兵拍全家福的照相馆在高平镇的一条街上。杨理兵每次经过,老板娘总会问,“你女儿找回来了吗?”
    寻女多年,杨理兵夫妇已无心营生,家境日渐窘迫。确认女儿仍存活于世、身在美国的消息后,曹志美要求丈夫尽快找回杨玲。2009年底,曹志美不辞而别,离家出走。
    “她留下话说,连女儿被人抢去都找不回来,跟我过还有什么意思?”言及此事,泪水在杨理兵眼眶打转,“只要还活着,我一定要找回自己的女儿。”

    2009年07月01日《南方都市报》:贵州镇远“制造”弃婴送养国外牟取暴利

    脖子上、心窝上的刀疤,显示陆显德是个悲剧人物。他曾经自杀过。这些刀疤是他对四女儿的特殊纪念。
    作为父母,陆显德夫妇均不记得这个女儿的生日,只知道她出生于2003年农历腊月。2004年农历五月,她被当地计生人员强迫送进福利院,从此不知下落。当时,这个女儿尚未取名。
    蒋文(化名)是陆显德的亲戚,在广东闯荡十年。2008年回到故乡时,他听说他的亲戚中,除陆显德外,还有李泽吉、罗幸斌超生的两个女儿,均被当地计生人员抱走,送进福利院。计生人员称,“政府帮他们养。”实际上,这些孩子至今下落不明。
    但多年来,这些父母都没有寻找自己的孩子。对于亲人们的麻木,蒋文发出了鲁迅对闰土式的感叹。今年1月份以来,他在网上多次发布寻人的帖子,随着国外网友的回应和记者的调查,一个在贵州省镇远县隐藏多年的秘密渐渐浮出水面。

    交不起罚款,就抱走孩子
    计生股股长说,抱走孩子就不罚款了,这就和罚款一样的
    “你怎么又生了一个?”
    “(老公)刚动手术了(结扎),这怎么办?”
    “罚款你养得起吗?现在计划生育这么严,要1万多元钱。”
    “要罚款没办法,已经生出来了。”
    “那你要给钱,现在政策这么严,你是知道的。”
    “我交不起钱。”
    “万一你交不起钱,我就(把孩子)抱去。”

    这场当事双方记忆中的对话,发生于2004年6月一个阳光灿烂的中午。对话发生在石光应和杨水英两人之间。石光应是镇远县蕉溪镇计生股股长,杨水英是陆显德的妻子,家在蕉溪镇田溪村阳坝组。

    按照政策,陆显德只能生两个孩子。他希望能生个儿子。但杨水英在生到第四个孩子时,才如愿以偿。

    在这个男孩一岁多时,陆显德去做结扎手术,但此时,杨水英又怀孕两个月了。

    “既然怀孕了就要把她生下来。如果做流产,还要花钱。既然生下来了,就不能把她打死。”杨水英说。凭着这种简单、朴素的想法,杨水英生下了第四个女儿。

    陆显德的家位于高山上,四周都是绵延的群山,交通极为不便,而且这个寨子仅有三五户人家。外界信息的获取和内部信息的传播,都极为不易。因此,虽然计生工作抓得很严,这个女儿仍然在她身边生活了半年。杨水英干活时,就把她背在身后。

    在害怕罚款和重男轻女的山区,弃婴,或者将孩子送给别人的现象都相当普遍,而陆显德夫妇并没有这样做,尽管他们已经超生了三个孩子。
    在2008年7月份以前,蒋文已经有十年没有回家。所以,他只记得陆显德对大女儿十分爱怜。

    “他对大女儿非常好,别人的孩子吃母乳就可以了,他还用白糖调鸡蛋给大女儿喝。经常把她抱起来亲。”蒋文说。

    现在,陆家全年收入不到5000元钱,但是四个孩子无论男女全部上学。对于两个有户口的女儿,陆显德表示,只要她们愿意读书,他会供养她们一直读下去。这些信息都足以说明陆显德并非一个重男轻女的人。

    如果四女儿没有被抱走,她也快到入学的年龄了。但不幸的是,2004年6月份的一天,杨水英背着这个女儿在山坡上放牛时,遇到了石光应。

    “第一回,我从那边过来,她在看牛,我看见她背着小孩,用毛巾搭着头,我看小孩很小,而她的儿子已经长大了。第二回我就去那里问,正好碰到她在吃饭。”石光应说。

    那天,只有杨水英一个人在家。

    5年后的2009年6月19日,杨水英回忆当时的情景说:“石光应说,我就把这个孩子抱去了,以后就不罚款了,这就和罚款一样的。”

    之后,石光应打电话叫蕉溪镇政府派车来,让杨水英抱着孩子到焦溪镇政府,然后去镇远县福利院。“我不去福利院,他们就把我一起带走,还说要罚款几万元钱,我拿不出几万元”。

    为得儿子,舍弃女儿“交不起罚款,就(把超生的孩子)送到福利院。这是县里的政策”

    现年54岁的石光应,早有儿孙,孙子在东莞上小学了。他很想念他的孙子。他有正常的人性和情感。

    而他在解释他制造的骨肉分离的人间悲剧时说:“交不起罚款,就(把超生的孩子)送到福利院。这是县里的政策。”

    “其实,她要是给政府说点好话,说去跟亲戚借钱来交罚款,你们别抱我孩子。这样,我们就不抱。但是她这个人太忠厚……他们那个组就是她家最穷。我们工作上也是很困难。”石光应说。

    那天,杨水英抱着女儿,被蕉溪镇政府的干部、石光应等人带到镇远县城,这是她平生第一次来到县城。在镇远县福利院,一个女护士从她手中接过女儿时问:“妹,女儿养这么大了,你怎么舍得?”

    杨水英回答说:“我没办法,他们要罚款,可我没钱。他们说,以后不来罚款了。”

    那时,女婴正睡得香甜,她没有看见被一群陌生男人包围之中的懦弱的母亲强忍的眼泪。母亲却特意把她抱起来,好好看了一眼。此后,她永远离开了母亲最安全的怀抱。而母亲只能在梦中梦到她。

    回到蕉溪镇后,镇政府的干部们让她做了结扎手术,虽然她的丈夫陆显德之前已经做过结扎手术。第三天,陆显德才将她接回家中。

    陆显德在得知女儿被抱走时,平静地说,“政策有规定,没办法。”这话是在安慰杨水英,也是在安慰他自己。

    李泽吉和陆显德有着相同的遭遇。

    6月19日,他语气激昂地说:“如果他们把我儿子抱走,我砍死他们。”

    他的几个女儿正环绕在他膝边戏耍,他停顿了一下又说:“如果把我女儿抱走,我也会砍死他们,但是,当时我不在家。”

    实际上,他在得知女儿被计生人员抱走时,反应和陆显德相似。

    李泽吉是蕉溪镇田溪村烂桥组人,2004年农历三月十八,妻子顺产一名女婴。之前,他已经有了两个女儿了。为了再生个儿子,夫妻俩将刚满月的三女儿给堂哥代养,然后带着两个女儿去浙江打工。

    当年农历四月二十,蕉溪镇计生办一名计生人员,将这个刚生下一个月零两天的女婴,从李的堂哥家抱走。临走时说,“你们家太穷了养不起这个女婴,我把这个女婴抱去给政府抚养。”

    过了两年,他们在浙江又生了一个女儿之后,终于得到儿子,他们才回到故乡,此时,他们方知当年寄养在堂哥家的那个女儿已经被当地政府抱走了。

    “因为超生,我们也不敢去问,怕罚款。以后也没找过。”6月19日,李泽吉说。

    妻子并未因此后悔当年外出打工的决定。她指着面前摇摇摆摆刚学会走路的儿子,笑着说:“如果我们不出去,怎么会得到这个儿子?”

    生儿子,似乎是他们平生最大的成就。而舍弃女儿似乎成了他们得到儿子应该付出的代价。

    2003年,该县都坪镇新寨村的杨再清的妻子生下了第三个女儿,此时,他的大女儿已经因心脏病和淋巴结夭折。按照政策,这个女儿并非超生,但是为了将来生一个儿子,他让镇计生人员通知镇远县福利院将三女儿抱走。

    6年来,他从未想到过去看望这个失散的女儿,因为“没有时间”。

    制造“弃婴”送养国外外国收养人每领养一个孩子都给福利院3000美元赞助费

    而蒋文在得知这个发生在故乡、发生在亲人身上的残酷现实时,他极为震惊。

    2009年1月份,蒋文开始在网上寻人。这个帖子很快被一个叫做BrianStuy的美国人发现了,他在中国收养了3个孩子,并有一位中国太太。

    Stuy将这个帖子转发给一个叫做W indy的美国女人和一个叫做胡英(音)的中国在美留学生。胡英和W indy是好朋友,W indy收养了一名叫做“古城慧”的中国女孩。

    胡英,杭州人,经常帮助收养中国孤儿的美国家庭做一些翻译。胡英转发来了Brian Stuy所做的调查,他的调查显示:美国和欧洲的一些国家在镇远县福利院领养了不少女婴,其中,2004年有24名,2005年11名,2006年,该院没有被外国人收养的弃婴。因为2005年11月,湖南省祁东县警方在侦破一起团伙贩婴案中,发现其幕后指使竟然是衡阳多家福利院。几年间,这些人贩子与福利院勾结,将数百婴儿送入涉外收养渠道,每名婴儿为福利院获得3000美元的赞助费。该案在2006年审理,引起极大的争议。

    2007年,镇远县福利院又有6名弃婴被外国人收养。

    他们的领养程序完全合法,他们通过外国中介公司将收养申请提交给中国收养中心,而镇远福利院将自己收养孤儿的信息提供给中国收养中心,由中国收养中心审核配对。中国收养中心受中国政府委托,主要负责涉外收养具体事务。

    外国收养人每领养一个孩子都给镇远县福利院3000美元的赞助费。而中国方面把关于孩子的所有相关资料交给养父母,其中包括孤儿的证明材料。

    因为按照《中华人民共和国收养法》规定,不满14周岁丧失父母的孤儿、查找不到生父母的弃婴和儿童、生父母有特殊困难无力抚养的子女,可以作为被收养人。

    并规定,收养查找不到生父母的弃婴和儿童的,办理登记的民政部门应当在登记前予以公告。

    Windy收养了“古城慧”,所以,她保留了一份贵州都市报于2004年3月6日刊发的贵州省民政厅公告,公告中有10名婴儿的照片。公告显示这些孩子捡拾地址均在镇远县的某些乡(镇)政府门口、福利院门口。“古城慧”被捡拾的地点就在羊坪镇政府门前。公告下方注明:其父母及亲人见报后,60日之内请来镇远县福利院认领,逾期将按弃婴安置。
    在这份公告中,陆显德、李泽吉等人并没有发现可能的线索。

    6月15日,胡英转发来一位荷兰养母保留的贵州省民政厅发布的公告,时间为2004年8月14日,星期六,刊发媒体也是贵州都市报,上有十四名中国儿童的照片。公告下方同样注明,亲生父母请于60日之内前来镇远县福利院认领,逾期按弃婴安置。

    这位荷兰母亲收养的女孩叫做古城俊,捡拾地点是该县羊场镇计生办过道。公告显示,这14名儿童中,有5名女婴的捡拾地点在镇计生办、车站、公路边、路口等公共场所,其他儿童均是在村民家门口捡拾的。

    公告显示,古城茜,被遗弃在镇远县焦溪镇田溪村村民陆显德家门前,古城娟,遗弃在青溪镇铺田村彭洪德家门前,古城勇遗弃在大地乡大地施村付开金家门前(付开金即徐林珍丈夫),古城雯遗弃在焦溪镇车溪村李代武家门前(李代武即李泽吉的堂哥)等。

    实际上,他们家门前从未发现过弃婴。虽然事隔多年,彭洪德、徐林珍等人还能确凿地指认出照片上的孩子正是从他们家强行抱走的孩子。而李泽吉、陆显德因为孩子被抱走时太小,而且年份已久,他们已经无法辨认。

    胡英估计,那个所谓在陆显德家捡拾的弃婴可能就是陆显德的亲生女儿。

    多方证据表明,这些从亲生父母,或者养父母手中强行抱走的孩子,被镇远县福利院“制造”成了孤儿。

    “把有父母的婴儿强行送到孤儿院,然后送养到国外的情况,经过我们调查,完全属实。”镇远县计划生育管理局纪检组组长唐剑在接受媒体采访时说。

    真假弃婴“假弃婴”现象在当地相当普遍,因害怕罚款,亲人均称孩子是捡来的

    2003年,彭洪德“捡到”一名女婴。当年8月16日,焦溪镇政府的十几名工作人员,从彭妻手中抱走那名女婴,彭洪德夫妇极力阻止,后被带到派出所,蹲在墙角,并以谩骂干部为名罚款50元钱。

    当时,镇政府的干部们来到他家说,这个女孩长得很漂亮,他若能交3000元钱就可以领养她,但当时,他连300元钱也拿不出。他家只有几分地,老婆在逢集时卖米豆腐(当地的一种小吃)。

    大约20天后,彭洪德去镇远县福利院寻找女婴,福利院不肯告诉他女婴的去向,只说女婴被送给阿姨在外面寄养。

    2009年6月19日,彭洪德坦言,这个女婴是他的亲戚超生的,她害怕罚款,“罚款要是拿不出钱,要拆房子,不拆房子也是要抱人的”,所以亲戚将女婴送给了他。但他始终不肯说出这名女婴亲生父母的姓名和住址。

    这种“假弃婴”现象在当地相当普遍。当计生人员从李泽吉堂哥家、罗幸斌姐姐家抱走他们超生的两个女儿时,他们的亲人因为害怕罚款,均称孩子是捡来的。

    2004年3月,大地乡大地施村坳子上组徐林珍竟然“捡到”一名男婴。徐林珍描述的情节是:孩子们戏耍时,在她妹妹家的烤烟棚里发现了这名弃婴,她的妹妹送给了她。而她有两个女儿,当时,大女儿快到出嫁的年龄,小女儿12岁。她很想有一个儿子。于是,这个男婴就像上天安排的一样,进了她家。她说,“不是我妹妹生的。”

    这几乎是唯一的例外,其他遗弃的,或者送给他人抚养的均是女婴。

    6月19日晚,徐林珍在回忆5年前那名男婴被计生人员抱走的情景时,仍然流下了眼泪。“他们(政府、派出所)来了十几个人,我抱着小孩不放手,我说等过几天找到钱就去上户口,他们说要罚款1万元。他们拖着我走,把我拉上车,我抱着小孩,一直跟到镇远县福利院,三个阿姨从我手上抢去小孩,我不愿意,但是她们是三个人。抢走小孩以后,我不肯走,站在福利院门口,二楼有人下来推我走,我又走到里面去。”

    那天,她粒米未进,镇政府工作人员在饭店吃饭时,叫她吃饭,但她没去。“那孩子我已经养了十几天,舍不得。”

    在山区,男孩的意义并非简单的传宗接代。

    陆显德是家中的长子,他有两个妹妹和一个弟弟。1986年,他在读初三的那年农历大年三十,父亲去世。当年,陆显德成绩优异,尤其擅长字画,班级的黑板报都由他出。可是当地的习俗是,父亲去世后,长子必须把家当起来。因此,陆显德辍学回家,尽管老师为此来做过他母亲的工作,但他还是从此回家务农了。
    当时,他的母亲想再嫁,但正因为陆显德选择退学和族中长辈的劝说,她留了下来。
    如今,虽然过去了20多年,男孩对于一个农村家庭的意义仍然没有太大改变。

    镇远县共12个乡镇,都分布在山区。沿着盘旋向上的山路,到处可见切割得堪称精密的梯田,倒映着青山和蓝天白云,如梦似幻。站在山上向下俯瞰,那些被切割成一块块形状各异的黄色旱地和绿色梯田交织在一起,如同缤纷的锦缎。
    然而,游人眼中的美景,对于生活其间的人们,则意味着繁重的劳动。砍柴、犁田、施肥等,都必须男人才能完成。这就是每个家庭渴望男婴的主要原因之一。
    因此,数额巨大的超生罚款,催生了很多真假弃婴。在镇远县各乡镇随意打听,捡拾弃婴的事例俯仰皆是。
    一位2002年前曾在镇远县某镇主持计生工作的基层干部说,有几年,计划生育工作抓得很严,所以常有丢弃的女婴,他在任期间,就捡到过三四个女婴,都通过民政部门送给不能生育的本地人领养了。

    16年前,江谷乡的秦克勤(化名)捡到一个遗弃的女婴。那时,乡下人经常将女婴遗弃到街上,因为街上的居民比山区富裕。他家就在乡政府附近的街上。

    当时,他已经有了两个儿子,他的妻子抱着这个女婴去上户口时,计生部门不同意。妻子说,那我不养了,你们抱去吧。计生部门只好给这个女婴上户。如今,当年的女婴已经长成漂亮乖巧的小姑娘,刚刚参加完中考。

    “以前捡到婴儿很容易上户,但现在不行了,都被计生部门抱去,送到福利院。”秦克勤说。

    窘困的父母们艰苦的生活,让李泽吉、陆显德们无暇去想失散的女儿

    真假弃婴被强行送往福利院的现象相当普遍,当地人早已司空见惯了,再加上弃婴和将孩子送给他人抚养的现象十分常见,人们对于生命、伦理的理解已经十分扭曲,所以当政府工作人员将超生的女儿从杨水英手中强行抱走时,并没有发生激烈的冲突。陆显德更认为这是政策规定。

    2008年4月份,蒋文回到故乡,在陆显德家里,他见到了陆的三个女儿和一个儿子。陆说,他还有一个女儿,“政府帮我养去了”。

    这时,蒋文感觉眼前的陆显德和十年前完全不一样了,“现在他脑筋很糊涂,以前是个很聪明的人,春节时,很多人找他写对联”。

    蒋文惋惜地说:“他向命运低头了,才变成今天的样子,如果他继续完成学业,只要考上中专,也会分配在单位上班。而我决不向命运低头。”

    蒋文在读大学二年级时,一直主持家务的母亲去世。按照当地习俗,他也应该回家照顾弟妹。但他没有。此后,他没有再花家中一分钱,全靠个人努力和女友的帮助,完成了学业。现在他和妻子拥有一家培训机构和一家销售空气净化设备的公司。

    近年来,在与家人通电话时,蒋文得知陆显德发生了很大的变化,结婚之后,他家田地少,孩子多,吃不饱,陆显德与母亲矛盾日深。2005年以后,陆显德“发癫”了,他常常大声叫喊、拿刀砍人。

    2004年,当女儿被强行送到福利院后,陆显德平生第一次外出打工,但在“遍地黄金”的广东,他连回家的路费也没有挣到,只得借钱回家。

    2005年的一天,他在姑妈家用杀猪刀抹自己的脖子,剜自己的心窝,被姑妈及时发现。

    “就是想不开,女儿失散了,家里经济困难,我觉得自己在社会上没用,活在世上是个渣滓。”6月19日,陆显德说。一只母鸡带着几只小鸡,正在他脚边觅食。

    他家一年养二三十只鸡、二三十只鸭子、四五头猪,另外种植五六亩田地,全年收入不足5000元钱。而四个孩子读书全年花费2000元左右,他们都在学校吃午饭。

    为了增加家庭收入,2002年到2005年,陆显德常年到镇远县单采血浆站卖血,每个月卖七八次,每次可得80元。后来,镇远县单采血浆站站长因为侵吞960万元国有资产被判无期徒刑,陆显德才停止卖血。

    现在,4个孩子中,尚有两个没有上户口,因为上一个户口要罚款12880元。陆显德知道,没有户口,无法读中学,所以他打算让两个没有户口的孩子小学毕业后就休学,因为交不起罚款。

    “千辛万苦生了个儿子,难道就是为了他干农活吗?”

    陆显德的回答是:“对儿子的希望是有的,但是家庭没有经济来源,没有能力供他读书。在这个社会,即使考上大学,也供不起。遗憾的就是这点。”

    李泽吉的4个孩子中,仅1个有户口。计生人员说要罚款4万元,经过讨价还价,降为5000元,但他还是没钱,只借了1000元交给了计生人员。

    当年,在浙江打工时,他每月能挣1000元钱,要养活夫妻俩和4个孩子。但是他仍然认为那时的生活比在家里好。可孩子们需要读书,他们必须回来。

    现在,全家6口人仅有两亩田地,李泽吉在附近做零工,一天能挣五六十元钱,妻子在家喂养五六头猪。

    繁重的劳动、艰苦的生活和沉重的负担,让李泽吉、陆显德们无暇去想那个失散的女儿的下落。

    “古城”牌“弃婴”知多少?80个弃婴,都冠以“古城”系列的名字,如古城慧、古城茜等,其中78名已被欧美家庭收养

    镇远县福利院送养到国外的婴儿登记资料显示,从2001年至今,该院共有80名弃婴,除两名女婴残疾外,其余78名均被美国、比利时、西班牙等国的家庭领养。

    80个弃婴,都冠以“古城”系列的名字,如古城慧、古城茜等。古城是指镇远古城,因为镇远自秦召王30年设县开始,至今已有2280多年的置县历史,其中1300多年作为府、道、专署所在地,1986年被国务院批准为中国历史文化名城。

    这些孤儿中,到底有多少和杨水英的四女儿有相同的命运,不得而知,但曾任焦溪镇计生股股长的石光应的回忆具有十分重要的价值。

    杨水英的四女儿是他送进福利院的第一个孩子。他说,“以前也送,但是别人送。”之后,他每年从焦溪镇送到福利院的超生的孩子有三四个。而且镇远县的“每个乡镇每年都送三四个,12个乡镇都在送,到处都有捡到的(弃婴),也有超生的,罚不起款的,从家里抱走的,不愿意罚款的,双方达成协议,就送。不签(书面)协议。”

    “(抱小孩时)通过他父母,要他们交罚款,但是交不起罚款,那没有别的,只有这样。哭闹的也有,你哭也不行,你交不起罚款,这是政策规定。交得起罚款就养,交不起罚款就送到福利院。”石光应说,“实际上,那几年的罚款只要交五六千元就可以了,超生一个交三千,超生两个七八千(有关系的交五六千),那几年有些人很穷,‘早饭要买早饭米,夜饭也买夜饭米’……怎么交得起罚款。”
    在抱走杨水英的第四个女儿时,杨水英曾问他,“我怀孕的时候你们为什么不来?”石光应回答说,他们不知道。如果知道,她之前超生的两个孩子也要抱走,但那时,已经长大了,没法抱走。

    后因福利院收养的“弃婴”太多,以致感染生病,所以,镇远县福利院出钱(每月300-400元)雇请阿姨,将婴儿带回家代养,直到有外国家庭来收养。

    李倩华(化名)从2003年开始从事这份特殊的职业,但现在她已经“不列入这个队伍了”。她透露说,那时有很多阿姨都从福利院领婴儿代养,“我们把小孩带到家里养,到时候就去福利院领工资”。

    一位姓杨的阿姨于2006年、2007年代养过福利院的“弃婴”,她称,阿姨们全部是镇远县城内的,“福利院有小孩了,就打电话给我们,我们就带回家养……有人来领养,我就抱着小孩和福利院的领导一起到贵阳”。

    “送到外面肯定比在家里好,百分之二百的好……别说是娘家,即使现在的县委书记的家都没人家好,我们城里都没人家好……我们去福利院领小孩养,就是为了一点工资。”李倩华说。

    W indy一直担心她领养的女儿古城慧并非真正的孤儿,而是亲生父母超生后,被政府部门强行抱走的。

    2007年,W indy曾带着女儿找到当时代养过她的阿姨李倩华,试图寻找她的亲生父母,但没有成功。

    “如果我的女儿实际上是某些福利系统人员犯罪的产物,我会最大限度地找到她原来的家人,这有利于她的成长,并且和原家庭分享女儿的生活,比如寄照片、通信、或者每年假期时安排女儿探视他们一次。”W indy在给一位中国记者的电邮中说。

    除了W indy,还有大量中国儿童的外国养父母,通过中国在美留学生胡英、小叶等渠道,帮助她们寻找“中国的根”。2008年5月,胡英还帮一位美国养母在网上发帖,寻找她养女的亲生父母,这个孩子是2003年9月在镇远县涌溪乡“捡到”的。

    可是,当她们的亲生父母,或者在镇远的曾经的短暂的养父母,在得知她们可能的下落时,鲜有人对她们的命运表现出明显的喜忧,哪怕是普通的感叹。6月19日晚,在昏黄的灯光下,徐林珍深深地叹了一口气,却是为她自己的,“不知道我老了怎么办?”
    “把有父母的婴儿强行送到孤儿院,然后送养到国外的情况,经过我们调查,完全属实。”
    ——镇远县计划生育管理局纪检组组长唐剑在接受媒体采访时说

    外一篇:湖南衡阳福利院买八百婴儿送养国外牟暴利

    2005年11月,湖南省祁东县警方在侦破一起团伙贩婴案中,发现其幕后指使竟然是福利院。几年间,这些人贩子与福利院勾结,大肆收买婴儿,将数百婴儿送入涉外收养渠道,从中牟取暴利。
    福利院被判买婴牟利负刑责
    作为被告人的福利院院长辩称,这些婴儿均为弃婴,而非被拐卖儿童。福利院即使收买了“被拐卖儿童”,也不构成犯罪。而将婴儿送入涉外收养渠道,均是按国家相关政策办理。他们收买婴儿之举,客观上拯救了这些弃婴的生命。
    公诉方认为,被告人大肆收买婴儿,进入涉外收养渠道牟取暴利,因此,应依法追究其刑事责任。2006年2月24日,祁东县法院一审判决认定:10名被告人有罪,分别领刑1年到15年。
    3000人民币买入,3000美金“送养”
    据警方调查,自2002年12月以来,陈冶金伙同段家三兄妹、吴家两姐妹等人贩子在广东吴川、湛江等地收购婴儿,然后带回衡阳,以每名婴儿3200元至4300元的价钱,卖给衡阳市的祁东县福利院、衡阳县福利院、衡山县福利院、衡南县福利院、衡东县福利院、常宁市福利院。

    而这些福利院通过涉外领养,将这些婴儿送到国外,3000美元赞助费成为境外人士收养每名婴儿的一项正常支出。

    这在客观上刺激着福利院想方设法搜寻婴儿。衡阳县福利院曾为此下达任务:一个职工一年内抱回3个孩子,即算完成当年的工作任务,工资可以得到全额发放,年终还有奖金。

    后来,他们开始通过中介人从外地买进婴儿。越来越多的福利院卷入贩婴潮中。2003年以来,衡南县福利院买进169名婴儿,衡山县福利院买进232名婴儿,衡阳县福利院买进409名婴儿。

    衡阳6家福利院给买进的婴儿伪造虚假资料,向当地派出所报案谎称婴儿为捡拾得来,得到派出所开具的弃婴证明,并顺利通过儿童来源公证,取得证书。

    “婴儿经济”弱化救助责任

    值得警惕的现象是,“婴儿经济”产生的巨大利益,已经开始弱化一些福利院的福利救助责任。一家福利院为节约成本,曾把一个残疾婴儿抛弃在该县乡野,村民发现并报警后,他们只得抱回孩子。

    衡东县福利院附近的一些老人说,福利院越来越戒备森严,有外人要进去看看孩子或老人,福利院总是以“保护婴儿的安全”为由拒绝。

    福利院工作重心转移到“婴儿经济”后,那些入住的老人似乎成了累赘。批评者说,现在进入福利院的老人需缴纳1万元,福利院说是“押金”。而需要救助的老人事实上是交不起这笔钱的。

  • 奇异校园

    2022.10.31 “家长会”变“妈长会”

    成都一位家长张女士说,自己去给孩子开家长会,发现整个家长会“简直就是已婚妇女的姐妹聚会,一眼望去,来的全是妈,大概只有几位男士”。另一位家长陈女士也注意到了这个情况。陈女士的孩子今年读二年级,从幼儿园到现在,家长会都是由陈女士参加,“(妈妈)至少占90%。”成都理工大学附属小学的李老师也说,自己印象最深的一次家长会,43人的班级,结果来了36位妈妈,只有7位爸爸。李老师还提到,有一次一位爸爸来参加家长会,在教室里坐了十几分钟,始终没听到念孩子的名字,这才发现孩子是隔壁班的。

    2022.9.22 小学老师将礼物清单发至家长群

    江苏盐城向阳路小学二年级一老师,将收礼账本发到家长群,收礼账本上共写有15人名字,收礼金额在500到1000元不等。9月23日,盐城市建湖县教育局专项调查组发布情况通报称,经初步核查清单截图属实,当事人已被停职并接受调查。

    2022.9.2 小学一个班级51人53个班干部岗

    一位四川宜宾的家长陈女士称,自己家儿子刚上(荣升)小学二年级,开学第一天,班主任就在班级群发了“班干部竞选岗位表”,为全班51个孩子设置了53个岗位。

    2022年9月1日 马仲武任副区长

    马仲武,男,回族,1983年3月生,博士研究生学历,在美国加州大学做过近四年的联合培养博士和访问学者,主要从事全球气候变化和碳排放研究,在 Nature 杂志上发表过论文。
    2015年,马仲武放弃天津大学副教授职位和30万元奖学金出国继续深造机会,作为北京大学博士后选调生,来到石嘴山市红崖子乡。2016年,被任命为红翔村第一副书记;2017年11月,平罗县红崖子乡党委委员、副乡长、主任科员马仲武出任市工信局党组成员、副局长,并挂职石嘴山市生态经济开发区党工委委员、管委会副主任;2022年2月,拟任正处级领导职务,石嘴山经济技术开发区(陆港经济区)党工委副书记、管委会常务副主任。

    2022.8.22 上海市公安局浦东分局通报中考数学试题泄露案情

    此案涉及周某(女,39岁,上外印务中心装订车间负责人)和非法获取中考试题的犯罪嫌疑人蔡某(女,47岁,本市某妇幼保健院医生)、孙某杰(男,51岁)夫妇。
    泄题是在试卷印刷阶段。
    周某由于工作具有保密性质,经常要被封闭管理,因此也常把女儿送到朋友蔡某家,让其帮忙照顾。而蔡某之女本年要参加中考,于是劝说周将题目拍出来。周答应后,在印刷厂封闭管理前将一部预先准备好的手机带至厂内单身宿舍藏匿。在试卷印制期间,周利用工作便利,逃避技术监控,将试卷带入宿舍并拍下试题,转发给蔡某。
    蔡某将手机拍下的内容手抄出来,以复习题的名义让女儿去做。
    因其中有两道题无解,孙某杰请父亲孙某权(退休数学教师)帮助解答,孙某权亦无法解出,遂通过微信将题目转至某中学负责退管会工作的金某某,后金某某将题目转至本校数学老师赵某某,赵无法解答后转至外校数学教师朱某某,朱因暂时有事遂将题目发至含29名学生的班级微信群要求学生求解,后朱发现题目有误即通知学生不必解答。
    7.12中考数学考试结束后,朱所任班级学生发现考试有两道题与此前微信群里的两道题非常相似,遂将聊天记录截图转发致学生QQ群内求证,截图在多个学生QQ群内传播引起关注。
    这两道题系数学卷第24、25题,之所以解答不出来,是因为蔡从一开始就将题目部分内容抄错了。
    如果蔡没有抄错题,也许这次泄题事件就不会被发现吧。

    2022.7.27 清华大学博士生武某读博期间发表论文100余篇

    从2017年截止到2022年7月27日,清华大学电子工程系的武某某(博士三年级)已经发表108篇论文,以第一作者发表了67篇,包括arXiv的一作论文。其中,CCF A类推荐会议/期刊共计22篇;CCF B类推荐会议/期刊共计9篇;CCF C类推荐会议/期刊共计4篇;Nature子刊共计3篇。
    简单算平均一年发表论文18篇。发文速度约平均每个月发表2篇论文,10多天就写出一篇paper。
    2022年刚过半,武已经发表/投稿了19篇一作论文,差不多10天就写一篇paper。
    武同学论文的谷歌学术引用为2100余次。

    2022.7.19 符新平航拍举报补课

    53岁的符是杭州一位高三地理老师,暑假期间从杭州开始出发,一路向南经过了金华、衢州、丽水、温州等地,驱车五天四夜经行1398里,利用无人机航遂昌中学、龙泉第一中学、庆元中学、泰顺中学、苍南中学拍等浙江八所学校,拍下了这些学校暑假补课的证据,并且实名举报给当地的教育局。

    2022.7.26 华中科技大学博导10年没有一个博士生毕业

    华中科技大学计算机学院陈汉华十年博导无一博士毕业,那些转投到其他博导的人却能顺利毕业,这说明什么问题。是学生的问题,还是老师的问题,是老师的指导能力问题,还是其他什么问题?

    2022年7月7日,邵阳学院引进菲律宾博士

    该日,邵阳学院人事处在学校网站发布《出国攻读博士毕业返校与同类型拟引进博士名单待遇公示》,拟对出国攻读博士毕业返校博士22名、同类型博士引进1名,按照相关文件落实相关待遇。其中,每位博士引进费35万元,科研启动费15万元,过渡性租房补贴14.4万元,不需解决配偶工作增加引进费20万元,每位博士的引进花费共计84.4万元,总计费用1800多万。
    这23名博士均是2019年8月-2021年12月在亚当森大学完成博士学历,所学专业均为哲学(教育学),除一位音乐舞蹈学院的副教授备注为“校外引进”外,其余22名博士之前便为该校工作人员,备注均为“毕业返校”,他们却分别就职于该校机械与能源工程学院、理学院、体育学院等多个“专业不对口”的二级学院。
    邵阳学院的这份引进人才待遇公示使高校批量培养海外在职博士专业不对口、仅有两年多的在读时间和疫情期间的网课培养模式,令人对其培养质量感到担忧。与此同时,菲律宾亚当森大学被教育部留学服务中心列入“学历学位认证加强认证审查”名单,属于不被推荐留学的高校。派出本校在职老师读博深造,再高薪人才引进;拿博士学位的又是哪些人。

    2022年7月6日,社科院大学博士生下载论文被封ip

    7月6日,中国社科大图书馆发文称,由于该校读者违规使用《Westlaw Classic法律在线》数据库,该校接到数据库商的通报,学校IP受到该数据库商封禁。通报称,经网络中心和图书馆联合调查,确认为该校法学院2018级博士研究生所为。该生在2022年6月16日137分钟内下载842篇文献,6月17日137分钟内下载1736篇文献,即4.5小时下载2578篇论文。
    7月4日,国防科技大学发布通告称,近期学校频繁出现个别人员违规过量下载《科学文库》数据库资源的情况,导致学校相关IP地址被封禁。
    北京大学、中国人民大学、同济大学等高校,此前均因过量下载遭Westlaw数据库封禁IP。
    众多高校图书馆也曾发布禁止过量下载数据库信息的公告,如西安电子科技大学、中国地质大学、云南大学、海南大学等,提醒学生重视和遵守使用电子资源知识产权的有关规定,正常合理使用图书馆订购的各类数据库资源。

    宇宙尽头是编制

    2022年7月6日,中国国家话剧院公示《2022年应届毕业生招聘拟聘人员》,知名艺人易烊千玺、罗一舟、胡先煦等均位列演员1岗,且无需笔试流程直接进入面试,为此前未有之先例。
    2020年9月,中国煤矿文工团公开招聘拟聘用名单公示,刘昊然名字在列。
     2017年,北京丝芭传媒旗下女团SNH48成员陈逸菲考入上海市高级人民法院,进入编制后无需支付违约金便可直接与公司解约。

    2022年7月6日:陈春花与华为

    该日上午,华为公共及政府事务部在心声社区发布《声明》称:“近期网络上有1万多篇夸大、演绎陈春花教授对华为的解读、评论,反复炒作,基本为不实信息,我们收到不少问询,所以正式声明:华为与陈春花教授无任何关系,华为不了解她,她也不可能了解华为。”
    陈春花:任北京大学国家发展研究院BiMBA商学院院长、北京大学王宽诚讲席教授、知室联合创始人等职;其参股公司运营有自媒体“春暖花开”(微信公众号)。
    让人质疑的还有陈春花的学位:她在获得硕士学位( 新加坡国立大学企业管理研究生院工商管理硕士 (2000年) )之后,仅仅一年之后就获得了博士学位( 爱尔兰欧洲大学工商管理博士(2001年) )。
    据称,爱尔兰欧洲大学没有得到爱尔兰任何官方机构的认可,爱尔兰官方认证爱尔兰欧洲大学就是一个“卖学历的工厂”。

    2022年6月12日,尹明昊:牛磺酸泡腾片

    中午12时左右,上海外国语大学德语系2019级卓越学院高级翻译班班长尹明昊(男,21岁),在学校图书馆内趁某女生离开座位之际,向其咖啡杯中投放不明物体。该女生返回座位喝了一口,感觉味道不对,立即吐掉,随机向并向学校保卫部门报告。学校保卫处随即进行报警处理,经过医院相关权威机构鉴定,不明物体是牛磺酸泡腾片。
    尹明昊在大学期间是一位品学兼优的好学生,曾荣获积极入党分子,军训积极分子,班长,保送生等称号。

    2022年6月10日,刘中伟:很正常的故意伤害

    2022年6月10日凌晨2点40分,在唐山市的一家烧烤店里,几名女子遭到九名暴徒惨无人道的殴打,引起舆论的极度关注和愤怒。
    西南政法大学法学院学生刘中伟认为:
    “看师兄师姐、师弟师妹都发了,我也说两句,不喜欢直接把好友删了就行,不用评论区开喷,道不同不相为谋。
    刑法人身犯罪这章没几条温和的,刺激的视频你看不到,236条在你嘴里永远是那几个字,连细节描写都没有,你没见过,估计你也脑补不出来。可以去网上看看虐猫视频,然后再试着脑补一下。
    感觉这个人就运气不是很好吧,被人录下来发出来了,其实喝醉了的男人,我觉得我要是喝大了跟他差不多,也就劲没他大估计。所以说强迫一个喝大的人做什么有理智的行为没必要。
    总是嘛,就一个很正常故意伤害(我觉得想象竞合后应该是这个),没啥可说的。至于受害者,同情弱者是人的本性,但表达同情的同时也劝她反思一下为什么中奖的是她。
    男人喝醉了伤害的是女人的身体。
    女人喝醉了伤害的是男人的心!
    接受删好友,不接受批评。”
    刘被批评之后,开始担心其自己的前途,担心自己不能保研:
    “前途不就完蛋了吗。我真的应该少说话,特别是把女性权益当儿戏这种话憋在心里,以免惹得挨骂,断我仕途。被正义爆破让我真的怕了。谢谢我的老师和同学,他们批评我的同时,还没有把我退学,这种帮助让我觉得我还能洗白,也让我更加有底气写出这篇充满侥幸,避重就轻的小作文!我怕了,我除了挨骂也没有其他挣扎的办法,真的怕了。再次向大家说声我怕了!别影响我的前途!”

    2022年2月8日,邢台学院引进13名韩国博士

    邢台学院公布了一份2021年公开选聘拟聘人员名单,共13人,均为韩国高校女博士,根据名单发现,这批博士此前或为邢台学院在职教师。有人认为“这则面向社会的公开招聘,最终入选的人员均毕业于韩国高校(其中7人为韩国又石大学),而且中国留学生赴韩攻读博士,学的竟是中国学和教育学等专业,未免有些荒唐。”
    据韩国2019年《东亚日报》报导:中国不少地方本科院校与韩国高校合作,组织教师赴韩读博,12天便可读完博士一学期课程。一时间“速成博士”“韩国大学沦为学历加工厂”等话题引发关注。随后韩方要求高校严格管理大学学位制度,相关涉事大学也停止了有关项目。
    从目前形势看,“速成博士”项目依旧在源源不断地招生。

    2021 经过大学学习,批判性思维能力和学术技能水平均出现了下降

    《Nature》子刊《自然人类行为》杂志的一项研究显示:中国学生在经过大学学习后,批判性思维能力和学术技能水平均出现了下降。
    这项名为Supertest的测试由斯坦福大学(Stanford University)、莫斯科国立高等经济学院(HSE University Moscow)、教育考试服务中心(ETS)以及国内北京大学、清华大学和印度的合作大学共同发起。
    在这项针对俄罗斯、中国、印度和美国工科学生学业表现的大规模研究中,研究人员首次跟踪统计了计算机科学和电子工程专业学生在物理、数学和批判性思维能力等方面的进步,并比较4个国家的研究结果。超过3万名本科生参与了这项研究。研究人员收集了来自四个国家的精英大学和大型大学的学生样本,每个国家的学生数量大致相等,该测试对学生们的技能发展进行了3次测量——进入大学时、第二年学习结束时和毕业时。
    从研究数据来看,无论是在大学第一年入学时还是第二年末,中国学生的数学和物理成绩在中印俄三国中一直都处于最高水平。但令人惊讶的是,中国学生经过大学学习后,数学和物理成绩不但没有进步反而出现了退步。俄罗斯学生的数学和物理成绩低于中国学生,但数学成绩高于印度学生。经过两年的学习,俄罗斯和中国学生之间的差距缩小了,而印度学生在数学方面赶上了俄罗斯学生。
    在刚刚入学时,中国学生的批判性思维能力与美国学生差距不大,明显高于印度和俄罗斯学生。但在大学毕业时批判性思维能力显著下降,能力水平被俄罗斯学生反超,而美国学生则在毕业时批判性思维能力有了显著提高,在四国学生中“鹤立鸡群”。
    数据还揭示了一个出人意料的结果——中国精英大学和普通大学的学生能力发展都呈下降趋势。

    2021.8.9 家长请老师补课,孩子入学后举报

    沈阳一家长有一对双胞胎的孩子,因为孩子有些偏科,怕影响升学,于是费尽周折托熟人找了一位老师补课。
    当时这位老师对补课并不情愿,因为她是在编教师。在中间人的劝说下,老师冒险答应了。最后商定的结果是老师打算每节课收费100元,一天补四节课、15天,家长应该支付6000元补课费。一起补课的四个孩子,其中一个是老师的亲戚不收费,总计收费9000元,两个老师分。
    补完课后,孩子成绩进步明显,顺利考入高中。
    到让家长交学费的时候,家长不乐意了,理由是老师给自己的亲戚免费补课了,为什么给自己孩子补还要收费?想少交1000元,老师没有同意。
    当然,这位家长最开始想着给孩子补课,就没想着要交钱。于是,让自己的孩子在课上偷偷拍下老师补课的视频“作为证据”,以及自己给老师的转账截图,要求老师退还6000元的补课费,不然就举报老师。
    家长举报到教育局后,教育局处理意见是全额退款,等待进一步处理。
    老师退还了6000元的补课费。
    这位家长进一步要求老师支付2000元的“安抚费”,老师也同意这位家长的做法。而家长托的那位熟人感觉特别对不住补课老师,他愿意支付其中的1000元,想和家长私了这件事,家长写下了谅解书。
    但这位家长拿了2000元以后,再次向教育局举报这位补课的物理老师。
    老师接到教育局再次去正式写材料的通知,证实了家长的食言。
    从教育局传出一段的对话是这样的:
    “是你主动委托熟人请老师补课,补完了再来举报老师是这样的吗?”
    家长:“是的,亲戚的孩子能免费,为什么我的孩子们不免费呢?她捎带的上就行了?”

    2021.8.4 香港博士生向蜗牛撒盐被捕

    当天傍晚,一名26岁香港理工大学计算机科学系博士拿着食盐撒在草地上的3只蜗牛身上,很快蜗牛脱水而亡。有市民询问,该男子表示蜗牛“危害生态”,所以要消灭它们。该男子的这一行为引来另一市民的不满,遂将该男子行为发至网上并谴责,之后香港当地动物罪案警察专队迅速以涉嫌残酷对待3只蜗牛,将其逮捕。

    学术界的帽子

    一、八大铁帽子
    据不完全统计,目前国家层面的人才计划近20个:“杰出青年科学基金”(俗称“杰青”)、“优秀青年科学基金”(简称“优青”)、“长江学者”(简称“长江”)、“青年长江学者”(俗称“小长江”)、“新世纪优秀人才支持计划”“万人计划”“创新人才推进计划”等。
    其中,院士、千人、长江、杰青、青千、青江、优青、青尖被称为“铁帽子”
    1. 院士:待遇面议,学术江湖的任我行;
    2. 千人:目前国内学术市场通吃选手(其中老千太多),全职薪水行情大约在80-100万之间;【千人又可以分为好多种类:全职千人(A类)、短期千人(B类)与外专千人(C类)】;
    3. 长江学者:这是目前学术市场争议比较少的铁帽子,薪水行情大约在:60-100万之间;
    4. 杰青:目前市场热销的铁帽子,薪水行情大约在:60-80万之间;
    5. 青年千人:这是目前最市场最看好的铁帽子,薪水行情大约在:40-60万之间;
    6. 青年长江:这是目前被市场追捧的新铁帽子,薪水行情目前大约在:40-60万之间;
    7. 优秀青年基金:这是目前市场上认可度很高的铁帽子:薪水行情大约在:30-40万之间;
    8. 青年拔尖人才:这也是目前市场上认可度很高的铁帽子:薪水行情大约在:30-40万之间。
    上述1-4类被称作人才市场的四大天王,也称老铁帽子王;5-8类被称作学术界的四小金刚,也称小铁帽子王。

    二、各种安全帽、礼帽和草帽
    而省市级和各级各类学校的人才计划也不少于100个。
    据不完全统计,“泰山学者”“中原学者”等省市级人才计划至少有27个,“黄河学者”“昆仑学者”等校级人才计划79个。
    这100多个全国各级各类的创新人才计划,就对应着100多顶“帽子”。仅次于国字号的有“安全帽”,大多是省部级人才计划:
    1. 百人计划。这是中科院独家出品【其他分号产的百人计划市场认可度较低】。百人计划薪水行情大约在40-60万之间【与铁帽子5、6相当,其中百人A类大多已经是铁帽子1、2、3类】。
    百人计划也分多钟:百人计划(A类)【学术帅才】,百人计划(B类)【技术英才】百人计划(C类)【青年俊才】,由于中科院的独特地位,这类学者是准国字号。另外,百优待遇与其接近,可惜百优目前已经停产了。
    为什么教育部的人才计划比不过中科院,关键是人家中科院投钱(百人计划启动金200万),教育部没有(比如教育部新世纪人才计划)。
    2. 各类省级“安全帽型”学者,如泰山学者、芙蓉学者、三秦学者、西湖学者等。种类繁多,待遇不可小觑,据网上观察,这些安全帽学者的薪水行情大约在40-50万之间。
    3. 地市级及高校的“礼帽型”学者。这类帽子是有时间限制的,一旦获得,可以快乐安心的生活几年,薪水行情大约在20-50万【幅度比较大,这里分类很细,上限如各学校的特聘教授】。
    4. 学校里的各类“草帽型”学者。【如学科带头人等】薪水行情大约在20-30万之间。

    2021 北大学生心理调查报告

    北京大学心理学教授徐凯文针对北大大一的学生和研一的学生的心理状况做了一个调查,得出来的数字非常震惊:30.4%的学生觉得学习是毫无意义的,很厌学,40.4%的人认为活着没有意义。

    2020.5.25 桂冠三年发表论文180余篇

    美国电气和电子工程师协会(ieee)拥有多种期刊并每年发起或举办数百次专业会议。据ieeexplore网站的检索结果,该网站总共收录南京邮电大学通信与信息工程学院教授、博士生导师桂冠发表的论文197篇,其中仅2017~2020年三年间,就收录文章139篇,包括期刊ieee access 52篇、ieee tvt 21篇。且仅在2020年不到5个月的时间里,桂冠就有25篇论文被该网站收录。
    另据计算机领域的英文文献统计网站dblp统计,桂冠自2017年至2020年在各种期刊、会议上发表的论文共186篇。
    桂冠发了52篇ieeeaccess,ieee tvt 21篇,按照南邮以往的奖励标准,奖金总额应在80万左右。
    其学生黄某基曾冒充北大学生、被清华取消保研资格,成为美国加州理工学院电气工程系2020年在中国大陆录取的唯一一位博士生。黄某基在南京邮电大学读本科时期,就在国际期刊上发表了数篇学术论文。

    2015年9月16日 超过半数高校教师产生了职业倦怠情绪

    麦可思研究院发布《腾讯-麦可思大学教师职业倦怠调查》显示,大学教师教龄越长,职业倦怠发生频率越高,本科院校、高职高专院校的教师产生职业倦怠的原因不尽相同。“超过半数高校教师每个学期都会在实际工作中感到精疲力竭”“高职高专院校约五成副教授、讲师、助教认为‘个人职业成就感低’导致他们产生职业倦怠情绪”。

    2015年5月3日:史上年龄最小的腐败官员

    时年13岁的安徽蚌埠市怀远县火星小学副班长小赐,5年受贿2万多元,成为“史上年龄最小的腐败官员”。
    小赐(2002年出生)向同学索贿、受贿是从2年级开始的,当时他才9岁。小赐所在的班级最开始有20多人,但等到读到6年级时,就只剩下7人。他们分别是:班长小东、副班长兼语文课代表小赐、小运、小然、小岩、小江和小邢。除了小邢13岁外,其余6人都是13岁和14岁(本文涉及的学生均为化名)
    而班主任一直都是语文老师顾利珍,小赐也一直是副班长兼语文课代表。小赐行事作风很强硬,又是语文课代表,还被老师赋予了检查作业和监督背书的权力,所以连班长小东都很怕他。作为副班长兼语文课代表,刚开始小赐还算公平公正,严格检查同学们的作业和背书。奈何小东、小运这6位同学都爱玩,经常会出现作业没完成和书背不出来的情况。如果作业没完成或者是书背不出来,班主任顾利珍就会体罚他们,比如蹲马步,用扫帚打背、打屁股,狠狠地打。因此,同学们都很怕班主任,怕她会体罚自己。在这种情况下,同学们为了能通过背书和检查作业,就会把自己的零食分享给副班长小赐。渐渐地,如果同学们没有零食,小赐就会索要。如果小赐的要求没得到满足,就会把情况告诉给班主任,让班主任来教训同学们。久而久之,同学们都很怕小赐。
    到了3年级的时候,小赐开始沉迷于上网玩游戏,不再满足同学们给零食,开始向同学们索要钱,并让同学们给他买早饭。几块、十块、十几块,同学们把自己的零花钱,都给了小赐。到了4年级,小赐又让有自行车的小江送他上网吧,并让他在规定的时间里来网吧接自己回学校。此外,小赐还规定同学们每周必须要给自己钱。如果要检查作业了,就得额外收更多的钱。到了5年级,小赐的胃口更大了,从十几块到几十块、上百块,甚至几百块。一位已经转学的女孩子小静称,在5年级时,曾一次从家里偷了800块给小赐。小静还是“孝敬”小赐钱最多的同学,总计有1万多。因为她常常帮妈妈在超市卖东西,得手的机会最多。其他6位同学,5年时间里最少的也给了2000多,最多的有4000出头。而小赐把同学“孝敬”的钱,都用来买游戏装备了。据统计,在5年时间里,这个13岁小学副班长小赐,受贿2万多元。据悉,小赐索贿受贿的手段与过程越到后面,越令人震惊,完全不像是个小学生。比如同学们不给钱,小赐就会把同学们做好的作业给撕掉扔掉,就算是背出了书,也不让通过。有家长说,他曾经头天晚上看孩子完成了作业,但第2天仍然接到班主任电话,称孩子作业没完成。最绝的是,小赐会根据每个孩子向家里拿钱得手的难易程度,以及各家的经济状况,制定拿钱的数量。如果家里经济条件不错,钱好拿,那就会要求多拿,反之就少拿。有一次,小邢的家长发现孩子偷钱,找到学校,在小赐的课桌里找到了钱。此后,同学们每次拿来钱,小赐就不再收下,而是先点数,指定一个学生保管,等他用的时候,再拿来。当然了,同学们也不是没反抗过,但没用。他们曾经向班主任顾利珍投诉过小赐3次,可小赐副班长兼语文课代表的职位牢不可撼。小赐后来为了报复同学们,逼他们吃翔喝尿。比如5年级下学期的时候,小赐在教室里朝瓶子里撒了尿,并让小运跟小东也朝里边尿,最后逼迫他们喝掉。6年级的时候,他们又集体喝了一次,理由是作业没写完,不喝不行。除了喝尿,小赐还逼迫同学们吃翔。2015年51放假前几天,同学们因为没有拿到钱,小赐就让他们用零食袋捏出指甲盖大小的翔吃下去。次日,因为小岩在家偷钱被家长发现,没能拿到钱给小赐。然后在小赐的监督下,小运与小岩、小然又吃了一点翔。一句话,这个7个人的小班级,就像是小赐的王国。同学们过不了关也能过;不拿钱,同学们过得了也不能过。逼人吃屎喝尿、打人、“专车”接送、指定“会计”、专人买早餐等等。案发后,小赐还威胁小江:你等着,放假弄死你。
    2013年5月3日家长见面会之后,小赐转学去了其他学校。

    高校的级别

    普通高校没有部级之说,普通本科高校都是正厅级架构。但31所“中管高校”的书记和校长由中组部任命,即个人明确为“副部长级”,因而学校被误传为了“副部级”高校。
    在学术界享受副部级待遇的还有院士(或教授一级岗)。
    中管高校的领导班子配备:
    1. 书记、校长副部长级; 2. 常务副书记、副校长正厅(局)级; 3. 其他副书记、副校长一般是副厅(局)级,个别会高配正厅(局)级; 4. 学校内设工作部门(如总务处、财务处等)及二级学院正处级。
    特殊院校:1. 中央党校(国家行政学院)正部级; 2. 中央社会主义学院(中华文化学院)副部级; 3. 国防大学副战区级; 4. 国防科技大学正军级。

  • 绝妙对联

    联語自成一体,古今累积甚多,然能称“绝妙”二字者殊难,文、情、技三者并有,独立成篇,方为天成,可资品记。

    生活

    室雅何须大,花香不在多

    淡泊以明志,宁静而致远

    静听鱼戏月,笑看鸟谈天

    静坐常思己过,闲谈莫论人非

    万卷古今消永日,一窗昏晓送流年

    三分冷淡存知己,一曲微茫动古今

    自静其心延寿命,无求于物镸精神

    酒常微醺狂言少,心不能静乱梦多

    尘世难逢开口笑,老夫聊发少年狂

    书似青山常乱叠,灯如红豆最相思

    春风大雅能容物,秋水文章不染尘

    假作真时真亦假,无为有处有还无

    人似秋鸿来有信,事如春梦了无痕

    年年海棠花下影,岁岁红楼梦中人

    品性详明,德行坚定;事理通达,心气和平

    开口便笑,笑天下可笑之人;大肚能容,容天下难容之事

    风声雨声读书声,声声入耳;家事国事天下事,事事关心

    志趣

    铁肩担道义,妙手著文章

    海阔凭鱼跃,天高任鸟飞

    海为龙世界,云是凤家乡

    俯仰不愧天地,褒贬自有春秋

    心事如青天白日,立品如光风霁月

    千秋青史几泰岳,万古云霄一羽毛

    胸中有矩乾坤大,心底无私天地宽

    合安利勉而为学,通天地人之谓才

    桃李春风一杯酒,江湖夜雨十年灯

    海纳百川,有容乃大;壁立千仞,无欲则刚

    宠辱不惊,看庭前花开花落;去留无意,望天外云卷云舒

    删繁就简三秋树,领异标新二月花

    苟有恒,何必三更眠五更起;最无益,莫过一日曝十日寒

    书山有路勤为径,学海无涯苦作舟

    宝剑锋从磨砺出,梅花香自苦寒来

    业精于勤而荒于嬉,行成于思而毁于随

    有操守而无盛气,多条理而少大言

    万物静观皆自得,一生爱好是天然

    阐旧邦以辅新命,极高明而道中庸

    因系苍生说人话,莫为帝王唱赞歌

    笔墨写尽天下事,魂魄忧惧误苍生

    文字

    燕燕莺莺,花花叶叶,卿卿朝朝暮暮;
    寻寻觅觅,冷冷清清,凄凄惨惨戚戚

    烟锁池塘柳,炮镇海城楼

    雾锁山巅山锁雾,天连水尾水连天

    踏破磊桥三块石,劈开出路两重山

    六木森森,杨柳梧桐松柏;四火燚燚,烽烟灰烬焱熄

    迎送远近通达道,进退迟速游逍遥

    黄山落叶松叶落山黄,西湖印月塔月印湖西

    寸土为寺,寺旁言詩,詩曰:明月送僧归古寺;
    双木成林,林下示禁,禁云:斧斤以时入山林

    山山水水,处处明明秀秀;晴晴雨雨,时时好好奇奇

    鸡犬过霜桥,一路梅花竹叶;燕莺穿绣幕,半窗玉剪金梭

    水底月为天上月,眼中人是面前人

    千江水流千江月,万里云渡万里天

    十口心思,思人思我思社稷;八目尚賞,賞风賞月賞秋香

    情景

    春水渡旁渡,夕阳山外山

    窗小千年月,泉细万年音

    山光悦鸟性, 潭影空人心

    千年古树为衣架,万里大江作浴盆

    白马西风塞上,杏花烟雨江南

    花气袭人知昼暖,酒香锁梦因春寒

    天若有情天亦老,月如无恨月长圆

    泉自几时冷起,峰从何处飞来

    峰从何处飞来,历历汉阳,正是断魂迷楚雨;
    我欲乘风归去,芒芒禹迹,可能留命待桑田

    四面荷花三面柳,一城山色半城湖

    青山不墨千秋画,绿水无弦万古琴

    汉水接苍茫,看滚滚江涛,流不尽云影天光,万里朝宗东入海;
    锦城通咫尺,听纷纷丝管,送来些鸟声花气,四时引兴此登楼

    楼高但任云飞过,池小能将月送来

    客上天然居,居然天上客;僧游云隐寺,寺隐云游僧

    有亭翼然,可许题诗邀明月;斯人宛在,曾经把酒问青天

    松下围棋,松子每随棋子落;柳边垂钓,柳丝常伴钓丝悬

    何时黄鹤重来,且自把金樽,看洲渚千年芳草;
    今日白云尚在,问谁吹玉笛,落江城五月梅花

    天作棋盘星作子,明明朗朗谁敢下;
    地为琵琶路为弦,清清楚楚孰能弹

    不设樊篱,恐风月被他拘束;大开户牖,放江山入我襟怀

    清风明月自来往,流水高山无古今

    清风明月本无价,近水遥山皆有情

    几点梅花归笛孔,一湾流水入琴心

    一径竹阴云满地,半帘花影月笼纱

    寒潭渡鹤影,冷月葬诗魂

    地镇高岗,一派溪山千古秀;门朝大海,三河合水万年流 

    世态

    江山有代谢,愤怒出诗文

    山雨欲来风满楼,春江水暖鸭先知

    世事洞明皆学问,人情练达即文章

    此曲只应天上有,斯人莫道世间无

    长江后浪推前浪,一代新人换旧人

    人迹似纸张张薄,世事如棋局局新

    看似寻常最奇崛,成如容易却艰辛

    道尽世间名利事,可怜天下父母心

    曲终人散皆是梦,机关算尽终成空

    时来天地皆同力,运去山河不自由

    假作真时真亦假,无为有处有还无

    但愿世间人无病,何惜架上药生尘

    须从根本求生死,莫向支流辩浊清

    可怜无定河边骨,犹是春闺梦里人

    强来但听清风拂山岗,横到且看明月照大江

    墙上芦苇,头重脚轻根底浅;山间竹笋,嘴尖皮厚腹中空

    说你行,你就行,不行也行;说不行,就不行,行也不行

    炮火连天,只为改朝换代;尸横遍野,俱是民家子弟

    为众抱薪,不当冻毙于风雪;自求光亮,亦能照人以清明

    论心不论迹,论迹天下无孝者;论迹不论心,论心世上少完人

    应和

    一元复始,万象更新

    建阳多庆,立春大吉

    新年纳余庆,嘉节号长春

    愿持山作寿,常与鹤为群

    人生得一知已足矣,斯世当以同怀视之

    两卷新诗,廿年旧友,相逢同是天涯,只为佳人难再得;
    一声何满,九点齐烟,化鹤重归华表,应愁高处不胜寒。

    九万里南天鹏翼,直上扶摇,怜他忧患余生,萍水相逢成一梦;
    十八载北地胭脂,自悲沦落,赢得英雄知己,桃花颜色亦千秋。

    宰相合肥天下瘦,司农常熟世间饥

    邻有丧舂不相,里有殡不巷歌

  • KANT《CRITIQUE OF JUDGEMENT》

    TRANSLATED WITH INTRODUCTION AND NOTES BY J. H. BERNARD, D.D., D.C.L.
    BISHOP OF OSSORY SOMETIME FELLOW OF TRINITY COLLEGE, AND ARCHBISHOP KING’S PROFESSOR OF DIVINITY IN THE UNIVERSITY OF DUBLIN
    SECOND EDITION, REVISED
    MACMILLAN AND CO., LIMITED ST. MARTI N’S STREET, LONDON 1914

    CONTENTS
    Editor’s Introduction
    Preface
    Introduction
    I. Of the division of Philosophy
    II. Of the realm of Philosophy in general
    III. Of the Critique of Judgement as a means of combining the two parts of Philosophy into a whole
    IV. Of Judgement as a faculty legislating a priori 17
    V. The principle of the formal purposiveness of nature is a transcendental principle of Judgement 20
    VI. Of the combination of the feeling of pleasure with the concept of the purposiveness of nature 27
    VII. Of the aesthetical representation of the purposiveness of nature 30
    VIII. Of the logical representation of the purposiveness of nature 35
    IX. Of the connexion of the legislation of Understanding with that of Reason by means of the Judgement
    First Part.—Critique of the Aesthetical Judgement
    First Division.—Analytic of the Aesthetical Judgement
    First Book.—Analytic of the Beautiful
    First Moment of the judgement of taste, according to quality
    §  1. The judgement of taste is aesthetical
    §  2. The satisfaction which determines the judgement of taste is disinterested 46

    §  3. The satisfaction in the pleasant is bound up with interest 48

    §  4. The satisfaction in the good is bound up with interest 50

    §  5. Comparison of the three specifically different kinds of satisfaction 53

    Second Moment of the judgement of taste, viz. according to quantity 55

    §  6. The Beautiful is that which apart from concepts is represented as the object of a universal satisfaction 55

    §  7. Comparison of the Beautiful with the Pleasant and the Good by means of the above characteristic 57

    §  8. The universality of the satisfaction is represented in a judgement of Taste only as subjective 59

    §  9. Investigation of the question whether in a judgement of taste the feeling of pleasure precedes or follows the judging of the object 63

    Third Moment of judgements of taste according to the relation of the purposes which are brought into consideration therein 67

    § 10. Of purposiveness in general 67

    § 11. The judgement of taste has nothing at its basis but the form of the purposiveness of an object (or of its mode of representation) 69

    § 12. The judgement of taste rests on a priori grounds 70

    § 13. The pure judgement of taste is independent of charm and emotion 72

    § 14. Elucidation by means of examples 73

    § 15. The judgement of taste is quite independent of the concept of perfection 77

    § 16. The judgement of taste, by which an object is declared to be beautiful under the condition of a definite concept, is not pure 81

    § 17. Of the Ideal of Beauty 84

    Fourth Moment of the judgement of taste, according to the modality of the satisfaction in the object 91

    § 18. What the modality in a judgement of taste is 91

    § 19. The subjective necessity which we ascribe to the judgement of taste is conditioned 92

    § 20. The condition of necessity which a judgement of taste asserts is the Idea of a common sense 92

    § 21. Have we ground for presupposing a common sense? 93

    § 22. The necessity of the universal agreement that is thought in a judgement of taste is a subjective necessity, which is represented as objective under the presupposition of a common sense 94

    General remark on the first section of the Analytic 96

    Second Book.—Analytic of the Sublime 101

    § 23. Transition from the faculty which judges of the Beautiful to that which judges of the Sublime 101

    § 24. Of the divisions of an investigation into the feeling of the Sublime 105

    A.—Of the Mathematically Sublime 106

    § 25. Explanation of the term “Sublime” 106

    § 26. Of that estimation of the magnitude of natural things which is requisite for the Idea of the Sublime 110

    § 27. Of the quality of the satisfaction in our judgements upon the Sublime 119

    B.—Of the Dynamically Sublime in Nature 123

    § 28. Of Nature regarded as Might 123

    § 29. Of the modality of the judgement upon the sublime in nature 130

    General remark upon the exposition of the aesthetical reflective Judgement 132

    Deduction of [pure] aesthetical judgements 150

    § 30. The Deduction of aesthetical judgements on the objects of nature must not be directed to what we call Sublime in nature, but only to the Beautiful 150

    § 31. Of the method of deduction of judgements of taste 152

    § 32. First peculiarity of the judgement of taste 154

    § 33. Second peculiarity of the judgement of taste 157

    § 34. There is no objective principle of taste possible 159

    § 35. The principle of Taste is the subjective principle of Judgement in general 161

    § 36. Of the problem of a Deduction of judgements of Taste 162

    § 37. What is properly asserted a priori of an object in a judgement of taste 164

    § 38. Deduction of judgements of taste 165

    § 39. Of the communicability of a sensation 167

    § 40. Of taste as a kind of sensus communis 169

    § 41. Of the empirical interest in the Beautiful 173

    § 42. Of the intellectual interest in the Beautiful 176

    § 43. Of Art in general 183

    § 44. Of beautiful Art 185

    § 45. Beautiful art is an art in so far as it seems like nature 187

    § 46. Beautiful art is the art of genius 188

    § 47. Elucidation and confirmation of the above explanation of Genius 190

    § 48. Of the relation of Genius to Taste 193

    § 49. Of the faculties of the mind that constitute Genius 197

    § 50. Of the combination of Taste with Genius in the products of beautiful Art 205

    § 51. Of the division of the beautiful arts 206

    § 52. Of the combination of beautiful arts in one and the same product 214

    § 53. Comparison of the respective aesthetical worth of the beautiful arts 215

    § 54. Remark 220

    Second Division.—Dialectic of the Aesthetical Judgement 229

    § 55. 229

    § 56. Representation of the antinomy of Taste 230

    § 57. Solution of the antinomy of Taste 231

    § 58. Of the Idealism of the purposiveness of both Nature and Art as the unique principle of the aesthetical Judgement 241

    § 59. Of Beauty as the symbol of Morality 248

    § 60. Appendix:—Of the method of Taste 253

    Second Part.—Critique of the Teleological Judgement 257

    § 61. Of the objective purposiveness of Nature 259

    First Division.—Analytic of the Teleological Judgement 262

    § 62. Of the objective purposiveness which is merely formal as distinguished from that which is material 262

    § 63. Of the relative, as distinguished from the inner, purposiveness of nature 268

    § 64. Of the peculiar character of things as natural purposes 272

    § 65. Things regarded as natural purposes are organised beings 275

    § 66. Of the principle of judging of internal purposiveness in organised beings 280

    § 67. Of the principle of the teleological judging of nature in general as a system of purposes 282

    § 68. Of the principle of Teleology as internal principle of natural science 287

    Second Division.—Dialectic of the Teleological Judgement 292

    § 69. What is an antinomy of the Judgement? 292

    § 70. Representation of this antinomy 293

    § 71. Preliminary to the solution of the above antinomy 296

    § 72. Of the different systems which deal with the purposiveness of Nature 298

    § 73. None of the above systems give what they pretend 302

    § 74. The reason that we cannot treat the concept of a Technic of nature dogmatically is the fact that a natural purpose is inexplicable 306

    § 75. The concept of an objective purposiveness of nature is a critical principle of Reason for the reflective Judgement 309

    § 76. Remark 313

    § 77. Of the peculiarity of the human Understanding, by means of which the concept of a natural purpose is possible 319

    § 78. Of the union of the principle of the universal mechanism of matter with the teleological principle in the Technic of nature 326

    Appendix.—Methodology of the Teleological Judgement
    § 79. Whether Teleology must be treated as if it belonged to the doctrine of nature
    § 80. Of the necessary subordination of the mechanical to the teleological principle in the explanation of a thing as a natural purpose
    § 81. Of the association of mechanism with the teleological principle in the explanation of a natural purpose as a natural product
    § 82. Of the teleological system in the external relations of organised beings
    § 83. Of the ultimate purpose of nature as a teleological system 352

    § 84. Of the final purpose of the existence of a world, i.e. of creation itself 359

    § 85. Of Physico-theology 362

    § 86. Of Ethico-theology 370

    § 87. Of the moral proof of the Being of God 377

    § 88. Limitation of the validity of the moral proof 384

    § 89. Of the use of the moral argument 392

    § 90. Of the kind of belief in a teleological proof of the Being of God
    § 91. Of the kind of belief produced by a practical faith
    General remark on Teleology

    EDITOR’S INTRODUCTION

    There are not wanting indications that public interest in the Critical Philosophy has been quickened of recent days in these countries, as well as in America. To lighten the toil of penetrating through the wilderness of Kant’s long sentences, the English student has now many aids, which those who began their studies fifteen or twenty years ago did not enjoy. Translations, paraphrases, criticisms, have been published in considerable numbers; so that if it is not yet true that “he who runs may read,” it may at least be said that a patient student of ordinary industry and intelligence has his way made plain before him. And yet the very number of aids is dangerous. Whatever may be the value of short and easy handbooks in other departments of science, it is certain that no man will become a philosopher, no man will even acquire a satisfactory knowledge of the history of philosophy, without personal and prolonged study of the ipsissima verba of the great masters of human thought. “Above all,” said Schopenhauer, “my truth-seeking young friends, beware of letting our professors tell you what is contained in the Critique of the Pure Reason”; and the advice has not become less wholesome with the lapse of years. The fact, however, that many persons have not sufficient familiarity with German to enable them to study German Philosophy in the original with ease, makes translations an educational necessity; and this translation of Kant’s Critique of the faculty of Judgement has been undertaken in the hope that it may promote a more general study of that masterpiece. If any reader wishes to follow Schopenhauer’s advice, he has only to omit the whole of this prefatory matter and proceed at once to the Author’s laborious Introduction.

    It is somewhat surprising that the Critique of Judgement has never yet been made accessible to the English reader. Dr. Watson has indeed translated a few selected passages, so also has Dr. Caird in his valuable account of the Kantian philosophy, and I have found their renderings of considerable service; but the space devoted by both writers to the Critique of Judgement is very small in comparison with that given to the Critiques of Pure and Practical Reason. And yet the work is not an unimportant one. Kant himself regarded it as the coping-stone of his critical edifice; it even formed the point of departure for his successors, Fichte, Schelling and Hegel, in the construction of their respective systems. Possibly the reason of its comparative neglect lies in its repulsive style. Kant was never careful of style, and in his later years he became more and more enthralled by those technicalities and refined distinctions which deter so many from the Critical Philosophy even in its earlier sections. These “symmetrical architectonic amusements,” as Schopenhauer called them, encumber every page of Kant’s later writings, and they are a constant source of embarrassment to his unhappy translator. For, as every translator knows, no single word in one language exactly covers any single word in another; and yet if Kant’s distinctions are to be preserved it is necessary to select with more or less arbitrariness English equivalents for German technical terms, and retain them all through. Instances of this will be given later on; I only remark here on the fact that Kant’s besetting sin of over-technicality is especially conspicuous in this treatise.

    Another fault—an old fault of Kant—apparent after reading even a few pages, is that repetitions are very frequent of the same thought in but slightly varied language. Arguments are repeated over and over again until they become quite wearisome; and then when the reader’s attention has flagged, and he is glancing cursorily down the page, some important new point is introduced without emphasis, as if the author were really anxious to keep his meaning to himself at all hazards. A book written in such fashion rarely attracts a wide circle of readers. And yet, not only did Goethe think highly of it, but it received a large measure of attention in France as well as in Germany on its first appearance. Originally published at Berlin in 1790, a Second Edition was called for in 1793; and a French translation was made by Imhoff in 1796. Other French versions are those by Keratry and Weyland in 1823, and by Barni in 1846. This last I have had before me while performing my task, but I have not found it of much service; the older French translations I have not seen. The existence of these French versions, when taken in connexion with the absence until very recently of any systematic account of the Critique of Judgement in English, may be perhaps explained by the lively interest that was taken on the Continent in the Philosophy of Art in the early part of the century; whereas scientific studies on this subject received little attention in England during the same period.

    The student of the Critique of Pure Reason will remember how closely, in his Transcendental Logic, Kant follows the lines of the ordinary logic of the schools. He finds his whole plan ready made for him, as it were; and he proceeds to work out the metaphysical principles which underlie the process of syllogistic reasoning. And as there are three propositions in every syllogism, he points out that, in correspondence with this triplicity, the higher faculties of the soul may be regarded as threefold. The Understanding or the faculty of concepts gives us our major premise, as it supplies us in the first instance with a general notion. By means of the Judgement we see that a particular case comes under the general rule, and by the Reason we draw our conclusion. These, as three distinct movements in the process of reasoning, are regarded by Kant as indicating three distinct faculties, with which the Analytic of Concepts, the Analytic of Principles, and the Dialectic are respectively concerned. The full significance of this important classification does not seem, however, to have occurred to Kant at the time, as we may see from the order in which he wrote his great books.1 The first problem which arrests the attention of all modern philosophers is, of course, the problem of knowledge, its conditions and its proper objects. And in the Critique of Pure Reason this is discussed, and the conclusion is reached that nature as phenomenon is the only object of which we can hope to acquire any exact knowledge. But it is apparent that there are other problems which merit consideration; a complete philosophy includes practice as well as theory; it has to do not only with logic, but with life. And thus the Critique of Practical Reason was written, in which is unfolded the doctrine of man’s freedom standing in sharp contrast with the necessity of natural law. Here, then, it seems at first sight as if we had covered the whole field of human activity. For we have investigated the sources of knowledge, and at the same time have pointed out the conditions of practical life, and have seen that the laws of freedom are just as true in their own sphere as are the laws of nature.

    But as we reflect on our mental states we find that here no proper account has been given of the phenomena of feeling, which play so large a part in experience. And this Kant saw before he had proceeded very far with the Critique of Practical Reason; and in consequence he adopted a threefold classification of the higher mental faculties based on that given by previous psychologists. Knowledge, feeling, desire, these are the three ultimate modes of consciousness, of which the second has not yet been described. And when we compare this with the former triple division which we took up from the Aristotelian logic, we see that the parallelism is significant. Understanding is par excellence the faculty of knowledge, and Reason the faculty of desire (these points are developed in Kant’s first two Critiques). And this suggests that the Judgement corresponds to the feeling of pleasure and pain; it occupies a position intermediate between Understanding and Reason, just as, roughly speaking, the feeling of pleasure is intermediate between our perception of an object and our desire to possess it.

    And so the Critique of Judgement completes the whole undertaking of criticism; its endeavour is to show that there are a priori principles at the basis of Judgement just as there are in the case of Understanding and of Reason; that these principles, like the principles of Reason, are not constitutive but only regulative of experience, i.e. that they do not teach us anything positive about the characteristics of objects, but only indicate the conditions under which we find it necessary to view them; and lastly, that we are thus furnished with an a priori philosophy of pleasure.

    The fundamental principle underlying the procedure of the Judgement is seen to be that of the purposiveness of Nature; nature is everywhere adapted to ends or purposes, and thus constitutes a κόσμος, a well-ordered whole. By this means, nature is regarded by us as if its particular empirical laws were not isolated and disparate, but connected and in relation, deriving their unity in seeming diversity from an intelligence which is at the source of nature. It is only by the assumption of such a principle that we can construe nature to ourselves; and the principle is then said to be a transcendental condition of the exercise of our judging faculty, but valid only for the reflective, not for the determinant Judgement. It gives us pleasure to view nature in this way; just as the contemplation of chaos would be painful.

    But this purposiveness may be only formal and subjective, or real and objective. In some cases the purposiveness resides in the felt harmony and accordance of the form of the object with the cognitive faculties; in others the form of the object is judged to harmonise with the purpose in view in its existence. That is to say, in the one case we judge the form of the object to be purposive, as in the case of a flower, but could not explain any purpose served by it; in the other case we have a definite notion of what it is adapted for. In the former case the aesthetical Judgement is brought to bear, in the latter the teleological; and it thus appears that the Critique of Judgement has two main divisions; it treats first of the philosophy of Taste, the Beautiful and the Sublime in Nature; and secondly, of the Teleology of nature’s working. It is a curious literary parallel that St. Augustine hints (Confessions iv. 15) that he had written a book, De Pulchro et Ápto, in which these apparently distinct topics were combined; “pulchrum esse, quod per se ipsum; aptum, autem, quod ad aliquid accommodatum deceret.” A beautiful object has no purpose external to itself and the observer; but a useful object serves further ends. Both, however, may be brought under the higher category of things that are reckoned purposive by the Judgement.

    We have here then, in the first place, a basis for an a priori Philosophy of Taste; and Kant works out its details with great elaboration. He borrowed little from the writings of his predecessors, but struck out, as was ever his plan, a line of his own. He quotes with approval from Burke’s Treatise on the Sublime and Beautiful, which was accessible to him in a German translation; but is careful to remark that it is as psychology, not as philosophy, that Burke’s work has value. He may have read in addition Hutcheson’s Inquiry which had also been translated into German; and he was complete master of Hume’s opinions. Of other writers on Beauty, he only names Batteux and Lessing. Batteux was a French writer of repute who had attempted a twofold arrangement of the Arts as they may be brought under Space and under Time respectively, a mode of classification which would naturally appeal to Kant. He does not seem, however, to have read the ancient text-book on the subject, Aristotle’s Poetics, the principles of which Lessing declared to be as certain as Euclid.

    Following the guiding thread of the categories, he declares that the aesthetical judgement about Beauty is according to quality disinterested; a point which had been laid down by such different writers as Hutcheson and Moses Mendelssohn. As to quantity, the judgement about beauty gives universal satisfaction, although it is based on no definite concept. The universality is only subjective; but still it is there. The maxim Trahit sua quemque voluptas does not apply to the pleasure afforded by a pure judgement about beauty. As to relation, the characteristic of the object called beautiful is that it betrays a purposiveness without definite purpose. The pleasure is a priori, independent on the one hand of the charms of sense or the emotions of mere feeling, as Winckelmann had already declared; and on the other hand is a pleasure quite distinct from that taken which we feel when viewing perfection, with which Wolff and Baumgarten had identified it. By his distinction between free and dependent beauty, which we also find in the pages of Hutcheson, Kant further develops his doctrine of the freedom of the pure judgement of taste from the thraldom of concepts.

    Finally, the satisfaction afforded by the contemplation of a beautiful object is a necessary satisfaction. This necessity is not, to be sure, theoretical like the necessity attaching to the Law of Causality; nor is it a practical necessity as is the need to assume the Moral Law as the guiding principle of conduct. But it may be called exemplary; that is, we may set up our satisfaction in a beautiful picture as setting an example to be followed by others. It is plain, however, that this can only be assumed under certain presuppositions. We must presuppose the idea of a sensus communis or common sense in which all men share. As knowledge admits of being communicated to others, so also does the feeling for beauty. For the relation between the cognitive faculties requisite for Taste is also requisite for Intelligence or sound Understanding, and as we always presuppose the latter to be the same in others as in ourselves, so may we presuppose the former.

    The analysis of the Sublime which follows that of the Beautiful is interesting and profound; indeed Schopenhauer regarded it as the best part of the Critique of the Aesthetical Judgement. The general characteristics of our judgements about the Sublime are similar to those already laid down in the case of the Beautiful; but there are marked differences in the two cases. If the pleasure taken in beauty arises from a feeling of the purposiveness of the object in its relation to the subject, that in sublimity rather expresses a purposiveness of the subject in respect of the object. Nothing in nature is sublime; and the sublimity really resides in the mind and there alone. Indeed, as true Beauty is found, properly speaking, only in beauty of form, the idea of sublimity is excited rather by those objects which are formless and exhibit a violation of purpose.

    A distinction not needed in the case of the Beautiful becomes necessary when we proceed to further analyse the Sublime. For in aesthetical judgements about the Beautiful the mind is in restful contemplation; but in the case of the Sublime a mental movement is excited (pp. 105 and 120). This movement, as it is pleasing, must involve a purposiveness in the harmony of the mental powers; and the purposiveness may be either in reference to the faculty of cognition or to that of desire. In the former case the sublime is called the Mathematically Sublime—the sublime of mere magnitude—the absolutely great; in the latter it is the sublime of power, the Dynamically Sublime. Gioberti, an Italian writer on the philosophy of Taste, has pushed this distinction so far as to find in it an explanation of the relation between Beauty and Sublimity. “The dynamical Sublime,” he says, “creates the Beautiful; the mathematical Sublime contains it,” a remark with which probably Kant would have no quarrel.

    In both cases, however, we find that the feeling of the Sublime awakens in us a feeling of the supersensible destination of man. “The very capacity of conceiving the sublime,” he tells us, “indicates a mental faculty that far surpasses every standard of sense.” And to explain the necessity belonging to our judgements about the sublime, Kant points out that as we find ourselves compelled to postulate a sensus communis to account for the agreement of men in their appreciation of beautiful objects, so the principle underlying their consent in judging of the sublime is “the presupposition of the moral feeling in man.” The feeling of the sublimity of our own moral destination is the necessary prerequisite for forming such judgements. The connexion between Beauty and Goodness involved to a Greek in the double sense of the word καλόν is developed by Kant with keen insight. To feel interest in the beauty of Nature he regards as a mark of a moral disposition, though he will not admit that the same inference may be drawn as to the character of the art connoisseur (§ 42). But it is specially with reference to the connexion between the capacity for appreciating the Sublime, and the moral feeling, that the originality of Kant’s treatment becomes apparent.

    The objects of nature, he continues, which we call sublime, inspire us with a feeling of pain rather than of pleasure; as Lucretius has it—
    Me quaedam divina voluptas
    Percipit atque horror.

    But this “horror” must not inspire actual fear. As no extraneous charm must mingle with the satisfaction felt in a beautiful object, if the judgement about beauty is to remain pure; so in the case of the sublime we must not be afraid of the object which yet in certain aspects is fearful.

    This conception of the feelings of sublimity excited by the loneliness of an Alpine peak or the grandeur of an earthquake is now a familiar one; but it was not so in Kant’s day. Switzerland had not then become the recreation-ground of Europe; and though natural beauty was a familiar topic with poets and painters it was not generally recognised that taste has also to do with the sublime. De Saussure’s Travels, Haller’s poem Die Alpen, and this work of Kant’s mark the beginning of a new epoch in our ways of looking at the sublime and terrible aspects of Nature. And it is not a little remarkable that the man who could write thus feelingly about the emotions inspired by grand and savage scenery, had never seen a mountain in his life. The power and the insight of his observations here are in marked contrast to the poverty of some of his remarks about the characteristics of beauty. For instance, he puts forward the curious doctrine that colour in a picture is only an extraneous charm, and does not really add to the beauty of the form delineated, nay rather distracts the mind from it. His criticisms on this point, if sound, would make Flaxman a truer artist than Titian or Paolo Veronese. But indeed his discussion of Painting or Music is not very appreciative; he was, to the end, a creature of pure Reason.

    Upon the analysis he gives of the Arts, little need be said here. Fine Art is regarded as the Art of Genius, “that innate mental disposition through which Nature gives the rule to Art” (§ 46). Art differs from Science in the absence of definite concepts in the mind of the artist. It thus happens that the great artist can rarely communicate his methods; indeed he cannot explain them even to himself. Poeta nascitur, non fit; and the same is true in every form of fine art. Genius is, in short, the faculty of presenting aesthetical Ideas; an aesthetical Idea being an intuition of the Imagination, to which no concept is adequate. And it is by the excitation of such ineffable Ideas that a great work of art affects us. As Bacon tells us, “that is the best part of Beauty which a picture cannot express; no, nor the first sight of the eye.” This characteristic of the artistic genius has been noted by all who have thought upon art; more is present in its productions than can be perfectly expressed in language. As Pliny said of Timanthus the painter of Iphigenia, “In omnibus ejus operibus intelligitur plus super quam pingitur.” But this genius requires to be kept in check by taste; quite in the spirit of the σωφροσύνη of the best Greek art, Kant remarks that if in a work of art some feature must be sacrificed, it is better to lose something of genius than to violate the canons of taste. It is in this self-mastery that “the sanity of true genius” expresses itself.

    The main question with which the Critique of Judgement is concerned is, of course, the question as to the purposiveness, the Zweckmässigkeit, exhibited by nature. That nature appears to be full of purpose is mere matter of fact. It displays purposiveness in respect of our faculties of cognition, in those of its phenomena which we designate beautiful. And also in its organic products we observe methods of operation which we can only explain by describing them as processes in which means are used to accomplish certain ends, as processes that are purposive. In our observation of natural phenomena, as Kuno Fischer puts it, we judge their forms aesthetically, and their life teleologically.

    As regards the first kind of Zweckmässigkeit, that which is ohne Zweck—the purposiveness of a beautiful object which does not seem to be directed to any external end—there are two ways in which we may account for it. We may either say that it was actually designed to be beautiful by the Supreme Force behind Nature, or we may say that purposiveness is not really resident in nature, but that our perception of it is due to the subjective needs of our judging faculty. We have to contemplate beautiful objects as if they were purposive, but they may not be so in reality. And this latter idealistic doctrine is what Kant falls back upon. He appeals in support of it, to the phenomena of crystallisation (pp. 243 sqq.), in which many very beautiful forms seem to be produced by merely mechanical processes. The beauty of a rock crystal is apparently produced without any forethought on the part of nature, and he urges that we are not justified in asserting dogmatically that any laws distinct from those of mechanism are needed to account for beauty in other cases. Mechanism can do so much; may it not do all? And he brings forward as a consideration which ought to settle the question, the fact that in judging of beauty “we invariably seek its gauge in ourselves a priori”; we do not learn from nature, but from ourselves, what we are to find beautiful. Mr. Kennedy in his Donnellan Lectures has here pointed out several weak spots in Kant’s armour. In the first place, the fact that we seek the gauge of beauty in our own mind “may be shown from his own definition to be a necessary result of the very nature of beauty.”2 For Kant tells us that the aesthetical judgement about beauty always involves “a reference of the representation to the subject”; and this applies equally to judgements about the beautiful in Art and the beautiful in Nature. But no one could maintain that from this definition it follows that we are not compelled to postulate design in the mind of the artist who paints a beautiful picture. And thus as the fact that “we always seek the gauge of beauty” in ourselves does not do away with the belief in a designing mind when we are contemplating works of art, it cannot be said to exclude the belief in a Master Hand which moulded the forms of Nature. As Cicero has it, nature is “non artificiosa solum, sed plane artifex.” But the cogency of this reasoning, for the details of which I must refer the reader to Mr. Kennedy’s pages, becomes more apparent when we reflect on that second form of purposiveness, viz. adaptation to definite ends, with which we meet in the phenomena of organic life.

    If we watch, e.g. the growth of a tree we perceive that its various parts are not isolated and unconnected, but that on the contrary they are only possible by reference to the idea of the whole. Each limb affects every other, and is reciprocally affected by it; in short “in such a product of nature every part not only exists by means of the other parts, but is thought as existing for the sake of the others and the whole” (p. 277). The operations of nature in organised bodies seem to be of an entirely different character from mere mechanical processes; we cannot construe them to ourselves except under the hypothesis that nature in them is working towards a designed end. The distinction between nature’s “Technic” or purposive operation, and nature’s Mechanism is fundamental for the explanation of natural law. The language of biology eloquently shows the impossibility of eliminating at least the idea of purpose from our investigations into the phenomena of life, growth, and reproduction. And Kant dismisses with scant respect that cheap and easy philosophy which would fain deny the distinctiveness of nature’s purposive operation. A doctrine, like that of Epicurus, in which every natural phenomenon is regarded as the result of the blind drifting of atoms in accordance with purely mechanical laws, really explains nothing, and least of all explains that illusion in our teleological judgements which leads us to assume purpose where really there is none.

    It has been urged by Kirchmann and others that this distinction between Technic and Mechanism, on which Kant lays so much stress, has been disproved by the progress of modern science. The doctrines, usually associated with the name of Darwin, of Natural Selection and Survival of the Fittest, quite sufficiently explain, it is said, on mechanical principles the semblance of purpose with which nature mocks us. The presence of order is not due to any purpose behind the natural operation, but to the inevitable disappearance of the disorderly. It would be absurd, of course, to claim for Kant that he anticipated the Darwinian doctrines of development; and yet passages are not wanting in his writings in which he takes a view of the continuity of species with which modern science would have little fault to find. “Nature organises itself and its organised products in every species, no doubt after one general pattern but yet with suitable deviations, which self-preservation demands according to circumstances” (p. 279). “The analogy of forms, which with all their differences seem to have been produced according to a common original type, strengthens our suspicions of an actual relationship between them in their production from a common parent, through the gradual approximation of one animal genus to another—from those in which the principle of purposes seems to be best authenticated, i.e. from man, down to the polype and again from this down to mosses and lichens, and finally to crude matter. And so the whole Technic of nature, which is so incomprehensible to us in organised beings that we believe ourselves compelled to think a different principle for it, seems to be derived from matter and its powers according to mechanical laws (like those by which it works in the formation of crystals)” (p. 337). Such a theory he calls “a daring venture of reason,” and its coincidences with modern science are real and striking. But he is careful to add that such a theory, even if established, would not eliminate purpose from the universe; it would indeed suggest that certain special processes having the semblance of purpose may be elucidated on mechanical principles, but on the whole, purposive operation on the part of Mother Nature it would still be needful to assume (p. 338). “No finite Reason can hope to understand the production of even a blade of grass by mere mechanical causes” (p. 326). “It is absurd to hope that another Newton will arise in the future who shall make comprehensible by us the production of a blade of grass according to natural laws which no design has ordered” (p. 312).

    Crude materialism thus affording no explanation of the purposiveness in nature, we go on to ask what other theories are logically possible. We may dismiss at once the doctrine of Hylozoism, according to which the purposes in nature are explained in reference to a world-soul, which is the inner principle of the material universe and constitutes its life. For such a doctrine is self-contradictory, inasmuch as lifelessness, inertia, is the essential characteristic of matter, and to talk of living matter is absurd (p. 304). A much more plausible system is that of Spinoza, who aimed at establishing the ideality of the principle of natural purposes. He regarded the world whole as a complex of manifold determinations inhering in a single simple substance; and thus reduced our concepts of the purposive in nature to our own consciousness of existing in an all-embracing Being. But on reflection we see that this does not so much explain as explain away the purposiveness of nature; it gives us an unity of inherence in one Substance, but not an unity of causal dependence on one Substance (p. 303). And this latter would be necessary in order to explain the unity of purpose which nature exhibits in its phenomenal working. Spinozism, therefore, does not give what it pretends to give; it puts us off with a vague and unfruitful unity of ground, when what we seek is a unity that shall itself contain the causes of the differences manifest in nature.

    We have left then as the only remaining possible doctrine, Theism, which represents natural purposes as produced in accordance with the Will and Design of an Intelligent Author and Governor of Nature. This theory is, in the first place, “superior to all other grounds of explanation” (p. 305), for it gives a full solution of the problem before us and enables us to maintain the reality of the Zweckmässigkeit of nature. “Teleology finds the consummation of its investigations only in Theology” (p. 311). To represent the world and the natural purposes therein as produced by an intelligent Cause is “completely satisfactory from every human point of view for both the speculative and practical use of our Reason” (p. 312). Thus the contemplation of natural purposes, i.e. the common Argument from Design, enables us to reach a highest Understanding as Cause of the world “in accordance with the principles of the reflective Judgement, i.e. in accordance with the constitution of our human faculty of cognition” (p. 416).

    It is in this qualifying clause that Kant’s negative attitude in respect of Theism betrays itself. He regards it as a necessary assumption for the guidance of scientific investigation, no less than for the practical needs of morals; but he does not admit that we can claim for it objective validity. In the language of the Critique of Pure Reason, the Idea of God furnishes a regulative, not a constitutive principle of Reason; or as he prefers to put it in the present work, it is valid only for the reflective, not for the determinant Judgement. We are not justified, Kant maintains, in asserting dogmatically that God exists; there is only permitted to us the limited formula “We cannot otherwise conceive the purposiveness which must lie at the basis of our cognition of the internal possibility of many natural things, than by representing it and the world in general as produced by an intelligent cause, i.e. a God” (p. 312).

    We ask then, whence arises this impossibility of objective statement? It is in the true Kantian spirit to assert that no synthetical proposition can be made with reference to what lies above and behind the world of sense; but there is a difficulty in carrying out this principle into details. Kant’s refusal to infer a designing Hand behind the apparent order of nature is based, he tells us, on the fact that the concept of a “natural purpose” is one that cannot be justified to the speculative Reason. For all we know it may only indicate our way of looking at things, and may point to no corresponding objective reality. That we are forced by the limited nature of our faculties to view nature as working towards ends, as purposive, does not prove that it is really so. We cannot justify such pretended insight into what is behind the veil.

    It is to be observed, however, that precisely similar arguments might be urged against our affirmation of purpose, design, will, as the spring of the actions of other human beings.3 For let us consider why it is that, mind being assumed as the basis of our own individual consciousness, we go on to attribute minds of like character to other men. We see that the external behaviour of other men is similar to our own, and that the most reasonable way of accounting for such behaviour is to suppose that they have minds like ourselves, that they are possessed of an active and spontaneously energising faculty, which is the seat of their personality. But it is instructive to observe that neither on Kantian principles nor on any other can we demonstrate this; to cross the chasm which separates one man’s personality from another’s requires a venture of faith just as emphatically as any theological formula. I can by no means prove to the determinant Judgement that the complex of sensations which I constantly experience, and which I call the Prime Minister, is anything more than a well-ordered machine. It is improbable that this is the case—highly improbable; but the falsity of such an hypothesis cannot be proved in the same way that we would prove the falsity of the assertion that two and two make five. But then though the hypothesis cannot be thus ruled out of court by demonstration of its absurdity, it is not the simplest hypothesis, nor is it that one which best accounts for the facts. The assumption, on the other hand, that the men whom I meet every day have minds like my own, perfectly accounts for all the facts, and is a very simple assumption. It merely extends by induction the sphere of a force which I already know to exist. Or in other words, crude materialism not giving me an intelligent account of my own individual consciousness, I recognise mind, νοῦς, as a vera causa, as something which really does produce effects in the field of experience, and which therefore I may legitimately put forward as the cause of those actions of other men which externally so much resemble my own. But, as has been said before, this argument, though entirely convincing to any sane person, is not demonstrative; in Kantian language and on Kantian principles the reasoning here used would seem to be valid only for the reflective and not for the determinant Judgement. If the principle of design or conscious adaptation of means to ends be not a constitutive principle of experience, but only a regulative principle introduced to account for the facts, what right have we to put it forward dogmatically as affording an explanation of the actions of other human beings?

    It cannot be said that Kant’s attempted answer to such a defence of the Design Argument is quite conclusive. In § 90 of the Methodology (p. 399) he pleads that though it is perfectly legitimate to argue by analogy from our own minds to the minds of other men,—nay further, although we may conclude from those actions of the lower animals which display plan, that they are not, as Descartes alleged, mere machines—yet it is not legitimate to conclude from the apparent presence of design in the operations of nature that a conscious mind directs those operations. For, he argues, that in comparing the actions of men and the lower animals, or in comparing the actions of one man with those of another, we are not pressing our analogy beyond the limits of experience. Men and beasts alike are finite living beings, subject to the limitations of finite existence; and hence the law which governs the one series of operations may be regarded by analogy as sufficiently explaining the other series. But the power at the basis of Nature is utterly above definition or comprehension, and we are going beyond our legitimate province if we venture to ascribe to it a mode of operation with which we are only conversant in the case of beings subject to the conditions of space and time. He urges in short that when speaking about man and his mind we thoroughly understand what we are talking about; but in speaking of the Mind of Deity we are dealing with something of which we have no experience, and of which therefore we have no right to predicate anything.

    But it is apparent that, as has been pointed out, even when we infer the existence of another finite mind from certain observed operations, we are making an inference about something which is as mysterious an x as anything can be. Mind is not a thing that is subject to the laws and conditions of the world of sense; it is “in the world but not of the world.” And so to infer the existence of the mind of any individual except myself is a quite different kind of inference from that by which, for example, we infer the presence of an electro-magnet in a given field. The action of the latter we understand to a large extent; but we do not understand the action of mind, which yet we know from daily experience of ourselves does produce effects in the phenomenal world, often permanent and important effects. Briefly, the action of mind upon matter (to use the ordinary phraseology for the sake of clearness) is—we may assume for our present purpose—an established fact. Hence the causality of mind is a vera causa; we bring it in to account for the actions of other human beings, and by precisely the same process of reasoning we invoke it to explain the operations of nature.

    And it is altogether beside the point to urge, as Kant does incessantly, that in the latter case the intelligence inferred is infinite; in the former only finite. All that the Design Argument undertakes to prove is that mind lies at the basis of nature. It is quite beyond its province to say whether this mind is finite or infinite; and thus Kant’s criticisms on p. 364 are somewhat wide of the mark. There is always a difficulty in any argument which tries to establish the operation of mind anywhere, for mind cannot be seen or touched or felt; but the difficulty is not peculiar to that particular form of argument with which theological interests are involved.

    The real plausibility of this objection arises from a vague idea, often present to us when we speak of infinite wisdom or infinite intelligence, namely that the epithet infinite in some way alters the meaning of the attributes to which it is applied. But the truth is that the word infinite, when applied to wisdom or knowledge or any other intellectual or moral quality, can only properly have reference to the number of acts of wisdom or knowledge that we suppose to have been performed. The only sense in which we have any right to speak of infinite wisdom is that it is that which performs an infinite number of wise acts. And so when we speak of infinite intelligence, we have not the slightest warrant, either in logic or in common sense, for supposing that such intelligence is not similar in kind to that finite intelligence which we know in man.

    To understand Kant’s attitude fully, we must also take into consideration the great weight that he attaches to the Moral Argument for the existence of God. The positive side of his teaching on Theism is summed up in the following sentence (p. 388): “For the theoretical reflective Judgement physical Teleology sufficiently proves from the purposes of Nature an intelligent world-cause; for the practical Judgement moral Teleology establishes it by the concept of a final purpose, which it is forced to ascribe to creation.” That side of his system which is akin to Agnosticism finds expression in his determined refusal to admit anything more than this. The existence of God is for him a “thing of faith”; and is not a fact of knowledge, strictly so called. “Faith” he holds (p. 409) “is the moral attitude of Reason as to belief in that which is unattainable by theoretical cognition. It is therefore the constant principle of the mind to assume as true that which it is necessary to presuppose as condition of the possibility of the highest moral final purpose.” As he says elsewhere (Introduction to Logic, ix. p. 60), “That man is morally unbelieving who does not accept that which, though impossible to know, is morally necessary to suppose.” And as far as he goes a Theist may agree with him, and he has done yeoman’s service to Theism by his insistence on the absolute impossibility of any other working hypothesis as an explanation of the phenomena of nature. But I have endeavoured to indicate at what points he does not seem to me to have gone as far as even his own declared principles would justify him in going. If the existence of a Supreme Mind be a “thing of faith,” this may with equal justice be said of the finite minds of the men all around us; and his attempt to show that the argument from analogy is here without foundation is not convincing.

    Kant, however, in the Critique of Judgement is sadly fettered by the chains that he himself had forged, and frequently chafes under the restraints they impose. He indicates more than once a point of view higher than that of the Critique of Pure Reason, from which the phenomena of life and mind may be contemplated. He had already hinted in that work that the supersensible substrate of the ego and the non-ego might be identical. “Both kinds of objects differ from each other, not internally, but only so far as the one appears external to the other; possibly what is at the basis of phenomenal matter as a thing in itself may not be so heterogeneous after all as we imagine.”4 This hypothesis which remains a bare undeveloped possibility in the earlier work is put forward as a positive doctrine in the Critique of Judgement. “There must,” says Kant, “be a ground of the unity of the supersensible, which lies at the basis of nature, with that which the concept of freedom practically contains” (Introduction, p. 13). That is to say, he maintains that to explain the phenomena of organic life and the purposiveness of nature we must hold that the world of sense is not disparate from and opposed to the world of thought, but that nature is the development of freedom. The connexion of nature and freedom is suggested by, nay is involved in, the notion of natural adaptation; and although we can arrive at no knowledge of the supersensible substrate of both, yet such a common ground there must be. This principle is the starting-point of the systems which followed that of Kant; and the philosophy of later Idealism is little more than a development of the principle in its consequences.

    He approaches the same doctrine by a different path in the Critique of the Teleological Judgement (§ 77), where he argues that the distinction between the mechanical and the teleological working of nature, upon which so much stress has been justly laid, depends for its validity upon the peculiar character of our Understanding. When we give what may be called a mechanical elucidation of any natural phenomenon, we begin with its parts, and from what we know of them we explain the whole. But in the case of certain objects, e.g. organised bodies, this cannot be done. In their case we can only account for the parts by a reference to the whole. Now, were it possible for us to perceive a whole before its parts and derive the latter from the former,5 then an organism would be capable of being understood and would be an object of knowledge in the strictest sense. But our Understanding is not able to do this, and its inadequacy for such a task leads us to conceive the possibility of an Understanding, not discursive like ours, but intuitive, for which knowledge of the whole would precede that of the parts. “It is at least possible to consider the material world as mere phenomenon, and to think as its substrate something like a thing in itself (which is not phenomenon), and to attach to this a corresponding intellectual intuition. Thus there would be, although incognisable by us, a supersensible real ground for nature, to which we ourselves belong” (p. 325). Hence, although Mechanism and Technic must not be confused and must ever stand side by side in our scientific investigation of natural law, yet must they be regarded as coalescing in a single higher principle incognisable by us. The ground of union is “the supersensible substrate of nature of which we can determine nothing positively, except that it is the being in itself of which we merely know the phenomenon.” Thus, then, it appears that the whole force of Kant’s main argument has proceeded upon an assumption, viz. the permanent opposition between Sense and Understanding, which the progress of the argument has shown to be unsound. “Kant seems,” says Goethe,6 “to have woven a certain element of irony into his method. For, while at one time he seemed to be bent on limiting our faculties of knowledge in the narrowest way, at another time he pointed, as it were with a side gesture, beyond the limits which he himself had drawn.” The fact of adaptation of means to ends observable in nature seems to break down the barrier between Nature and Freedom; and if we once relinquish the distinction between Mechanism and Technic in the operations of nature we are led to the Idea of an absolute Being, who manifests Himself by action which, though necessary, is yet the outcome of perfect freedom.

    Kant, however, though he approaches such a position more than once, can never be said to have risen to it. He deprecates unceasingly the attempt to combine principles of nature with the principles of freedom as a task beyond the modest capacity of human reason; and while strenuously insisting on the practical force of the Moral Argument for the Being of God, which is found in the witness of man’s conscience, will not admit that it can in any way be regarded as strengthening the theoretical arguments adduced by Teleology. The two lines of proof, he holds, are quite distinct; and nothing but confusion and intellectual disaster can result from the effort to combine them. The moral proof stands by itself, and it needs no such crutches as the argument from Design can offer. But, as Mr. Kennedy has pointed out in his acute criticism7 of the Kantian doctrine of Theism, it would not be possible to combine a theoretical disbelief in God with a frank acceptance of the practical belief of His existence borne in upon us by the Moral Law. Kant himself admits this: “A dogmatical unbelief,” he says (p. 411), “cannot subsist together with a moral maxim dominant in the mental attitude.” That is, though the theoretical argument be incomplete, we cannot reject the conclusion to which it leads, for this is confirmed by the moral necessities of conscience.

    Kant’s position, then, seems to come to this, that though he never doubts the existence of God, he has very grave doubts that He can be theoretically known by man. That He is, is certain; what He is, we cannot determine. It is a position not dissimilar to current Agnostic doctrines; and as long as the antithesis between Sense and Understanding, between Matter and Mind, is insisted upon as expressing a real and abiding truth, Kant’s reasoning can hardly be refuted with completeness. No doubt it may be urged that since the practical and theoretical arguments both arrive at the same conclusion, the cogency of our reasoning in the latter should confirm our trust in the former. But true conclusions may sometimes seem to follow from quite insufficient premises; and Kant is thus justified in demanding that each argument shall be submitted to independent tests. I have endeavoured to show above that he has not treated the theoretical line of reasoning quite fairly, and that he has underestimated its force; but its value as an argument is not increased by showing that another entirely different process of thought leads to the same result. And that the witness of conscience affords the most powerful and convincing argument for the existence of a Supreme Being, the source of law as of love, is a simple matter of experience. Induction, syllogism, analogy, do not really generate belief in God, though they may serve to justify to reason a faith that we already possess. The poet has the truth of it:

    Wer Gott nicht fühlt in sich und allen Lebenskreisen,

    Dem werdet Ihr Ihn nicht beweisen mit Beweisen.

    * * * * *

    I give at the end of this Introduction a Glossary of the chief philosophical terms used by Kant; I have tried to render them by the same English equivalents all through the work, in order to preserve, as far as may be, the exactness of expression in the original. I am conscious that this makes the translation clumsy in many places, but have thought it best to sacrifice elegance to precision. This course is the more necessary to adopt, as Kant cannot be understood unless his nice verbal distinctions be attended to. Thus real means quite a different thing from wirklich; Hang from Neigung; Rührung from Affekt or Leidenschaft; Anschauung from Empfindung or Wahrnehmung; Endzweck from letzter Zweck; Idee from Vorstellung; Eigenschaft from Attribut or Beschaffenheit; Schranke from Grenze; überreden from überzeugen, etc. I am not satisfied with “gratification” and “grief” as the English equivalents for Vergnügen and Schmerz; but it is necessary to distinguish these words from Lust and Unlust, and “mental pleasure,” “mental pain,” which would nearly hit the sense, are awkward. Again, the constant rendering of schön by beautiful involves the expression “beautiful art” instead of the more usual phrase “fine art.” Purposive is an ugly word, but it has come into use lately; and its employment enables us to preserve the connexion between Zweck and zweckmässig. I have printed Judgement with a capital letter when it signifies the faculty, with a small initial when it signifies the act, of judging. And in like manner I distinguish Objekt from Gegenstand, by printing the word “Object,” when it represents the former, with a large initial.

    The text I have followed is, in the main, that printed by Hartenstein; but occasionally Rosenkranz preserves the better reading. All important variants between the First and Second Editions have been indicated at the foot of the page. A few notes have been added, which are enclosed in square brackets, to distinguish them from those which formed part of the original work. I have in general quoted Kant’s Introduction to Logic and Critique of Practical Reason in Dr. Abbott’s translations.

    My best thanks are due to Rev. J. H. Kennedy and Mr. F. Purser for much valuable aid during the passage of this translation through the press. And I am under even greater obligations to Mr. Mahaffy, who was good enough to read through the whole of the proof; by his acute and learned criticisms many errors have been avoided. Others I have no doubt still remain, but for these I must be accounted alone responsible.

    J. H. BERNARD.

    Trinity College, Dublin,

    May 24, 1892.

    * * * * *

    More than twenty-one years have passed since the first edition of this Translation was published, and during that time much has been written, both in Germany and in England, on the subject of Kant’s Critique of Judgement. In particular, the German text has been critically determined by the labours of Professor Windelband, whose fine edition forms the fifth volume of Kant’s Collected Works as issued by the Royal Prussian Academy of Sciences (Berlin, 1908). It will be indispensable to future students. An excellent account of the significance, in the Kantian system, of the Urtheilskraft, by Mr. R. A. C. Macmillan, appeared in 1912; and Mr. J. C. Meredith has published recently an English edition of the Critique of Aesthetical Judgement, with notes and essays, dealing with the philosophy of art, which goes over the ground very fully.

    Some critics of my first edition took exception to the clumsiness of the word “representation” as the equivalent of Vorstellung, but I have made no change in this respect, as it seems to me (and so far as I have observed to others who have worked on the Critique of Judgement), that it is necessary to preserve in English the relation between the noun Vorstellung and the verb vorstellen, if Kant’s reasoning is to be exhibited clearly. I have, however, abandoned the attempt to preserve the word Kritik in English, and have replaced it by Critique or criticism, throughout. The other changes that have been made are mere corrections or emendations of faulty or obscure renderings, with a few additional notes. I have left my original Introduction as it was written in 1892, without attempting any fresh examination of the problems that Kant set himself.

    JOHN OSSORY.  The Palace, Kilkenny,  January 6, 1914.

    PREFACE

    We may call the faculty of cognition from principles a priori, pure Reason, and the inquiry into its possibility and bounds generally the Critique of pure Reason, although by this faculty we only understand Reason in its theoretical employment, as it appears under that name in the former work; without wishing to inquire into its faculty, as practical Reason, according to its special principles. That [Critique] goes merely into our faculty of knowing things a priori, and busies itself therefore only with the cognitive faculty to the exclusion of the feeling of pleasure and pain and the faculty of desire; and of the cognitive faculties it only concerns itself with Understanding, according to its principles a priori, to the exclusion of Judgement and Reason (as faculties alike belonging to theoretical cognition), because it is found in the sequel that no other cognitive faculty but the Understanding can furnish constitutive principles of cognition a priori. The Critique, then, which sifts them all, as regards the share which each of the other faculties might pretend to have in the clear possession of knowledge from its own peculiar root, leaves nothing but what the Understanding prescribes a priori as law for nature as the complex of phenomena (whose form also is given a priori). It relegates all other pure concepts under Ideas, which are transcendent for our theoretical faculty of cognition, but are not therefore useless or to be dispensed with. For they serve as regulative principles; partly to check the dangerous pretensions of Understanding, as if (because it can furnish a priori the conditions of the possibility of all things which it can know) it had thereby confined within these bounds the possibility of all things in general; and partly to lead it to the consideration of nature according to a principle of completeness, although it can never attain to this, and thus to further the final design of all knowledge.

    It was then properly the Understanding which has its special realm in the cognitive faculty, so far as it contains constitutive principles of cognition a priori, which by the Critique, comprehensively called the Critique of pure Reason, was to be placed in certain and sole possession8 against all other competitors. And so also to Reason, which contains constitutive principles a priori nowhere except simply in respect of the faculty of desire, should be assigned its place in the Critique of practical Reason.

    Whether now the Judgement, which in the order of our cognitive faculties forms a mediating link between Understanding and Reason, has also principles a priori for itself; whether these are constitutive or merely regulative (thus indicating no special realm); and whether they give a rule a priori to the feeling of pleasure and pain, as the mediating link between the cognitive faculty and the faculty of desire (just as the Understanding prescribes laws a priori to the first, Reason to the second); these are the questions with which the present Critique of Judgement is concerned.

    A Critique of pure Reason, i.e. of our faculty of judging a priori according to principles, would be incomplete, if the Judgement, which as a cognitive faculty also makes claim to such principles, were not treated as a particular part of it; although its principles in a system of pure Philosophy need form no particular part between the theoretical and the practical, but can be annexed when needful to one or both as occasion requires. For if such a system is one day to be completed under the general name of Metaphysic (which it is possible to achieve quite completely, and which is supremely important for the use of Reason in every reference), the soil for the edifice must be explored by Criticism as deep down as the foundation of the faculty of principles independent of experience, in order that it may sink in no part, for this would inevitably bring about the downfall of the whole.

    We can easily infer from the nature of the Judgement (whose right use is so necessarily and so universally requisite, that by the name of sound Understanding nothing else but this faculty is meant), that it must be attended with great difficulties to find a principle peculiar to it; (some such it must contain a priori in itself, for otherwise it would not be set apart by the commonest Criticism as a special cognitive faculty). This principle must not be derived a priori from concepts, for these belong to the Understanding, and Judgement is only concerned with their application. It must, therefore, furnish of itself a concept, through which, properly speaking, no thing is cognised, but which only serves as a rule, though not an objective one to which it can adapt its judgement; because for this latter another faculty of Judgement would be requisite, in order to be able to distinguish whether [any given case] is or is not the case for the rule.

    This perplexity about a principle (whether it is subjective or objective) presents itself mainly in those judgements that we call aesthetical, which concern the Beautiful and the Sublime of Nature or of Art. And, nevertheless, the critical investigation of a principle of Judgement in these is the most important part in a Critique of this faculty. For although they do not by themselves contribute to the knowledge of things, yet they belong to the cognitive faculty alone, and point to an immediate reference of this faculty to the feeling of pleasure or pain according to some principle a priori; without confusing this with what may be the determining ground of the faculty of desire, which has its principles a priori in concepts of Reason.—In the logical judging of nature, experience exhibits a conformity to law in things, to the understanding or to the explanation of which the general concept of the sensible does not attain; here the Judgement can only derive from itself a principle of the reference of the natural thing to the unknowable supersensible (a principle which it must only use from its own point of view for the cognition of nature). And so, though in this case such a principle a priori can and must be applied to the cognition of the beings of the world, and opens out at the same time prospects which are advantageous for the practical Reason, yet it has no immediate reference to the feeling of pleasure and pain. But this reference is precisely the puzzle in the principle of Judgement, which renders a special section for this faculty necessary in the Critique; since the logical judging according to concepts (from which an immediate inference can never be drawn to the feeling of pleasure and pain) along with their critical limitation, has at all events been capable of being appended to the theoretical part of Philosophy.

    The examination of the faculty of taste, as the aesthetical Judgement, is not here planned in reference to the formation or the culture of taste (for this will take its course in the future as in the past without any such investigations), but merely in a transcendental point of view. Hence, I trust that as regards the deficiency of the former purpose it will be judged with indulgence, though in the latter point of view it must be prepared for the severest scrutiny. But I hope that the great difficulty of solving a problem so involved by nature may serve as excuse for some hardly avoidable obscurity in its solution, if only it be clearly established that the principle is correctly stated. I grant that the mode of deriving the phenomena of the Judgement from it has not all the clearness which might be rightly demanded elsewhere, viz. in the case of cognition according to concepts; but I believe that I have attained to it in the second part of this work.

    Here then I end my whole critical undertaking. I shall proceed without delay to the doctrinal [part] in order to profit, as far as is possible, by the more favourable moments of my increasing years. It is obvious that in this [part] there will be no special section for the Judgement, because in respect of this faculty Criticism serves instead of Theory; but, according to the division of Philosophy (and also of pure Philosophy) into theoretical and practical, the Metaphysic of Nature and of Morals will complete the undertaking.

    INTRODUCTION

    I. OF THE DIVISION OF PHILOSOPHY

    We proceed quite correctly if, as usual, we divide Philosophy, as containing the principles of the rational cognition of things by means of concepts (not merely, as logic does, principles of the form of thought in general without distinction of Objects), into theoretical and practical. But then the concepts, which furnish their Object to the principles of this rational cognition, must be specifically distinct; otherwise they would not justify a division, which always presupposes a contrast between the principles of the rational cognition belonging to the different parts of a science.

    Now there are only two kinds of concepts, and these admit as many distinct principles of the possibility of their objects, viz. natural concepts and the concept of freedom. The former render possible theoretical cognition according to principles a priori; the latter in respect of this theoretical cognition only supplies in itself a negative principle (that of mere contrast), but on the other hand it furnishes fundamental propositions which extend the sphere of the determination of the will and are therefore called practical. Thus Philosophy is correctly divided into two parts, quite distinct in their principles; the theoretical part or Natural Philosophy, and the practical part or Moral Philosophy (for that is the name given to the practical legislation of Reason in accordance with the concept of freedom). But up to the present a gross misuse of these expressions has prevailed, both in the division of the different principles and consequently also of Philosophy itself. For what is practical according to natural concepts has been identified with the practical according to the concept of freedom; and so with the like titles, ‘theoretical’ and ‘practical’ Philosophy, a division has been made, by which in fact nothing has been divided (for both parts might in such case have principles of the same kind).

    The will, regarded as the faculty of desire, is (in this view) one of the many natural causes in the world, viz. that cause which acts in accordance with concepts. All that is represented as possible (or necessary) by means of a will is called practically possible (or necessary); as distinguished from the physical possibility or necessity of an effect, whose cause is not determined to causality by concepts (but in lifeless matter by mechanism and in animals by instinct). Here, in respect of the practical, it is left undetermined whether the concept which gives the rule to the causality of the will, is a natural concept or a concept of freedom.

    But the last distinction is essential. For if the concept which determines the causality is a natural concept, then the principles are technically practical; whereas, if it is a concept of freedom they are morally practical. And as the division of a rational science depends on the distinction between objects whose cognition needs distinct principles, the former will belong to theoretical Philosophy (doctrine of Nature), but the latter alone will constitute the second part, viz. practical Philosophy (doctrine of Morals).

    All technically practical rules (i.e. the rules of art and skill generally, or of prudence regarded as skill in exercising an influence over men and their wills), so far as their principles rest on concepts, must be reckoned only as corollaries to theoretical Philosophy. For they concern only the possibility of things according to natural concepts, to which belong not only the means which are to be met with in nature, but also the will itself (as a faculty of desire and consequently a natural faculty), so far as it can be determined conformably to these rules by natural motives. However, practical rules of this kind are not called laws (like physical laws), but only precepts; because the will does not stand merely under the natural concept, but also under the concept of freedom, in relation to which its principles are called laws. These with their consequences alone constitute the second or practical part of Philosophy.

    The solution of the problems of pure geometry does not belong to a particular part of the science; mensuration does not deserve the name of practical, in contrast to pure, geometry, as a second part of geometry in general; and just as little ought the mechanical or chemical art of experiment or observation to be reckoned as a practical part of the doctrine of Nature. Just as little, in fine, ought housekeeping, farming, statesmanship, the art of conversation, the prescribing of diet, the universal doctrine of happiness itself, or the curbing of the inclinations and checking of the affections for the sake of happiness, to be reckoned as practical Philosophy, or taken to constitute the second part of Philosophy in general. For all these contain only rules of skill (and are consequently only technically practical) for bringing about an effect that is possible according to the natural concepts of causes and effects, which, since they belong to theoretical Philosophy, are subject to those precepts as mere corollaries from it (viz. natural science), and can therefore claim no place in a special Philosophy called practical. On the other hand, the morally practical precepts, which are altogether based on the concept of freedom to the complete exclusion of the natural determining grounds of the will, constitute a quite special class. These, like the rules which nature obeys, are called simply laws, but they do not, like them, rest on sensuous conditions but on a supersensible principle; and accordingly they require for themselves a quite different part of Philosophy, called practical, corresponding to its theoretical part.

    We hence see that a complex of practical precepts given by Philosophy does not constitute a distinct part of Philosophy, as opposed to the theoretical part, because these precepts are practical; for they might be that, even if their principles were derived altogether from the theoretical cognition of nature (as technically practical rules). [A distinct branch of Philosophy is constituted only] if their principle, as it is not borrowed from the natural concept, which is always sensuously conditioned, rests on the supersensible, which alone makes the concept of freedom cognisable by formal laws. These precepts are then morally practical, i.e. not merely precepts or rules in this or that aspect, but, without any preceding reference to purposes and designs, are laws.

    II. OF THE REALM OF PHILOSOPHY IN GENERAL

    So far as our concepts have a priori application, so far extends the use of our cognitive faculty according to principles, and with it Philosophy.

    But the complex of all objects, to which those concepts are referred, in order to bring about a knowledge of them where it is possible, may be subdivided according to the adequacy or inadequacy of our [cognitive] faculty to this design.

    Concepts, so far as they are referred to objects, independently of the possibility or impossibility of the cognition of these objects, have their field which is determined merely according to the relation that their Object has to our cognitive faculty in general. The part of this field in which knowledge is possible for us is a ground or territory (territorium) for these concepts and the requisite cognitive faculty. The part of this territory, where they are legislative, is the realm (ditio) of these concepts and of the corresponding cognitive faculties. Empirical concepts have, therefore, their territory in nature, as the complex of all objects of sense, but no realm, only a dwelling-place (domicilium); for though they are produced in conformity to law they are not legislative, but the rules based on them are empirical and consequently contingent.

    Our whole cognitive faculty has two realms, that of natural concepts and that of the concept of freedom; for through both it is legislative a priori. In accordance with this, Philosophy is divided into theoretical and practical. But the territory to which its realm extends and in which its legislation is exercised, is always only the complex of objects of all possible experience, so long as they are taken for nothing more than mere phenomena; for otherwise no legislation of the Understanding in respect of them is conceivable.

    Legislation through natural concepts is carried on by means of the Understanding and is theoretical. Legislation through the concept of freedom is carried on by the Reason and is merely practical. It is only in the practical [sphere] that the Reason can be legislative; in respect of theoretical cognition (of nature) it can merely (as acquainted with law by the Understanding) deduce from given laws consequences which always remain within [the limits of] nature. But on the other hand, Reason is not always therefore legislative, where there are practical rules, for they may be only technically practical.

    Understanding and Reason exercise, therefore, two distinct legislations in regard to one and the same territory of experience, without prejudice to each other. The concept of freedom as little disturbs the legislation of nature, as the natural concept influences the legislation through the former.—The possibility of at least thinking without contradiction the co-existence of both legislations, and of the corresponding faculties in the same subject, has been shown in the Critique of pure Reason; for it annulled the objections on the other side by exposing the dialectical illusion which they contain.

    These two different realms then do not limit each other in their legislation, though they perpetually do so in the world of sense. That they do not constitute one realm, arises from this, that the natural concept represents its objects in intuition, not as things in themselves, but as mere phenomena; the concept of freedom, on the other hand, represents in its Object a thing in itself, but not in intuition. Hence, neither of them can furnish a theoretical knowledge of its Object (or even of the thinking subject) as a thing in itself; this would be the supersensible, the Idea of which we must indeed make the basis of the possibility of all these objects of experience, but which we can never extend or elevate into a cognition.

    There is, then, an unbounded but also inaccessible field for our whole cognitive faculty—the field of the supersensible—wherein we find no territory, and, therefore, can have in it, for theoretical cognition, no realm either for concepts of Understanding or Reason. This field we must indeed occupy with Ideas on behalf of the theoretical as well as the practical use of Reason, but we can supply to them in reference to the laws [arising] from the concept of freedom no other than practical reality, by which our theoretical cognition is not extended in the slightest degree towards the supersensible.

    Now even if an immeasurable gulf is fixed between the sensible realm of the concept of nature and the supersensible realm of the concept of freedom, so that no transition is possible from the first to the second (by means of the theoretical use of Reason), just as if they were two different worlds of which the first could have no influence upon the second, yet the second is meant to have an influence upon the first. The concept of freedom is meant to actualise in the world of sense the purpose proposed by its laws, and consequently nature must be so thought that the conformity to law of its form, at least harmonises with the possibility of the purposes to be effected in it according to laws of freedom.—There must, therefore, be a ground of the unity of the supersensible, which lies at the basis of nature, with that which the concept of freedom practically contains; and the concept of this ground, although it does not attain either theoretically or practically to a knowledge of the same, and hence has no peculiar realm, nevertheless makes possible the transition from the mode of thought according to the principles of the one to that according to the principles of the other.

    III. OF THE CRITIQUE OF JUDGEMENT AS A MEANS OF COMBINING THE TWO PARTS OF PHILOSOPHY INTO A WHOLE.

    The Critique of the cognitive faculties, as regards what they can furnish a priori, has properly speaking no realm in respect of Objects, because it is not a doctrine, but only has to investigate whether and how, in accordance with the state of these faculties, a doctrine is possible by their means. Its field extends to all their pretensions, in order to confine them within their legitimate bounds. But what cannot enter into the division of Philosophy may yet enter, as a chief part, into the Critique of the pure faculty of cognition in general, viz. if it contains principles which are available neither for theoretical nor for practical use.

    The natural concepts, which contain the ground of all theoretical knowledge a priori, rest on the legislation of the Understanding.—The concept of freedom, which contains the ground of all sensuously-unconditioned practical precepts a priori, rests on the legislation of the Reason. Both faculties, therefore, besides being capable of application as regards their logical form to principles of whatever origin, have also as regards their content, their special legislations above which there is no other (a priori); and hence the division of Philosophy into theoretical and practical is justified.

    But in the family of the higher cognitive faculties there is a middle term between the Understanding and the Reason. This is the Judgement, of which we have cause for supposing according to analogy that it may contain in itself, if not a special legislation, yet a special principle of its own to be sought according to laws, though merely subjective a priori. This principle, even if it have no field of objects as its realm, yet may have somewhere a territory with a certain character, for which no other principle can be valid.

    But besides (to judge by analogy) there is a new ground for bringing the Judgement into connexion with another arrangement of our representative faculties, which seems to be of even greater importance than that of its relationship with the family of the cognitive faculties. For all faculties or capacities of the soul can be reduced to three, which cannot be any further derived from one common ground: the faculty of knowledge, the feeling of pleasure and pain, and the faculty of desire.9 For the faculty of knowledge the Understanding is alone legislative, if (as must happen when it is considered by itself without confusion with the faculty of desire) this faculty is referred to nature as the faculty of theoretical knowledge; for in respect of nature (as phenomenon) it is alone possible for us to give laws by means of natural concepts a priori, i.e. by pure concepts of Understanding.—For the faculty of desire, as a higher faculty according to the concept of freedom, the Reason (in which alone this concept has a place) is alone a priori legislative.—Now between the faculties of knowledge and desire there is the feeling of pleasure, just as the Judgement is intermediate between the Understanding and the Reason. We may therefore suppose provisionally that the Judgement likewise contains in itself an a priori principle. And as pleasure or pain is necessarily combined with the faculty of desire (either preceding this principle as in the lower desires, or following it as in the higher, when the desire is determined by the moral law), we may also suppose that the Judgement will bring about a transition from the pure faculty of knowledge, the realm of natural concepts, to the realm of the concept of freedom, just as in its logical use it makes possible the transition from Understanding to Reason.

    Although, then, Philosophy can be divided only into two main parts, the theoretical and the practical, and although all that we may be able to say of the special principles of Judgement must be counted as belonging in it to the theoretical part, i.e. to rational cognition in accordance with natural concepts; yet the Critique of pure Reason, which must decide all this, as regards the possibility of the system before undertaking it, consists of three parts; the Critique of pure Understanding, of pure Judgement, and of pure Reason, which faculties are called pure because they are legislative a priori.

    IV. OF JUDGEMENT AS A FACULTY LEGISLATING A PRIORI

    Judgement in general is the faculty of thinking the particular as contained under the Universal. If the universal (the rule, the principle, the law) be given, the Judgement which subsumes the particular under it (even if, as transcendental Judgement, it furnishes a priori, the conditions in conformity with which subsumption under that universal is alone possible) is determinant. But if only the particular be given for which the universal has to be found, the Judgement is merely reflective.

    The determinant Judgement only subsumes under universal transcendental laws given by the Understanding; the law is marked out for it, a priori, and it has therefore no need to seek a law for itself in order to be able to subordinate the particular in nature to the universal.—But the forms of nature are so manifold, and there are so many modifications of the universal transcendental natural concepts left undetermined by the laws given, a priori, by the pure Understanding,—because these only concern the possibility of a nature in general (as an object of sense),—that there must be laws for these [forms] also. These, as empirical, may be contingent from the point of view of our Understanding, and yet, if they are to be called laws (as the concept of a nature requires), they must be regarded as necessary in virtue of a principle of the unity of the manifold, though it be unknown to us.—The reflective Judgement, which is obliged to ascend from the particular in nature to the universal, requires on that account a principle that it cannot borrow from experience, because its function is to establish the unity of all empirical principles under higher ones, and hence to establish the possibility of their systematic subordination. Such a transcendental principle, then, the reflective Judgement can only give as a law from and to itself. It cannot derive it from outside (because then it would be the determinant Judgement); nor can it prescribe it to nature, because reflection upon the laws of nature adjusts itself by nature, and not nature by the conditions according to which we attempt to arrive at a concept of it which is quite contingent in respect of these.

    This principle can be no other than the following: As universal laws of nature have their ground in our Understanding, which prescribes them to nature (although only according to the universal concept of it as nature); so particular empirical laws, in respect of what is in them left undetermined by these universal laws, must be considered in accordance with such a unity as they would have if an Understanding (although not our Understanding) had furnished them to our cognitive faculties, so as to make possible a system of experience according to particular laws of nature. Not as if, in this way, such an Understanding must be assumed as actual (for it is only our reflective Judgement to which this Idea serves as a principle—for reflecting, not for determining); but this faculty thus gives a law only to itself and not to nature.

    Now the concept of an Object, so far as it contains the ground of the actuality of this Object, is the purpose; and the agreement of a thing with that constitution of things, which is only possible according to purposes, is called the purposiveness of its form. Thus the principle of Judgement, in respect of the form of things of nature under empirical laws generally, is the purposiveness of nature in its manifoldness. That is, nature is represented by means of this concept, as if an Understanding contained the ground of the unity of the manifold of its empirical laws.

    The purposiveness of nature is therefore a particular concept, a priori, which has its origin solely in the reflective Judgement. For we cannot ascribe to natural products anything like a reference of nature in them to purposes; we can only use this concept to reflect upon such products in respect of the connexion of phenomena which is given in nature according to empirical laws. This concept is also quite different from practical purposiveness (in human art or in morals), though it is certainly thought according to the analogy of these last.

    V. THE PRINCIPLE OF THE FORMAL PURPOSIVENESS OF NATURE IS A TRANSCENDENTAL PRINCIPLE OF JUDGEMENT.

    A transcendental principle is one by means of which is represented, a priori, the universal condition under which alone things can be in general Objects of our cognition. On the other hand, a principle is called metaphysical if it represents the a priori condition under which alone Objects, whose concept must be empirically given, can be further determined a priori. Thus the principle of the cognition of bodies as substances, and as changeable substances, is transcendental, if thereby it is asserted that their changes must have a cause; it is metaphysical if it asserts that their changes must have an external cause. For in the former case bodies need only be thought by means of ontological predicates (pure concepts of Understanding), e.g. substance, in order to cognise the proposition a priori; but in the latter case the empirical concept of a body (as a movable thing in space) must lie at the basis of the proposition, although once this basis has been laid down, it may be seen completely a priori that this latter predicate (motion only by external causes) belongs to body.—Thus, as I shall presently show, the principle of the purposiveness of nature (in the manifoldness of its empirical laws) is a transcendental principle. For the concept of Objects, so far as they are thought as standing under this principle, is only the pure concept of objects of possible empirical cognition in general and contains nothing empirical. On the other hand, the principle of practical purposiveness, which must be thought in the Idea of the determination of a free will, is a metaphysical principle; because the concept of a faculty of desire as a will must be given empirically (i.e. does not belong to transcendental predicates). Both principles are, however, not empirical, but a priori; because for the combination of the predicate with the empirical concept of the subject of their judgements no further experience is needed, but it can be apprehended completely a priori.

    That the concept of a purposiveness of nature belongs to transcendental principles can be sufficiently seen from the maxims of the Judgement, which lie at the basis of the investigation of nature a priori, and yet do not go further than the possibility of experience, and consequently of the cognition of nature—not indeed nature in general, but nature as determined through a variety of particular laws. These maxims present themselves in the course of this science often enough, though in a scattered way, as sentences of metaphysical wisdom, whose necessity we cannot demonstrate from concepts. “Nature takes the shortest way (lex parsimoniae); at the same time it makes no leaps, either in the course of its changes or in the juxtaposition of specifically different forms (lex continui in natura); its great variety in empirical laws is yet unity under a few principles (principia praeter necessitatem non sunt multiplicanda),” etc.

    If we propose to set forth the origin of these fundamental propositions and try to do so by the psychological method, we violate their sense. For they do not tell us what happens, i.e. by what rule our cognitive powers actually operate, and how we judge, but how we ought to judge; and this logical objective necessity does not emerge if the principles are merely empirical. Hence that purposiveness of nature for our cognitive faculties and their use, which is plainly apparent from them, is a transcendental principle of judgements, and needs therefore also a Transcendental Deduction, by means of which the ground for so judging must be sought in the sources of cognition a priori.

    We find in the grounds of the possibility of an experience in the very first place something necessary, viz. the universal laws without which nature in general (as an object of sense) cannot be thought; and these rest upon the Categories, applied to the formal conditions of all intuition possible for us, so far as it is also given a priori. Now under these laws the Judgement is determinant, for it has nothing to do but to subsume under given laws. For example, the Understanding says that every change has its cause (universal law of nature); the transcendental Judgement has nothing further to do than to supply a priori the condition of subsumption under the concept of the Understanding placed before it, i.e. the succession [in time] of the determinations of one and the same thing. For nature in general (as an object of possible experience) that law is cognised as absolutely necessary.—But now the objects of empirical cognition are determined in many other ways than by that formal time-condition, or, at least as far as we can judge a priori, are determinable. Hence specifically different natures can be causes in an infinite variety of ways, as well as in virtue of what they have in common as belonging to nature in general; and each of these modes must (in accordance with the concept of a cause in general) have its rule, which is a law and therefore brings necessity with it, although we do not at all comprehend this necessity, in virtue of the constitution and the limitations of our cognitive faculties. We must therefore think in nature, in respect of its merely empirical laws, a possibility of infinitely various empirical laws, which are, as far as our insight goes, contingent (cannot be cognised a priori), and in respect of which we judge nature, according to empirical laws and the possibility of the unity of experience (as a system according to empirical laws), to be contingent. But such a unity must be necessarily presupposed and assumed, for otherwise there would be no thoroughgoing connexion of empirical cognitions in a whole of experience. The universal laws of nature no doubt furnish such a connexion of things according to their kind as things of nature in general, but not specifically, as such particular beings of nature. Hence the Judgement must assume for its special use this principle a priori, that what in the particular (empirical) laws of nature is from the human point of view contingent, yet contains a unity of law in the combination of its manifold into an experience possible in itself—a unity not indeed to be fathomed by us, but yet thinkable. Consequently as the unity of law in a combination, which we cognise as contingent in itself, although in conformity with a necessary design (a need) of Understanding, is represented as the purposiveness of Objects (here of nature); so must the Judgement, which in respect of things under possible (not yet discovered) empirical laws is merely reflection, think of nature in respect of the latter according to a principle of purposiveness for our cognitive faculty, which then is expressed in the above maxims of the Judgement. This transcendental concept of a purposiveness of nature is neither a natural concept nor a concept of freedom, because it ascribes nothing to the Object (of nature), but only represents the peculiar way in which we must proceed in reflection upon the objects of nature in reference to a thoroughly connected experience, and is consequently a subjective principle (maxim) of the Judgement. Hence, as if it were a lucky chance favouring our design, we are rejoiced (properly speaking, relieved of a want), if we meet with such systematic unity under merely empirical laws; although we must necessarily assume that there is such a unity without our comprehending it or being able to prove it.

    In order to convince ourselves of the correctness of this Deduction of the concept before us, and the necessity of assuming it as a transcendental principle of cognition, just consider the magnitude of the problem. The problem, which lies a priori in our Understanding, is to make a connected experience out of given perceptions of a nature containing at all events an infinite variety of empirical laws. The Understanding is, no doubt, in possession a priori of universal laws of nature, without which nature could not be an object of experience; but it needs in addition a certain order of nature in its particular rules, which can only be empirically known and which are, as regards the Understanding, contingent. These rules, without which we could not proceed from the universal analogy of a possible experience in general to the particular, must be thought by it as laws (i.e. as necessary), for otherwise they would not constitute an order of nature; although their necessity can never be cognised or comprehended by it. Although, therefore, the Understanding can determine nothing a priori in respect of Objects, it must, in order to trace out these empirical so-called laws, place at the basis of all reflection upon Objects an a priori principle, viz. that a cognisable order of nature is possible in accordance with these laws. The following propositions express some such principle. There is in nature a subordination of genera and species comprehensible by us. Each one approximates to some other according to a common principle, so that a transition from one to another and so on to a higher genus may be possible. Though it seems at the outset unavoidable for our Understanding to assume different kinds of causality for the specific differences of natural operations, yet these different kinds may stand under a small number of principles, with the investigation of which we have to busy ourselves. This harmony of nature with our cognitive faculty is presupposed a priori by the Judgement, on behalf of its reflection upon nature in accordance with its empirical laws; whilst the Understanding at the same time cognises it objectively as contingent, and it is only the Judgement that ascribes it to nature as a trancendental purposiveness (in relation to the cognitive faculty of the subject). For without this presupposition we should have no order of nature in accordance with empirical laws, and consequently no guiding thread for an experience ordered by these in all their variety, or for an investigation of them.

    For it might easily be thought that, in spite of all the uniformity of natural things according to the universal laws, without which we should not have the form of an empirical cognition in general, the specific variety of the empirical laws of nature including their effects might yet be so great, that it would be impossible for our Understanding, to detect in nature a comprehensible order; to divide its products into genera and species, so as to use the principles which explain and make intelligible one for the explanation and comprehension of another; or out of such confused material (strictly we should say, so infinitely various and not to be measured by our faculty of comprehension) to make a connected experience.

    The Judgement has therefore also in itself a principle a priori of the possibility of nature, but only in a subjective aspect; by which it prescribes, not to nature (autonomy), but to itself (heautonomy) a law for its reflection upon nature. This we might call the law of the specification of nature in respect of its empirical laws. The Judgement does not cognise this a priori in nature, but assumes it on behalf of a natural order cognisable by our Understanding in the division which it makes of the universal laws of nature when it wishes to subordinate to these the variety of particular laws. If then we say that nature specifies its universal laws according to the principles of purposiveness for our cognitive faculty, i.e. in accordance with the necessary business of the human Understanding of finding the universal for the particular which perception offers it, and again of finding connexion for the diverse (which however is a universal for each species) in the unity of a principle,—we thus neither prescribe to nature a law, nor do we learn one from it by observation (although such a principle may be confirmed by this means). For it is not a principle of the determinant but merely of the reflective Judgement. We only require that, be nature disposed as it may as regards its universal laws, investigation into its empirical laws may be carried on in accordance with that principle and the maxims founded thereon, because it is only so far as that holds that we can make any progress with the use of our Understanding in experience, or gain knowledge.

    VI. OF THE COMBINATION OF THE FEELING OF PLEASURE WITH THE CONCEPT OF THE PURPOSIVENESS OF NATURE.

    The thought harmony of nature in the variety of its particular laws with our need of finding universality of principles for it, must be judged as contingent in respect of our insight, but yet at the same time as indispensable for the needs of our Understanding, and consequently as a purposiveness by which nature is harmonised with our design, which, however, has only knowledge for its aim. The universal laws of the Understanding, which are at the same time laws of nature, are just as necessary (although arising from spontaneity) as the material laws of motion. Their production presupposes no design on the part of our cognitive faculty, because it is only by means of them that we, in the first place, attain a concept of what the cognition of things (of nature) is, and attribute them necessarily to nature as Object of our cognition in general. But, so far as we can see, it is contingent that the order of nature according to its particular laws, in all its variety and heterogeneity possibly at least transcending our comprehension, should be actually conformable to these [laws]. The discovery of this [order] is the business of the Understanding which is designedly borne towards a necessary purpose, viz. the bringing of unity of principles into nature, which purpose then the Judgement must ascribe to nature, because the Understanding cannot here prescribe any law to it.

    The attainment of that design is bound up with the feeling of pleasure, and since the condition of this attainment is a representation a priori,—as here a principle for the reflective Judgement in general,—therefore the feeling of pleasure is determined by a ground a priori and valid for every man, and that merely by the reference of the Object to the cognitive faculty, the concept of purposiveness here not having the least reference to the faculty of desire. It is thus quite distinguished from all practical purposiveness of nature.

    In fact, although from the agreement of perceptions with laws in accordance with universal natural concepts (the categories), we do not and cannot find in ourselves the slightest effect upon the feeling of pleasure, because the Understanding necessarily proceeds according to its nature without any design; yet, on the other hand, the discovery that two or more empirical heterogeneous laws of nature may be combined under one principle comprehending them both, is the ground of a very marked pleasure, often even of an admiration, which does not cease, though we may be already quite familiar with the objects of it. We no longer find, it is true, any marked pleasure in the comprehensibility of nature and in the unity of its divisions into genera and species, whereby are possible all empirical concepts, through which we cognise it according to its particular laws. But this pleasure has certainly been present at one time, and it is only because the commonest experience would be impossible without it that it is gradually confounded with mere cognition and no longer arrests particular attention. There is then something in our judgements upon nature which makes us attentive to its purposiveness for our Understanding—an endeavour to bring, where possible, its dissimilar laws under higher ones, though still always empirical—and thus, if successful, makes us feel pleasure in that harmony of these with our cognitive faculty, which harmony we regard as merely contingent. On the other hand, a representation of nature would altogether displease, by which it should be foretold to us that in the smallest investigation beyond the commonest experience we should meet with a heterogeneity of its laws, which would make the union of its particular laws under universal empirical laws impossible for our Understanding. For this would contradict the principle of the subjectively-purposive specification of nature in its genera, and also of our reflective Judgement in respect of such principle.

    This presupposition of the Judgement is, however, at the same time so indeterminate as to how far that ideal purposiveness of nature for our cognitive faculty should be extended, that if we were told that a deeper or wider knowledge of nature derived from observation must lead at last to a variety of laws, which no human Understanding could reduce to a principle, we should at once acquiesce. But still we more gladly listen to one who offers hope that the more we know nature internally, and can compare it with external members now unknown to us, the more simple shall we find it in its principles, and that the further our experience reaches the more uniform shall we find it amid the apparent heterogeneity of its empirical laws. For it is a mandate of our Judgement to proceed according to the principle of the harmony of nature with our cognitive faculty so far as that reaches, without deciding (because it is not the determinant Judgement which gives us this rule) whether or not it is bounded anywhere. For although in respect of the rational use of our cognitive faculty we can determine such bounds, this is not possible in the empirical field.

    VII. OF THE AESTHETICAL REPRESENTATION OF THE PURPOSIVENESS OF NATURE.

    That which in the representation of an Object is merely subjective, i.e. which decides its reference to the subject, not to the object, is its aesthetical character; but that which serves or can be used for the determination of the object (for cognition), is its logical validity. In the cognition of an object of sense both references present themselves. In the sense-representation of external things the quality of space wherein we intuite them is the merely subjective [element] of my representation (by which it remains undecided what they may be in themselves as Objects), on account of which reference the object is thought thereby merely as phenomenon. But space, notwithstanding its merely subjective quality, is at the same time an ingredient in the cognition of things as phenomena. Sensation, again (i.e. external sensation), expresses the merely subjective [element] of our representations of external things, but it is also the proper material (reale) of them (by which something existing is given), just as space is the mere form a priori of the possibility of their intuition. Nevertheless, however, sensation is also employed in the cognition of external Objects.

    But the subjective [element] in a representation which cannot be an ingredient of cognition, is the pleasure or pain which is bound up with it; for through it I cognise nothing in the object of the representation, although it may be the effect of some cognition. Now the purposiveness of a thing, so far as it is represented in perception, is no characteristic of the Object itself (for such cannot be perceived), although it may be inferred from a cognition of things. The purposiveness, therefore, which precedes the cognition of an Object, and which, even without our wishing to use the representation of it for cognition, is, at the same time, immediately bound up with it, is that subjective [element] which cannot be an ingredient in cognition. Hence the object is only called purposive, when its representation is immediately combined with the feeling of pleasure; and this very representation is an aesthetical representation of purposiveness.—The only question is whether there is, in general, such a representation of purposiveness.

    If pleasure is bound up with the mere apprehension (apprehensio) of the form of an object of intuition, without reference to a concept for a definite cognition, then the representation is thereby not referred to the Object, but simply to the subject; and the pleasure can express nothing else than its harmony with the cognitive faculties which come into play in the reflective Judgement, and so far as they are in play; and hence can only express a subjective formal purposiveness of the Object. For that apprehension of forms in the Imagination can never take place without the reflective Judgement, though undesignedly, at least comparing them with its faculty of referring intuitions to concepts. If now in this comparison the Imagination (as the faculty of a priori intuitions) is placed by means of a given representation undesignedly in agreement with the Understanding, as the faculty of concepts, and thus a feeling of pleasure is aroused, the object must then be regarded as purposive for the reflective Judgement. Such a judgement is an aesthetical judgement upon the purposiveness of the Object, which does not base itself upon any present concept of the object, nor does it furnish any such. In the case of an object whose form (not the matter of its representation, as sensation), in the mere reflection upon it (without reference to any concept to be obtained of it), is judged as the ground of a pleasure in the representation of such an Object, this pleasure is judged as bound up with the representation necessarily; and, consequently, not only for the subject which apprehends this form, but for every judging being in general. The object is then called beautiful; and the faculty of judging by means of such a pleasure (and, consequently, with universal validity) is called Taste. For since the ground of the pleasure is placed merely in the form of the object for reflection in general—and, consequently, in no sensation of the object, and also without reference to any concept which anywhere involves design—it is only the conformity to law in the empirical use of the Judgement in general (unity of the Imagination with the Understanding) in the subject, with which the representation of the Object in reflection, whose conditions are universally valid a priori, harmonises. And since this harmony of the object with the faculties of the subject is contingent, it brings about the representation of its purposiveness in respect of the cognitive faculties of the subject.

    Here now is a pleasure, which, like all pleasure or pain that is not produced through the concept of freedom (i.e. through the preceding determination of the higher faculties of desire by pure Reason), can never be comprehended from concepts, as necessarily bound up with the representation of an object. It must always be cognised as combined with this only by means of reflective perception; and, consequently, like all empirical judgements, it can declare no objective necessity and lay claim to no a priori validity. But the judgement of taste also claims, as every other empirical judgement does, to be valid for every one; and in spite of its inner contingency this is always possible. The strange and irregular thing is that it is not an empirical concept, but a feeling of pleasure (consequently not a concept at all), which by the judgement of taste is attributed to every one,—just as if it were a predicate bound up with the cognition of the Object—and which is connected with the representation thereof.

    A singular judgement of experience, e.g., when we perceive a moveable drop of water in an ice-crystal, may justly claim that every one else should find it the same; because we have formed this judgement, according to the universal conditions of the determinant faculty of Judgement, under the laws of a possible experience in general. Just in the same way he who feels pleasure in the mere reflection upon the form of an object without respect to any concept, although this judgement be empirical and singular, justly claims the agreement of every one; because the ground of this pleasure is found in the universal, although subjective, condition of reflective judgements, viz., the purposive harmony of an object (whether a product of nature or of art) with the mutual relations of the cognitive faculties (the Imagination and the Understanding), a harmony which is requisite for every empirical cognition. The pleasure, therefore, in the judgement of taste is dependent on an empirical representation, and cannot be bound up a priori with any concept (we cannot determine a priori what object is or is not according to taste; that we must find out by experiment). But the pleasure is the determining ground of this judgement only because we are conscious that it rests merely on reflection and on the universal though only subjective conditions of the harmony of that reflection with the cognition of Objects in general, for which the form of the Object is purposive.

    Thus the reason why judgements of taste according to their possibility are subjected to a Critique is that they presuppose a principle a priori, although this principle is neither one of cognition for the Understanding nor of practice for the Will, and therefore is not in any way determinant a priori.

    Susceptibility to pleasure from reflection upon the forms of things (of Nature as well as of Art), indicates not only a purposiveness of the Objects in relation to the reflective Judgement, conformably to the concept of nature in the subject; but also conversely a purposiveness of the subject in respect of the objects according to their form or even their formlessness, in virtue of the concept of freedom. Hence the aesthetical judgement is not only related as a judgement of taste to the beautiful, but also as springing from a spiritual feeling is related to the sublime; and thus the Critique of the aesthetical Judgement must be divided into two corresponding sections.

    VIII. OF THE LOGICAL REPRESENTATION OF THE PURPOSIVENESS OF NATURE

    Purposiveness may be represented in an object given in experience on a merely subjective ground, as the harmony of its form,—in the apprehension (apprehensio) of it prior to any concept,—with the cognitive faculties, in order to unite the intuition with concepts for a cognition generally. Or it may be represented objectively as the harmony of the form of the object with the possibility of the thing itself, according to a concept of it which precedes and contains the ground of this form. We have seen that the representation of purposiveness of the first kind rests on the immediate pleasure in the form of the object in the mere reflection upon it. But the representation of purposiveness of the second kind, since it refers the form of the Object, not to the cognitive faculties of the subject in the apprehension of it, but to a definite cognition of the object under a given concept, has nothing to do with a feeling of pleasure in things, but only with the Understanding in its judgement upon them. If the concept of an object is given, the business of the Judgement in the use of the concept for cognition consists in presentation (exhibitio), i.e. in setting a corresponding intuition beside the concept. This may take place either through our own Imagination, as in Art when we realise a preconceived concept of an object which is a purpose of ours; or through Nature in its Technic (as in organised bodies) when we supply to it our concept of its purpose in order to judge of its products. In the latter case it is not merely the purposiveness of nature in the form of the thing that is represented, but this its product is represented as a natural purpose.—Although our concept of a subjective purposiveness of nature in its forms according to empirical laws is not a concept of the Object, but only a principle of the Judgement for furnishing itself with concepts amid the immense variety of nature (and thus being able to ascertain its own position), yet we thus ascribe to nature as it were a regard to our cognitive faculty according to the analogy of purpose. Thus we can regard natural beauty as the presentation of the concept of the formal (merely subjective) purposiveness, and natural purposes as the presentation of the concept of a real (objective) purposiveness. The former of these we judge of by Taste (aesthetically, by the medium of the feeling of pleasure), the latter by Understanding and Reason (logically, according to concepts).

    On this is based the division of the Critique of Judgement into the Critique of aesthetical and of teleological Judgement. By the first we understand the faculty of judging of the formal purposiveness (otherwise called subjective) of Nature by means of the feeling of pleasure or pain; by the second the faculty of judging its real (objective) purposiveness by means of Understanding and Reason.

    In a Critique of Judgement the part containing the aesthetical Judgement is essential, because this alone contains a principle which the Judgement places quite a priori at the basis of its reflection upon nature; viz., the principle of a formal purposiveness of nature, according to its particular (empirical) laws, for our cognitive faculty, without which the Understanding could not find itself in nature. On the other hand no reason a priori could be specified,—and even the possibility of a reason would not be apparent from the concept of nature as an object of experience whether general or particular,—why there should be objective purposes of nature, i.e. things which are only possible as natural purposes; but the Judgement, without containing such a principle a priori in itself, in given cases (of certain products), in order to make use of the concept of purposes on behalf of Reason, would only contain the rule according to which that transcendental principle has already prepared the Understanding to apply to nature the concept of a purpose (at least as regards its form).

    But the transcendental principle which represents a purposiveness of nature (in subjective reference to our cognitive faculty) in the form of a thing as a principle by which we judge of nature, leaves it quite undetermined where and in what cases I have to judge of a product according to a principle of purposiveness, and not rather according to universal natural laws. It leaves it to the aesthetical Judgement to decide by taste the harmony of this product (of its form) with our cognitive faculty (so far as this decision rests not on any agreement with concepts but on feeling). On the other hand, the Judgement teleologically employed furnishes conditions determinately under which something (e.g. an organised body) is to be judged according to the Idea of a purpose of nature; but it can adduce no fundamental proposition from the concept of nature as an object of experience authorising it to ascribe to nature a priori a reference to purposes, or even indeterminately to assume this of such products in actual experience. The reason of this is that we must have many particular experiences, and consider them under the unity of their principle, in order to be able to cognise, even empirically, objective purposiveness in a certain object.—The aesthetical Judgement is therefore a special faculty for judging of things according to a rule, but not according to concepts. The teleological Judgement is not a special faculty, but only the reflective Judgement in general, so far as it proceeds, as it always does in theoretical cognition, according to concepts; but in respect of certain objects of nature according to special principles, viz., of a merely reflective Judgement, and not of a Judgement that determines Objects. Thus as regards its application it belongs to the theoretical part of Philosophy; and on account of its special principles which are not determinant, as they must be in Doctrine, it must constitute a special part of the Critique. On the other hand, the aesthetical Judgement contributes nothing towards the knowledge of its objects, and thus must be reckoned as belonging to the criticism of the judging subject and its cognitive faculties, only so far as they are susceptible of a priori principles, of whatever other use (theoretical or practical) they may be. This is the propaedeutic of all Philosophy.

    IX. OF THE CONNEXION OF THE LEGISLATION OF UNDERSTANDING WITH THAT OF REASON BY MEANS OF THE JUDGEMENT

    The Understanding legislates a priori for nature as an Object of sense—for a theoretical knowledge of it in a possible experience. Reason legislates a priori for freedom and its peculiar casuality; as the supersensible in the subject, for an unconditioned practical knowledge. The realm of the natural concept under the one legislation and that of the concept of freedom under the other are entirely removed from all mutual influence which they might have on one another (each according to its fundamental laws) by the great gulf that separates the supersensible from phenomena. The concept of freedom determines nothing in respect of the theoretical cognition of nature; and the natural concept determines nothing in respect of the practical laws of freedom. So far then it is not possible to throw a bridge from the one realm to the other. But although the determining grounds of causality according to the concept of freedom (and the practical rules which it contains) are not resident in nature, and the sensible cannot determine the supersensible in the subject, yet this is possible conversely (not, to be sure, in respect of the cognition of nature, but as regards the effects of the supersensible upon the sensible). This in fact is involved in the concept of a causality through freedom, the effect of which is to take place in the world according to its formal laws. The word cause, of course, when used of the supersensible only signifies the ground which determines the causality of natural things to an effect in accordance with their proper natural laws, although harmoniously with the formal principle of the laws of Reason. Although the possibility of this cannot be comprehended, yet the objection of a contradiction alleged to be found in it can be sufficiently answered.10—The effect in accordance with the concept of freedom is the final purpose which (or its phenomenon in the world of sense) ought to exist; and the condition of the possibility of this is presupposed in nature (in the nature of the subject as a sensible being, that is, as man). The Judgement presupposes this a priori and without reference to the practical; and thus furnishes the mediating concept between the concepts of nature and that of freedom. It makes possible the transition from the conformity to law in accordance with the former to the final purpose in accordance with the latter, and this by the concept of a purposiveness of nature. For thus is cognised the possibility of the final purpose which alone can be actualised in nature in harmony with its laws.

    The Understanding by the possibility of its a priori laws for nature, gives a proof that nature is only cognised by us as phenomenon; and implies at the same time that it has a supersensible substrate, though it leaves this quite undetermined. The Judgement by its a priori principle for the judging of nature according to its possible particular laws, makes the supersensible substrate (both in us and without us) determinable by means of the intellectual faculty. But the Reason by its practical a priori law determines it; and thus the Judgement makes possible the transition from the realm of the concept of nature to that of the concept of freedom.

    As regards the faculties of the soul in general, in their higher aspect, as containing an autonomy; the Understanding is that which contains the constitutive principles a priori for the cognitive faculty (the theoretical cognition of nature). For the feeling of pleasure and pain there is the Judgement, independently of concepts and sensations which relate to the determination of the faculty of desire and can thus be immediately practical. For the faculty of desire there is the Reason which is practical without the mediation of any pleasure whatever. It determines for the faculty of desire, as a superior faculty, the final purpose which carries with it the pure intellectual satisfaction in the Object.—The concept formed by Judgement of a purposiveness of nature belongs to natural concepts, but only as a regulative principle of the cognitive faculty; although the aesthetical judgement upon certain objects (of Nature or Art) which occasions it is, in respect of the feeling of pleasure or pain, a constitutive principle. The spontaneity in the play of the cognitive faculties, the harmony of which contains the ground of this pleasure, makes the above concept [of the purposiveness of nature] fit to be the mediating link between the realm of the natural concept and that of the concept of freedom in its effects; whilst at the same time it promotes the sensibility of the mind for moral feeling.—The following table may facilitate the review of all the higher faculties according to their systematic unity.11

    All the faculties of the mind

    Cognitive faculties. Faculties of desire.

    Feeling of pleasure and pain.

    Cognitive faculties

    Understanding. Judgement. Reason.

    A priori principles

    Conformity to law. Purposiveness. Final purpose.

    Application to

    Nature. Art. Freedom.

    THE CRITIQUE OF JUDGEMENT

    PART I

    CRITIQUE OF THE AESTHETICAL JUDGEMENT

    FIRST DIVISION

    ANALYTIC OF THE AESTHETICAL JUDGEMENT

    FIRST BOOK

    ANALYTIC OF THE BEAUTIFUL

    FIRST MOMENT

    OF THE JUDGEMENT OF TASTE12 ACCORDING TO QUALITY

    § 1. The judgement of taste is aesthetical

    In order to decide whether anything is beautiful or not, we refer the representation, not by the Understanding to the Object for cognition but, by the Imagination (perhaps in conjunction with the Understanding) to the subject, and its feeling of pleasure or pain. The judgement of taste is therefore not a judgement of cognition, and is consequently not logical but aesthetical, by which we understand that whose determining ground can be no other than subjective. Every reference of representations, even that of sensations, may be objective (and then it signifies the real in an empirical representation); save only the reference to the feeling of pleasure and pain, by which nothing in the Object is signified, but through which there is a feeling in the subject, as it is affected by the representation.

    To apprehend a regular, purposive building by means of one’s cognitive faculty (whether in a clear or a confused way of representation) is something quite different from being conscious of this representation as connected with the sensation of satisfaction. Here the representation is altogether referred to the subject and to its feeling of life, under the name of the feeling of pleasure or pain. This establishes a quite separate faculty of distinction and of judgement, adding nothing to cognition, but only comparing the given representation in the subject with the whole faculty of representations, of which the mind is conscious in the feeling of its state. Given representations in a judgement can be empirical (consequently, aesthetical); but the judgement which is formed by means of them is logical, provided they are referred in the judgement to the Object. Conversely, if the given representations are rational, but are referred in a judgement simply to the subject (to its feeling), the judgement is so far always aesthetical.

    § 2. The satisfaction which determines the judgement of taste is disinterested

    The satisfaction which we combine with the representation of the existence of an object is called interest. Such satisfaction always has reference to the faculty of desire, either as its determining ground or as necessarily connected with its determining ground. Now when the question is if a thing is beautiful, we do not want to know whether anything depends or can depend on the existence of the thing either for myself or for any one else, but how we judge it by mere observation (intuition or reflection). If any one asks me if I find that palace beautiful which I see before me, I may answer: I do not like things of that kind which are made merely to be stared at. Or I can answer like that Iroquois sachem who was pleased in Paris by nothing more than by the cook-shops. Or again after the manner of Rousseau I may rebuke the vanity of the great who waste the sweat of the people on such superfluous things. In fine I could easily convince myself that if I found myself on an uninhabited island without the hope of ever again coming among men, and could conjure up just such a splendid building by my mere wish, I should not even give myself the trouble if I had a sufficiently comfortable hut. This may all be admitted and approved; but we are not now talking of this. We wish only to know if this mere representation of the object is accompanied in me with satisfaction, however indifferent I may be as regards the existence of the object of this representation. We easily see that in saying it is beautiful and in showing that I have taste, I am concerned, not with that in which I depend on the existence of the object, but with that which I make out of this representation in myself. Every one must admit that a judgement about beauty, in which the least interest mingles, is very partial and is not a pure judgement of taste. We must not be in the least prejudiced in favour of the existence of the things, but be quite indifferent in this respect, in order to play the judge in things of taste.

    We cannot, however, better elucidate this proposition, which is of capital importance, than by contrasting the pure disinterested13 satisfaction in judgements of taste, with that which is bound up with an interest, especially if we can at the same time be certain that there are no other kinds of interest than those which are now to be specified.

    § 3. The satisfaction in the PLEASANT is bound up with interest

    That which pleases the senses in sensation is PLEASANT. Here the opportunity presents itself of censuring a very common confusion of the double sense which the word sensation can have, and of calling attention to it. All satisfaction (it is said or thought) is itself sensation (of a pleasure). Consequently everything that pleases is pleasant because it pleases (and according to its different degrees or its relations to other pleasant sensations it is agreeable, lovely, delightful, enjoyable, etc.). But if this be admitted, then impressions of Sense which determine the inclination, fundamental propositions of Reason which determine the Will, mere reflective forms of intuition which determine the Judgement, are quite the same, as regards the effect upon the feeling of pleasure. For this would be pleasantness in the sensation of one’s state, and since in the end all the operations of our faculties must issue in the practical and unite in it as their goal, we could suppose no other way of estimating things and their worth than that which consists in the gratification that they promise. It is of no consequence at all how this is attained, and since then the choice of means alone could make a difference, men could indeed blame one another for stupidity and indiscretion, but never for baseness and wickedness. For all, each according to his own way of seeing things, seek one goal, that is, gratification.

    If a determination of the feeling of pleasure or pain is called sensation, this expression signifies something quite different from what I mean when I call the representation of a thing (by sense, as a receptivity belonging to the cognitive faculty) sensation. For in the latter case the representation is referred to the Object, in the former simply to the subject, and is available for no cognition whatever, not even for that by which the subject cognises itself.

    In the above elucidation we understand by the word sensation, an objective representation of sense; and in order to avoid misinterpretation, we shall call that, which must always remain merely subjective and can constitute absolutely no representation of an object, by the ordinary term “feeling.” The green colour of the meadows belongs to objective sensation, as a perception of an object of sense; the pleasantness of this belongs to subjective sensation by which no object is represented, i.e. to feeling, by which the object is considered as an Object of satisfaction (which does not furnish a cognition of it).

    Now that a judgement about an object, by which I describe it as pleasant, expresses an interest in it, is plain from the fact that by sensation it excites a desire for objects of that kind; consequently the satisfaction presupposes not the mere judgement about it, but the relation of its existence to my state, so far as this is affected by such an Object. Hence we do not merely say of the pleasant, it pleases; but, it gratifies. I give to it no mere approval, but inclination is aroused by it; and in the case of what is pleasant in the most lively fashion, there is no judgement at all upon the character of the Object, for those who always lay themselves out only for enjoyment (for that is the word describing intense gratification) would fain dispense with all judgement.

    § 4. The satisfaction in the GOOD is bound up with interest

    Whatever by means of Reason pleases through the mere concept is GOOD. That which pleases only as a means we call good for something (the useful); but that which pleases for itself is good in itself. In both there is always involved the concept of a purpose, and consequently the relation of Reason to the (at least possible) volition, and thus a satisfaction in the presence of an Object or an action, i.e. some kind of interest.

    In order to find anything good, I must always know what sort of a thing the object ought to be, i.e. I must have a concept of it. But there is no need of this, to find a thing beautiful. Flowers, free delineations, outlines intertwined with one another without design and called foliage, have no meaning, depend on no definite concept, and yet they please. The satisfaction in the beautiful must depend on the reflection upon an object, leading to any concept (however indefinite); and it is thus distinguished from the pleasant which rests entirely upon sensation.

    It is true, the Pleasant seems in many cases to be the same as the Good. Thus people are accustomed to say that all gratification (especially if it lasts) is good in itself; which is very much the same as to say that lasting pleasure and the good are the same. But we can soon see that this is merely a confusion of words; for the concepts which properly belong to these expressions can in no way be interchanged. The pleasant, which, as such, represents the object simply in relation to Sense, must first be brought by the concept of a purpose under principles of Reason, in order to call it good, as an object of the Will. But that there is [involved] a quite different relation to satisfaction in calling that which gratifies at the same time good, may be seen from the fact that in the case of the good the question always is, whether it is mediately or immediately good (useful or good in itself); but on the contrary in the case of the pleasant there can be no question about this at all, for the word always signifies something which pleases immediately. (The same is applicable to what I call beautiful.)

    Even in common speech men distinguish the Pleasant from the Good. Of a dish which stimulates the taste by spices and other condiments we say unhesitatingly that it is pleasant, though it is at the same time admitted not to be good; for though it immediately delights the senses, yet mediately, i.e. considered by Reason which looks to the after results, it displeases. Even in the judging of health we may notice this distinction. It is immediately pleasant to every one possessing it (at least negatively, i.e. as the absence of all bodily pains). But in order to say that it is good, it must be considered by Reason with reference to purposes; viz. that it is a state which makes us fit for all our business. Finally in respect of happiness every one believes himself entitled to describe the greatest sum of the pleasantnesses of life (as regards both their number and their duration) as a true, even as the highest, good. However Reason is opposed to this. Pleasantness is enjoyment. And if we were concerned with this alone, it would be foolish to be scrupulous as regards the means which procure it for us, or [to care] whether it is obtained passively by the bounty of nature or by our own activity and work. But Reason can never be persuaded that the existence of a man who merely lives for enjoyment (however busy he may be in this point of view), has a worth in itself; even if he at the same time is conducive as a means to the best enjoyment of others, and shares in all their gratifications by sympathy. Only what he does, without reference to enjoyment, in full freedom and independently of what nature can procure for him passively, gives an [absolute14] worth to his being, as the existence of a person; and happiness, with the whole abundance of its pleasures, is far from being an unconditioned good.15

    However, notwithstanding all this difference between the pleasant and the good, they both agree in this that they are always bound up with an interest in their object. [This is true] not only of the pleasant(§ 3), and the mediate good (the useful) which is pleasing as a means towards pleasantness somewhere, but also of that which is good absolutely and in every aspect, viz. moral good, which brings with it the highest interest. For the good is the Object of will (i.e. of a faculty of desire determined by Reason). But to will something, and to have a satisfaction in its existence, i.e. to take an interest in it, are identical.

    § 5. Comparison of the three specifically different kinds of satisfaction

    The pleasant and the good have both a reference to the faculty of desire; and they bring with them—the former a satisfaction pathologically conditioned (by impulses, stimuli)—the latter a pure practical satisfaction, which is determined not merely by the representation of the object, but also by the represented connexion of the subject with the existence of the object. [It is not merely the object that pleases, but also its existence.16] On the other hand, the judgement of taste is merely contemplative; i.e. it is a judgement which, indifferent as regards the being of an object, compares its character with the feeling of pleasure and pain. But this contemplation itself is not directed to concepts; for the judgement of taste is not a cognitive judgement (either theoretical or practical), and thus is not based on concepts, nor has it concepts as its purpose.

    The Pleasant, the Beautiful, and the Good, designate then, three different relations of representations to the feeling of pleasure and pain, in reference to which we distinguish from each other objects or methods of representing them. And the expressions corresponding to each, by which we mark our complacency in them, are not the same. That which GRATIFIES a man is called pleasant; that which merely PLEASES him is beautiful; that which is ESTEEMED [or approved17] by him, i.e. that to which he accords an objective worth, is good. Pleasantness concerns irrational animals also; but Beauty only concerns men, i.e. animal, but still rational, beings—not merely quâ rational (e.g. spirits), but quâ animal also; and the Good concerns every rational being in general. This is a proposition which can only be completely established and explained in the sequel. We may say that of all these three kinds of satisfaction, that of taste in the Beautiful is alone a disinterested and free satisfaction; for no interest, either of Sense or of Reason, here forces our assent. Hence we may say of satisfaction that it is related in the three aforesaid cases to inclination, to favour, or to respect. Now favour is the only free satisfaction. An object of inclination, and one that is proposed to our desire by a law of Reason, leave us no freedom in forming for ourselves anywhere an object of pleasure. All interest presupposes or generates a want; and, as the determining ground of assent, it leaves the judgement about the object no longer free.

    As regards the interest of inclination in the case of the Pleasant, every one says that hunger is the best sauce, and everything that is eatable is relished by people with a healthy appetite; and thus a satisfaction of this sort does not indicate choice directed by taste. It is only when the want is appeased that we can distinguish which of many men has or has not taste. In the same way there may be manners (conduct) without virtue, politeness without goodwill, decorum without modesty, etc. For where the moral law speaks there is no longer, objectively, a free choice as regards what is to be done; and to display taste in its fulfilment (or in judging of another’s fulfilment of it) is something quite different from manifesting the moral attitude of thought. For this involves a command and generates a want, whilst moral taste only plays with the objects of satisfaction, without attaching itself to one of them.

    EXPLANATION OF THE BEAUTIFUL RESULTING FROM THE FIRST MOMENT

    Taste is the faculty of judging of an object or a method of representing it by an entirely disinterested satisfaction or dissatisfaction. The object of such satisfaction is called beautiful.18

    SECOND MOMENT

    OF THE JUDGEMENT OF TASTE, VIZ. ACCORDING TO QUANTITY

    § 6. The beautiful is that which apart from concepts is represented as the object of a universal satisfaction

    This explanation of the beautiful can be derived from the preceding explanation of it as the object of an entirely disinterested satisfaction. For the fact of which every one is conscious, that the satisfaction is for him quite disinterested, implies in his judgement a ground of satisfaction for every one. For since it does not rest on any inclination of the subject (nor upon any other premeditated interest), but since he who judges feels himself quite free as regards the satisfaction which he attaches to the object, he cannot find the ground of this satisfaction in any private conditions connected with his own subject; and hence it must be regarded as grounded on what he can presuppose in every other man. Consequently he must believe that he has reason for attributing a similar satisfaction to every one. He will therefore speak of the beautiful, as if beauty were a characteristic of the object and the judgement logical (constituting a cognition of the Object by means of concepts of it); although it is only aesthetical and involves merely a reference of the representation of the object to the subject. For it has this similarity to a logical judgement that we can presuppose its validity for every one. But this universality cannot arise from concepts; for from concepts there is no transition to the feeling of pleasure or pain (except in pure practical laws, which bring an interest with them such as is not bound up with the pure judgement of taste). Consequently the judgement of taste, accompanied with the consciousness of separation from all interest, must claim validity for every one, without this universality depending on Objects. That is, there must be bound up with it a title to subjective universality.

    § 7. Comparison of the Beautiful with the Pleasant and the Good by means of the above characteristic

    As regards the Pleasant every one is content that his judgement, which he bases upon private feeling, and by which he says of an object that it pleases him, should be limited merely to his own person. Thus he is quite contented that if he says “Canary wine is pleasant,” another man may correct his expression and remind him that he ought to say “It is pleasant to me.” And this is the case not only as regards the taste of the tongue, the palate, and the throat, but for whatever is pleasant to any one’s eyes and ears. To one violet colour is soft and lovely, to another it is faded and dead. One man likes the tone of wind instruments, another that of strings. To strive here with the design of reproving as incorrect another man’s judgement which is different from our own, as if the judgements were logically opposed, would be folly. As regards the pleasant therefore the fundamental proposition is valid, every one has his own taste (the taste of Sense).

    The case is quite different with the Beautiful. It would (on the contrary) be laughable if a man who imagined anything to his own taste, thought to justify himself by saying: “This object (the house we see, the coat that person wears, the concert we hear, the poem submitted to our judgement) is beautiful for me.” For he must not call it beautiful if it merely pleases himself. Many things may have for him charm and pleasantness; no one troubles himself at that; but if he gives out anything as beautiful, he supposes in others the same satisfaction—he judges not merely for himself, but for every one, and speaks of beauty as if it were a property of things. Hence he says “the thing is beautiful”; and he does not count on the agreement of others with this his judgement of satisfaction, because he has found this agreement several times before, but he demands it of them. He blames them if they judge otherwise and he denies them taste, which he nevertheless requires from them. Here then we cannot say that each man has his own particular taste. For this would be as much as to say that there is no taste whatever; i.e. no aesthetical judgement, which can make a rightful claim upon every one’s assent.

    At the same time we find as regards the Pleasant that there is an agreement among men in their judgements upon it, in regard to which we deny Taste to some and attribute it to others; by this not meaning one of our organic senses, but a faculty of judging in respect of the pleasant generally. Thus we say of a man who knows how to entertain his guests with pleasures (of enjoyment for all the senses), so that they are all pleased, “he has taste.” But here the universality is only taken comparatively; and there emerge rules which are only general (like all empirical ones), and not universal; which latter the judgement of Taste upon the beautiful undertakes or lays claim to. It is a judgement in reference to sociability, so far as this rests on empirical rules. In respect of the Good it is true that judgements make rightful claim to validity for every one; but the Good is represented only by means of a concept as the Object of a universal satisfaction, which is the case neither with the Pleasant nor with the Beautiful.

    § 8. The universality of the satisfaction is represented in a judgement of Taste only as subjective

    This particular determination of the universality of an aesthetical judgement, which is to be met with in a judgement of taste, is noteworthy, not indeed for the logician, but for the transcendental philosopher. It requires no small trouble to discover its origin, but we thus detect a property of our cognitive faculty which without this analysis would remain unknown.

    First, we must be fully convinced of the fact that in a judgement of taste (about the Beautiful) the satisfaction in the object is imputed to every one, without being based on a concept (for then it would be the Good). Further, this claim to universal validity so essentially belongs to a judgement by which we describe anything as beautiful, that if this were not thought in it, it would never come into our thoughts to use the expression at all, but everything which pleases without a concept would be counted as pleasant. In respect of the latter every one has his own opinion; and no one assumes, in another, agreement with his judgement of taste, which is always the case in a judgement of taste about beauty. I may call the first the taste of Sense, the second the taste of Reflection; so far as the first lays down mere private judgements, and the second judgements supposed to be generally valid (public), but in both cases aesthetical (not practical) judgements about an object merely in respect of the relation of its representation to the feeling of pleasure and pain. Now here is something strange. As regards the taste of Sense not only does experience show that its judgement (of pleasure or pain connected with anything) is not valid universally, but every one is content not to impute agreement with it to others (although actually there is often found a very extended concurrence in these judgements). On the other hand, the taste of Reflection has its claim to the universal validity of its judgements (about the beautiful) rejected often enough, as experience teaches; although it may find it possible (as it actually does) to represent judgements which can demand this universal agreement. In fact for each of its judgements of taste it imputes this to every one, without the persons that judge disputing as to the possibility of such a claim; although in particular cases they cannot agree as to the correct application of this faculty.

    Here we must, in the first place, remark that a universality which does not rest on concepts of Objects (not even on empirical ones) is not logical but aesthetical, i.e. it involves no objective quantity of the judgement but only that which is subjective. For this I use the expression general validity which signifies the validity of the reference of a representation, not to the cognitive faculty but, to the feeling of pleasure and pain for every subject. (We can avail ourselves also of the same expression for the logical quantity of the judgement, if only we prefix objective to “universal validity,” to distinguish it from that which is merely subjective and aesthetical.)

    A judgement with objective universal validity is also always valid subjectively; i.e. if the judgement holds for everything contained under a given concept, it holds also for every one who represents an object by means of this concept. But from a subjective universal validity, i.e. aesthetical and resting on no concept, we cannot infer that which is logical; because that kind of judgement does not extend to the Object. Hence the aesthetical universality which is ascribed to a judgement must be of a particular kind, because it does not unite the predicate of beauty with the concept of the Object, considered in its whole logical sphere, and yet extends it to the whole sphere of judging persons.

    In respect of logical quantity all judgements of taste are singular judgements. For because I must refer the object immediately to my feeling of pleasure and pain, and that not by means of concepts, they cannot have the quantity of objective generally valid judgements. Nevertheless if the singular representation of the Object of the judgement of taste in accordance with the conditions determining the latter, were transformed by comparison into a concept, a logically universal judgement could result therefrom. E.g. I describe by a judgement of taste the rose, that I see, as beautiful. But the judgement which results from the comparison of several singular judgements, “Roses in general are beautiful” is no longer described simply as aesthetical, but as a logical judgement based on an aesthetical one. Again the judgement “The rose is pleasant” (to smell) is, although aesthetical and singular, not a judgement of Taste but of Sense. It is distinguished from the former by the fact that the judgement of Taste carries with it an aesthetical quantity of universality, i.e. of validity for every one; which cannot be found in a judgement about the Pleasant. It is only judgements about the Good which—although they also determine satisfaction in an object,—have logical and not merely aesthetical universality; for they are valid of the Object, as cognitive of it, and thus are valid for every one.

    If we judge Objects merely according to concepts, then all representation of beauty is lost. Thus there can be no rule according to which any one is to be forced to recognise anything as beautiful. We cannot press [upon others] by the aid of any reasons or fundamental propositions our judgement that a coat, a house, or a flower is beautiful. We wish to submit the Object to our own eyes, as if the satisfaction in it depended on sensation; and yet if we then call the object beautiful, we believe that we speak with a universal voice, and we claim the assent of every one, although on the contrary all private sensation can only decide for the observer himself and his satisfaction.

    We may see now that in the judgement of taste nothing is postulated but such a universal voice, in respect of the satisfaction without the intervention of concepts; and thus the possibility of an aesthetical judgement that can, at the same time, be regarded as valid for every one. The judgement of taste itself does not postulate the agreement of every one (for that can only be done by a logically universal judgement because it can adduce reasons); it only imputes this agreement to every one, as a case of the rule in respect of which it expects, not confirmation by concepts, but assent from others. The universal voice is, therefore, only an Idea (we do not yet inquire upon what it rests). It may be uncertain whether or not the man, who believes that he is laying down a judgement of taste, is, as a matter of fact, judging in conformity with that Idea; but that he refers his judgement thereto, and, consequently, that it is intended to be a judgement of taste, he announces by the expression “beauty.” He can be quite certain of this for himself by the mere consciousness of the separation of everything belonging to the Pleasant and the Good from the satisfaction which is left; and this is all for which he promises himself the agreement of every one—a claim which would be justifiable under these conditions, provided only he did not often make mistakes, and thus lay down an erroneous judgement of taste.

    § 9. Investigation of the question whether in the judgement of taste the feeling of pleasure precedes or follows the judging of the object

    The solution of this question is the key to the Critique of Taste, and so is worthy of all attention.

    If the pleasure in the given object precedes, and it is only its universal communicability that is to be acknowledged in the judgement of taste about the representation of the object, there would be a contradiction. For such pleasure would be nothing different from the mere pleasantness in the sensation, and so in accordance with its nature could have only private validity, because it is immediately dependent on the representation through which the object is given.

    Hence, it is the universal capability of communication of the mental state in the given representation which, as the subjective condition of the judgement of taste, must be fundamental, and must have the pleasure in the object as its consequent. But nothing can be universally communicated except cognition and representation, so far as it belongs to cognition. For it is only thus that this latter can be objective; and only through this has it a universal point of reference, with which the representative power of every one is compelled to harmonise. If the determining ground of our judgement as to this universal communicability of the representation is to be merely subjective, i.e. is conceived independently of any concept of the object, it can be nothing else than the state of mind, which is to be met with in the relation of our representative powers to each other, so far as they refer a given representation to cognition in general.

    The cognitive powers, which are involved by this representation, are here in free play, because no definite concept limits them to a particular19 rule of cognition. Hence, the state of mind in this representation must be a feeling of the free play of the representative powers in a given representation with reference to a cognition in general. Now a representation by which an object is given, that is to become a cognition in general, requires Imagination, for the gathering together the manifold of intuition, and Understanding, for the unity of the concept uniting the representations. This state of free play of the cognitive faculties in a representation by which an object is given, must be universally communicable; because cognition, as the determination of the Object with which given representations (in whatever subject) are to agree, is the only kind of representation which is valid for every one.

    The subjective universal communicability of the mode of representation in a judgement of taste, since it is to be possible without presupposing a definite concept, can refer to nothing else than the state of mind in the free play of the Imagination and the Understanding (so far as they agree with each other, as is requisite for cognition in general). We are conscious that this subjective relation, suitable for cognition in general, must be valid for every one, and thus must be universally communicable, just as if it were a definite cognition, resting always on that relation as its subjective condition.

    This merely subjective (aesthetical) judging of the object, or of the representation by which it is given, precedes the pleasure in it, and is the ground of this pleasure in the harmony of the cognitive faculties; but on the universality of the subjective conditions for judging of objects is alone based the universal subjective validity of the satisfaction bound up by us with the representation of the object that we call beautiful.

    The power of communicating one’s state of mind, even though only in respect of the cognitive faculties, carries a pleasure with it, as we can easily show from the natural propension of man towards sociability (empirical and psychological). But this is not enough for our design. The pleasure that we feel is, in a judgement of taste, necessarily imputed by us to every one else; as if, when we call a thing beautiful, it is to be regarded as a characteristic of the object which is determined in it according to concepts; though beauty, without a reference to the feeling of the subject, is nothing by itself. But we must reserve the examination of this question until we have answered another, viz. “If and how aesthetical judgements are possible a priori?”

    We now occupy ourselves with the easier question, in what way we are conscious of a mutual subjective harmony of the cognitive powers with one another in the judgement of taste; is it aesthetically by mere internal sense and sensation? or is it intellectually by the consciousness of our designed activity, by which we bring them into play?

    If the given representation, which occasions the judgement of taste, were a concept uniting Understanding and Imagination in the judging of the object, into a cognition of the Object, the consciousness of this relation would be intellectual (as in the objective schematism of the Judgement of which the Critique20 treats). But then the judgement would not be laid down in reference to pleasure and pain, and consequently would not be a judgement of taste. But the judgement of taste, independently of concepts, determines the Object in respect of satisfaction and of the predicate of beauty. Therefore that subjective unity of relation can only make itself known by means of sensation. The excitement of both faculties (Imagination and Understanding) to indeterminate, but yet, through the stimulus of the given sensation, harmonious activity, viz. that which belongs to cognition in general, is the sensation whose universal communicability is postulated by the judgement of taste. An objective relation can only be thought, but yet, so far as it is subjective according to its conditions, can be felt in its effect on the mind; and, of a relation based on no concept (like the relation of the representative powers to a cognitive faculty in general), no other consciousness is possible than that through the sensation of the effect, which consists in the more lively play of both mental powers (the Imagination and the Understanding) when animated by mutual agreement. A representation which, as singular and apart from comparison with others, yet has an agreement with the conditions of universality which it is the business of the Understanding to supply, brings the cognitive faculties into that proportionate accord which we require for all cognition, and so regard as holding for every one who is determined to judge by means of Understanding and Sense in combination (i.e. for every man).

    EXPLANATION OF THE BEAUTIFUL RESULTING FROM THE SECOND MOMENT

    The beautiful is that which pleases universally, without a concept.

    THIRD MOMENT

    OF JUDGEMENTS OF TASTE, ACCORDING TO THE RELATION OF THE PURPOSES WHICH ARE BROUGHT INTO CONSIDERATION THEREIN.

    § 10. Of purposiveness in general

    If we wish to explain what a purpose is according to its transcendental determinations (without presupposing anything empirical like the feeling of pleasure) [we say that] the purpose is the object of a concept, in so far as the concept is regarded as the cause of the object (the real ground of its possibility); and the causality of a concept in respect of its Object is its purposiveness (forma finalis). Where then not merely the cognition of an object, but the object itself (its form and existence) is thought as an effect only possible by means of the concept of this latter, there we think a purpose. The representation of the effect is here the determining ground of its cause and precedes it. The consciousness of the causality of a representation, for maintaining the subject in the same state, may here generally denote what we call pleasure; while on the other hand pain is that representation which contains the ground of the determination of the state of representations into their opposite [of restraining or removing them21].

    The faculty of desire, so far as it is determinable only through concepts, i.e. to act in conformity with the representation of a purpose, would be the Will. But an Object, or a state of mind, or even an action, is called purposive, although its possibility does not necessarily presuppose the representation of a purpose, merely because its possibility can be explained and conceived by us only so far as we assume for its ground a causality according to purposes, i.e. a will which would have so disposed it according to the representation of a certain rule. There can be, then, purposiveness without22 purpose, so far as we do not place the causes of this form in a will, but yet can only make the explanation of its possibility intelligible to ourselves by deriving it from a will. Again, we are not always forced to regard what we observe (in respect of its possibility) from the point of view of Reason. Thus we can at least observe a purposiveness according to form, without basing it on a purpose (as the material of the nexus finalis), and we can notice it in objects, although only by reflection.

    § 11. The judgement of taste has nothing at its basis but the form of the purposiveness of an object (or of its mode of representation)

    Every purpose, if it be regarded as a ground of satisfaction, always carries with it an interest—as the determining ground of the judgement—about the object of pleasure. Therefore no subjective purpose can lie at the basis of the judgement of taste. But neither can the judgement of taste be determined by any representation of an objective purpose, i.e. of the possibility of the object itself in accordance with principles of purposive combination, and consequently it can be determined by no concept of the good; because it is an aesthetical and not a cognitive judgement. It therefore has to do with no concept of the character and internal or external possibility of the object by means of this or that cause, but merely with the relation of the representative powers to one another, so far as they are determined by a representation.

    Now this relation in the determination of an object as beautiful is bound up with the feeling of pleasure, which is declared by the judgement of taste to be valid for every one; hence a pleasantness, accompanying the representation, can as little contain the determining ground [of the judgement] as the representation of the perfection of the object and the concept of the good can. Therefore it can be nothing else than the subjective purposiveness in the representation of an object without any purpose (either objective or subjective); and thus it is the mere form of purposiveness in the representation by which an object is given to us, so far as we are conscious of it, which constitutes the satisfaction that we without a concept judge to be universally communicable; and, consequently, this is the determining ground of the judgement of taste.

    § 12. The judgement of taste rests on a priori grounds

    To establish a priori the connexion of the feeling of a pleasure or pain as an effect, with any representation whatever (sensation or concept) as its cause, is absolutely impossible; for that would be a [particular]23 causal relation which (with objects of experience) can always only be cognised a posteriori, and through the medium of experience itself. We actually have, indeed, in the Critique of practical Reason, derived from universal moral concepts a priori the feeling of respect (as a special and peculiar modification of feeling which will not strictly correspond either to the pleasure or the pain that we get from empirical objects). But there we could go beyond the bounds of experience and call in a causality which rested on a supersensible attribute of the subject, viz. freedom. And even there, properly speaking, it was not this feeling which we derived from the Idea of the moral as cause, but merely the determination of the will. But the state of mind which accompanies any determination of the will is in itself a feeling of pleasure and identical with it, and therefore does not follow from it as its effect. This last must only be assumed if the concept of the moral as a good precede the determination of the will by the law; for in that case the pleasure that is bound up with the concept could not be derived from it as from a mere cognition.

    Now the case is similar with the pleasure in aesthetical judgements, only that here it is merely contemplative and does not bring about an interest in the Object, which on the other hand in the moral judgement it is practical.24 The consciousness of the mere formal purposiveness in the play of the subject’s cognitive powers, in a representation through which an object is given, is the pleasure itself; because it contains a determining ground of the activity of the subject in respect of the excitement of its cognitive powers, and therefore an inner causality (which is purposive) in respect of cognition in general without however being limited to any definite cognition; and consequently contains a mere form of the subjective purposiveness of a representation in an aesthetical judgement. This pleasure is in no way practical, neither like that arising from the pathological ground of pleasantness, nor that from the intellectual ground of the represented good. But yet it involves causality, viz. of maintaining the state of the representation itself, and the exercise of the cognitive powers without further design. We linger over the contemplation of the beautiful, because this contemplation strengthens and reproduces itself, which is analogous to (though not of the same kind as) that lingering which takes place when a [physical] charm in the representation of the object repeatedly arouses the attention, the mind being passive.

    § 13. The pure judgement of taste is independent of charm and emotion

    Every interest spoils the judgement of taste and takes from its impartiality, especially if the purposiveness is not, as with the interest of Reason, placed before the feeling of pleasure but grounded on it. This last always happens in an aesthetical judgement upon anything so far as it gratifies or grieves us. Hence judgements so affected can lay no claim at all to a universally valid satisfaction, or at least so much the less claim, in proportion as there are sensations of this sort among the determining grounds of taste. That taste is still barbaric which needs a mixture of charms and emotions in order that there may be satisfaction, and still more so if it make these the measure of its assent.

    Nevertheless charms are often not only taken account of in the case of beauty (which properly speaking ought merely to be concerned with form) as contributory to the aesthetical universal satisfaction; but they are passed off as in themselves beauties, and thus the matter of satisfaction is substituted for the form. This misconception, however, like so many others which have something true at their basis, may be removed by a careful definition of these concepts.

    A judgement of taste on which charm and emotion have no influence (although they may be bound up with the satisfaction in the beautiful),—which therefore has as its determining ground merely the purposiveness of the form,—is a pure judgement of taste.

    § 14. Elucidation by means of examples

    Aesthetical judgements can be divided just like theoretical (logical) judgements into empirical and pure. The first assert pleasantness or unpleasantness; the second assert the beauty of an object or of the manner of representing it. The former are judgements of Sense (material aesthetical judgements); the latter [as formal25] are alone strictly judgements of Taste.

    A judgement of taste is therefore pure, only so far as no merely empirical satisfaction is mingled with its determining ground. But this always happens if charm or emotion have any share in the judgement by which anything is to be described as beautiful.

    Now here many objections present themselves, which fallaciously put forward charm not merely as a necessary ingredient of beauty, but as alone sufficient [to justify] a thing’s being called beautiful. A mere colour, e.g. the green of a grass plot, a mere tone (as distinguished from sound and noise) like that of a violin, are by most people described as beautiful in themselves; although both seem to have at their basis merely the matter of representations, viz. simply sensation, and therefore only deserve to be called pleasant. But we must at the same time remark that the sensations of colours and of tone have a right to be regarded as beautiful only in so far as they are pure. This is a determination which concerns their form, and is the only [element] of these representations which admits with certainty of universal communicability; for we cannot assume that the quality of sensations is the same in all subjects, and we can hardly say that the pleasantness of one colour or the tone of one musical instrument is judged preferable to that of another in the same26 way by every one.

    If we assume with Euler that colours are isochronous vibrations (pulsus) of the aether, as sounds are of the air in a state of disturbance, and,—what is most important,—that the mind not only perceives by sense the effect of these in exciting the organ, but also perceives by reflection the regular play of impressions (and thus the form of the combination of different representations) which I still do not doubt27—then colours and tone cannot be reckoned as mere sensations, but as the formal determination of the unity of a manifold of sensations, and thus as beauties in themselves.

    But “pure” in a simple mode of sensation means that its uniformity is troubled and interrupted by no foreign sensation, and it belongs merely to the form; because here we can abstract from the quality of that mode of sensation (abstract from the colours and tone, if any, which it represents). Hence all simple colours, so far as they are pure, are regarded as beautiful; composite colours have not this advantage, because, as they are not simple, we have no standard for judging whether they should be called pure or not.

    But as regards the beauty attributed to the object on account of its form, to suppose it to be capable of augmentation through the charm of the object is a common error, and one very prejudicial to genuine, uncorrupted, well-founded taste. We can doubtless add these charms to beauty, in order to interest the mind by the representation of the object, apart from the bare satisfaction [received]; and thus they may serve as a recommendation of taste and its cultivation, especially when it is yet crude and unexercised. But they actually do injury to the judgement of taste if they draw attention to themselves as the grounds for judging of beauty. So far are they from adding to beauty that they must only be admitted by indulgence as aliens; and provided always that they do not disturb the beautiful form, in cases when taste is yet weak and untrained.

    In painting, sculpture, and in all the formative arts—in architecture, and horticulture, so far as they are beautiful arts—the delineation is the essential thing; and here it is not what gratifies in sensation but what pleases by means of its form that is fundamental for taste. The colours which light up the sketch belong to the charm; they may indeed enliven28 the object for sensation, but they cannot make it worthy of contemplation and beautiful. In most cases they are rather limited by the requirements of the beautiful form; and even where charm is permissible it is ennobled solely by this.

    Every form of the objects of sense (both of external sense and also mediately of internal) is either figure or play. In the latter case it is either play of figures (in space, viz. pantomime and dancing), or the mere play of sensations (in time). The charm of colours or of the pleasant tones of an instrument may be added; but the delineation in the first case and the composition in the second constitute the proper object of the pure judgement of taste. To say that the purity of colours and of tones, or their variety and contrast, seems to add to beauty, does not mean that they supply a homogeneous addition to our satisfaction in the form because they are pleasant in themselves; but they do so, because they make the form more exactly, definitely, and completely, intuitible, and besides by their charm [excite the representation, whilst they29] awaken and fix our attention on the object itself.

    Even what we call ornaments [parerga29], i.e. those things which do not belong to the complete representation of the object internally as elements but only externally as complements, and which augment the satisfaction of taste, do so only by their form; as for example [the frames of pictures,29 or] the draperies of statues or the colonnades of palaces. But if the ornament does not itself consist in beautiful form, and if it is used as a golden frame is used, merely to recommend the painting by its charm, it is then called finery and injures genuine beauty.

    Emotion, i.e. a sensation in which pleasantness is produced by means of a momentary checking and a consequent more powerful outflow of the vital force, does not belong at all to beauty. But sublimity [with which the feeling of emotion is bound up29] requires a different standard of judgement from that which is at the foundation of taste; and thus a pure judgement of taste has for its determining ground neither charm nor emotion, in a word, no sensation as the material of the aesthetical judgement.

    § 15. The judgement of taste is quite independent of the concept of perfection

    Objective purposiveness can only be cognised by means of the reference of the manifold to a definite purpose, and therefore only through a concept. From this alone it is plain that the Beautiful, the judging of which has at its basis a merely formal purposiveness, i.e. a purposiveness without purpose, is quite independent of the concept of the Good; because the latter presupposes an objective purposiveness, i.e. the reference of the object to a definite purpose.

    Objective purposiveness is either external, i.e. the utility, or internal, i.e. the perfection of the object. That the satisfaction in an object, on account of which we call it beautiful, cannot rest on the representation of its utility, is sufficiently obvious from the two preceding sections; because in that case it would not be an immediate satisfaction in the object, which is the essential condition of a judgement about beauty. But objective internal purposiveness, i.e. perfection, comes nearer to the predicate of beauty; and it has been regarded by celebrated philosophers30 as the same as beauty, with the proviso, if it is thought in a confused way. It is of the greatest importance in a Critique of Taste to decide whether beauty can thus actually be resolved into the concept of perfection.

    To judge of objective purposiveness we always need not only the concept of a purpose, but (if that purposiveness is not to be external utility but internal) the concept of an internal purpose which shall contain the ground of the internal possibility of the object. Now as a purpose in general is that whose concept can be regarded as the ground of the possibility of the object itself; so, in order to represent objective purposiveness in a thing, the concept of what sort of thing it is to be must come first. The agreement of the manifold in it with this concept (which furnishes the rule for combining the manifold) is the qualitative perfection of the thing. Quite different from this is quantitative perfection, the completeness of a thing after its kind, which is a mere concept of magnitude (of totality).31 In this what the thing ought to be is conceived as already determined, and it is only asked if it has all its requisites. The formal [element] in the representation of a thing, i.e. the agreement of the manifold with a unity (it being undetermined what this ought to be), gives to cognition no objective purposiveness whatever. For since abstraction is made of this unity as purpose (what the thing ought to be), nothing remains but the subjective purposiveness of the representations in the mind of the intuiting subject. And this, although it furnishes a certain purposiveness of the representative state of the subject, and so a facility of apprehending a given form by the Imagination, yet furnishes no perfection of an Object, since the Object is not here conceived by means of the concept of a purpose. For example, if in a forest I come across a plot of sward, round which trees stand in a circle, and do not then represent to myself a purpose, viz. that it is intended to serve for country dances, not the least concept of perfection is furnished by the mere form. But to represent to oneself a formal objective purposiveness without purpose, i.e. the mere form of a perfection (without any matter and without the concept of that with which it is accordant, even if it were merely the Idea of conformity to law in general32) is a veritable contradiction.

    Now the judgement of taste is an aesthetical judgement, i.e. such as rests on subjective grounds, the determining ground of which cannot be a concept, and consequently cannot be the concept of a definite purpose. Therefore in beauty, regarded as a formal subjective purposiveness, there is in no way thought a perfection of the object, as a would-be formal purposiveness, which yet is objective. And thus to distinguish between the concepts of the Beautiful and the Good, as if they were only different in logical form, the first being a confused, the second a clear concept of perfection, but identical in content and origin, is quite fallacious. For then there would be no specific difference between them, but a judgement of taste would be as much a cognitive judgement as the judgement by which a thing is described as good; just as when the ordinary man says that fraud is unjust he bases his judgement on confused grounds, whilst the philosopher bases it on clear grounds, but both on identical principles of Reason. I have already, however, said that an aesthetical judgement is unique of its kind, and gives absolutely no cognition (not even a confused cognition) of the Object; this is only supplied by a logical judgement. On the contrary, it simply refers the representation, by which an Object is given, to the subject; and brings to our notice no characteristic of the object, but only the purposive form in the determination of the representative powers which are occupying themselves therewith. The judgement is called aesthetical just because its determining ground is not a concept, but the feeling (of internal sense) of that harmony in the play of the mental powers, so far as it can be felt in sensation. On the other hand, if we wish to call confused concepts and the objective judgement based on them, aesthetical, we shall have an Understanding judging sensibly or a Sense representing its Objects by means of concepts [both of which are contradictory.33] The faculty of concepts, be they confused or clear, is the Understanding; and although Understanding has to do with the judgement of taste, as an aesthetical judgement (as it has with all judgements), yet it has to do with it not as a faculty by which an object is cognised, but as the faculty which determines the judgement and its representation (without any concept) in accordance with its relation to the subject and the subject’s internal feeling, in so far as this judgement may be possible in accordance with a universal rule.

    § 16. The judgement of taste, by which an object is declared to be beautiful under the condition of a definite concept, is not pure

    There are two kinds of beauty; free beauty (pulchritudo vaga) or merely dependent beauty (pulchritudo adhaerens). The first presupposes no concept of what the object ought to be; the second does presuppose such a concept and the perfection of the object in accordance therewith. The first is called the (self-subsistent) beauty of this or that thing; the second, as dependent upon a concept (conditioned beauty), is ascribed to Objects which come under the concept of a particular purpose.

    Flowers are free natural beauties. Hardly any one but a botanist knows what sort of a thing a flower ought to be; and even he, though recognising in the flower the reproductive organ of the plant, pays no regard to this natural purpose if he is passing judgement on the flower by Taste. There is then at the basis of this judgement no perfection of any kind, no internal purposiveness, to which the collection of the manifold is referred. Many birds (such as the parrot, the humming bird, the bird of paradise), and many sea shells are beauties in themselves, which do not belong to any object determined in respect of its purpose by concepts, but please freely and in themselves. So also delineations à la grecque, foliage for borders or wall-papers, mean nothing in themselves; they represent nothing—no Object under a definite concept,—and are free beauties. We can refer to the same class what are called in music phantasies (i.e. pieces without any theme), and in fact all music without words.

    In the judging of a free beauty (according to the mere form) the judgement of taste is pure. There is presupposed no concept of any purpose, for which the manifold should serve the given Object, and which therefore is to be represented therein. By such a concept the freedom of the Imagination which disports itself in the contemplation of the figure would be only limited.

    But human beauty (i.e. of a man, a woman, or a child), the beauty of a horse, or a building (be it church, palace, arsenal, or summer-house) presupposes a concept of the purpose which determines what the thing is to be, and consequently a concept of its perfection; it is therefore adherent beauty. Now as the combination of the Pleasant (in sensation) with Beauty, which properly is only concerned with form, is a hindrance to the purity of the judgement of taste; so also is its purity injured by the combination with Beauty of the Good (viz. that manifold which is good for the thing itself in accordance with its purpose).

    We could add much to a building which would immediately please the eye, if only it were not to be a church. We could adorn a figure with all kinds of spirals and light but regular lines, as the New Zealanders do with their tattooing, if only it were not the figure of a human being. And again this could have much finer features and a more pleasing and gentle cast of countenance provided it were not intended to represent a man, much less a warrior.

    Now the satisfaction in the manifold of a thing in reference to the internal purpose which determines its possibility is a satisfaction grounded on a concept; but the satisfaction in beauty is such as presupposes no concept, but is immediately bound up with the representation through which the object is given (not through which it is thought). If now the judgement of Taste in respect of the beauty of a thing is made dependent on the purpose in its manifold, like a judgement of Reason, and thus limited, it is no longer a free and pure judgement of Taste.

    It is true that taste gains by this combination of aesthetical with intellectual satisfaction, inasmuch as it becomes fixed; and though it is not universal, yet in respect to certain purposively determined Objects it becomes possible to prescribe rules for it. These, however, are not rules of taste, but merely rules for the unification of Taste with Reason, i.e. of the Beautiful with the Good, by which the former becomes available as an instrument of design in respect of the latter. Thus the tone of mind which is self-maintaining and of subjective universal validity is subordinated to the way of thinking which can be maintained only by painful resolve, but is of objective universal validity. Properly speaking, however, perfection gains nothing by beauty or beauty by perfection; but, when we compare the representation by which an object is given to us with the Object (as regards what it ought to be) by means of a concept, we cannot avoid considering along with it the sensation in the subject. And thus when both states of mind are in harmony our whole faculty of representative power gains.

    A judgement of taste, then, in respect of an object with a definite internal purpose, can only be pure, if either the person judging has no concept of this purpose, or else abstracts from it in his judgement. Such a person, although forming an accurate judgement of taste in judging of the object as free beauty, would yet by another who considers the beauty in it only as a dependent attribute (who looks to the purpose of the object) be blamed, and accused of false taste; although both are right in their own way, the one in reference to what he has before his eyes, the other in reference to what he has in his thought. By means of this distinction we can settle many disputes about beauty between judges of taste; by showing that the one is speaking of free, the other of dependent, beauty,—that the first is making a pure, the second an applied, judgement of taste.

    § 17. Of the Ideal of beauty

    There can be no objective rule of taste which shall determine by means of concepts what is beautiful. For every judgement from this source is aesthetical; i.e. the feeling of the subject, and not a concept of the Object, is its determining ground. To seek for a principle of taste which shall furnish, by means of definite concepts, a universal criterion of the beautiful, is fruitless trouble; because what is sought is impossible and self-contradictory. The universal communicability of sensation (satisfaction or dissatisfaction) without the aid of a concept—the agreement, as far as is possible, of all times and peoples as regards this feeling in the representation of certain objects—this is the empirical criterion, although weak and hardly sufficing for probability, of the derivation of a taste, thus confirmed by examples, from the deep-lying grounds of agreement common to all men, in judging of the forms under which objects are given to them.

    Hence, we consider some products of taste as exemplary. Not that taste can be acquired by imitating others; for it must be an original faculty. He who imitates a model shows, no doubt, in so far as he attains to it, skill; but only shows taste in so far as he can judge of this model itself.34 It follows from hence that the highest model, the archetype of taste, is a mere Idea, which every one must produce in himself; and according to which he must judge every Object of taste, every example of judgement by taste, and even the taste of every one. Idea properly means a rational concept, and Ideal the representation of an individual being, regarded as adequate to an Idea.35 Hence that archetype of taste, which certainly rests on the indeterminate Idea that Reason has of a maximum, but which cannot be represented by concepts, but only in an individual presentation, is better called the Ideal of the beautiful. Although we are not in possession of this, we yet strive to produce it in ourselves. But it can only be an Ideal of the Imagination, because it rests on a presentation and not on concepts, and the Imagination is the faculty of presentation.—How do we arrive at such an Ideal of beauty? A priori, or empirically? Moreover, what species of the beautiful is susceptible of an Ideal?

    First, it is well to remark that the beauty for which an Ideal is to be sought cannot be vague beauty, but is fixed by a concept of objective purposiveness; and thus it cannot appertain to the Object of a quite pure judgement of taste, but to that of a judgement of taste which is in part intellectual. That is, in whatever grounds of judgement an Ideal is to be found, an Idea of Reason in accordance with definite concepts must lie at its basis; which determines a priori the purpose on which the internal possibility of the object rests. An Ideal of beautiful flowers, of a beautiful piece of furniture, of a beautiful view, is inconceivable. But neither can an Ideal be represented of a beauty dependent on definite purposes, e.g. of a beautiful dwelling-house, a beautiful tree, a beautiful garden, etc.; presumably because their purpose is not sufficiently determined and fixed by the concept, and thus the purposiveness is nearly as free as in the case of vague beauty. The only being which has the purpose of its existence in itself is man, who can determine his purposes by Reason; or, where he must receive them from external perception, yet can compare them with essential and universal purposes, and can judge this their accordance aesthetically. This man is, then, alone of all objects in the world, susceptible of an Ideal of beauty; as it is only humanity in his person, as an intelligence, that is susceptible of the Ideal of perfection.

    But there are here two elements. First, there is the aesthetical normal Idea, which is an individual intuition (of the Imagination), representing the standard of our judgement [upon man] as a thing belonging to a particular animal species. Secondly, there is the rational Idea which makes the purposes of humanity, so far as they cannot be sensibly represented, the principle for judging of a figure through which, as their phenomenal effect, those purposes are revealed. The normal Idea of the figure of an animal of a particular race must take its elements from experience. But the greatest purposiveness in the construction of the figure, that would be available for the universal standard of aesthetical judgement upon each individual of this species—the image which is as it were designedly at the basis of nature’s Technic, to which only the whole race and not any isolated individual is adequate—this lies merely in the Idea of the judging [subject]. And this, with its proportions, as an aesthetical Idea, can be completely presented in concreto in a model. In order to make intelligible in some measure (for who can extract her whole secret from nature?) how this comes to pass, we shall attempt a psychological explanation.

    We must remark that, in a way quite incomprehensible by us, the Imagination can not only recall, on occasion, the signs for concepts long past, but can also reproduce the image of the figure of the object out of an unspeakable number of objects of different kinds or even of the same kind. Further, if the mind is concerned with comparisons, the Imagination can, in all probability, actually though unconsciously let one image glide into another, and thus by the concurrence of several of the same kind come by an average, which serves as the common measure of all. Every one has seen a thousand full-grown men. Now if you wish to judge of their normal size, estimating it by means of comparison, the Imagination (as I think) allows a great number of images (perhaps the whole thousand) to fall on one another. If I am allowed to apply here the analogy of optical presentation, it is in the space where most of them are combined and inside the contour, where the place is illuminated with the most vivid colours, that the average size is cognisable; which, both in height and breadth, is equally far removed from the extreme bounds of the greatest and smallest stature. And this is the stature of a beautiful man. (We could arrive at the same thing mechanically, by adding together all thousand magnitudes, heights, breadths, and thicknesses, and dividing the sum by a thousand. But the Imagination does this by means of a dynamical effect, which arises from the various impressions of such figures on the organ of internal sense.) If now in a similar way for this average man we seek the average head, for this head the average nose, etc., such figure is at the basis of the normal Idea in the country where the comparison is instituted. Thus necessarily under these empirical conditions a negro must have a different normal Idea of the beauty of the [human figure] from a white man, a Chinaman a different normal Idea from a European, etc. And the same is the case with the model of a beautiful horse or dog (of a certain breed).—This normal Idea is not derived from proportions got from experience [and regarded] as definite rules; but in accordance with it rules for judging become in the first instance possible. It is the image for the whole race, which floats among all the variously different intuitions of individuals, which nature takes as archetype in her productions of the same species, but which seems not to be fully reached in any individual case. It is by no means the whole archetype of beauty in the race, but only the form constituting the indispensable condition of all beauty, and thus merely correctness in the [mental] presentation of the race. It is, like the celebrated Doryphorus of Polycletus,36 the rule (Myron’s37 Cow might also be used thus for its kind). It can therefore contain nothing specifically characteristic, for otherwise it would not be the normal Idea for the race. Its presentation pleases, not by its beauty, but merely because it contradicts no condition, under which alone a thing of this kind can be beautiful. The presentation is merely correct.38

    We must yet distinguish the normal Idea of the beautiful from the Ideal, which latter, on grounds already alleged, we can only expect in the human figure. In this the Ideal consists in the expression of the moral, without which the object would not please universally and thus positively (not merely negatively in a correct presentation). The visible expression of moral Ideas that rule men inwardly, can indeed only be got from experience; but to make its connexion with all which our Reason unites with the morally good in the Idea of the highest purposiveness,—goodness of heart, purity, strength, peace, etc.,—visible as it were in bodily manifestation (as the effect of that which is internal), requires a union of pure Ideas of Reason with great imaginative power, even in him who wishes to judge of it, still more in him who wishes to present it. The correctness of such an Ideal of beauty is shown by its permitting no sensible charm to mingle with the satisfaction in the Object and yet allowing us to take a great interest therein. This shows that a judgement in accordance with such a standard can never be purely aesthetical, and that a judgement in accordance with an Ideal of beauty is not a mere judgement of taste.

    EXPLANATION OF THE BEAUTIFUL DERIVED FROM THIS THIRD MOMENT

    Beauty is the form of the purposiveness of an object, so far as this is perceived in it without any representation of a purpose.39

    FOURTH MOMENT

    OF THE JUDGEMENT OF TASTE, ACCORDING TO THE MODALITY OF THE SATISFACTION IN THE OBJECT

    § 18. What the modality in a judgement of taste is

    I can say of every representation that it is at least possible that (as a cognition) it should be bound up with a pleasure. Of a representation that I call pleasant I say that it actually excites pleasure in me. But the beautiful we think as having a necessary reference to satisfaction. Now this necessity is of a peculiar kind. It is not a theoretical objective necessity; in which case it would be cognised a priori that every one will feel this satisfaction in the object called beautiful by me. It is not a practical necessity; in which case, by concepts of a pure rational will serving as a rule for freely acting beings, the satisfaction is the necessary result of an objective law and only indicates that we absolutely (without any further design) ought to act in a certain way. But the necessity which is thought in an aesthetical judgement can only be called exemplary; i.e. a necessity of the assent of all to a judgement which is regarded as the example of a universal rule that we cannot state. Since an aesthetical judgement is not an objective cognitive judgement, this necessity cannot be derived from definite concepts, and is therefore not apodictic. Still less can it be inferred from the universality of experience (of a complete agreement of judgements as to the beauty of a certain object). For not only would experience hardly furnish sufficiently numerous vouchers for this; but also, on empirical judgements we can base no concept of the necessity of these judgements.

    § 19. The subjective necessity, which we ascribe to the judgement of taste, is conditioned

    The judgement of taste requires the agreement of every one; and he who describes anything as beautiful claims that every one ought to give his approval to the object in question and also describe it as beautiful. The ought in the aesthetical judgement is therefore pronounced in accordance with all the data which are required for judging and yet is only conditioned. We ask for the agreement of every one else, because we have for it a ground that is common to all; and we could count on this agreement, provided we were always sure that the case was correctly subsumed under that ground as rule of assent.

    § 20. The condition of necessity which a judgement of taste asserts is the Idea of a common sense

    If judgements of taste (like cognitive judgements) had a definite objective principle, then the person who lays them down in accordance with this latter would claim an unconditioned necessity for his judgement. If they were devoid of all principle, like those of the mere taste of sense, we would not allow them in thought any necessity whatever. Hence they must have a subjective principle which determines what pleases or displeases only by feeling and not by concepts, but yet with universal validity. But such a principle could only be regarded as a common sense, which is essentially different from common Understanding which people sometimes call common Sense (sensus communis); for the latter does not judge by feeling but always by concepts, although ordinarily only as by obscurely represented principles.

    Hence it is only under the presupposition that there is a common sense (by which we do not understand an external sense, but the effect resulting from the free play of our cognitive powers)—it is only under this presupposition, I say, that the judgement of taste can be laid down.

    § 21. Have we ground for presupposing a common sense?

    Cognitions and judgements must, along with the conviction that accompanies them, admit of universal communicability; for otherwise there would be no harmony between them and the Object, and they would be collectively a mere subjective play of the representative powers, exactly as scepticism would have it. But if cognitions are to admit of communicability, so must also the state of mind,—i.e. the accordance of the cognitive powers with a cognition generally, and that proportion of them which is suitable for a representation (by which an object is given to us) in order that a cognition may be made out of it—admit of universal communicability. For without this as the subjective condition of cognition, knowledge as an effect could not arise. This actually always takes place when a given object by means of Sense excites the Imagination to collect the manifold, and the Imagination in its turn excites the Understanding to bring about a unity of this collective process in concepts. But this accordance of the cognitive powers has a different proportion according to the variety of the Objects which are given. However, it must be such that this internal relation, by which one mental faculty is excited by another, shall be generally the most beneficial for both faculties in respect of cognition (of given objects); and this accordance can only be determined by feeling (not according to concepts). Since now this accordance itself must admit of universal communicability, and consequently also our feeling of it (in a given representation), and since the universal communicability of a feeling presupposes a common sense, we have grounds for assuming this latter. And this common sense is assumed without relying on psychological observations, but simply as the necessary condition of the universal communicability of our knowledge, which is presupposed in every Logic and in every principle of knowledge that is not sceptical.

    § 22. The necessity of the universal agreement that is thought in a judgement of taste is a subjective necessity, which is represented as objective under the presupposition of a common sense

    In all judgements by which we describe anything as beautiful, we allow no one to be of another opinion; without however grounding our judgement on concepts but only on our feeling, which we therefore place at its basis not as a private, but as a communal feeling.40 Now this common sense cannot be grounded on experience; for it aims at justifying judgements which contain an ought. It does not say that every one will agree with my judgement, but that he ought. And so common sense, as an example of whose judgement I here put forward my judgement of taste and on account of which I attribute to the latter an exemplary validity, is a mere ideal norm, under the supposition of which I have a right to make into a rule for every one a judgement that accords therewith, as well as the satisfaction in an Object expressed in such judgement. For the principle, which concerns the agreement of different judging persons, although only subjective, is yet assumed as subjectively universal (an Idea necessary for every one); and thus can claim universal assent (as if it were objective) provided we are sure that we have correctly subsumed [the particulars] under it.

    This indeterminate norm of a common sense is actually presupposed by us; as is shown by our claim to lay down judgements of taste. Whether there is in fact such a common sense, as a constitutive principle of the possibility of experience, or whether a yet higher principle of Reason makes it only into a regulative principle for producing in us a common sense for higher purposes: whether therefore Taste is an original and natural faculty, or only the Idea of an artificial one yet to be acquired, so that a judgement of taste with its assumption of a universal assent in fact, is only a requirement of Reason for producing such harmony of sentiment; whether the “ought,” i.e. the objective necessity of the confluence of the feeling of any one man with that of every other, only signifies the possibility of arriving at this accord, and the judgement of taste only affords an example of the application of this principle: these questions we have neither the wish nor the power to investigate as yet; we have now only to resolve the faculty of taste into its elements in order to unite them at last in the Idea of a common sense.

    EXPLANATION OF THE BEAUTIFUL RESULTING FROM THE FOURTH MOMENT

    The beautiful is that which without any concept is cognised as the object of a necessary satisfaction.

    GENERAL REMARK ON THE FIRST SECTION OF THE ANALYTIC

    If we seek the result of the preceding analysis we find that everything runs up into this concept of Taste, that it is a faculty for judging an object in reference to the Imagination’s free conformity to law. Now if in the judgement of taste the Imagination must be considered in its freedom, it is in the first place not regarded as reproductive, as it is subject to the laws of association, but as productive and spontaneous (as the author of arbitrary forms of possible intuition). And although in the apprehension of a given object of sense it is tied to a definite form of this Object, and so far has no free play (such as that of poetry) yet it may readily be conceived that the object can furnish it with such a form containing a collection of the manifold, as the Imagination itself, if it were left free, would project in accordance with the conformity to law of the Understanding in general. But that the imaginative power should be free and yet of itself conformed to law, i.e. bringing autonomy with it, is a contradiction. The Understanding alone gives the law. If, however, the Imagination is compelled to proceed according to a definite law, its product in respect of form is determined by concepts as to what it ought to be. But then, as is above shown, the satisfaction is not that in the Beautiful, but in the Good (in perfection, at any rate in mere formal perfection); and the judgement is not a judgement of taste. Hence it is a conformity to law without a law; and a subjective agreement of the Imagination and Understanding,—without such an objective agreement as there is when the representation is referred to a definite concept of an object,—can subsist along with the free conformity to law of the Understanding (which is also called purposiveness without purpose) and with the peculiar feature of a judgement of taste.

    Now geometrically regular figures, such as a circle, a square, a cube, etc., are commonly adduced by critics of taste as the simplest and most indisputable examples of beauty; and yet they are called regular, because we can only represent them by regarding them as mere presentations of a definite concept which prescribes the rule for the figure (according to which alone it is possible). One of these two must be wrong, either that judgement of the critic which ascribes beauty to the said figures, or ours, which regards purposiveness apart from a concept as requisite for beauty.

    Hardly any one will say that a man must have taste in order that he should find more satisfaction in a circle than in a scrawled outline, in an equilateral and equiangular quadrilateral than in one which is oblique, irregular, and as it were deformed, for this belongs to the ordinary Understanding and is not Taste at all. Where, e.g. our design is to judge of the size of an area, or to make intelligible the relation of the parts of it, when divided, to one another and to the whole, then regular figures and those of the simplest kind are needed, and the satisfaction does not rest immediately on the aspect of the figure, but on its availability for all kinds of possible designs. A room whose walls form oblique angles, or a parterre of this kind, even every violation of symmetry in the figure of animals (e.g. being one-eyed), of buildings, or of flower beds, displeases, because it contradicts the purpose of the thing, not only practically in respect of a definite use of it, but also when we pass judgement on it as regards any possible design. This is not the case in the judgement of taste, which when pure combines satisfaction or dissatisfaction,—without any reference to its use or to a purpose,—with the mere consideration of the object.

    The regularity which leads to the concept of an object is indeed the indispensable condition (conditio sine qua non) for grasping the object in a single representation and determining the manifold in its form. This determination is a purpose in respect of cognition, and in reference to this it is always bound up with satisfaction (which accompanies the execution of every, even problematical, design). There is here, however, merely the approval of the solution satisfying a problem, and not a free and indefinite purposive entertainment of the mental powers with what we call beautiful, where the Understanding is at the service of Imagination and not vice versa.

    In a thing that is only possible by means of design,—a building, or even an animal,—the regularity consisting in symmetry must express the unity of the intuition that accompanies the concept of purpose, and this regularity belongs to cognition. But where only a free play of the representative powers (under the condition, however, that the Understanding is to suffer no shock thereby) is to be kept up, in pleasure gardens, room decorations, all kinds of tasteful furniture, etc., regularity that shows constraint is avoided as much as possible. Thus in the English taste in gardens, or in bizarre taste in furniture, the freedom of the Imagination is pushed almost near to the grotesque, and in this separation from every constraint of rule we have the case, where taste can display its greatest perfection in the enterprises of the Imagination.

    All stiff regularity (such as approximates to mathematical regularity) has something in it repugnant to taste; for our entertainment in the contemplation of it lasts for no length of time, but it rather, in so far as it has not expressly in view cognition or a definite practical purpose, produces weariness. On the other hand that with which Imagination can play in an unstudied and purposive manner is always new to us, and one does not get tired of looking at it. Marsden in his description of Sumatra makes the remark that the free beauties of nature surround the spectator everywhere and thus lose their attraction for him.41 On the other hand a pepper-garden, where the stakes on which this plant twines itself form parallel rows, had much attractiveness for him, if he met with it in the middle of a forest. And hence he infers that wild beauty, apparently irregular, only pleases as a variation from the regular beauty of which one has seen enough. But he need only have made the experiment of spending one day in a pepper-garden, to have been convinced that, once the Understanding, by the aid of this regularity, has put itself in accord with the order that it always needs, the object will not entertain for long,—nay rather it will impose a burdensome constraint upon the Imagination. On the other hand, nature, which there is prodigal in its variety even to luxuriance, that is subjected to no constraint of artificial rules, can supply constant food for taste.—Even the song of birds, which we can bring under no musical rule, seems to have more freedom, and therefore more for taste, than a song of a human being which is produced in accordance with all the rules of music; for we very much sooner weary of the latter, if it is repeated often and at length. Here, however, we probably confuse our participation in the mirth of a little creature that we love, with the beauty of its song; for if this were exactly imitated by man (as sometimes the notes of the nightingale are)42 it would seem to our ear quite devoid of taste.

    Again, beautiful objects are to be distinguished from beautiful views of objects (which often on account of their distance cannot be clearly recognised). In the latter case taste appears not so much in what the Imagination apprehends in this field, as in the impulse it thus gets to fiction, i.e. in the peculiar fancies with which the mind entertains itself, whilst it is continually being aroused by the variety which strikes the eye. An illustration is afforded, e.g. by the sight of the changing shapes of a fire on the hearth or of a rippling brook; neither of these has beauty, but they bring with them a charm for the Imagination, because they entertain it in free play.

    SECOND BOOK

    ANALYTIC OF THE SUBLIME

    § 23. Transition from the faculty which judges of the Beautiful to that which judges of the Sublime

    The Beautiful and the Sublime agree in this, that both please in themselves. Further, neither presupposes a judgement of sense nor a judgement logically determined, but a judgement of reflection. Consequently the satisfaction [belonging to them] does not depend on a sensation, as in the case of the Pleasant, nor on a definite concept, as in the case of the Good; but it is nevertheless referred to concepts although indeterminate ones. And so the satisfaction is connected with the mere presentation [of the object] or with the faculty of presentation; so that in the case of a given intuition this faculty or the Imagination is considered as in agreement with the faculty of concepts of Understanding or Reason (in its furtherance of these latter). Hence both kinds of judgements are singular, and yet announce themselves as universally valid for every subject; although they lay claim merely to the feeling of pleasure and not to any knowledge of the object.

    But there are also remarkable differences between the two. The Beautiful in nature is connected with the form of the object, which consists in having boundaries. The Sublime, on the other hand, is to be found in a formless object, so far as in it or by occasion of it boundlessness is represented, and yet its totality is also present to thought. Thus the Beautiful seems to be regarded as the presentation of an indefinite concept of Understanding; the Sublime as that of a like concept of Reason. Therefore the satisfaction in the one case is bound up with the representation of quality, in the other with that of quantity. And the latter satisfaction is quite different in kind from the former, for this [the Beautiful43] directly brings with it a feeling of the furtherance of life, and thus is compatible with charms and with the play of the Imagination. But the other [the feeling of the Sublime43] is a pleasure that arises only indirectly; viz. it is produced by the feeling of a momentary checking of the vital powers and a consequent stronger outflow of them, so that it seems to be regarded as emotion,—not play, but earnest in the exercise of the Imagination.—Hence it is incompatible with charms; and as the mind is not merely attracted by the object but is ever being alternately repelled, the satisfaction in the sublime does not so much involve a positive pleasure as admiration or respect, which rather deserves to be called negative pleasure.

    But the inner and most important distinction between the Sublime and Beautiful is, certainly, as follows. (Here, as we are entitled to do, we only bring under consideration in the first instance the sublime in natural Objects; for the sublime of Art is always limited by the conditions of agreement with Nature.) Natural beauty (which is self-subsisting) brings with it a purposiveness in its form by which the object seems to be, as it were, pre-adapted to our Judgement, and thus constitutes in itself an object of satisfaction. On the other hand, that which excites in us, without any reasoning about it, but in the mere apprehension of it, the feeling of the sublime, may appear as regards its form to violate purpose in respect of the Judgement, to be unsuited to our presentative faculty, and, as it were, to do violence to the Imagination; and yet it is judged to be only the more sublime.

    Now from this we may see that in general we express ourselves incorrectly if we call any object of nature sublime, although we can quite correctly call many objects of nature beautiful. For how can that be marked by an expression of approval, which is apprehended in itself as being a violation of purpose? All that we can say is that the object is fit for the presentation of a sublimity which can be found in the mind; for no sensible form can contain the sublime properly so-called. This concerns only Ideas of the Reason, which, although no adequate presentation is possible for them, by this inadequacy that admits of sensible presentation, are aroused and summoned into the mind. Thus the wide ocean, agitated by the storm, cannot be called sublime. Its aspect is horrible; and the mind must be already filled with manifold Ideas if it is to be determined by such an intuition to a feeling itself sublime, as it is incited to abandon sensibility and to busy itself with Ideas that involve higher purposiveness.

    Self-subsisting natural beauty discovers to us a Technic of nature, which represents it as a system in accordance with laws, the principle of which we do not find in the whole of our faculty of Understanding. That principle is the principle of purposiveness, in respect of the use of our Judgement in regard to phenomena; [which requires] that these must not be judged as merely belonging to nature in its purposeless mechanism, but also as belonging to something analogous to art. It, therefore, actually extends, not indeed our cognition of natural Objects, but our concept of nature; [which is now not regarded] as mere mechanism but as art. This leads to profound investigations as to the possibility of such a form. But in what we are accustomed to call sublime there is nothing at all that leads to particular objective principles and forms of nature corresponding to them; so far from it that for the most part nature excites the Ideas of the sublime in its chaos or in its wildest and most irregular disorder and desolation, provided size and might are perceived. Hence, we see that the concept of the Sublime is not nearly so important or rich in consequences as the concept of the Beautiful; and that in general it displays nothing purposive in nature itself, but only in that possible use of our intuitions of it by which there is produced in us a feeling of a purposiveness quite independent of nature. We must seek a ground external to ourselves for the Beautiful of nature; but seek it for the Sublime merely in ourselves and in our attitude of thought which introduces sublimity into the representation of nature. This is a very needful preliminary remark, which quite separates the Ideas of the sublime from that of a purposiveness of nature, and makes the theory of the sublime a mere appendix to the aesthetical judging of that purposiveness; because by means of it no particular form is represented in nature, but there is only developed a purposive use which the Imagination makes of its representation.

    § 24. Of the divisions of an investigation into the feeling of the sublime

    As regards the division of the moments of the aesthetical judging of objects in reference to the feeling of the sublime, the Analytic can proceed according to the same principle as was adapted in the analysis of judgements of taste. For as an act of the aesthetical reflective Judgement, the satisfaction in the Sublime must be represented just as in the case of the Beautiful,—according to quantity as universally valid, according to quality as devoid of interest, according to relation as subjective purposiveness, and according to modality as necessary. And so the method here will not diverge from that of the preceding section; unless, indeed, we count it a difference that in the case where the aesthetical Judgement is concerned with the form of the Object we began with the investigation of its quality, but here, in view of the formlessness which may belong to what we call sublime, we shall begin with quantity, as the first moment of the aesthetical judgement as to the sublime. The reason for this may be seen from the preceding paragraph.

    But the analysis of the Sublime involves a division not needed in the case of the Beautiful, viz. a division into the mathematically and the dynamically sublime.

    For the feeling of the Sublime brings with it as its characteristic feature a movement of the mind bound up with the judging of the object, while in the case of the Beautiful taste presupposes and maintains the mind in restful contemplation. Now this movement ought to be judged as subjectively purposive (because the sublime pleases us), and thus it is referred through the Imagination either to the faculty of cognition or of desire. In either reference the purposiveness of the given representation ought to be judged only in respect of this faculty (without purpose or interest); but in the first case it is ascribed to the Object as a mathematical determination of the Imagination, in the second as dynamical. And hence we have this twofold way of representing the sublime.

    A.—Of the Mathematically Sublime

    § 25. Explanation of the term “sublime”

    We call that sublime which is absolutely great. But to be great, and to be a great something are quite different concepts (magnitudo and quantitas). In like manner to say simply (simpliciter) that anything is great is quite different from saying that it is absolutely great (absolute, non comparative magnum). The latter is what is great beyond all comparison.—What now is meant by the expression that anything is great or small or of medium size? It is not a pure concept of Understanding that is thus signified; still less is it an intuition of Sense, and just as little is it a concept of Reason, because it brings with it no principle of cognition. It must therefore be a concept of Judgement or derived from one; and a subjective purposiveness of the representation in reference to the Judgement must lie at its basis. That anything is a magnitude (quantum) may be cognised from the thing itself, without any comparison of it with other things; viz. if there is a multiplicity of the homogeneous constituting one thing. But to cognise how great it is always requires some other magnitude as a measure. But because the judging of magnitude depends not merely on multiplicity (number), but also on the magnitude of the unit (the measure), and since, to judge of the magnitude of this latter again requires another as measure with which it may be compared, we see that the determination of the magnitude of phenomena can supply no absolute concept whatever of magnitude, but only a comparative one.

    If now I say simply that anything is great, it appears that I have no comparison in view, at least none with an objective measure; because it is thus not determined at all how great the object is. But although the standard of comparison is merely subjective, yet the judgement none the less claims universal assent; “this man is beautiful,” and “he is tall,” are judgements not limited merely to the judging subject, but, like theoretical judgements, demanding the assent of every one.

    In a judgement by which anything is designated simply as great, it is not merely meant that the object has a magnitude, but that this magnitude is superior to that of many other objects of the same kind, without, however, any exact determination of this superiority. Thus there is always at the basis of our judgement a standard which we assume as the same for every one; this, however, is not available for any logical (mathematically definite) judging of magnitude, but only for aesthetical judging of the same, because it is a merely subjective standard lying at the basis of the reflective judgement upon magnitude. It may be empirical, as, e.g. the average size of the men known to us, of animals of a certain kind, trees, houses, mountains, etc. Or it may be a standard given a priori, which through the defects of the judging subject is limited by the subjective conditions of presentation in concreto; as, e.g. in the practical sphere, the greatness of a certain virtue, or of the public liberty and justice in a country; or, in the theoretical sphere, the greatness of the accuracy or the inaccuracy of an observation or measurement that has been made, etc.

    Here it is remarkable that, although we have no interest whatever in an Object,—i.e. its existence is indifferent to us,—yet its mere size, even if it is considered as formless, may bring a satisfaction with it that is universally communicable, and that consequently involves the consciousness of a subjective purposiveness in the use of our cognitive faculty. This is not indeed a satisfaction in the Object (because it may be formless), as in the case of the Beautiful, in which the reflective Judgement finds itself purposively determined in reference to cognition in general; but [a satisfaction] in the extension of the Imagination by itself.

    If (under the above limitation) we say simply of an object “it is great,” this is no mathematically definite judgement but a mere judgement of reflection upon the representation of it, which is subjectively purposive for a certain use of our cognitive powers in the estimation of magnitude; and we always then bind up with the representation a kind of respect, as also a kind of contempt for what we simply call “small.” Further, the judging of things as great or small extends to everything, even to all their characteristics; thus we describe beauty as great or small. The reason of this is to be sought in the fact that whatever we present in intuition according to the precept of the Judgement (and thus represent aesthetically) is always a phenomenon and thus a quantum.

    But if we call anything not only great, but absolutely great in every point of view (great beyond all comparison), i.e. sublime, we soon see that it is not permissible to seek for an adequate standard of this outside itself, but merely in itself. It is a magnitude which is like itself alone. It follows hence that the sublime is not to be sought in the things of nature, but only in our Ideas; but in which of them it lies must be reserved for the Deduction.

    The foregoing explanation can be thus expressed: the sublime is that in comparison with which everything else is small. Here we easily see that nothing can be given in nature, however great it is judged by us to be, which could not if considered in another relation be reduced to the infinitely small; and conversely there is nothing so small, which does not admit of extension by our Imagination to the greatness of a world, if compared with still smaller standards. Telescopes have furnished us with abundant material for making the first remark, microscopes for the second. Nothing, therefore, which can be an object of the senses, is, considered on this basis, to be called sublime. But because there is in our Imagination a striving towards infinite progress, and in our Reason a claim for absolute totality, regarded as a real Idea, therefore this very inadequateness for that Idea in our faculty for estimating the magnitude of things of sense, excites in us the feeling of a supersensible faculty. And it is not the object of sense, but the use which the Judgement naturally makes of certain objects on behalf of this latter feeling, that is absolutely great; and in comparison every other use is small. Consequently it is the state of mind produced by a certain representation with which the reflective Judgement is occupied, and not the Object, that is to be called sublime.

    We may therefore append to the preceding formulas explaining the sublime this other: the sublime is that, the mere ability to think which, shows a faculty of the mind surpassing every standard of Sense.

    § 26. Of that estimation of the magnitude of natural things which is requisite for the Idea of the Sublime

    The estimation of magnitude by means of concepts of number (or their signs in Algebra) is mathematical; but that in mere intuition (by the measurement of the eye) is aesthetical. Now we can come by definite concepts of how great a thing is, [only]44 by numbers, of which the unit is the measure (at all events by series of numbers progressing to infinity); and so far all logical estimation of magnitude is mathematical. But since the magnitude of the measure must then be assumed known, and this again is only to be estimated mathematically by means of numbers,—the unit of which must be another [smaller] measure,—we can never have a first or fundamental measure, and therefore can never have a definite concept of a given magnitude. So the estimation of the magnitude of the fundamental measure must consist in this, that we can immediately apprehend it in intuition and use it by the Imagination for the presentation of concepts of number. That is, all estimation of the magnitude of the objects of nature is in the end aesthetical (i.e. subjectively and not objectively determined).

    Now for the mathematical estimation of magnitude there is, indeed, no maximum (for the power of numbers extends to infinity); but for its aesthetical estimation there is always a maximum, and of this I say that if it is judged as the absolute measure than which no greater is possible subjectively (for the judging subject), it brings with it the Idea of the sublime and produces that emotion which no mathematical estimation of its magnitude by means of numbers can bring about (except so far as the aesthetical fundamental measure remains vividly in the Imagination). For the former only presents relative magnitude by means of comparison with others of the same kind; but the latter presents magnitude absolutely, so far as the mind can grasp it in an intuition.

    In receiving a quantum into the Imagination by intuition, in order to be able to use it for a measure or as a unit for the estimation of magnitude by means of numbers, there are two operations of the Imagination involved: apprehension (apprehensio) and comprehension (comprehensio aesthetica). As to apprehension there is no difficulty, for it can go on ad infinitum; but comprehension becomes harder the further apprehension advances, and soon attains to its maximum, viz. the aesthetically greatest fundamental measure for the estimation of magnitude. For when apprehension has gone so far that the partial representations of sensuous intuition at first apprehended begin to vanish in the Imagination, whilst this ever proceeds to the apprehension of others, then it loses as much on the one side as it gains on the other; and in comprehension there is a maximum beyond which it cannot go.

    Hence can be explained what Savary45 remarks in his account of Egypt, viz. that we must keep from going very near the Pyramids just as much as we keep from going too far from them, in order to get the full emotional effect from their size. For if we are too far away, the parts to be apprehended (the stones lying one over the other) are only obscurely represented, and the representation of them produces no effect upon the aesthetical judgement of the subject. But if we are very near, the eye requires some time to complete the apprehension of the tiers from the bottom up to the apex; and then the first tiers are always partly forgotten before the Imagination has taken in the last, and so the comprehension of them is never complete.—The same thing may sufficiently explain the bewilderment or, as it were, perplexity which, it is said, seizes the spectator on his first entrance into St. Peter’s at Rome. For there is here a feeling of the inadequacy of his Imagination for presenting the Ideas of a whole, wherein the Imagination reaches its maximum, and, in striving to surpass it, sinks back into itself, by which, however, a kind of emotional satisfaction is produced.

    I do not wish to speak as yet of the ground of this satisfaction, which is bound up with a representation from which we should least of all expect it, viz. a representation which lets us remark its inadequacy and consequently its subjective want of purposiveness for the Judgement in the estimation of magnitude. I only remark that if the aesthetical judgement is pure (i.e. mingled with no teleological judgement or judgement of Reason) and is to be given as a completely suitable example of the Critique of the aesthetical Judgement, we must not exhibit the sublime in products of art (e.g. buildings, pillars, etc.) where human purpose determines the form as well as the size; nor yet in things of nature the concepts of which bring with them a definite purpose (e.g. animals with a known natural destination); but in rude nature (and in this only in so far as it does not bring with it any charm or emotion produced by actual danger) merely as containing magnitude. For in this kind of representation nature contains nothing monstrous (either magnificent or horrible); the magnitude that is apprehended may be increased as much as you wish provided it can be comprehended in a whole by the Imagination. An object is monstrous if by its size it destroys the purpose which constitutes the concept of it. But the mere presentation of a concept is called colossal, which is almost too great for any presentation (bordering on the relatively monstrous); because the purpose of the presentation of a concept is made harder [to realise] by the intuition of the object being almost too great for our faculty of apprehension.—A pure judgement upon the sublime must, however, have no purpose of the Object as its determining ground, if it is to be aesthetical and not mixed up with any judgement of Understanding or Reason.

    * * * * *

    Because everything which is to give disinterested pleasure to the merely reflective Judgement must bring with the representation of it, subjective and, as subjective, universally valid purposiveness—although no purposiveness of the form of the object lies (as in the case of the Beautiful) at the ground of the judgement—the question arises “what is this subjective purposiveness?” And how does it come to be prescribed as the norm by which a ground for universally valid satisfaction is supplied in the mere estimation of magnitude, even in that which is forced up to the point where our faculty of Imagination is inadequate for the presentation of the concept of magnitude?

    In the process of combination requisite for the estimation of magnitude, the Imagination proceeds of itself to infinity without anything hindering it; but the Understanding guides it by means of concepts of number, for which the Imagination must furnish the schema. And in this procedure, as belonging to the logical estimation of magnitude, there is indeed something objectively purposive,—in accordance with the concept of a purpose (as all measurement is),—but nothing purposive and pleasing for the aesthetical Judgement. There is also in this designed purposiveness nothing which would force us to push the magnitude of the measure, and consequently the comprehension of the manifold in an intuition, to the bounds of the faculty of Imagination, or as far as ever this can reach in its presentations. For in the estimation of magnitude by the Understanding (Arithmetic) we only go to a certain point whether we push the comprehension of the units up to the number 10 (as in the decimal scale) or only up to 4 (as in the quaternary scale); the further production of magnitude proceeds by combination or, if the quantum is given in intuition, by apprehension, but merely by way of progression (not of comprehension) in accordance with an assumed principle of progression. In this mathematical estimation of magnitude the Understanding is equally served and contented whether the Imagination chooses for unit a magnitude that we can take in in a glance, e.g. a foot or rod, or a German mile or even the earth’s diameter,—of which the apprehension is indeed possible, but not the comprehension in an intuition of the Imagination (not possible by comprehensio aesthetica, although quite possible by comprehensio logica in a concept of number). In both cases the logical estimation of magnitude goes on without hindrance to infinity.

    But now the mind listens to the voice of Reason which, for every given magnitude,—even for those that can never be entirely apprehended, although (in sensible representation) they are judged as entirely given,—requires totality. Reason consequently desires comprehension in one intuition, and so the presentation of all these members of a progressively increasing series. It does not even exempt the infinite (space and past time) from this requirement; it rather renders it unavoidable to think the infinite (in the judgement of common Reason) as entirely given (according to its totality).

    But the infinite is absolutely (not merely comparatively) great. Compared with it everything else (of the same kind of magnitudes) is small. And what is most important is that to be able only to think it as a whole indicates a faculty of mind which surpasses every standard of Sense. For [to represent it sensibly] would require a comprehension having for unit a standard bearing a definite relation, expressible in numbers, to the infinite; which is impossible. Nevertheless, the bare capability of thinking this infinite without contradiction requires in the human mind a faculty itself supersensible. For it is only by means of this faculty and its Idea of a noumenon,—which admits of no intuition, but which yet serves as the substrate for the intuition of the world, as a mere phenomenon,—that the infinite of the world of sense, in the pure intellectual estimation of magnitude, can be completely comprehended under a concept, although in the mathematical estimation of magnitude by means of concepts of number it can never be completely thought. The faculty of being able to think the infinite of supersensible intuition as given (in its intelligible substrate), surpasses every standard of sensibility, and is great beyond all comparison even with the faculty of mathematical estimation; not of course in a theoretical point of view and on behalf of the cognitive faculty, but as an extension of the mind which feels itself able in another (practical) point of view to go beyond the limit of sensibility.

    Nature is therefore sublime in those of its phenomena, whose intuition brings with it the Idea of their infinity. This last can only come by the inadequacy of the greatest effort of our Imagination to estimate the magnitude of an object. But now in mathematical estimation of magnitude the Imagination is equal to providing a sufficient measure for every object; because the numerical concepts of the Understanding, by means of progression, can make any measure adequate to any given magnitude. Therefore it must be the aesthetical estimation of magnitude in which it is felt that the effort towards comprehension surpasses the power of the Imagination to grasp in a whole of intuition the progressive apprehension; and at the same time is perceived the inadequacy of this faculty, unbounded in its progress, for grasping and using, for the estimation of magnitude, a fundamental measure which could be made available by the Understanding with little trouble. Now the proper unchangeable fundamental measure of nature is its absolute whole; which, regarding nature as a phenomenon, would be infinity comprehended. But since this fundamental measure is a self-contradictory concept (on account of the impossibility of the absolute totality of an endless progress), that magnitude of a natural Object, on which the Imagination fruitlessly spends its whole faculty of comprehension, must carry our concept of nature to a supersensible substrate (which lies at its basis and also at the basis of our faculty of thought). As this, however, is great beyond all standards of sense, it makes us judge as sublime, not so much the object, as our own state of mind in the estimation of it.

    Therefore, just as the aesthetical Judgement in judging the Beautiful refers the Imagination in its free play to the Understanding, in order to harmonise it with the concepts of the latter in general (without any determination of them); so does the same faculty when judging a thing as Sublime refer itself to the Reason in order that it may subjectively be in accordance with its Ideas (no matter what they are):—i.e. that it may produce a state of mind conformable to them and compatible with that brought about by the influence of definite (practical) Ideas upon feeling.

    We hence see also that true sublimity must be sought only in the mind of the [subject] judging, not in the natural Object, the judgement upon which occasions this state. Who would call sublime, e.g. shapeless mountain masses piled in wild disorder upon each other with their pyramids of ice, or the gloomy raging sea? But the mind feels itself elevated in its own judgement if, while contemplating them without any reference to their form, and abandoning itself to the Imagination and to the Reason—which although placed in combination with the Imagination without any definite purpose, merely extends it—it yet finds the whole power of the Imagination inadequate to its Ideas.

    Examples of the mathematically Sublime of nature in mere intuition are all the cases in which we are given, not so much a larger numerical concept as a large unit for the measure of the Imagination (for shortening the numerical series). A tree, [the height of] which we estimate with reference to the height of a man, at all events gives a standard for a mountain; and if this were a mile high, it would serve as unit for the number expressive of the earth’s diameter, so that the latter might be made intuitible. The earth’s diameter [would supply a unit] for the known planetary system; this again for the Milky Way; and the immeasurable number of milky way systems called nebulae,—which presumably constitute a system of the same kind among themselves—lets us expect no bounds here. Now the Sublime in the aesthetical judging of an immeasurable whole like this lies not so much in the greatness of the number [of units], as in the fact that in our progress we ever arrive at yet greater units. To this the systematic division of the universe contributes, which represents every magnitude in nature as small in its turn; and represents our Imagination with its entire freedom from bounds, and with it Nature, as a mere nothing in comparison with the Ideas of Reason, if it is sought to furnish a presentation which shall be adequate to them.

    § 27. Of the quality of the satisfaction in our judgements upon the Sublime

    The feeling of our incapacity to attain to an Idea, which is a law for us, is RESPECT. Now the Idea of the comprehension of every phenomenon that can be given us in the intuition of a whole, is an Idea prescribed to us by a law of Reason, which recognises no other measure, definite, valid for every one, and invariable, than the absolute whole. But our Imagination, even in its greatest efforts, in respect of that comprehension, which we expect from it, of a given object in a whole of intuition (and thus with reference to the presentation of the Idea of Reason), exhibits its own limits and inadequacy; although at the same time it shows that its destination is to make itself adequate to this Idea regarded as a law. Therefore the feeling of the Sublime in nature is respect for our own destination, which by a certain subreption we attribute to an Object of nature (conversion of respect for the Idea of humanity in our own subject into respect for the Object). This makes intuitively evident the superiority of the rational determination of our cognitive faculties to the greatest faculty of our Sensibility.

    The feeling of the Sublime is therefore a feeling of pain, arising from the want of accordance between the aesthetical estimation of magnitude formed by the Imagination and the estimation of the same formed by Reason. There is at the same time a pleasure thus excited, arising from the correspondence with rational Ideas of this very judgement of the inadequacy of our greatest faculty of Sense; in so far as it is a law for us to strive after these Ideas. In fact it is for us a law (of Reason), and belongs to our destination, to estimate as small, in comparison with Ideas of Reason, everything which nature, regarded as an object of Sense, contains that is great for us; and that which arouses in us the feeling of this supersensible destination agrees with that law. Now the greatest effort of the Imagination in the presentation of the unit for the estimation of magnitude indicates a reference to something absolutely great; and consequently a reference to the law of Reason, which bids us take this alone as the supreme measure of magnitude. Therefore the inner perception of the inadequacy of all sensible standards for rational estimation of magnitude indicates a correspondence with rational laws; it involves a pain, which arouses in us the feeling of our supersensible destination, according to which it is purposive and therefore pleasurable to find every standard of Sensibility inadequate to the Ideas of Understanding.

    The mind feels itself moved in the representation of the Sublime in nature; whilst in aesthetical judgements about the Beautiful it is in restful contemplation. This movement may (especially in its beginnings) be compared to a vibration, i.e. to a quickly alternating attraction towards, and repulsion from, the same Object. The transcendent (towards which the Imagination is impelled in its apprehension of intuition) is for the Imagination like an abyss in which it fears to lose itself; but for the rational Idea of the supersensible it is not transcendent but in conformity with law to bring about such an effort of the Imagination, and consequently here there is the same amount of attraction as there was of repulsion for the mere Sensibility. But the judgement itself always remains in this case only aesthetical, because—without having any determinate concept of the Object at its basis—it merely represents the subjective play of the mental powers (Imagination and Reason) as harmonious through their very contrast. For just as Imagination and Understanding, in judging of the Beautiful, generate a subjective purposiveness of the mental powers by means of their harmony, so [here46] Imagination and Reason do so by means of their conflict. That is, they bring about a feeling that we possess pure self-subsistent Reason, or a faculty for the estimation of magnitude, whose pre-eminence can be made intuitively evident only by the inadequacy of that faculty [Imagination] which is itself unbounded in the presentation of magnitudes (of sensible objects).

    The measurement of a space (regarded as apprehension) is at the same time a description of it, and thus an objective movement in the act of Imagination and a progress. On the other hand, the comprehension of the manifold in the unity,—not of thought but of intuition,—and consequently the comprehension of the successively apprehended [elements] in one glance, is a regress, which annihilates the condition of time in this progress of the Imagination and makes coexistence intuitible.47 It is therefore (since the time-series is a condition of the internal sense and of an intuition) a subjective movement of the Imagination, by which it does violence to the internal sense; this must be the more noticeable, the greater the quantum is which the Imagination comprehends in one intuition. The effort, therefore, to receive in one single intuition a measure for magnitudes that requires an appreciable time to apprehend, is a kind of representation, which, subjectively considered, is contrary to purpose: but objectively, as requisite for the estimation of magnitude, it is purposive. Thus that very violence which is done to the subject through the Imagination is judged as purposive in reference to the whole determination of the mind.

    The quality of the feeling of the Sublime is that it is a feeling of pain in reference to the faculty by which we judge aesthetically of an object, which pain, however, is represented at the same time as purposive. This is possible through the fact that the very incapacity in question discovers the consciousness of an unlimited faculty of the same subject, and that the mind can only judge of the latter aesthetically by means of the former.

    In the logical estimation of magnitude the impossibility of ever arriving at absolute totality, by means of the progress of the measurement of things of the sensible world in time and space, was cognised as objective, i.e. as an impossibility of thinking the infinite as entirely given; and not as merely subjective or that there was only an incapacity to grasp it. For there we have not to do with the degree of comprehension in an intuition, regarded as a measure, but everything depends on a concept of number. But in aesthetical estimation of magnitude the concept of number must disappear or be changed, and the comprehension of the Imagination in reference to the unit of measure (thus avoiding the concepts of a law of the successive production of concepts of magnitude) is alone purposive for it.—If now a magnitude almost reaches the limit of our faculty of comprehension in an intuition, and yet the Imagination is invited by means of numerical magnitudes (in respect of which we are conscious that our faculty is unbounded) to aesthetical comprehension in a greater unit, then we mentally feel ourselves confined aesthetically within bounds. But nevertheless the pain in regard to the necessary extension of the Imagination for accordance with that which is unbounded in our faculty of Reason, viz. the Idea of the absolute whole, and consequently the very unpurposiveness of the faculty of Imagination for rational Ideas and the arousing of them, are represented as purposive. Thus it is that the aesthetical judgement itself is subjectively purposive for the Reason as the source of Ideas, i.e. as the source of an intellectual comprehension for which all aesthetical comprehension is small; and there accompanies the reception of an object as sublime a pleasure, which is only possible through the medium of a pain.

    B.—Of the Dynamically Sublime in Nature

    § 28. Of Nature regarded as Might

    Might is that which is superior to great hindrances. It is called dominion if it is superior to the resistance of that which itself possesses might. Nature considered in an aesthetical judgement as might that has no dominion over us, is dynamically sublime.

    If nature is to be judged by us as dynamically sublime, it must be represented as exciting fear (although it is not true conversely that every object which excites fear is regarded in our aesthetical judgement as sublime). For in aesthetical judgements (without the aid of concepts) superiority to hindrances can only be judged according to the greatness of the resistance. Now that which we are driven to resist is an evil, and, if we do not find our faculties a match for it, is an object of fear. Hence nature can be regarded by the aesthetical Judgement as might, and consequently as dynamically sublime, only so far as it is considered an object of fear.

    But we can regard an object as fearful, without being afraid of it; viz. if we judge of it in such a way that we merely think a case in which we would wish to resist it, and yet in which all resistance would be altogether vain. Thus the virtuous man fears God without being afraid of Him; because to wish to resist Him and His commandments, he thinks is a case as to which he need not be anxious. But in every such case that he thinks as not impossible, he cognises Him as fearful.

    He who fears can form no judgement about the Sublime in nature; just as he who is seduced by inclination and appetite can form no judgement about the Beautiful. The former flies from the sight of an object which inspires him with awe; and it is impossible to find satisfaction in a terror that is seriously felt. Hence the pleasurableness arising from the cessation of an uneasiness is a state of joy. But this, on account of the deliverance from danger [which is involved], is a state of joy conjoined with the resolve not to expose ourselves to the danger again; we cannot willingly look back upon our sensations [of danger], much less seek the occasion for them again.

    Bold, overhanging, and as it were threatening, rocks; clouds piled up in the sky, moving with lightning flashes and thunder peals; volcanoes in all their violence of destruction; hurricanes with their track of devastation; the boundless ocean in a state of tumult; the lofty waterfall of a mighty river, and such like; these exhibit our faculty of resistance as insignificantly small in comparison with their might. But the sight of them is the more attractive, the more fearful it is, provided only that we are in security; and we readily call these objects sublime, because they raise the energies of the soul above their accustomed height, and discover in us a faculty of resistance of a quite different kind, which gives us courage to measure ourselves against the apparent almightiness of nature.

    Now, in the immensity of nature, and in the inadequacy of our faculties for adopting a standard proportionate to the aesthetical estimation of the magnitude of its realm, we find our own limitation; although at the same time in our rational faculty we find a different, non-sensuous standard, which has that infinity itself under it as a unit, and in comparison with which everything in nature is small. Thus in our mind we find a superiority to nature even in its immensity. And so also the irresistibility of its might, while making us recognise our own [physical48] impotence, considered as beings of nature, discloses to us a faculty of judging independently of, and a superiority over, nature; on which is based a kind of self-preservation, entirely different from that which can be attacked and brought into danger by external nature. Thus, humanity in our person remains unhumiliated, though the individual might have to submit to this dominion. In this way nature is not judged to be sublime in our aesthetical judgements, in so far as it excites fear; but because it calls up that power in us (which is not nature) of regarding as small the things about which we are solicitous (goods, health, and life), and of regarding its might (to which we are no doubt subjected in respect of these things), as nevertheless without any dominion over us and our personality to which we must bow where our highest fundamental propositions, and their assertion or abandonment, are concerned. Therefore nature is here called sublime merely because it elevates the Imagination to a presentation of those cases in which the mind can make felt the proper sublimity of its destination, in comparison with nature itself.

    This estimation of ourselves loses nothing through the fact that we must regard ourselves as safe in order to feel this inspiriting satisfaction; and that hence, as there is no seriousness in the danger, there might be also (as might seem to be the case) just as little seriousness in the sublimity of our spiritual faculty. For the satisfaction here concerns only the destination of our faculty which discloses itself in such a case, so far as the tendency to this destination lies in our nature, whilst its development and exercise remain incumbent and obligatory. And in this there is truth, however conscious the man may be of his present actual powerlessness, when he stretches his reflection so far.

    No doubt this principle seems to be too far-fetched and too subtly reasoned, and consequently seems to go beyond the scope of an aesthetical judgement; but observation of men proves the opposite, and shows that it may lie at the root of the most ordinary judgements, although we are not always conscious of it. For what is that which is, even to the savage, an object of the greatest admiration? It is a man who shrinks from nothing, who fears nothing, and therefore does not yield to danger, but rather goes to face it vigorously with the fullest deliberation. Even in the most highly civilised state this peculiar veneration for the soldier remains, though only under the condition that he exhibit all the virtues of peace, gentleness, compassion, and even a becoming care for his own person; because even by these it is recognised that his mind is unsubdued by danger. Hence whatever disputes there may be about the superiority of the respect which is to be accorded them, in the comparison of a statesman and a general, the aesthetical judgement decides for the latter. War itself, if it is carried on with order and with a sacred respect for the rights of citizens, has something sublime in it, and makes the disposition of the people who carry it on thus, only the more sublime, the more numerous are the dangers to which they are exposed, and in respect of which they behave with courage. On the other hand, a long peace generally brings about a predominant commercial spirit, and along with it, low selfishness, cowardice, and effeminacy, and debases the disposition of the people.49

    It appears to conflict with this solution of the concept of the sublime, so far as sublimity is ascribed to might, that we are accustomed to represent God as presenting Himself in His wrath and yet in His sublimity, in the tempest, the storm, the earthquake, etc.; and that it would be foolish and criminal to imagine a superiority of our minds over these works of His, and, as it seems, even over the designs of such might. Hence it would appear that no feeling of the sublimity of our own nature, but rather subjection, abasement, and a feeling of complete powerlessness, is a fitting state of mind before the manifestation of such an object, and this is generally bound up with the Idea of it during natural phenomena of this kind. Generally in religion, prostration, adoration with bent head, with contrite, anxious demeanour and voice, seems to be the only fitting behaviour in presence of the Godhead; and hence most peoples have adopted and still observe it. But this state of mind is far from being necessarily bound up with the Idea of the sublimity of a religion and its object. The man who is actually afraid, because he finds reasons for fear in himself, whilst conscious by his culpable disposition of offending against a Might whose will is irresistible and at the same time just, is not in the frame of mind for admiring the divine greatness. For this a mood of calm contemplation and a quite free judgement are needed. Only if he is conscious of an upright disposition pleasing to God do those operations of might serve to awaken in him the Idea of the sublimity of this Being, for then he recognises in himself a sublimity of disposition conformable to His will; and thus he is raised above the fear of such operations of nature, which he no longer regards as outbursts of His wrath. Even humility, in the shape of a stern judgement upon his own faults,—which otherwise, with a consciousness of good intentions, could be easily palliated from the frailty of human nature,—is a sublime state of mind, consisting in a voluntary subjection of himself to the pain of remorse, in order that its causes may be gradually removed. In this way religion is essentially distinguished from superstition. The latter establishes in the mind, not reverence for the Sublime, but fear and apprehension of the all-powerful Being to whose will the terrified man sees himself subject, without according Him any high esteem. From this nothing can arise but a seeking of favour, and flattery, instead of a religion which consists in a good life.50

    Sublimity, therefore, does not reside in anything of nature, but only in our mind, in so far as we can become conscious that we are superior to nature within, and therefore also to nature without us (so far as it influences us). Everything that excites this feeling in us, e.g. the might of nature which calls forth our forces, is called then (although improperly) sublime. Only by supposing this Idea in ourselves, and in reference to it, are we capable of attaining to the Idea of the sublimity of that Being, which produces respect in us, not merely by the might that it displays in nature, but rather by means of the faculty which resides in us of judging it fearlessly and of regarding our destination as sublime in respect of it.

    § 29. Of the modality of the judgement upon the sublime in nature

    There are numberless beautiful things in nature about which we can assume and even expect, without being far mistaken, the harmony of every one’s judgement with our own. But in respect of our judgement upon the sublime in nature, we cannot promise ourselves so easily the accordance of others. For a far greater culture, as well of the aesthetical Judgement as of the cognitive faculties which lie at its basis, seems requisite in order to be able to pass judgement on this pre-eminent quality of natural objects.

    That the mind be attuned to feel the sublime postulates a susceptibility of the mind for Ideas. For in the very inadequacy of nature to these latter, and thus only by presupposing them and by straining the Imagination to use nature as a schema for them, is to be found that which is terrible to sensibility and yet is attractive. [It is attractive] because Reason exerts a dominion over sensibility in order to extend it in conformity with its own realm (the practical) and to make it look out into the Infinite, which is for it an abyss. In fact, without development of moral Ideas, that which we, prepared by culture, call sublime, presents itself to the uneducated man merely as terrible. In the indications of the dominion of nature in destruction, and in the great scale of its might, in comparison with which his own is a vanishing quantity, he will only see the misery, danger, and distress which surround the man who is exposed to it. So the good, and indeed intelligent, Savoyard peasant (as Herr von Saussure51 relates) unhesitatingly called all lovers of snow-mountains fools. And who knows, whether he would have been so completely wrong, if Saussure had undertaken the danger to which he exposed himself merely, as most travellers do, from amateur curiosity, or that he might be able to give a pathetic account of them? But his design was the instruction of men; and this excellent man gave the readers of his Travels, soul-stirring sensations such as he himself had, into the bargain.

    But although the judgement upon the Sublime in nature needs culture (more than the judgement upon the Beautiful), it is not therefore primarily produced by culture and introduced in a merely conventional way into society. Rather has it root in human nature, even in that which, alike with common Understanding, we can impute to and expect of every one, viz. in the tendency to the feeling for (practical) Ideas, i.e. to the moral feeling.

    Hereon is based the necessity of that agreement of the judgement of others about the sublime with our own which we include in the latter. For just as we charge with want of taste the man who is indifferent when passing judgement upon an object of nature that we regard as beautiful; so we say of him who remains unmoved in the presence of that which we judge to be sublime, he has no feeling. But we claim both from every man, and we presuppose them in him if he has any culture at all; only with the difference, that we expect the former directly of every one, because in it the Judgement refers the Imagination merely to the Understanding, the faculty of concepts; but the latter, because in it the Imagination is related to the Reason, the faculty of Ideas, only under a subjective presupposition (which, however, we believe we are authorised in imputing to every one), viz. the presupposition of the moral feeling [in man.52] Thus it is that we ascribe necessity to this aesthetical judgement also.

    In this modality of aesthetical judgements, viz. in the necessity claimed for them, lies an important moment of the Critique of Judgement. For it enables us to recognise in them an a priori principle, and raises them out of empirical psychology, in which otherwise they would remain buried amongst the feelings of gratification and grief (only with the unmeaning addition of being called finer feelings). Thus it enables us too to place the Judgement among those faculties that have a priori principles at their basis, and so to bring it into Transcendental Philosophy.

    GENERAL REMARK UPON THE EXPOSITION OF THE AESTHETICAL REFLECTIVE JUDGEMENT

    In reference to the feeling of pleasure an object is to be classified as either pleasant, or beautiful, or sublime, or good (absolutely), (jucundum, pulchrum, sublime, honestum).

    The pleasant, as motive of desire, is always of one and the same kind, no matter whence it comes and however specifically different the representation (of sense, and sensation objectively considered) may be. Hence in judging its influence on the mind, account is taken only of the number of its charms (simultaneous and successive), and so only of the mass, as it were, of the pleasant sensation; and this can be made intelligible only by quantity. It has no reference to culture, but belongs to mere enjoyment.—On the other hand, the beautiful requires the representation of a certain quality of the Object, that can be made intelligible and reduced to concepts (although it is not so reduced in an aesthetical judgement); and it cultivates us, in that it teaches us to attend to the purposiveness in the feeling of pleasure.—The sublime consists merely in the relation by which the sensible in the representation of nature is judged available for a possible supersensible use.—The absolutely good, subjectively judged according to the feeling that it inspires (the Object of the moral feeling), as capable of determining the powers of the subject through the representation of an absolutely compelling law, is specially distinguished by the modality of a necessity that rests a priori upon concepts. This necessity involves not merely a claim, but a command for the assent of every one, and belongs in itself to the pure intellectual, rather than to the aesthetical Judgement; and is by a determinant and not a mere reflective judgement ascribed not to Nature but to Freedom. But the determinability of the subject by means of this Idea, and especially of a subject that can feel hindrances in sensibility, and at the same time its superiority to them by their subjugation involving a modification of its state—i.e. the moral feeling,—is yet so far cognate to the aesthetical Judgement and its formal conditions that it can serve to represent the conformity to law of action from duty as aesthetical, i.e. as sublime or even as beautiful, without losing its purity. This would not be so, if we were to put it in natural combination with the feeling of the pleasant.

    If we take the result of the foregoing exposition of the two kinds of aesthetical judgements, there arise therefrom the following short explanations:

    The Beautiful is what pleases in the mere judgement (and therefore not by the medium of sensation in accordance with a concept of the Understanding). It follows at once from this that it must please apart from all interest.

    The Sublime is what pleases immediately through its opposition to the interest of sense.

    Both, as explanations of aesthetical universally valid judging, are referred to subjective grounds; in the one case to grounds of sensibility, in favour of the contemplative Understanding; in the other case in opposition to sensibility, but on behalf of the purposes of practical Reason. Both, however, united in the same subject, are purposive in reference to the moral feeling. The Beautiful prepares us to love disinterestedly something, even nature itself; the Sublime prepares us to esteem something highly even in opposition to our own (sensible) interest.

    We may describe the Sublime thus: it is an object (of nature) the representation of which determines the mind to think the unattainability of nature regarded as a presentation of Ideas.

    Literally taken and logically considered, Ideas cannot be presented. But if we extend our empirical representative faculty (mathematically or dynamically) to the intuition of nature, Reason inevitably intervenes, as the faculty expressing the independence of absolute totality,53 and generates the effort of the mind, vain though it be, to make the representation of the senses adequate to this. This effort,—and the feeling of the unattainability of the Idea by means of the Imagination,—is itself a presentation of the subjective purposiveness of our mind in the employment of the Imagination for its supersensible destination; and forces us, subjectively, to think nature itself in its totality as a presentation of something supersensible, without being able objectively to arrive at this presentation.

    For we soon see that nature in space and time entirely lacks the unconditioned, and, consequently, that absolute magnitude, which yet is desired by the most ordinary Reason. It is by this that we are reminded that we only have to do with nature as phenomenon, and that it must be regarded as the mere presentation of a nature in itself (of which Reason has the Idea). But this Idea of the supersensible, which we can no further determine,—so that we cannot know but only think nature as its presentation,—is awakened in us by means of an object, whose aesthetical appreciation strains the Imagination to its utmost bounds, whether of extension (mathematical) or of its might over the mind (dynamical). And this judgement is based upon a feeling of the mind’s destination, which entirely surpasses the realm of the former (i.e. upon the moral feeling), in respect of which the representation of the object is judged as subjectively purposive.

    In fact, a feeling for the Sublime in nature cannot well be thought without combining therewith a mental disposition which is akin to the Moral. And although the immediate pleasure in the Beautiful of nature likewise presupposes and cultivates a certain liberality in our mental attitude, i.e. a satisfaction independent of mere sensible enjoyment, yet freedom is thus represented as in play rather than in that law-directed occupation which is the genuine characteristic of human morality, in which Reason must exercise dominion over Sensibility. But in aesthetical judgements upon the Sublime this dominion is represented as exercised by the Imagination, regarded as an instrument of Reason.

    The satisfaction in the Sublime of nature is then only negative (whilst that in the Beautiful is positive); viz. a feeling that the Imagination is depriving itself of its freedom, while it is purposively determined according to a different law from that of its empirical employment. It thus acquires an extension and a might greater than it sacrifices,—the ground of which, however, is concealed from itself; whilst yet it feels the sacrifice or the deprivation and, at the same time, the cause to which it is subjected. Astonishment, that borders upon terror, the dread and the holy awe which seizes the observer at the sight of mountain peaks rearing themselves to heaven, deep chasms and streams raging therein, deep-shadowed solitudes that dispose one to melancholy meditations—this, in the safety in which we know ourselves to be, is not actual fear, but only an attempt to feel fear by the aid of the Imagination; that we may feel the might of this faculty in combining with the mind’s repose the mental movement thereby excited, and being thus superior to internal nature,—and therefore to external,—so far as this can have any influence on our feeling of well-being. For the Imagination by the laws of Association makes our state of contentment dependent on physical [causes]; but it also, by the principles of the Schematism of the Judgement (being so far, therefore, ranked under freedom), is the instrument of Reason and its Ideas, and, as such, has might to maintain our independence of natural influences, to regard as small what in reference to them is great, and so to place the absolutely great only in the proper destination of the subject. The raising of this reflection of the aesthetical Judgement so as to be adequate to Reason (though without a definite concept of Reason) represents the object as subjectively purposive, even by the objective want of accordance between the Imagination in its greatest extension and the Reason (as the faculty of Ideas).

    We must here, generally, attend to what has been already noted, that in the Transcendental Aesthetic of Judgement we must speak solely of pure aesthetical judgements; consequently our examples are not to be taken from such beautiful or sublime objects of Nature as presuppose the concept of a purpose. For, if so, the purposiveness would be either teleological, or would be based on mere sensations of an object (gratification or grief); and thus would be in the former case not aesthetical, in the latter not merely formal. If then we call the sight of the starry heaven sublime, we must not place at the basis of our judgement concepts of worlds inhabited by rational beings, and regard the bright points, with which we see the space above us filled, as their suns moving in circles purposively fixed with reference to them; but we must regard it, just as we see it, as a distant, all-embracing vault. Only under such a representation can we range that sublimity which a pure aesthetical judgement ascribes to this object. And in the same way, if we are to call the sight of the ocean sublime, we must not think of it as we [ordinarily] do, endowed as we are with all kinds of knowledge (not contained, however, in the immediate intuition). For example, we sometimes think of the ocean as a vast kingdom of aquatic creatures; or as the great source of those vapours that fill the air with clouds for the benefit of the land; or again as an element which, though dividing continents from each other, yet promotes the greatest communication between them: but these furnish merely teleological judgements. To call the ocean sublime we must regard it as poets do, merely by what strikes the eye; if it is at rest, as a clear mirror of water only bounded by the heaven; if it is restless, as an abyss threatening to overwhelm everything. The like is to be said of the Sublime and Beautiful in the human figure. We must not regard as the determining grounds of our judgement the concepts of the purposes which all our limbs serve, and we must not allow this coincidence to influence our aesthetical judgement (for then it would no longer be pure); although it is certainly a necessary condition of aesthetical satisfaction that there should be no conflict between them. Aesthetical purposiveness is the conformity to law of the Judgement in its freedom. The satisfaction in the object depends on the relation in which we wish to place the Imagination; always provided that it by itself entertains the mind in free occupation. If, on the other hand, the judgement be determined by anything else,—whether sensation or concept,—although it may be conformable to law, it cannot be the act of a free Judgement.

    If then we speak of intellectual beauty or sublimity, these expressions are, first, not quite accurate, because beauty and sublimity are aesthetical modes of representation, which would not be found in us at all if we were pure intelligences (or even regarded ourselves as such in thought). Secondly, although both, as objects of an intellectual (moral) satisfaction, are so far compatible with aesthetical satisfaction that they rest upon no interest, yet they are difficult to unite with it, because they are meant to produce an interest. This, if its presentation is to harmonise with the satisfaction in the aesthetical judgement, could only arise by means of a sensible interest that we combine with it in the presentation; and thus damage would be done to the intellectual purposiveness, and it would lose its purity.

    The object of a pure and unconditioned intellectual satisfaction is the Moral Law in that might which it exercises in us over all mental motives that precede it. This might only makes itself aesthetically known to us through sacrifices (which causing a feeling of deprivation, though on behalf of internal freedom, in return discloses in us an unfathomable depth of this supersensible faculty, with consequences extending beyond our ken); thus the satisfaction on the aesthetical side (in relation to sensibility) is negative, i.e. against this interest, but regarded from the intellectual side it is positive and combined with an interest. Hence it follows that the intellectual, in itself purposive, (moral) good, aesthetically judged, must be represented as sublime rather than beautiful, so that it rather awakens the feeling of respect (which disdains charm) than that of love and familiar inclination; for human nature does not attach itself to this good spontaneously, but only by the authority which Reason exercises over Sensibility. Conversely also, that which we call sublime in nature, whether external or internal (e.g. certain affections), is only represented as a might in the mind to overcome [certain]54 hindrances of the Sensibility by means of moral fundamental propositions, and only thus does it interest.

    I will dwell a moment on this latter point. The Idea of the Good conjoined with affection is called enthusiasm. This state of mind seems to be sublime, to the extent that we commonly assert that nothing great could be done without it. Now every affection55 is blind, either in the choice of its purpose, or, if this be supplied by Reason, in its accomplishment; for it is a mental movement which makes it impossible to exercise a free deliberation about fundamental propositions so as to determine ourselves thereby. It can therefore in no way deserve the approval of the Reason. Nevertheless, aesthetically, enthusiasm is sublime, because it is a tension of forces produced by Ideas, which give an impulse to the mind, that operates far more powerfully and lastingly than the impulse arising from sensible representations. But (which seems strange) the absence of affection (apatheia, phlegma in significatu bono) in a mind that vigorously follows its unalterable principles is sublime, and in a far preferable way, because it has also on its side the satisfaction of pure Reason.56 It is only a mental state of this kind that is called noble; and this expression is subsequently applied to things, e.g. a building, a garment, literary style, bodily presence, etc., when these do not so much arouse astonishment (the affection produced by the representation of novelty exceeding our expectations), as admiration (astonishment that does not cease when the novelty disappears); and this is the case when Ideas agree in their presentation undesignedly and artlessly with the aesthetical satisfaction.

    Every affection of the STRENUOUS kind (viz. that excites the consciousness of our power to overcome every obstacle—animi strenui) is aesthetically sublime, e.g. wrath, even despair (i.e. the despair of indignation, not of faintheartedness). But affections of the LANGUID kind (which make the very effort of resistance an object of pain—animum languidum) have nothing noble in themselves, but they may be reckoned under the sensuously beautiful. Emotions, which may rise to the strength of affections, are very different. We have both spirited and tender emotions. The latter, if they rise to the height of affections, are worthless; the propensity to them is called sentimentality. A sympathetic grief that will not admit of consolation, or one referring to imaginary evils to which we deliberately surrender ourselves—being deceived by fancy—as if they were actual, indicates and produces a tender,57 though weak, soul—which shows a beautiful side and which can be called fanciful, though not enthusiastic. Romances, lacrymose plays, shallow moral precepts, which toy with (falsely) so-called moral dispositions, but in fact make the heart languid, insensible to the severe precept of duty, and incapable of all respect for the worth of humanity in our own person, and for the rights of men (a very different thing from their happiness), and in general incapable of all steady principle; even a religious discourse,58 which recommends a cringing, abject seeking of favour and ingratiation of ourselves, which proposes the abandonment of all confidence in our own faculties in opposition to the evil within us, instead of a sturdy resolution to endeavour to overcome our inclinations by means of those powers which with all our frailty yet remain to us; that false humility which sets the only way of pleasing the Supreme Being in self-depreciation, in whining hypocritical repentance and in a mere passive state of mind—these are not compatible with any frame of mind that can be counted beautiful, still less with one which is to be counted sublime.

    But even stormy movements of mind which may be connected under the name of edification with Ideas of religion, or—as merely belonging to culture—with Ideas containing a social interest, can in no way, however they strain the Imagination, lay claim to the honour of being sublime presentations, unless they leave after them a mental mood which, although only indirectly, has influence upon the mind’s consciousness of its strength, and its resolution in reference to that which involves pure intellectual purposiveness (the supersensible). For otherwise all these emotions belong only to motion, which one would fain enjoy for the sake of health. The pleasant exhaustion, consequent upon such disturbance produced by the play of the affections, is an enjoyment of our well-being arising from the restored equilibrium of the various vital forces. This in the end amounts to the same thing as that state which Eastern voluptuaries find so delightful, when they get their bodies as it were kneaded and all their muscles and joints softly pressed and bent; only that in this case the motive principle is for the most part external, in the other case it is altogether internal. Many a man believes himself to be edified by a sermon, when indeed there is no edification at all (no system of good maxims); or to be improved by a tragedy, when he is only glad at his ennui being happily dispelled. So the Sublime must always have reference to the disposition, i.e. to the maxims which furnish to the intellectual [part] and to the Ideas of Reason a superiority over sensibility.

    We need not fear that the feeling of the sublime will lose by so abstract a mode of presentation,—which is quite negative in respect of what is sensible,—for the Imagination, although it finds nothing beyond the sensible to which it can attach itself, yet feels itself unbounded by this removal of its limitations; and thus that very abstraction is a presentation of the Infinite, which can be nothing but a mere negative presentation, but which yet expands the soul. Perhaps there is no sublimer passage in the Jewish Law than the command, Thou shalt not make to thyself any graven image, nor the likeness of anything which is in heaven or on the earth or under the earth, etc. This command alone can explain the enthusiasm that the Jewish people in their moral period felt for their religion, when they compared themselves with other peoples; or explain the pride which Mahommedanism inspires. The same is true of the moral law and of the tendency to morality in us. It is quite erroneous to fear that if we deprive this [tendency] of all that can recommend it to sense it will only involve a cold lifeless assent and no moving force or emotion. It is quite the other way, for where the senses see nothing more before them, and the unmistakable and indelible Idea of morality remains, it would be rather necessary to moderate the impetus of an unbounded Imagination, to prevent it from rising to enthusiasm, than through fear of the powerlessness of these Ideas to seek aid for them in images and childish ritual. Thus governments have willingly allowed religion to be abundantly provided with the latter accessories; and seeking thereby to relieve their subjects of trouble, they have also sought to deprive them of the faculty of extending their spiritual powers beyond the limits that are arbitrarily assigned to them, and by means of which they can be the more easily treated as mere passive59 beings.

    This pure, elevating, merely negative presentation of morality brings with it, on the other hand, no danger of fanaticism, which is a delusion that we can will ourselves to see something beyond all bounds of sensibility, i.e. to dream in accordance with fundamental propositions (or to go mad with Reason); and this is so just because this presentation is merely negative. For the inscrutableness of the Idea of Freedom quite cuts it off from any positive presentation; but the moral law is in itself sufficiently and originally determinant in us, so that it does not permit us to cast a glance at any ground of determination external to itself. If enthusiasm is comparable to madness, fanaticism is comparable to monomania; of which the latter is least of all compatible with the sublime, because in its detail it is ridiculous. In enthusiasm, regarded as an affection, the Imagination is without bridle; in fanaticism, regarded as an inveterate, brooding passion, it is without rule. The first is a transitory accident which sometimes befalls the soundest Understanding; the second is a disease which unsettles it.

    Simplicity (purposiveness without art) is as it were the style of Nature in the sublime, and so also of Morality which is a second (supersensible) nature; of which we only know the laws without being able to reach by intuition that supersensible faculty in ourselves which contains the ground of the legislation.

    Now the satisfaction in the Beautiful, like that in the Sublime, is not alone distinguishable from other aesthetical judgements by its universal communicability, but also because, through this very property, it acquires an interest in reference to society (in which this communication is possible). We must, however, remark that separation from all society is regarded as sublime, if it rests upon Ideas that overlook all sensible interest. To be sufficient for oneself, and consequently to have no need of society, without at the same time being unsociable, i.e. without flying from it, is something bordering on the sublime; as is any dispensing with wants. On the other hand, to fly from men from misanthropy, because we bear ill-will to them, or from anthropophoby (shyness), because we fear them as foes, is partly hateful, partly contemptible. There is indeed a misanthropy (very improperly so-called), the tendency to which frequently appears with old age in many right-thinking men; which is philanthropic enough as far as goodwill to men is concerned, but which through long and sad experience is far removed from satisfaction with men. Evidence of this is afforded by the propensity to solitude, the fantastic wish for a secluded country seat, or (in the case of young persons) by the dream of the happiness of passing one’s life with a little family upon some island unknown to the rest of the world; a dream of which story-tellers or writers of Robinsonades know how to make good use. Falsehood, ingratitude, injustice, the childishness of the purposes regarded by ourselves as important and great, in the pursuit of which men inflict upon each other all imaginable evils, are so contradictory to the Idea of what men might be if they would, and conflict so with our lively wish to see them better, that, in order that we may not hate them (since we cannot love them), the renunciation of all social joys seems but a small sacrifice. This sadness—not the sadness (of which sympathy is the cause) for the evils which fate brings upon others,—but for those things which men do to one another (which depends upon an antipathy in fundamental propositions), is sublime, because it rests upon Ideas, whilst the former can only count as beautiful.—The brilliant and thorough Saussure,60 in his account of his Alpine travels, says of one of the Savoy mountains, called Bonhomme, “There reigns there a certain insipid sadness.” He therefore recognised an interesting sadness, that the sight of a solitude might inspire, to which men might wish to transport themselves that they might neither hear nor experience any more of the world; which, however, would not be quite so inhospitable that it would offer only an extremely painful retreat.—I make this remark solely with the design of indicating again that even depression (not dejected sadness) may be counted among the sturdy affections, if it has its ground in moral Ideas. But if it is grounded on sympathy and, as such, is amiable, it belongs merely to the languid affections. [I make this remark] to call attention to the state of mind which is sublime only in the first case.

    * * * * *

    We can now compare the above Transcendental Exposition of aesthetical judgements with the Physiological worked out by Burke and by many clear-headed men among us, in order to see whither a merely empirical exposition of the Sublime and Beautiful leads. Burke, who deserves to be regarded as the most important author who adopts this mode of treatment, infers by this method “that the feeling of the Sublime rests on the impulse towards self-preservation and on fear, i.e. on a pain, which not going so far as actually to derange the parts of the body, produces movements which, since they purify the finer or grosser vessels of dangerous or troublesome stoppages, are capable of exciting pleasant sensations; not indeed pleasure, but a kind of satisfying horror, a certain tranquillity tinged with terror.”61 The Beautiful, which he founded on love (which he wishes to keep quite separate from desire), he reduces to “the relaxing, slackening, and enervating of the fibres of the body, and a consequent weakening, languor, and exhaustion, a fainting, dissolving, and melting away for enjoyment.”62 And he confirms this explanation not only by cases in which the Imagination in combination with the Understanding can excite in us the feeling of the Beautiful or of the Sublime, but by cases in which it is combined with sensation.—As psychological observations, these analyses of the phenomena of our mind are exceedingly beautiful, and afford rich material for the favourite investigations of empirical anthropology. It is also not to be denied that all representations in us, whether, objectively viewed, they are merely sensible or are quite intellectual, may yet subjectively be united to gratification or grief, however imperceptible either may be; because they all affect the feeling of life, and none of them, so far as it is a modification of the subject, can be indifferent. And so, as Epicurus maintained, all gratification or grief may ultimately be corporeal, whether it arises from the representations of the Imagination or the Understanding; because life without a feeling of bodily organs would be merely a consciousness of existence, without any feeling of well-being or the reverse, i.e. of the furthering or the checking of the vital powers. For the mind is by itself alone life (the principle of life), and hindrances or furtherances must be sought outside it and yet in the man, consequently in union with his body.

    If, however, we place the satisfaction in the object altogether in the fact that it gratifies us by charm or emotion, we must not assume that any other man agrees with the aesthetical judgement which we pass; for as to these each one rightly consults his own individual sensibility. But in that case all censorship of taste would disappear, except indeed the example afforded by the accidental agreement of others in their judgements were regarded as commanding our assent; and this principle we should probably resist, and should appeal to the natural right of subjecting the judgement, which rests on the immediate feeling of our own well-being, to our own sense and not to that of any other man.

    If then the judgement of taste is not to be valid merely egoistically, but according to its inner nature,—i.e. on account of itself and not on account of the examples that others give of their taste,—to be necessarily valid pluralistically, if we regard it as a judgement which may exact the adhesion of every one; then there must lie at its basis some a priori principle (whether objective or subjective) to which we can never attain by seeking out the empirical laws of mental changes. For these only enable us to know how we judge, but do not prescribe to us how we ought to judge. They do not supply an unconditioned command,63 such as judgements of taste presuppose, inasmuch as they require that the satisfaction be immediately connected with the representation. Thus the empirical exposition of aesthetical judgements may be a beginning of a collection of materials for a higher investigation; but a transcendental discussion of this faculty is also possible, and is an essential part of the Critique of Taste. For if it had not a priori principles, it could not possibly pass sentence on the judgements of others, and it could not approve or blame them with any appearance of right.

    The remaining part of the Analytic of the Aesthetical Judgement contains first the

    DEDUCTION OF [PURE64] AESTHETICAL JUDGEMENTS

    § 30. The Deduction of aesthetical judgements on the objects of nature must not be directed to what we call Sublime in nature, but only to the Beautiful.

    The claim of an aesthetical judgement to universal validity for every subject requires, as a judgement resting on some a priori principle, a Deduction (or legitimatising of its pretensions) in addition to its Exposition; if it is concerned with satisfaction or dissatisfaction in the form of the Object. Of this kind are judgements of taste about the Beautiful in Nature. For in that case the purposiveness has its ground in the Object and in its figure, although it does not indicate the reference of this to other objects according to concepts (for a cognitive judgement), but merely has to do in general with the apprehension of this form, so far as it shows itself conformable in the mind to the faculty of concepts and to that of their presentation (which is identical with that of apprehension). We can thus, in respect of the Beautiful in nature, suggest many questions touching the cause of this purposiveness of their forms, e.g. to explain why nature has scattered abroad beauty with such profusion, even in the depth of the ocean, where the human eye (for which alone that purposiveness exists) but seldom penetrates.

    But the Sublime in nature—if we are passing upon it a pure aesthetical judgement, not mixed up with any concepts of perfection or objective purposiveness, in which case it would be a teleological judgement—may be regarded as quite formless or devoid of figure, and yet as the object of a pure satisfaction; and it may display a subjective purposiveness in the given representation. And we ask if, for an aesthetical judgement of this kind,—over and above the Exposition of what is thought in it,—a Deduction also of its claim to any (subjective) a priori principle may be demanded?

    To which we may answer that the Sublime in nature is improperly so called, and that properly speaking the word should only be applied to a state of mind, or rather to its foundation in human nature. The apprehension of an otherwise formless and unpurposive object gives merely the occasion, through which we become conscious of such a state; the object is thus employed as subjectively purposive, but is not judged as such in itself and on account of its form (it is, as it were, a species finalis accepta, non data). Hence our Exposition of judgements concerning the Sublime in nature was at the same time their Deduction. For when we analysed the reflection of the Judgement in such acts, we found in them a purposive relation of the cognitive faculties, which must be ascribed ultimately to the faculty of purposes (the will), and hence is itself purposive a priori. This then immediately involves the Deduction, i.e. the justification of the claim of such a judgement to universal and necessary validity.

    We shall therefore only have to seek for the deduction of judgements of Taste, i.e. of judgements about the Beauty of natural things; we shall thus treat satisfactorily the problem with which the whole faculty of aesthetical Judgement is concerned.

    § 31. Of the method of deduction of judgements of Taste

    A Deduction, i.e. the guarantee of the legitimacy of a class of judgements, is only obligatory if the judgement lays claim to necessity. This it does, if it demands even subjective universality or the agreement of every one, although it is not a judgement of cognition but only one of pleasure or pain in a given object; i.e. it assumes a subjective purposiveness thoroughly valid for every one, which must not be based on any concept of the thing, because the judgement is one of taste.

    We have before us in the latter case no cognitive judgement—neither a theoretical one based on the concept of a Nature in general formed by the Understanding, nor a (pure) practical one based on the Idea of Freedom, as given a priori by Reason. Therefore we have to justify a priori the validity neither of a judgement which represents what a thing is, nor of one which prescribes that I ought to do something in order to produce it. We have merely to prove for the Judgement generally the universal validity of a singular judgement that expresses the subjective purposiveness of an empirical representation of the form of an object; in order to explain how it is possible that a thing can please in the mere act of judging it (without sensation or concept), and how the satisfaction of one man can be proclaimed as a rule for every other; just as the act of judging of an object for the sake of a cognition in general has universal rules.

    If now this universal validity is not to be based on any collecting of the suffrages of others, or on any questioning of them as to the kind of sensations they have, but is to rest, as it were, on an autonomy of the judging subject in respect of the feeling of pleasure (in the given representation), i.e. on his own taste, and yet is not to be derived from concepts; then a judgement like this—such as the judgement of taste is, in fact—has a twofold logical peculiarity. First, there is its a priori universal validity, which is not a logical universality in accordance with concepts, but the universality of a singular judgement. Secondly, it has a necessity (which must always rest on a priori grounds), which however does not depend on any a priori grounds of proof, through the representation of which the assent that every one concedes to the judgement of taste could be exacted.

    The solution of these logical peculiarities, wherein a judgement of taste is different from all cognitive judgements—if we at the outset abstract from all content, viz. from the feeling of pleasure, and merely compare the aesthetical form with the form of objective judgements as logic prescribes it—is sufficient by itself for the deduction of this singular faculty. We shall then represent and elucidate by examples these characteristic properties of taste.

    § 32. First peculiarity of the judgement of Taste

    The judgement of taste determines its object in respect of satisfaction (in its beauty) with an accompanying claim for the assent of every one, just as if it were objective.

    To say that “this flower is beautiful” is the same as to assert its proper claim to satisfy every one. By the pleasantness of its smell it has no such claim. A smell which one man enjoys gives another a headache. Now what are we to presume from this except that beauty is to be regarded as a property of the flower itself, which does not accommodate itself to any diversity of persons or of their sensitive organs, but to which these must accommodate themselves if they are to pass any judgement upon it? And yet this is not so. For a judgement of taste consists in calling a thing beautiful just because of that characteristic in respect of which it accommodates itself to our mode of apprehension.

    Moreover, it is required of every judgement which is to prove the taste of the subject, that the subject shall judge by himself, without needing to grope about empirically among the judgements of others, and acquaint himself previously as to their satisfaction or dissatisfaction with the same object; thus his judgement should be pronounced a priori, and not be a mere imitation because the thing actually gives universal pleasure. One would think, however, that an a priori judgement must contain a concept of the Object, for the cognition of which it contains the principle; but the judgement of taste is not based upon concepts at all, and is in general not a cognitive but an aesthetical judgement.

    Thus a young poet does not permit himself to be dissuaded from his conviction that his poem is beautiful, by the judgement of the public or of his friends; and if he gives ear to them he does so, not because he now judges differently, but because, although (in regard to him) the whole public has false taste, in his desire for applause he finds reason for accommodating himself to the common error (even against his judgement). It is only at a later time, when his Judgement has been sharpened by exercise, that he voluntarily departs from his former judgements; just as he proceeds with those of his judgements which rest upon Reason. Taste [merely]65 claims autonomy. To make the judgements of others the determining grounds of his own would be heteronomy.

    That we, and rightly, recommend the works of the ancients as models and call their authors classical, thus forming among writers a kind of noble class who give laws to the people by their example, seems to indicate a posteriori sources of taste, and to contradict the autonomy of taste in every subject. But we might just as well say that the old mathematicians,—who are regarded up to the present day as supplying models not easily to be dispensed with for the supreme profundity and elegance of their synthetical methods,—prove that our Reason is only imitative, and that we have not the faculty of producing from it in combination with intuition rigid proofs by means of the construction of concepts.66 There is no use of our powers, however free, no use of Reason itself (which must create all its judgements a priori from common sources) which would not give rise to faulty attempts, if every subject had always to begin anew from the rude basis of his natural state, and if others had not preceded him with their attempts. Not that these make mere imitators of those who come after them, but rather by their procedure they put others on the track of seeking in themselves principles and so of pursuing their own course, often a better one. Even in religion—where certainly every one has to derive the rule of his conduct from himself, because he remains responsible for it and cannot shift the blame of his transgressions upon others, whether his teachers or his predecessors—there is never as much accomplished by means of universal precepts, either obtained from priests or philosophers or got from oneself, as by means of an example of virtue or holiness which, exhibited in history, does not dispense with the autonomy of virtue based on the proper and original Idea of morality (a priori), or change it into a mechanical imitation. Following, involving something precedent, not “imitation,” is the right expression for all influence that the products of an exemplary author may have upon others. And this only means that we draw from the same sources as our predecessor did, and learn from him only the way to avail ourselves of them. But of all faculties and talents Taste, because its judgement is not determinable by concepts and precepts, is just that one which most needs examples of what has in the progress of culture received the longest approval; that it may not become again uncivilised and return to the crudeness of its first essays.

    § 33. Second peculiarity of the judgement of Taste

    The judgement of taste is not determinable by grounds of proof, just as if it were merely subjective.

    If a man, in the first place, does not find a building, a prospect, or a poem beautiful, a hundred voices all highly praising it will not force his inmost agreement. He may indeed feign that it pleases him in order that he may not be regarded as devoid of taste; he may even begin to doubt whether he has formed his taste on a knowledge of a sufficient number of objects of a certain kind (just as one, who believes that he recognises in the distance as a forest, something which all others regard as a town, doubts the judgement of his own sight). But he clearly sees that the agreement of others gives no valid proof of the judgement about beauty. Others might perhaps see and observe for him; and what many have seen in one way, although he believes that he has seen it differently, might serve him as an adequate ground of proof of a theoretical and consequently logical judgement. But that a thing has pleased others could never serve as the basis of an aesthetical judgement. A judgement of others which is unfavourable to ours may indeed rightly make us scrutinise our own with care, but it can never convince us of its incorrectness. There is therefore no empirical ground of proof which would force a judgement of taste upon any one.

    Still less, in the second place, can an a priori proof determine according to definite rules a judgement about beauty. If a man reads me a poem of his or brings me to a play, which does not after all suit my taste, he may bring forward in proof of the beauty of his poem Batteux67 or Lessing or still more ancient and famous critics of taste, and all the rules laid down by them; certain passages which displease me may agree very well with rules of beauty (as they have been put forth by these writers and are universally recognised): but I stop my ears, I will listen to no arguments and no reasoning; and I will rather assume that these rules of the critics are false, or at least that they do not apply to the case in question, than admit that my judgement should be determined by grounds of proof a priori. For it is to be a judgement of Taste and not of Understanding or Reason.

    It seems that this is one of the chief reasons why this aesthetical faculty of judgement has been given the name of Taste. For though a man enumerate to me all the ingredients of a dish, and remark that each is separately pleasant to me and further extol with justice the wholesomeness of this particular food—yet am I deaf to all these reasons; I try the dish with my tongue and my palate, and thereafter (and not according to universal principles) do I pass my judgement.

    In fact the judgement of Taste always takes the form of a singular judgement about an Object. The Understanding can form a universal judgement by comparing the Object in point of the satisfaction it affords with the judgement of others upon it: e.g. “all tulips are beautiful.” But then this is not a judgement of taste but a logical judgement, which takes the relation of an Object to taste as the predicate of things of a certain species. That judgement, however, in which I find an individual given tulip beautiful, i.e. in which I find my satisfaction in it to be universally valid, is alone a judgement of taste. Its peculiarity consists in the fact that, although it has merely subjective validity, it claims the assent of all subjects, exactly as it would do if it were an objective judgement resting on grounds of knowledge, that could be established by a proof.

    § 34. There is no objective principle of Taste possible

    By a principle of taste I mean a principle under the condition of which we could subsume the concept of an object and thus infer by means of a syllogism that the object is beautiful. But that is absolutely impossible. For I must feel the pleasure immediately in the representation of the object, and of that I can be persuaded by no grounds of proof whatever. Although, as Hume says,68 all critics can reason more plausibly than cooks, yet the same fate awaits them. They cannot expect the determining ground of their judgement [to be derived] from the force of the proofs, but only from the reflection of the subject upon its own proper state (of pleasure or pain), all precepts and rules being rejected.

    But although critics can and ought to pursue their reasonings so that our judgements of taste may be corrected and extended, it is not with a view to set forth the determining ground of this kind of aesthetical judgements in a universally applicable formula, which is impossible; but rather to investigate the cognitive faculties and their exercise in these judgements, and to explain by examples the reciprocal subjective purposiveness, the form of which, as has been shown above, in a given representation, constitutes the beauty of the object. Therefore the Critique of Taste is only subjective as regards the representation through which an Object is given to us; viz. it is the art or science of reducing to rules the reciprocal relation between the Understanding and the Imagination in the given representation (without reference to any preceding sensation or concept). That is, it is the art or science of reducing to rules their accordance or discordance, and of determining them with regard to their conditions. It is an art, if it only shows this by examples; it is a science if it derives the possibility of such judgements from the nature of these faculties, as cognitive faculties in general. We have here, in Transcendental Criticism, only to do with the latter. It should develop and justify the subjective principle of taste, as an a priori principle of the Judgement. This Critique, as an art, merely seeks to apply, in the judging of objects, the physiological (here psychological), and therefore empirical rules, according to which taste actually proceeds (without taking any account of their possibility); and it criticises the products of beautiful art just as, regarded as a science, it criticises the faculty by which they are judged.

    § 35. The principle of Taste is the subjective principle of Judgement in general

    The judgement of taste is distinguished from a logical judgement in this, that the latter subsumes a representation under the concept of the Object, while the former does not subsume it under any concept; because otherwise the necessary universal agreement [in these judgements] would be capable of being enforced by proofs. Nevertheless it is like the latter in this, that it claims universality and necessity, though not according to concepts of the Object, and consequently a merely subjective necessity. Now, because the concepts in a judgement constitute its content (what belongs to the cognition of the Object), but the judgement of taste is not determinable by concepts, it is based only on the subjective formal condition of a judgement in general. The subjective condition of all judgements is the faculty of Judgement itself. This when used with reference to a representation by which an object is given, requires the accordance of two representative powers: viz. Imagination (for the intuition and comprehension of the manifold) and Understanding (for the concept as a representation of the unity of this comprehension). Now because no concept of the Object lies here at the basis of the judgement, it can only consist in the subsumption of the Imagination itself (in the case of a representation by which an object is given) under the conditions that the Understanding requires to pass from intuition to concepts. That is, because the freedom of the Imagination consists in the fact that it schematises without any concept, the judgement of taste must rest on a mere sensation of the reciprocal activity of the Imagination in its freedom and the Understanding with its conformity to law. It must therefore rest on a feeling, which makes us judge the object by the purposiveness of the representation (by which an object is given) in respect of the furtherance of the cognitive faculty in its free play. Taste, then, as subjective Judgement, contains a principle of subsumption, not of intuitions under concepts, but of the faculty of intuitions or presentations (i.e. the Imagination) under the faculty of the concepts (i.e. the Understanding); so far as the former in its freedom harmonises with the latter in its conformity to law.

    In order to discover this ground of legitimacy by a Deduction of the judgements of taste we can only take as a clue the formal peculiarities of this kind of judgements, and consequently can only consider their logical form.

    § 36. Of the problem of a Deduction of judgements of Taste

    The concept of an Object in general can immediately be combined with the perception of an object, containing its empirical predicates, so as to form a cognitive judgement; and it is thus that a judgement of experience is produced.69 At the basis of this lie a priori concepts of the synthetical unity of the manifold of intuition, by which the manifold is thought as the determination of an Object. These concepts (the Categories) require a Deduction, which is given in the Critique of pure Reason; and by it we can get the solution of the problem, how are synthetical a priori cognitive judgements possible? This problem concerns then the a priori principles of the pure Understanding and its theoretical judgements.

    But with a perception there can also be combined a feeling of pleasure (or pain) and a satisfaction, that accompanies the representation of the Object and serves instead of its predicate; thus there can result an aesthetical non-cognitive judgement. At the basis of such a judgement—if it is not a mere judgement of sensation but a formal judgement of reflection, which imputes the same satisfaction necessarily to every one,—must lie some a priori principle; which may be merely subjective (if an objective one should prove impossible for judgements of this kind), but also as such may need a Deduction, that we may thereby comprehend how an aesthetical judgement can lay claim to necessity. On this is founded the problem with which we are now occupied, how are judgements of taste possible? This problem then has to do with the a priori principles of the pure faculty of Judgement in aesthetical judgements; i.e. judgements in which it has not (as in theoretical ones) merely to subsume under objective concepts of Understanding, and in which it is subject to a law, but in which it is, itself, subjectively, both object and law.

    This problem then may be thus represented: how is a judgement possible, in which merely from our own feeling of pleasure in an object, independently of its concept, we judge that this pleasure attaches to the representation of the same Object in every other subject, and that a priori without waiting for the accordance of others?

    It is easy to see that judgements of taste are synthetical, because they go beyond the concept and even beyond the intuition of the Object, and add to that intuition as predicate something that is not a cognition, viz. a feeling of pleasure (or pain). Although the predicate (of the personal pleasure bound up with the representation) is empirical, nevertheless, as concerns the required assent of every one the judgements are a priori, or desire to be regarded as such; and this is already involved in the expressions of this claim. Thus this problem of the Critique of Judgement belongs to the general problem of transcendental philosophy, how are synthetical a priori judgements possible?

    § 37. What is properly asserted a priori of an object in a judgement of Taste

    That the representation of an object is immediately bound up with pleasure can only be internally perceived, and if we did not wish to indicate anything more than this it would give a merely empirical judgement. For I cannot combine a definite feeling (of pleasure or pain) with any representation except where there is at bottom an a priori principle in the Reason determining the Will. In that case the pleasure (in the moral feeling) is the consequence of the principle, but cannot be compared with the pleasure in taste, because it requires a definite concept of a law; and the latter pleasure, on the contrary, must be bound up with the mere act of judging, prior to all concepts. Hence also all judgements of taste are singular judgements, because they do not combine their predicate of satisfaction with a concept, but with a given individual empirical representation.

    And so it is not the pleasure, but the universal validity of this pleasure, perceived as mentally bound up with the mere judgement upon an object, which is represented a priori in a judgement of taste as a universal rule for the Judgement and valid for every one. It is an empirical judgement [to say] that I perceive and judge an object with pleasure. But it is an a priori judgement [to say] that I find it beautiful, i.e. I attribute this satisfaction necessarily to every one.

    § 38. Deduction of judgements of Taste

    If it be admitted that in a pure judgement of taste the satisfaction in the object is combined with the mere act of judging its form, it is nothing else than its subjective purposiveness for the Judgement which we feel to be mentally combined with the representation of the object. The Judgement, as regards the formal rules of its action, apart from all matter (whether sensation or concept), can only be directed to the subjective conditions of its employment in general (it is applied70 neither to a particular mode of sense nor to a particular concept of the Understanding); and consequently to that subjective [element] which we can presuppose in all men (as requisite for possible cognition in general). Thus the agreement of a representation with these conditions of the Judgement must be capable of being assumed as valid a priori for every one. I.e. we may rightly impute to every one the pleasure or the subjective purposiveness of the representation for the relation between the cognitive faculties in the act of judging a sensible object in general.71

    Remark

    This Deduction is thus easy, because it has no need to justify the objective reality of any concept, for Beauty is not a concept of the Object and the judgement of taste is not cognitive. It only maintains that we are justified in presupposing universally in every man those subjective conditions of the Judgement which we find in ourselves; and further, that we have rightly subsumed the given Object under these conditions. The latter has indeed unavoidable difficulties which do not beset the logical Judgement. There we subsume under concepts, but in the aesthetical Judgement under a merely sensible relation between the Imagination and Understanding mutually harmonising in the representation of the form of the Object,—in which case the subsumption may easily be fallacious. Yet the legitimacy of the claim of the Judgement in counting upon universal assent is not thus annulled; it reduces itself merely to the correctness of the principle of judging validly for every one from subjective grounds. For as to the difficulty or doubt concerning the correctness of the subsumption under that principle, it makes the legitimacy of the claim of an aesthetical judgement in general to such validity and the principle of the same, as little doubtful, as the like faulty (though neither so commonly nor readily faulty) subsumption of the logical Judgement under its principle can make the latter, an objective principle, doubtful. But if the question were to be, how is it possible to assume nature a priori to be a complex of objects of taste? this problem has reference to Teleology, because it must be regarded as a purpose of nature essentially belonging to its concept to exhibit forms that are purposive for our Judgement. But the correctness of this latter assumption is very doubtful, whereas the efficacy of natural beauties is patent to experience.

    § 39. Of the communicability of a Sensation

    If sensation, as the real in perception, is related to knowledge, it is called sensation of the senses; and its specific quality may be represented as generally communicable in a uniform way, if we assume that every one has senses like our own. But this cannot at all be presupposed of any single sensation. To a man who is deficient in the sense of smell, this kind of sensation cannot be communicated; and even if it is not wholly deficient, we cannot be certain that he gets exactly the same sensation from a flower that we have. But even more must we represent men as differing in respect of the pleasantness or unpleasantness involved in the sensation from the same object of sense; and it is absolutely not to be required that every man should take pleasure in the same objects. Pleasure of this kind, because it comes into the mind through the senses, in respect of which therefore we are passive, we may call the pleasure of enjoyment.

    Satisfaction in an action because of its moral character is on the other hand not the pleasure of enjoyment, but of spontaneity and its accordance with the Idea of its destination. But this feeling, called moral, requires concepts, and presents not free purposiveness, but purposiveness that is conformable to law; it therefore admits of being universally communicated only by means of Reason, and, if the pleasure is to be homogeneous for every one, by very definite practical concepts of Reason.

    Pleasure in the Sublime in nature, regarded as a pleasure of rational contemplation, also makes claim to universal participation; but it presupposes, besides, a different feeling, viz. that of our supersensible destination, which, however obscurely, has a moral foundation. But that other men will take account of it, and will find a satisfaction in the consideration of the wild greatness of nature (that certainly cannot be ascribed to its aspect, which is rather terrifying), I am not absolutely justified in supposing. Nevertheless, in consideration of the fact that on every suitable occasion regard should be had to these moral dispositions, I can impute such satisfaction to every man, but only by means of the moral law which on its side again is based on concepts of Reason.

    On the contrary, pleasure in the Beautiful is neither a pleasure of enjoyment nor of a law-abiding activity, nor even of rational contemplation in accordance with Ideas, but of mere reflection. Without having as rule any purpose or fundamental proposition, this pleasure accompanies the ordinary apprehension of an object by the Imagination, as faculty of intuition, in relation with the Understanding, as faculty of concepts, by means of a procedure of the Judgement which it must also exercise on behalf of the commonest experience; only that in the latter case it is in order to perceive an empirical objective concept, in the former case (in aesthetical judgements) merely to perceive the accordance of the representation with the harmonious (subjectively purposive) activity of both cognitive faculties in their freedom, i.e. to feel with pleasure the mental state produced by the representation. This pleasure must necessarily depend for every one on the same conditions, for they are subjective conditions of the possibility of a cognition in general; and the proportion between these cognitive faculties requisite for Taste is also requisite for that ordinary sound Understanding which we have to presuppose in every one. Therefore he who judges with taste (if only he does not go astray in this act of consciousness and mistake matter for form or charm for beauty) may impute to every one subjective purposiveness, i.e. his satisfaction in the Object, and may assume his feeling to be universally communicable and that without the mediation of concepts.

    § 40. Of Taste as a kind of sensus communis

    We often give to the Judgement, if we are considering the result rather than the act of its reflection, the name of a sense, and we speak of a sense of truth, or of a sense of decorum, of justice, etc. And yet we know, or at least we ought to know, that these concepts cannot have their place in Sense, and further, that Sense has not the least capacity for expressing universal rules; but that no representation of truth, fitness, beauty, or justice, and so forth, could come into our thoughts if we could not rise beyond Sense to higher faculties of cognition. The common Understanding of men, which, as the mere sound (not yet cultivated) Understanding, we regard as the least to be expected from any one claiming the name of man, has therefore the doubtful honour of being given the name of common sense (sensus communis); and in such a way that by the name common (not merely in our language, where the word actually has a double signification, but in many others) we understand vulgar, that which is everywhere met with, the possession of which indicates absolutely no merit or superiority.

    But under the sensus communis we must include the Idea of a communal sense, i.e. of a faculty of judgement, which in its reflection takes account (a priori) of the mode of representation of all other men in thought; in order as it were to compare its judgement with the collective Reason of humanity, and thus to escape the illusion arising from the private conditions that could be so easily taken for objective, which would injuriously affect the judgement. This is done by comparing our judgement with the possible rather than the actual judgements of others, and by putting ourselves in the place of any other man, by abstracting from the limitations which contingently attach to our own judgement. This, again, is brought about by leaving aside as much as possible the matter of our representative state, i.e. sensation, and simply having respect to the formal peculiarities of our representation or representative state. Now this operation of reflection seems perhaps too artificial to be attributed to the faculty called common sense; but it only appears so, when expressed in abstract formulae. In itself there is nothing more natural than to abstract from charm or emotion if we are seeking a judgement that is to serve as a universal rule.

    The following Maxims of common human Understanding do not properly come in here, as parts of the Critique of Taste; but yet they may serve to elucidate its fundamental propositions. They are: 1° to think for oneself; 2° to put ourselves in thought in the place of every one else; 3° always to think consistently. The first is the maxim of unprejudiced thought; the second of enlarged thought; the third of consecutive thought.72 The first is the maxim of a Reason never passive. The tendency to such passivity, and therefore to heteronomy of the Reason, is called prejudice; and the greatest prejudice of all is to represent nature as not subject to the rules that the Understanding places at its basis by means of its own essential law, i.e. is superstition. Deliverance from superstition is called enlightenment;73 because although this name belongs to deliverance from prejudices in general, yet superstition specially (in sensu eminenti) deserves to be called a prejudice. For the blindness in which superstition places us, which it even imposes on us as an obligation, makes the need of being guided by others, and the consequent passive state of our Reason, peculiarly noticeable. As regards the second maxim of the mind, we are otherwise wont to call him limited (borné, the opposite of enlarged) whose talents attain to no great use (especially as regards intensity). But here we are not speaking of the faculty of cognition, but of the mode of thought which makes a purposive use thereof. However small may be the area or the degree to which a man’s natural gifts reach, yet it indicates a man of enlarged thought if he disregards the subjective private conditions of his own judgement, by which so many others are confined, and reflects upon it from a universal standpoint (which he can only determine by placing himself at the standpoint of others). The third maxim, viz. that of consecutive thought, is the most difficult to attain, and can only be attained by the combination of both the former, and after the constant observance of them has grown into a habit. We may say that the first of these maxims is the maxim of Understanding, the second of Judgement, and the third of Reason.

    I take up again the threads interrupted by this digression, and I say that Taste can be called sensus communis with more justice than sound Understanding can; and that the aesthetical Judgement rather than the intellectual may bear the name of a communal sense,74 if we are willing to use the word “sense” of an effect of mere reflection upon the mind: for then we understand by sense the feeling of pleasure. We could even define Taste as the faculty of judging of that which makes universally communicable, without the mediation of a concept, our feeling in a given representation.

    The skill that men have in communicating their thoughts requires also a relation between the Imagination and the Understanding in order to associate intuitions with concepts, and concepts again with those concepts, which then combine in a cognition. But in that case the agreement of the two mental powers is according to law, under the constraint of definite concepts. Only where the Imagination in its freedom awakens the Understanding, and is put by it into regular play without the aid of concepts, does the representation communicate itself not as a thought but as an internal feeling of a purposive state of the mind.

    Taste is then the faculty of judging a priori of the communicability of feelings that are bound up with a given representation (without the mediation of a concept).

    If we could assume that the mere universal communicability of a feeling must carry in itself an interest for us with it (which, however, we are not justified in concluding from the character of a merely reflective Judgement), we should be able to explain why the feeling in the judgement of taste comes to be imputed to every one, so to speak, as a duty.

    § 41. Of the empirical interest in the Beautiful

    That the judgement of taste by which something is declared beautiful must have no interest as its determining ground has been sufficiently established above. But it does not follow that after it has been given as a pure aesthetical judgement, no interest can be combined with it. This combination, however, can only be indirect, i.e. taste must first of all be represented as combined with something else, in order that we may unite with the satisfaction of mere reflection upon an object a pleasure in its existence (as that wherein all interest consists). For here also in aesthetical judgements what we say in cognitive judgements (of things in general) is valid; a posse ad esse non valet consequentia. This something else may be empirical, viz. an inclination proper to human nature, or intellectual, as the property of the Will of being capable of a priori determination by Reason. Both these involve a satisfaction in the presence of an Object, and so can lay the foundation for an interest in what has by itself pleased without reference to any interest whatever.

    Empirically the Beautiful interests only in society. If we admit the impulse to society as natural to man, and his fitness for it, and his propension towards it, i.e. sociability, as a requisite for man as a being destined for society, and so as a property belonging to humanity, we cannot escape from regarding taste as a faculty for judging everything in respect of which we can communicate our feeling to all other men, and so as a means of furthering that which every one’s natural inclination desires.

    A man abandoned by himself on a desert island would adorn neither his hut nor his person; nor would he seek for flowers, still less would he plant them, in order to adorn himself therewith. It is only in society that it occurs to him to be not merely a man, but a refined man after his kind (the beginning of civilisation). For such do we judge him to be who is both inclined and apt to communicate his pleasure to others, and who is not contented with an Object if he cannot feel satisfaction in it in common with others. Again, every one expects and requires from every one else this reference to universal communication [of pleasure], as it were from an original compact dictated by humanity itself. Thus, doubtless, in the beginning only those things which attracted the senses, e.g. colours for painting oneself (roucou among the Carabs and cinnabar among the Iroquois), flowers, mussel shells, beautiful feathers, etc.,—but in time beautiful forms also (e.g. in their canoes, and clothes, etc.), which bring with them no gratification, or satisfaction of enjoyment—were important in society, and were combined with great interest. Until at last civilisation, having reached its highest point, makes out of this almost the main business of refined inclination; and sensations are only regarded as of worth in so far as they can be universally communicated. Here, although the pleasure which every one has in such an object is inconsiderable and in itself without any marked interest, yet the Idea of its universal communicability increases its worth in an almost infinite degree.

    But this interest that indirectly attaches to the Beautiful through our inclination to society, and consequently is empirical, is of no importance for us here; because we have only to look to what may have a reference, although only indirectly, to the judgement of taste a priori. For if even in this form an interest bound up therewith should discover itself, taste would discover a transition of our judging faculty from sense-enjoyment to moral feeling; and so not only would we be the better guided in employing taste purposively, but there would be thus presented a link in the chain of the human faculties a priori, on which all legislation must depend. We can only say thus much about the empirical interest in objects of taste and in taste itself. Since it is subservient to inclination, however refined the latter may be, it may easily be confounded with all the inclinations and passions, which attain their greatest variety and highest degree in society; and the interest in the Beautiful, if it is grounded thereon, can only furnish a very ambiguous transition from the Pleasant to the Good. But whether this can or cannot be furthered by taste, taken in its purity, is what we now have to investigate.

    § 42. Of the intellectual interest in the Beautiful

    With the best intentions those persons who refer all activities, to which their inner natural dispositions impel men, to the final purpose of humanity, viz. the morally good, have regarded the taking an interest in the Beautiful in general as a mark of good moral character. But it is not without reason that they have been contradicted by others who rely on experience; for this shows that connoisseurs in taste, not only often but generally, are given up to idle, capricious, and mischievous passions, and that they could perhaps make less claim than others to any pre-eminent attachment to moral principles. Thus it would seem that the feeling for the Beautiful is not only (as actually is the case) specifically different from the Moral feeling; but that the interest which can be bound up with it is hardly compatible with moral interest, and certainly has no inner affinity therewith.

    Now I admit at once that the interest in the Beautiful of Art (under which I include the artificial use of natural beauties for adornment and so for vanity) furnishes no proof whatever of a disposition attached to the morally good or even inclined thereto. But on the other hand, I maintain that to take an immediate interest in the Beauty of Nature (not merely to have taste in judging it) is always a mark of a good soul; and that when this interest is habitual it at least indicates a frame of mind favourable to the moral feeling, if it is voluntarily bound up with the contemplation of nature. It is to be remembered, however, that I here speak strictly of the beautiful forms of Nature, and I set aside the charms, that she is wont to combine so abundantly with them; because, though the interest in the latter is indeed immediate, it is only empirical.

    He who by himself (and without any design of communicating his observations to others) regards the beautiful figure of a wild flower, a bird, an insect, etc., with admiration and love—who would not willingly miss it in Nature, although it may bring him some hurt, who still less wants any advantage from it—he takes an immediate and also an intellectual interest in the beauty of Nature. I.e. it is not merely the form of the product of nature which pleases him, but its very presence pleases him, the charms of sense having no share in this pleasure and no purpose whatever being combined with it.

    But it is noteworthy that if we secretly deceived this lover of the beautiful by planting in the ground artificial flowers (which can be manufactured exactly like natural ones), or by placing artificially carved birds on the boughs of trees, and he discovered the deceit, the immediate interest that he previously took in them would disappear at once; though, perhaps, a different interest, viz. the interest of vanity in adorning his chamber with them for the eyes of others, would take its place. This thought then must accompany our intuition and reflection on beauty, viz. that nature has produced it; and on this alone is based the immediate interest that we take in it. Otherwise, there remains a mere judgement of taste, either devoid of all interest, or bound up with a mediate interest, viz. in that it has reference to society; which latter [interest] furnishes no certain indications of a morally good disposition.

    This superiority of natural to artificial beauty in that it alone arouses an immediate interest, although as regards form the first may be surpassed by the second, harmonises with the refined and well-grounded habit of thought of all men who have cultivated their moral feeling. If a man who has taste enough to judge of the products of beautiful Art with the greatest accuracy and refinement willingly leaves a chamber where are to be found those beauties that minister to vanity or to any social joys, and turns to the beautiful in Nature in order to find, as it were, delight for his spirit in a train of thought that he can never completely evolve, we will regard this choice of his with veneration, and attribute to him a beautiful soul, to which no connoisseur or lover [of Art] can lay claim on account of the interest he takes in his [artistic] objects.—What now is the difference in our estimation of these two different kinds of Objects, which in the judgement of mere taste it is hard to compare in point of superiority?

    We have a faculty of mere aesthetical Judgement by which we judge forms without the aid of concepts, and find a satisfaction in this mere act of judgement; this we make into a rule for every one, without this judgement either being based on or producing any interest.—On the other hand, we have also a faculty of intellectual Judgement which determines an a priori satisfaction for the mere forms of practical maxims (so far as they are in themselves qualified for universal legislation); this we make into a law for every one, without our judgement being based on any interest whatever, though in this case it produces such an interest. The pleasure or pain in the former judgement is called that of taste, in the latter, that of moral feeling.

    But it also interests Reason that the Ideas (for which in moral feeling it arouses an immediate interest) should have objective reality; i.e. that nature should at least show a trace or give an indication that it contains in itself some ground for assuming a regular agreement of its products with our entirely disinterested satisfaction (which we recognise a priori as a law for every one, without being able to base it upon proofs). Hence Reason must take an interest in every expression on the part of nature of an agreement of this kind. Consequently, the mind cannot ponder upon the beauty of Nature without finding itself at the same time interested therein. But this interest is akin to moral, and he who takes such an interest in the beauties of nature can do so only in so far as he previously has firmly established his interest in the morally good. If, therefore, the beauty of Nature interests a man immediately we have reason for attributing to him, at least, a basis for a good moral disposition.

    It will be said that this account of aesthetical judgements, as akin to the moral feeling, seems far too studied to be regarded as the true interpretation of that cipher through which Nature speaks to us figuratively in her beautiful forms. However, in the first place, this immediate interest in the beautiful is actually not common; but is peculiar to those whose mental disposition either has already been cultivated in the direction of the good or is eminently susceptible of such cultivation. In that case the analogy between the pure judgement of taste which, independently of any interest, causes us to feel a satisfaction, and also represents it a priori as suitable to humanity in general, and the moral judgement that does the same thing from concepts without any clear, subtle, and premeditated reflection—this analogy leads to a similar immediate interest in the objects of the former as in those of the latter; only that in the one case the interest is free, in the other it is based on objective laws. To this is to be added our admiration for Nature, which displays itself in its beautiful products as Art, not merely by chance, but as it were designedly, in accordance with a regular arrangement, and as purposiveness without purpose. This latter, as we never meet with it outside ourselves, we naturally seek in ourselves; and, in fact, in that which constitutes the ultimate purpose of our being, viz. our moral destination. (Of this question as to the ground of the possibility of such natural purposiveness we shall first speak in the Teleology.)

    It is easy to explain why the satisfaction in the pure aesthetical judgement in the case of beautiful Art is not combined with an immediate interest as it is in the case of beautiful Nature. For the former is either such an imitation of the latter that it reaches the point of deception and then produces the same effect as natural beauty (for which it is taken); or it is an art obviously directed designedly to our satisfaction. In the latter case the satisfaction in the product would, it is true, be brought about immediately by taste, but it would be only a mediate interest in the cause lying at its root, viz. an art that can only interest by means of its purpose and never in itself. It will, perhaps, be said that this is also the case, if an Object of nature interests us by its beauty only so far as it is associated with a moral Idea. But it is not the Object itself which immediately interests us, but its character in virtue of which it is qualified for such association, which therefore essentially belongs to it.

    The charms in beautiful Nature, which are so often found, as it were, blended with beautiful forms, may be referred to modifications either of light (colours) or of sound (tones). For these are the only sensations that imply not merely a sensible feeling but also reflection upon the form of these modifications of Sense; and thus they involve in themselves as it were a language by which nature speaks to us, which thus seems to have a higher sense. Thus the white colour of lilies seems to determine the mind to Ideas of innocence; and the seven colours in order from the red to the violet seem to suggest the Ideas of (1) Sublimity, (2) Intrepidity, (3) Candour, (4) Friendliness, (5) Modesty, (6) Constancy, (7) Tenderness. The song of birds proclaims gladsomeness and contentment with existence. At least so we interpret nature, whether it have this design or not. But the interest which we here take in beauty has only to do with the beauty of Nature; it vanishes altogether as soon as we notice that we are deceived and that it is only Art—vanishes so completely that taste can no longer find the thing beautiful or sight find it charming. What is more highly praised by poets than the bewitching and beautiful note of the nightingale in a lonely copse on a still summer evening by the soft light of the moon? And yet we have instances of a merry host, where no such songster was to be found, deceiving to their great contentment the guests who were staying with him to enjoy the country air, by hiding in a bush a mischievous boy who knew how to produce this sound exactly like nature (by means of a reed or a tube in his mouth). But as soon as we are aware that it is a cheat, no one will remain long listening to the song which before was counted so charming. And it is just the same with the songs of all other birds. It must be Nature or be regarded as Nature, if we are to take an immediate interest in the Beautiful as such; and still more is this the case if we can require that others should take an interest in it too. This happens as a matter of fact when we regard as coarse and ignoble the mental attitude of those persons who have no feeling for beautiful Nature (for thus we describe a susceptibility to interest in its contemplation), and who confine themselves to eating and drinking—to the mere enjoyments of sense.

    § 43. Of Art in general

    (1). Art is distinguished from Nature, as doing (facere) is distinguished from acting or working generally (agere), and as the product or result of the former is distinguished as work (opus) from the working (effectus) of the latter.

    By right we ought only to describe as Art, production through freedom, i.e. through a will that places Reason at the basis of its actions. For although we like to call the product of bees (regularly built cells of wax) a work of art, this is only by way of analogy: as soon as we feel that this work of theirs is based on no proper rational deliberation, we say that it is a product of Nature (of instinct), and as Art only ascribe it to their Creator.

    If, as sometimes happens, in searching through a bog we come upon a bit of shaped wood, we do not say: this is a product of Nature, but, of Art. Its producing cause has conceived a purpose to which the bit of wood owes its form. Elsewhere too we should see art in everything which is made so that a representation of it in its cause must have preceded its actuality (as even in the case of the bees), though the effect could not have been thought by the cause. But if we call anything absolutely a work of art in order to distinguish it from a natural effect, we always understand by that a work of man.

    (2). Art regarded as human skill differs from science (as can from know) as a practical faculty does from a theoretical, as Technic does from Theory (as mensuration from geometry). And so what we can do, as soon as we merely know what ought to be done and therefore are sufficiently cognisant of the desired effect, is not called Art. Only that which a man, even if he knows it completely, may not therefore have the skill to accomplish, belongs to Art. Camper75 describes very exactly how the best shoes must be made, but he certainly could not make one.76

    (3). Art also differs from handicraft; the first is called free, the other may be called mercenary. We regard the first as if it could only prove purposive as play, i.e. as occupation that is pleasant in itself. But the second is regarded as if it could only be compulsorily imposed upon one as work, i.e. as occupation which is unpleasant (a trouble) in itself, and which is only attractive on account of its effect (e.g. the wage). Whether or not in the graded list of the professions we ought to count watchmakers as artists, but smiths only as handicraftsmen, would require another point of view from which to judge than that which we are here taking up; viz. [we should have to consider] the proportion of talents which must be assumed requisite in these several occupations. Whether or not, again, under the so-called seven free arts some may be included which ought to be classed as sciences, and many that are akin rather to handicraft, I shall not here discuss. But it is not inexpedient to recall that in all free arts there is yet requisite something compulsory, or, as it is called, mechanism, without which the spirit, which must be free in art and which alone inspires the work, would have no body and would evaporate altogether; e.g. in poetry there must be an accuracy and wealth of language, and also prosody and metre. [It is not inexpedient, I say, to recall this], for many modern educators believe that the best way to produce a free art is to remove it from all constraint, and thus to change it from work into mere play.

    § 44. Of beautiful Art

    There is no Science of the Beautiful, but only a Critique of it; and there is no such thing as beautiful Science, but only beautiful Art. For as regards the first point, if it could be decided scientifically, i.e. by proofs, whether a thing was to be regarded as beautiful or not, the judgement upon beauty would belong to science and would not be a judgement of taste. And as far as the second point is concerned, a science which should be beautiful as such is a nonentity. For if in such a science we were to ask for grounds and proofs, we would be put off with tasteful phrases (bon-mots).—The source of the common expression, beautiful science, is without doubt nothing else than this, as it has been rightly remarked, that for beautiful art in its entire completeness much science is requisite; e.g. a knowledge of ancient languages, a learned familiarity with classical authors, history, a knowledge of antiquities, etc. And hence these historical sciences, because they form the necessary preparation and basis for beautiful art, and also partly because under them is included the knowledge of the products of beautiful art (rhetoric and poetry), have come to be called beautiful sciences by a confusion of words.

    If art which is adequate to the cognition of a possible object performs the actions requisite therefore merely in order to make it actual, it is mechanical art; but if it has for its immediate design the feeling of pleasure, it is called aesthetical art. This is again either pleasant or beautiful. It is the first, if its purpose is that the pleasure should accompany the representations [of the object] regarded as mere sensations; it is the second if they are regarded as modes of cognition.

    Pleasant arts are those that are directed merely to enjoyment. Of this class are all those charming arts that can gratify a company at table; e.g. the art of telling stories in an entertaining way, of starting the company in frank and lively conversation, of raising them by jest and laugh to a certain pitch of merriment;77 when, as people say, there may be a great deal of gossip at the feast, but no one will be answerable for what he says, because they are only concerned with momentary entertainment, and not with any permanent material for reflection or subsequent discussion. (Among these are also to be reckoned the way of arranging the table for enjoyment, and, at great feasts, the management of the music. This latter is a wonderful thing. It is meant to dispose to gaiety the minds of the guests, regarded solely as a pleasant noise, without any one paying the least attention to its composition; and it favours the free conversation of each with his neighbour.) Again, to this class belong all games which bring with them no further interest than that of making the time pass imperceptibly.

    On the other hand, beautiful art is a mode of representation which is purposive for itself, and which, although devoid of [definite] purpose, yet furthers the culture of the mental powers in reference to social communication.

    The universal communicability of a pleasure carries with it in its very concept that the pleasure is not one of enjoyment, from mere sensation, but must be derived from reflection; and thus aesthetical art, as the art of beauty, has for standard the reflective Judgement and not sensation.

    § 45. Beautiful Art is an art, in so far as it seems like nature

    In a product of beautiful art we must become conscious that it is Art and not Nature; but yet the purposiveness in its form must seem to be as free from all constraint of arbitrary rules as if it were a product of mere nature. On this feeling of freedom in the play of our cognitive faculties, which must at the same time be purposive, rests that pleasure which alone is universally communicable, without being based on concepts. Nature is beautiful because it looks like Art; and Art can only be called beautiful if we are conscious of it as Art while yet it looks like Nature.

    For whether we are dealing with natural or with artificial beauty we can say generally: That is beautiful which pleases in the mere act of judging it (not in the sensation of it, or by means of a concept). Now art has always a definite design of producing something. But if this something were bare sensation (something merely subjective), which is to be accompanied with pleasure, the product would please in the act of judgement only by mediation of sensible feeling. And again, if the design were directed towards the production of a definite Object, then, if this were attained by art, the Object would only please by means of concepts. But in both cases the art would not please in the mere act of judging; i.e. it would not please as beautiful, but as mechanical.

    Hence the purposiveness in the product of beautiful art, although it is designed, must not seem to be designed; i.e. beautiful art must look like nature, although we are conscious of it as art. But a product of art appears like nature when, although its agreement with the rules, according to which alone the product can become what it ought to be, is punctiliously observed, yet this is not painfully apparent; [the form of the schools does not obtrude itself]78—it shows no trace of the rule having been before the eyes of the artist and having fettered his mental powers.

    § 46. Beautiful Art is the art of genius

    Genius is the talent (or natural gift) which gives the rule to Art. Since talent, as the innate productive faculty of the artist, belongs itself to Nature, we may express the matter thus: Genius is the innate mental disposition (ingenium) through which Nature gives the rule to Art.

    Whatever may be thought of this definition, whether it is merely arbitrary or whether it is adequate to the concept that we are accustomed to combine with the word genius (which is to be examined in the following paragraphs), we can prove already beforehand that according to the signification of the word here adopted, beautiful arts must necessarily be considered as arts of genius.

    For every art presupposes rules by means of which in the first instance a product, if it is to be called artistic, is represented as possible. But the concept of beautiful art does not permit the judgement upon the beauty of a product to be derived from any rule, which has a concept as its determining ground, and therefore has at its basis a concept of the way in which the product is possible. Therefore, beautiful art cannot itself devise the rule according to which it can bring about its product. But since at the same time a product can never be called Art without some precedent rule, Nature in the subject must (by the harmony of its faculties) give the rule to Art; i.e. beautiful Art is only possible as a product of Genius.

    We thus see (1) that genius is a talent for producing that for which no definite rule can be given; it is not a mere aptitude for what can be learnt by a rule. Hence originality must be its first property. (2) But since it also can produce original nonsense, its products must be models, i.e. exemplary; and they consequently ought not to spring from imitation, but must serve as a standard or rule of judgement for others. (3) It cannot describe or indicate scientifically how it brings about its products, but it gives the rule just as nature does. Hence the author of a product for which he is indebted to his genius does not himself know how he has come by his Ideas; and he has not the power to devise the like at pleasure or in accordance with a plan, and to communicate it to others in precepts that will enable them to produce similar products. (Hence it is probable that the word genius is derived from genius, that peculiar guiding and guardian spirit given to a man at his birth, from whose suggestion these original Ideas proceed.) (4) Nature by the medium of genius does not prescribe rules to Science, but to Art; and to it only in so far as it is to be beautiful Art.

    § 47. Elucidation and confirmation of the above explanation of Genius

    Every one is agreed that genius is entirely opposed to the spirit of imitation. Now since learning is nothing but imitation, it follows that the greatest ability and teachableness (capacity) regarded quâ teachableness, cannot avail for genius. Even if a man thinks or invents for himself, and does not merely take in what others have taught, even if he discovers many things in art and science, this is not the right ground for calling such a (perhaps great) head, a genius (as opposed to him who because he can only learn and imitate is called a shallow-pate). For even these things could be learned, they lie in the natural path of him who investigates and reflects according to rules; and they do not differ specifically from what can be acquired by industry through imitation. Thus we can readily learn all that Newton has set forth in his immortal work on the Principles of Natural Philosophy, however great a head was required to discover it; but we cannot learn to write spirited poetry, however express may be the precepts of the art and however excellent its models. The reason is that Newton could make all his steps, from the first elements of geometry to his own great and profound discoveries, intuitively plain and definite as regards consequence, not only to himself but to every one else. But a Homer or a Wieland cannot show how his Ideas, so rich in fancy and yet so full of thought, come together in his head, simply because he does not know and therefore cannot teach others. In Science then the greatest discoverer only differs in degree from his laborious imitator and pupil; but he differs specifically from him whom Nature has gifted for beautiful Art. And in this there is no depreciation of those great men to whom the human race owes so much gratitude, as compared with nature’s favourites in respect of the talent for beautiful art. For in the fact that the former talent is directed to the ever-advancing greater perfection of knowledge and every advantage depending on it, and at the same time to the imparting this same knowledge to others—in this it has a great superiority over [the talent of] those who deserve the honour of being called geniuses. For art stands still at a certain point; a boundary is set to it beyond which it cannot go, which presumably has been reached long ago and cannot be extended further. Again, artistic skill cannot be communicated; it is imparted to every artist immediately by the hand of nature; and so it dies with him, until nature endows another in the same way, so that he only needs an example in order to put in operation in a similar fashion the talent of which he is conscious.

    If now it is a natural gift which must prescribe its rule to art (as beautiful art), of what kind is this rule? It cannot be reduced to a formula and serve as a precept, for then the judgement upon the beautiful would be determinable according to concepts; but the rule must be abstracted from the fact, i.e. from the product, on which others may try their own talent by using it as a model, not to be copied but to be imitated. How this is possible is hard to explain. The Ideas of the artist excite like Ideas in his pupils if nature has endowed them with a like proportion of their mental powers. Hence models of beautiful art are the only means of handing down these Ideas to posterity. This cannot be done by mere descriptions, especially not in the case of the arts of speech, and in this latter classical models are only to be had in the old dead languages, now preserved only as “the learned languages.”

    Although mechanical and beautiful art are very different, the first being a mere art of industry and learning and the second of genius, yet there is no beautiful art in which there is not a mechanical element that can be comprehended by rules and followed accordingly, and in which therefore there must be something scholastic as an essential condition. For [in every art] some purpose must be conceived; otherwise we could not ascribe the product to art at all, and it would be a mere product of chance. But in order to accomplish a purpose, definite rules from which we cannot dispense ourselves are requisite. Now since the originality of the talent constitutes an essential (though not the only) element in the character of genius, shallow heads believe that they cannot better show themselves to be full-blown geniuses than by throwing off the constraint of all rules; they believe, in effect, that one could make a braver show on the back of a wild horse than on the back of a trained animal. Genius can only furnish rich material for products of beautiful art; its execution and its form require talent cultivated in the schools, in order to make such a use of this material as will stand examination by the Judgement. But it is quite ridiculous for a man to speak and decide like a genius in things which require the most careful investigation by Reason. One does not know whether to laugh more at the impostor who spreads such a mist round him that we cannot clearly use our Judgement and so use our Imagination the more, or at the public which naïvely imagines that his inability to cognise clearly and to comprehend the masterpiece before him arises from new truths crowding in on him in such abundance that details (duly weighed definitions and accurate examination of fundamental propositions) seem but clumsy work.

    § 48. Of the relation of Genius to Taste

    For judging of beautiful objects as such, taste is requisite; but for beautiful art, i.e. for the production of such objects, genius is requisite.

    If we consider genius as the talent for beautiful art (which the special meaning of the word implies) and in this point of view analyse it into the faculties which must concur to constitute such a talent, it is necessary in the first instance to determine exactly the difference between natural beauty, the judging of which requires only Taste, and artificial beauty, whose possibility (to which reference must be made in judging such an object) requires Genius.

    A natural beauty is a beautiful thing; artificial beauty is a beautiful representation of a thing.

    In order to judge of a natural beauty as such I need not have beforehand a concept of what sort of thing the object is to be; i.e. I need not know its material purposiveness (the purpose), but its mere form pleases by itself in the act of judging it without any knowledge of the purpose. But if the object is given as a product of art, and as such is to be declared beautiful, then, because art always supposes a purpose in the cause (and its causality), there must be at bottom in the first instance a concept of what the thing is to be. And as the agreement of the manifold in a thing with its inner destination, its purpose, constitutes the perfection of the thing, it follows that in judging of artificial beauty the perfection of the thing must be taken into account; but in judging of natural beauty (as such) there is no question at all about this.—It is true that in judging of objects of nature, especially objects endowed with life, e.g. a man or a horse, their objective purposiveness also is commonly taken into consideration in judging of their beauty; but then the judgement is no longer purely aesthetical, i.e. a mere judgement of taste. Nature is no longer judged inasmuch as it appears like art, but in so far as it is actual (although superhuman) art; and the teleological judgement serves as the basis and condition of the aesthetical, as a condition to which the latter must have respect. In such a case, e.g. if it is said “that is a beautiful woman,” we think nothing else than this: nature represents in her figure the purposes in view in the shape of a woman’s figure. For we must look beyond the mere form to a concept, if the object is to be thought in such a way by means of a logically conditioned aesthetical judgement.

    Beautiful art shows its superiority in this, that it describes as beautiful things which may be in nature ugly or displeasing.79 The Furies, diseases, the devastations of war, etc., may [even regarded as calamitous],80 be described as very beautiful, and even represented in a picture. There is only one kind of ugliness which cannot be represented in accordance with nature, without destroying all aesthetical satisfaction and consequently artificial beauty; viz. that which excites disgust. For in this peculiar sensation, which rests on mere imagination, the object is represented as it were obtruding itself for our enjoyment while we strive against it with all our might. And the artistic representation of the object is no longer distinguished from the nature of the object itself in our sensation, and thus it is impossible that it can be regarded as beautiful. The art of sculpture again, because in its products art is almost interchangeable with nature, excludes from its creations the immediate representation of ugly objects; e.g. it represents death by a beautiful genius, the warlike spirit by Mars, and permits [all such things] to be represented only by an allegory or attribute81 that has a pleasing effect, and thus only indirectly by the aid of the interpretation of Reason, and not for the mere aesthetical Judgement.

    So much for the beautiful representation of an object, which is properly only the form of the presentation of a concept, and the means by which the latter is communicated universally.—But to give this form to the product of beautiful art, mere taste is requisite. By taste, after he has exercised and corrected it by manifold examples from art or nature, the artist checks his work; and after many, often toilsome, attempts to content taste he finds the form which satisfies him. Hence this form is not, as it were, a thing of inspiration or the result of a free swing of the mental powers, but of a slow and even painful process of improvement, by which he seeks to render it adequate to his thought, without detriment to the freedom of the play of his powers.

    But taste is merely a judging and not a productive faculty; and what is appropriate to it is not therefore a work of beautiful art. It may be only a product belonging to useful and mechanical art or even to science, produced according to definite rules that can be learned and must be exactly followed. But the pleasing form that is given to it is only the vehicle of communication, and a mode, as it were, of presenting it, in respect of which we remain free to a certain extent, although it is combined with a definite purpose. Thus we desire that table appointments, a moral treatise, even a sermon, should have in themselves this form of beautiful art, without it seeming to be sought: but we do not therefore call these things works of beautiful art. Under the latter class are reckoned a poem, a piece of music, a picture gallery, etc.; and in some would-be works of beautiful art we find genius without taste, while in others we find taste without genius.

    § 49. Of the faculties of the mind that constitute Genius

    We say of certain products of which we expect that they should at least in part appear as beautiful art, they are without spirit82; although we find nothing to blame in them on the score of taste. A poem may be very neat and elegant, but without spirit. A history may be exact and well arranged, but without spirit. A festal discourse may be solid and at the same time elaborate, but without spirit. Conversation is often not devoid of entertainment, but yet without spirit: even of a woman we say that she is pretty, an agreeable talker, and courteous, but without spirit. What then do we mean by spirit?

    Spirit, in an aesthetical sense, is the name given to the animating principle of the mind. But that whereby this principle animates the soul, the material which it applies to that [purpose], is that which puts the mental powers purposively into swing, i.e. into such a play as maintains itself and strengthens the [mental] powers in their exercise.

    Now I maintain that this principle is no other than the faculty of presenting aesthetical Ideas. And by an aesthetical Idea I understand that representation of the Imagination which occasions much thought, without, however, any definite thought, i.e. any concept, being capable of being adequate to it; it consequently cannot be completely compassed and made intelligible by language.—We easily see that it is the counterpart (pendant) of a rational Idea, which conversely is a concept to which no intuition (or representation of the Imagination) can be adequate.

    The Imagination (as a productive faculty of cognition) is very powerful in creating another nature, as it were, out of the material that actual nature gives it. We entertain ourselves with it when experience proves too commonplace, and by it we remould experience, always indeed in accordance with analogical laws, but yet also in accordance with principles which occupy a higher place in Reason (laws too which are just as natural to us as those by which Understanding comprehends empirical nature). Thus we feel our freedom from the law of association (which attaches to the empirical employment of Imagination), so that the material which we borrow from nature in accordance with this law can be worked up into something different which surpasses nature.

    Such representations of the Imagination we may call Ideas, partly because they at least strive after something which lies beyond the bounds of experience, and so seek to approximate to a presentation of concepts of Reason (intellectual Ideas), thus giving to the latter the appearance of objective reality,—but especially because no concept can be fully adequate to them as internal intuitions. The poet ventures to realise to sense, rational Ideas of invisible beings, the kingdom of the blessed, hell, eternity, creation, etc.; or even if he deals with things of which there are examples in experience,—e.g. death, envy and all vices, also love, fame, and the like,—he tries, by means of Imagination, which emulates the play of Reason in its quest after a maximum, to go beyond the limits of experience and to present them to Sense with a completeness of which there is no example in nature. It is, properly speaking, in the art of the poet, that the faculty of aesthetical Ideas can manifest itself in its full measure. But this faculty, considered in itself, is properly only a talent (of the Imagination).

    If now we place under a concept a representation of the Imagination belonging to its presentation, but which occasions solely by itself more thought than can ever be comprehended in a definite concept, and which therefore enlarges aesthetically the concept itself in an unbounded fashion,—the Imagination is here creative, and it brings the faculty of intellectual Ideas (the Reason) into movement; i.e. a movement, occasioned by a representation, towards more thought (though belonging, no doubt, to the concept of the object) than can be grasped in the representation or made clear.

    Those forms which do not constitute the presentation of a given concept itself but only, as approximate representations of the Imagination, express the consequences bound up with it and its relationship to other concepts, are called (aesthetical) attributes of an object, whose concept as a rational Idea cannot be adequately presented. Thus Jupiter’s eagle with the lightning in its claws is an attribute of the mighty king of heaven, as the peacock is of its magnificent queen. They do not, like logical attributes, represent what lies in our concepts of the sublimity and majesty of creation, but something different, which gives occasion to the Imagination to spread itself over a number of kindred representations, that arouse more thought than can be expressed in a concept determined by words. They furnish an aesthetical Idea, which for that rational Idea takes the place of logical presentation; and thus as their proper office they enliven the mind by opening out to it the prospect into an illimitable field of kindred representations. But beautiful art does this not only in the case of painting or sculpture (in which the term “attribute” is commonly employed): poetry and rhetoric also get the spirit that animates their works simply from the aesthetical attributes of the object, which accompany the logical and stimulate the Imagination, so that it thinks more by their aid, although in an undeveloped way, than could be comprehended in a concept and therefore in a definite form of words.— For the sake of brevity I must limit myself to a few examples only.

    When the great King83 in one of his poems expresses himself as follows:

    “Oui, finissons sans trouble et mourons sans regrets,

    En laissant l’univers comblé de nos bienfaits.

    Ainsi l’astre du jour au bout de sa carrière,

    Répand sur l’horizon une douce lumière;

    Et les derniers rayons qu’il darde dans les airs,

    Sont les derniers soupirs qu’il donne à l’univers;”

    he quickens his rational Idea of a cosmopolitan disposition at the end of life by an attribute which the Imagination (in remembering all the pleasures of a beautiful summer day that are recalled at its close by a serene evening) associates with that representation, and which excites a number of sensations and secondary representations for which no expression is found. On the other hand, an intellectual concept may serve conversely as an attribute for a representation of sense and so can quicken this latter by means of the Idea of the supersensible; but only by the aesthetical [element], that subjectively attaches to the concept of the latter, being here employed. Thus, for example, a certain poet84 says, in his description of a beautiful morning:

    “The sun arose

    As calm from virtue springs.”

    The consciousness of virtue, even if one only places oneself in thought in the position of a virtuous man, diffuses in the mind a multitude of sublime and restful feelings and a boundless prospect of a joyful future, to which no expression measured by a definite concept completely attains.85

    In a word the aesthetical Idea is a representation of the Imagination associated with a given concept, which is bound up with such a multiplicity of partial representations in its free employment, that for it no expression marking a definite concept can be found; and such a representation, therefore, adds to a concept much ineffable thought, the feeling of which quickens the cognitive faculties, and with language, which is the mere letter, binds up spirit also.

    The mental powers, therefore, whose union (in a certain relation) constitutes genius are Imagination and Understanding. In the employment of the Imagination for cognition it submits to the constraint of the Understanding and is subject to the limitation of being conformable to the concept of the latter. On the other hand, in an aesthetical point of view it is free to furnish unsought, over and above that agreement with a concept, abundance of undeveloped material for the Understanding; to which the Understanding paid no regard in its concept, but which it applies, though not objectively for cognition, yet subjectively to quicken the cognitive powers and therefore also indirectly to cognitions. Thus genius properly consists in the happy relation [between these faculties], which no science can teach and no industry can learn, by which Ideas are found for a given concept; and on the other hand, we thus find for these Ideas the expression, by means of which the subjective state of mind brought about by them, as an accompaniment of the concept, can be communicated to others. The latter talent is properly speaking what is called spirit; for to express the ineffable element in the state of mind implied by a certain representation and to make it universally communicable—whether the expression be in speech or painting or statuary—this requires a faculty of seizing the quickly passing play of Imagination and of unifying it in a concept (which is even on that account original and discloses a new rule that could not have been inferred from any preceding principles or examples), that can be communicated without any constraint [of rules].86

    * * * * *

    If after this analysis we look back to the explanation given above of what is called genius, we find: first, that it is a talent for Art, not for Science, in which clearly known rules must go beforehand and determine the procedure. Secondly, as an artistic talent it presupposes a definite concept of the product, as the purpose, and therefore Understanding; but it also presupposes a representation (although an indeterminate one) of the material, i.e. of the intuition, for the presentment of this concept; and, therefore, a relation between the Imagination and the Understanding. Thirdly, it shows itself not so much in the accomplishment of the proposed purpose in a presentment of a definite concept, as in the enunciation or expression of aesthetical Ideas, which contain abundant material for that very design; and consequently it represents the Imagination as free from all guidance of rules and yet as purposive in reference to the presentment of the given concept. Finally, in the fourth place, the unsought undesigned subjective purposiveness in the free accordance of the Imagination with the legality of the Understanding presupposes such a proportion and disposition of these faculties as no following of rules, whether of science or of mechanical imitation, can bring about, but which only the nature of the subject can produce.

    In accordance with these suppositions genius is the exemplary originality of the natural gifts of a subject in the free employment of his cognitive faculties. In this way the product of a genius (as regards what is to be ascribed to genius and not to possible learning or schooling) is an example, not to be imitated (for then that which in it is genius and constitutes the spirit of the work would be lost), but to be followed, by another genius; whom it awakens to a feeling of his own originality and whom it stirs so to exercise his art in freedom from the constraint of rules, that thereby a new rule is gained for art, and thus his talent shows itself to be exemplary. But because a genius is a favourite of nature and must be regarded by us as a rare phenomenon, his example produces for other good heads a school, i.e. a methodical system of teaching according to rules, so far as these can be derived from the peculiarities of the products of his spirit. For such persons beautiful art is so far imitation, to which nature through the medium of a genius supplied the rule.

    But this imitation becomes a mere aping, if the scholar copies everything down to the deformities, which the genius must have let pass only because he could not well remove them without weakening his Idea. This mental characteristic is meritorious only in the case of a genius. A certain audacity in expression—and in general many a departure from common rules—becomes him well, but it is in no way worthy of imitation; it always remains a fault in itself which we must seek to remove, though the genius is as it were privileged to commit it, because the inimitable rush of his spirit would suffer from over-anxious carefulness. Mannerism is another kind of aping, viz. of mere peculiarity (originality) in general; by which a man separates himself as far as possible from imitators, without however possessing the talent to be at the same time exemplary.—There are indeed in general two ways (modi) in which such a man may put together his notions of expressing himself; the one is called a manner (modus aestheticus), the other a method (modus logicus). They differ in this, that the former has no other standard than the feeling of unity in the presentment, but the latter follows definite principles; hence the former alone avails for beautiful art. But an artistic product is said to show mannerism only when the exposition of the artist’s Idea is founded on its very singularity, and is not made appropriate to the Idea itself. The ostentatious (précieux), contorted, and affected [manner, adopted] to differentiate oneself from ordinary persons (though devoid of spirit) is like the behaviour of a man of whom we say, that he hears himself talk, or who stands and moves about as if he were on a stage in order to be stared at; this always betrays a bungler.

    § 50. Of the combination of Taste with Genius in the products of beautiful Art

    To ask whether it is more important for the things of beautiful art that Genius or Taste should be displayed, is the same as to ask whether in it more depends on Imagination or on Judgement. Now, since in respect of the first an art is rather said to be full of spirit, but only deserves to be called a beautiful art on account of the second; this latter is at least, as its indispensable condition (conditio sine qua non), the most important thing to which one has to look in the judging of art as beautiful art. Abundance and originality of Ideas are less necessary to beauty than the accordance of the Imagination in its freedom with the conformity to law of the Understanding. For all the abundance of the former produces in lawless freedom nothing but nonsense; on the other hand, the Judgement is the faculty by which it is adjusted to the Understanding.

    Taste, like the Judgement in general, is the discipline (or training) of Genius; it clips its wings closely, and makes it cultured and polished; but, at the same time, it gives guidance as to where and how far it may extend itself, if it is to remain purposive. And while it brings clearness and order into the multitude of the thoughts, it makes the Ideas susceptible of being permanently and, at the same time, universally assented to, and capable of being followed by others, and of an ever-progressive culture. If, then, in the conflict of these two properties in a product something must be sacrificed, it should be rather on the side of genius; and the Judgement, which in the things of beautiful art gives its decision from its own proper principles, will rather sacrifice the freedom and wealth of the Imagination than permit anything prejudicial to the Understanding.

    For beautiful art, therefore, Imagination, Understanding, Spirit, and Taste are requisite.87

    § 51. Of the division of the beautiful arts

    We may describe beauty in general (whether natural or artificial) as the expression of aesthetical Ideas; only that in beautiful Art this Idea must be occasioned by a concept of the Object; whilst in beautiful Nature the mere reflection upon a given intuition, without any concept of what the object is to be, is sufficient for the awakening and communicating of the Idea of which that Object is regarded as the expression.

    If, then, we wish to make a division of the beautiful arts, we cannot choose a more convenient principle, at least tentatively, than the analogy of art with the mode of expression of which men avail themselves in speech, in order to communicate to one another as perfectly as possible not merely their concepts but also their sensations.88—This is done by word, deportment, and tone (articulation, gesticulation, and modulation). It is only by the combination of these three kinds of expression that communication between the speaker [and his hearers] can be complete. For thus thought, intuition, and sensation are transmitted to others simultaneously and conjointly.

    There are, therefore, only three kinds of beautiful arts; the arts of speech, the formative arts, and the art of the play of sensations (as external sensible impressions). We may also arrange a division by dichotomy; thus beautiful art may be divided into the art of expression of thoughts and of intuitions; and these further subdivided in accordance with their form or their matter (sensation). But this would appear to be too abstract, and not so accordant with ordinary concepts.

    (1) The arts of SPEECH are rhetoric and poetry. Rhetoric is the art of carrying on a serious business of the Understanding as if it were a free play of the Imagination; poetry, the art of conducting a free play of the Imagination as if it were a serious business of the Understanding.

    The orator, then, promises a serious business, and in order to entertain his audience conducts it as if it were a mere play with Ideas. The poet merely promises an entertaining play with Ideas, and yet it has the same effect upon the Understanding as if he had only intended to carry on its business. The combination and harmony of both cognitive faculties, Sensibility and Understanding, which cannot dispense with one another, but which yet cannot well be united without constraint and mutual prejudice, must appear to be undesigned and so to be brought about by themselves: otherwise it is not beautiful art. Hence, all that is studied and anxious must be avoided in it, for beautiful art must be free art in a double sense. It is not a work like that of a tradesman, the magnitude of which can be judged, exacted, or paid for, according to a definite standard; and again, though the mind is occupied, still it feels itself contented and stimulated, without looking to any other purpose (independently of reward.)

    The orator therefore gives something which he does not promise, viz. an entertaining play of the Imagination; but he also fails to supply what he did promise, which is indeed his announced business, viz. the purposive occupation of the Understanding. On the other hand, the poet promises little and announces a mere play with Ideas; but he supplies something which is worth occupying ourselves with, because he provides in this play food for the Understanding, and by the aid of Imagination gives life to his concepts. [Thus the orator on the whole gives less, the poet more, than he promises.]89

    (2) The FORMATIVE arts, or those by which expression is found for Ideas in sensible intuition (not by representations of mere Imagination that are aroused by words), are either arts of sensible truth or of sensible illusion. The former is called Plastic, the latter Painting. Both express Ideas by figures in space; the former makes figures cognisable by two senses, sight and touch (although not by the latter as far as beauty is concerned); the latter only by one, the first of these. The aesthetical Idea (the archetype or original image) is fundamental for both in the Imagination, but the figure which expresses this (the ectype or copy) is either given in its bodily extension (as the object itself exists), or as it paints itself on the eye (according to its appearance when projected on a flat surface). In the first case90 the condition given to reflection may be either the reference to an actual purpose or only the semblance of it.

    To Plastic, the first kind of beautiful formative Art, belong Sculpture and Architecture. The first presents corporeally concepts of things, as they might have existed in nature (though as beautiful art it has regard to aesthetical purposiveness). The second is the art of presenting concepts of things that are possible only through Art, and whose form has for its determining ground not nature but an arbitrary purpose, with the view of presenting them with aesthetical purposiveness. In the latter the chief point is a certain use of the artistic object, by which condition the aesthetical Ideas are limited. In the former the main design is the mere expression of aesthetical Ideas. Thus statues of men, gods, animals, etc., are of the first kind; but temples, splendid buildings for public assemblies, even dwelling-houses, triumphal arches, columns, mausoleums, and the like, erected in honourable remembrance, belong to Architecture. Indeed all house furniture (upholsterer’s work and such like things which are for use) may be reckoned under this art; because the suitability of a product for a certain use is the essential thing in an architectural work. On the other hand, a mere piece of sculpture, which is simply made for show and which is to please in itself, is as a corporeal presentation a mere imitation of nature, though with a reference to aesthetical Ideas; in it sensible truth is not to be carried so far that the product ceases to look like art and looks like a product of the elective will.

    Painting, as the second kind of formative art, which presents a sensible illusion artificially combined with Ideas, I would divide into the art of the beautiful depicting of nature and that of the beautiful arrangement of its products. The first is painting proper, the second is the art of landscape gardening. The first gives only the illusory appearance of corporeal extension; the second gives this in accordance with truth, but only the appearance of utility and availableness for other purposes than the mere play of the Imagination in the contemplation of its forms.91 This latter is nothing else than the ornamentation of the soil with a variety of those things (grasses, flowers, shrubs, trees, even ponds, hillocks, and dells) which nature presents to an observer, only arranged differently and in conformity with certain Ideas. But, again, the beautiful arrangement of corporeal things is only apparent to the eye, like painting; the sense of touch cannot supply any intuitive presentation of such a form. Under painting in the wide sense I would reckon the decoration of rooms by the aid of tapestry, bric-a-brac, and all beautiful furniture which is merely available to be looked at; and the same may be said of the art of tasteful dressing (with rings, snuff-boxes, etc.). For a bed of various flowers, a room filled with various ornaments (including under this head even ladies’ finery), make at a fête a kind of picture; which, like pictures properly so-called (that are not intended to teach either history or natural science), has in view merely the entertainment of the Imagination in free play with Ideas, and the occupation of the aesthetical Judgement without any definite purpose. The detailed work in all this decoration may be quite distinct in the different cases and may require very different artists; but the judgement of taste upon whatever is beautiful in these various arts is always determined in the same way: viz. it only judges the forms (without any reference to a purpose) as they present themselves to the eye either singly or in combination, according to the effect they produce upon the Imagination.—But that formative art may be compared (by analogy) with deportment in speech is justified by the fact that the spirit of the artist supplies by these figures a bodily expression to his thought and its mode, and makes the thing itself as it were speak in mimic language. This is a very common play of our fancy, which attributes to lifeless things a spirit suitable to their form by which they speak to us.

    (3) The art of the BEAUTIFUL PLAY OF SENSATIONS (externally stimulated), which admits at the same time of universal communication, can be concerned with nothing else than the proportion of the different degrees of the disposition (tension) of the sense, to which the sensation belongs, i.e. with its tone. In this far-reaching signification of the word it may be divided into the artistic play of the sensations of hearing and sight, i.e. into Music and the Art of colour.—It is noteworthy that these two senses, besides their susceptibility for impressions so far as these are needed to gain concepts of external objects, are also capable of a peculiar sensation bound up therewith, of which we cannot strictly decide whether it is based on sense or reflection. This susceptibility may sometimes be wanting, although in other respects the sense, as regards its use for the cognition of Objects, is not at all deficient but is peculiarly fine. That is, we cannot say with certainty whether colours or tones (sounds) are merely pleasant sensations or whether they form in themselves a beautiful play of sensations, and as such bring with them in aesthetical judgement a satisfaction in their form. If we think of the velocity of the vibrations of light, or in the second case of the air, which probably far surpasses all our faculty of judging immediately in perception the time interval between them, we must believe that it is only the effect of these vibrations upon the elastic parts of our body that is felt, but that the time interval between them is not remarked or brought into judgement; and thus that only pleasantness and not beauty of composition is bound up with colours and tones. But on the other hand, first, we think of the mathematical [element] which enables us to pronounce on the proportion between these oscillations in music and thus to judge of them; and by analogy with which we easily may judge of the distinctions between colours. Secondly, we recall instances (although they are rare) of men who with the best sight in the world cannot distinguish colours, and with the sharpest hearing cannot distinguish tones; whilst for those who can do this the perception of an altered quality (not merely of the degree of sensation) in the different intensities in the scale of colours and tones is definite; and further, the very number of these is fixed by intelligible differences. Thus we may be compelled to see that both kinds of sensations are to be regarded not as mere sensible impressions, but as the effects of a judgement passed upon the form in the play of divers sensations. The difference in our definition, according as we adopt the one or the other opinion in judging of the grounds of Music, would be just this: either, as we have done, we must explain it as the beautiful play of sensations (of hearing), or else as a play of pleasant sensations. According to the former mode of explanation music is represented altogether as a beautiful art; according to the latter, as a pleasant art (at least in part).

    § 52. Of the combination of beautiful arts in one and the same product

    Rhetoric may be combined with a pictorial presentation of its subjects and objects in a theatrical piece; poetry may be combined with music in a song, and this again with pictorial (theatrical) presentation in an opera; the play of sensations in music may be combined with the play of figures in the dance, and so on. Even the presentation of the sublime, so far as it belongs to beautiful art, may combine with beauty in a tragedy in verse, in a didactic poem, in an oratorio; and in these combinations beautiful art is yet more artistic. Whether it is also more beautiful may in some of these cases be doubted (since so many different kinds of satisfaction cross one another). Yet in all beautiful art the essential thing is the form, which is purposive as regards our observation and judgement, where the pleasure is at the same time cultivation and disposes the spirit to Ideas, and consequently makes it susceptible of still more of such pleasure and entertainment. The essential element is not the matter of sensation (charm or emotion), which has only to do with enjoyment; this leaves behind nothing in the Idea, and it makes the spirit dull, the object gradually distasteful, and the mind, on account of its consciousness of a disposition that conflicts with purpose in the judgement of Reason, discontented with itself and peevish.

    If the beautiful arts are not brought into more or less close combination with moral Ideas, which alone bring with them a self-sufficing satisfaction, this latter fate must ultimately be theirs. They then serve only as a distraction, of which we are the more in need the more we avail ourselves of them to disperse the discontent of the mind with itself; so that we thus render ourselves ever more useless and ever more discontented. The beauties of nature are generally of most benefit in this point of view, if we are early accustomed to observe, appreciate, and admire them.

    § 53. Comparison of the respective aesthetical worth of the beautiful arts

    Of all the arts poetry (which owes its origin almost entirely to genius and will least be guided by precept or example) maintains the first rank. It expands the mind by setting the Imagination at liberty; and by offering within the limits of a given concept amid the unbounded variety of possible forms accordant therewith, that which unites the presentment of this concept with a wealth of thought, to which no verbal expression is completely adequate; and so rising aesthetically to Ideas. It strengthens the mind by making it feel its faculty—free, spontaneous and independent of natural determination—of considering and judging nature as a phenomenon in accordance with aspects which it does not present in experience either for Sense or Understanding, and therefore of using it on behalf of, and as a sort of schema for, the supersensible. It plays with illusion, which it produces at pleasure, but without deceiving by it; for it declares its exercise to be mere play, which however can be purposively used by the Understanding.—Rhetoric, in so far as this means the art of persuasion, i.e. of deceiving by a beautiful show (ars oratoria), and not mere elegance of speech (eloquence and style), is a Dialectic, which borrows from poetry only so much as is needful to win minds to the side of the orator before they have formed a judgement, and to deprive them of their freedom; it cannot therefore be recommended either for the law courts or for the pulpit. For if we are dealing with civil law, with the rights of individual persons, or with lasting instruction and determination of people’s minds to an accurate knowledge and a conscientious observance of their duty, it is unworthy of so important a business to allow a trace of any exuberance of wit and imagination to appear, and still less any trace of the art of talking people over and of captivating them for the advantage of any chance person. For although this art may sometimes be directed to legitimate and praiseworthy designs, it becomes objectionable, when in this way maxims and dispositions are spoiled in a subjective point of view, though the action may objectively be lawful. It is not enough to do what is right; we should practise it solely on the ground that it is right. Again, the mere concept of this species of matters of human concern, when clear and combined with a lively presentation of it in examples, without any offence against the rules of euphony of speech or propriety of expression, has by itself for Ideas of Reason (which collectively constitute eloquence), sufficient influence upon human minds; so that it is not needful to add the machinery of persuasion, which, since it can be used equally well to beautify or to hide vice and error, cannot quite lull the secret suspicion that one is being artfully overreached. In poetry everything proceeds with honesty and candour. It declares itself to be a mere entertaining play of the Imagination, which wishes to proceed as regards form in harmony with the laws of the Understanding; and it does not desire to steal upon and ensnare the Understanding by the aid of sensible presentation.92

    After poetry, if we are to deal with charm and mental movement, I would place that art which comes nearest to the art of speech and can very naturally be united with it, viz. the art of tone. For although it speaks by means of mere sensations without concepts, and so does not, like poetry, leave anything over for reflection, it yet moves the mind in a greater variety of ways and more intensely, although only transitorily. It is, however, rather enjoyment than culture (the play of thought that is incidentally excited by its means is merely the effect of a kind of mechanical association); and in the judgement of Reason it has less worth than any other of the beautiful arts. Hence, like all enjoyment, it desires constant change, and does not bear frequent repetition without producing weariness. Its charm, which admits of universal communication, appears to rest on this, that every expression of speech has in its context a tone appropriate to the sense. This tone indicates more or less an affection of the speaker, and produces it also in the hearer; which affection excites in its turn in the hearer the Idea that is expressed in speech by the tone in question. Thus as modulation is as it were a universal language of sensations intelligible to every man, the art of tone employs it by itself alone in its full force, viz. as a language of the affections, and thus communicates universally according to the laws of association the aesthetical Ideas naturally combined therewith. Now these aesthetical Ideas are not concepts or determinate thoughts. Hence the form of the composition of these sensations (harmony and melody) only serves instead of the form of language, by means of their proportionate accordance, to express the aesthetical Idea of a connected whole of an unspeakable wealth of thought, corresponding to a certain theme which produces the dominating affection in the piece. This can be brought mathematically under certain rules, because it rests in the case of tones on the relation between the number of vibrations of the air in the same time, so far as these tones are combined simultaneously or successively. To this mathematical form, although not represented by determinate concepts, alone attaches the satisfaction that unites the mere reflection upon such a number of concomitant or consecutive sensations with this their play, as a condition of its beauty valid for every man. It is this alone which permits Taste to claim in advance a rightful authority over every one’s judgement.

    But in the charm and mental movement produced by Music, Mathematic has certainly not the slightest share. It is only the indispensable condition (conditio sine qua non) of that proportion of the impressions in their combination and in their alternation by which it becomes possible to gather them together and prevent them from destroying one another, and to harmonise them so as to produce a continual movement and animation of the mind, by means of affections consonant therewith, and thus a delightful personal enjoyment.

    If, on the other hand, we estimate the worth of the Beautiful Arts by the culture they supply to the mind, and take as a standard the expansion of the faculties which must concur in the Judgement for cognition, Music will have the lowest place among them (as it has perhaps the highest among those arts which are valued for their pleasantness), because it merely plays with sensations. The formative arts are far before it in this point of view; for in putting the Imagination in a free play, which is also accordant with the Understanding, they at the same time carry on a serious business. This they do by producing a product that serves for concepts as a permanent self-commendatory vehicle for promoting their union with sensibility and thus, as it were, the urbanity of the higher cognitive powers. These two species of art take quite different courses; the first proceeds from sensations to indeterminate Ideas, the second from determinate Ideas to sensations. The latter produce permanent, the former only transitory impressions. The Imagination can recall the one and entertain itself pleasantly therewith; but the other either vanish entirely, or if they are recalled involuntarily by the Imagination they are rather wearisome than pleasant.93 Besides, there attaches to Music a certain want of urbanity from the fact that, chiefly from the character of its instruments, it extends its influence further than is desired (in the neighbourhood), and so as it were obtrudes itself, and does violence to the freedom of others who are not of the musical company. The Arts which appeal to the eyes do not do this; for we need only turn our eyes away, if we wish to avoid being impressed. The case of music is almost like that of the delight derived from a smell that diffuses itself widely. The man who pulls his perfumed handkerchief out of his pocket attracts the attention of all round him, even against their will, and he forces them, if they are to breathe at all, to enjoy the scent; hence this habit has gone out of fashion.94

    Among the formative arts I would give the palm to painting; partly because as the art of delineation it lies at the root of all the other formative arts, and partly because it can penetrate much further into the region of Ideas, and can extend the field of intuition in conformity with them further than the others can.

    § 54. Remark

    As we have often shown, there is an essential difference between what satisfies simply in the act of judging it, and that which gratifies (pleases in sensation). We cannot ascribe the latter to every one, as we can the former. Gratification (the causes of which may even be situate in Ideas) appears always to consist in a feeling of the furtherance of the whole life of the man, and consequently, also of his bodily well-being, i.e. his health; so that Epicurus, who gave out that all gratification was at bottom bodily sensation, may, perhaps, not have been wrong, but only misunderstood himself when he reckoned intellectual and even practical satisfaction under gratification. If we have this distinction in view we can explain how a gratification may dissatisfy the man who sensibly feels it (e.g. the joy of a needy but well-meaning man at becoming the heir of an affectionate but penurious father); or how a deep grief may satisfy the person experiencing it (the sorrow of a widow at the death of her excellent husband); or how a gratification can in addition satisfy (as in the sciences that we pursue); or how a grief (e.g. hatred, envy, revenge) can moreover dissatisfy. The satisfaction or dissatisfaction here depends on Reason, and is the same as approbation or disapprobation; but gratification and grief can only rest on the feeling or prospect of a possible (on whatever grounds) well-being or its opposite.

    All changing free play of sensations (that have no design at their basis) gratifies, because it promotes the feeling of health. In the judgement of Reason we may or may not have any satisfaction in its object or even in this gratification; and this latter may rise to the height of an affection, although we take no interest in the object, at least none that is proportionate to the degree of the affection. We may subdivide this free play of sensations into the play of fortune [games of chance], the play of tone [music], and the play of thought [wit]. The first requires an interest, whether of vanity or of selfishness; which, however, is not nearly so great as the interest that attaches to the way in which we are striving to procure it. The second requires merely the change of sensations, all of which have a relation to affection, though they have not the degree of affection, and excite aesthetical Ideas. The third springs merely from the change of representations in the Judgement; by it, indeed, no thought that brings an interest with it is produced, but yet the mind is animated thereby.

    How much gratification games must afford, without any necessity of placing at their basis an interested design, all our evening parties show; for hardly any of them can be carried on without a game. But the affections of hope, fear, joy, wrath, scorn, are put in play by them, alternating every moment; and they are so vivid that by them, as by a kind of internal motion, all the vital processes of the body seem to be promoted, as is shown by the mental vivacity excited by them, although nothing is gained or learnt thereby. But as the beautiful does not enter into games of chance, we will here set them aside. On the other hand, music and that which excites laughter are two different kinds of play with aesthetical Ideas, or with representations of the Understanding through which ultimately nothing is thought; and yet they can give lively gratification merely by their changes. Thus we recognise pretty clearly that the animation in both cases is merely bodily, although it is excited by Ideas of the mind; and that the feeling of health produced by a motion of the intestines corresponding to the play in question makes up that whole gratification of a gay party, which is regarded as so refined and so spiritual. It is not the judging the harmony in tones or sallies of wit,—which serves only in combination with their beauty as a necessary vehicle,—but the furtherance of the vital bodily processes, the affection that moves the intestines and the diaphragm, in a word, the feeling of health (which without such inducements one does not feel) that makes up the gratification felt by us; so that we can thus reach the body through the soul and use the latter as the physician of the former.

    In music this play proceeds from bodily sensations to aesthetical Ideas (the Objects of our affections), and then from these back again to the body with redoubled force. In the case of jokes (the art of which, just like music, should rather be reckoned as pleasant than beautiful) the play begins with the thoughts which together occupy the body, so far as they admit of sensible expression; and as the Understanding stops suddenly short at this presentment, in which it does not find what it expected, we feel the effect of this slackening in the body by the oscillation of the organs, which promotes the restoration of equilibrium and has a favourable influence upon health.

    In everything that is to excite a lively convulsive laugh there must be something absurd (in which the Understanding, therefore, can find no satisfaction). Laughter is an affection arising from the sudden transformation of a strained expectation into nothing.95 This transformation, which is certainly not enjoyable by the Understanding, yet indirectly gives it very active enjoyment for a moment. Therefore its cause must consist in the influence of the representation upon the body, and the reflex effect of this upon the mind; not, indeed, through the representation being objectively an object of gratification96 (for how could a delusive expectation gratify?), but simply through it as a mere play of representations bringing about an equilibrium of the vital powers in the body.

    Suppose this story to be told: An Indian at the table of an Englishman in Surat, when he saw a bottle of ale opened and all the beer turned into froth and overflowing, testified his great astonishment with many exclamations. When the Englishman asked him, “What is there in this to astonish you so much?” he answered, “I am not at all astonished that it should flow out, but I do wonder how you ever got it in.” At this story we laugh, and it gives us hearty pleasure; not because we deem ourselves cleverer than this ignorant man, or because of anything else in it that we note as satisfactory to the Understanding, but because our expectation was strained [for a time] and then was suddenly dissipated into nothing. Again: The heir of a rich relative wished to arrange for an imposing funeral, but he lamented that he could not properly succeed; “for” (said he) “the more money I give my mourners to look sad, the more cheerful they look!”97 When we hear this story we laugh loud, and the reason is that an expectation is suddenly transformed into nothing. We must note well that it does not transform itself into the positive opposite of an expected object—for then there would still be something, which might even be a cause of grief—but it must be transformed into nothing. For if a man arouses great expectations in us when telling a story, and at the end we see its falsehood immediately, it displeases us; e.g. the story of the people whose hair in consequence of great grief turned gray in one night. But if a wag, to repair the effect of this story, describes very circumstantially the grief of the merchant returning from India to Europe with all his wealth in merchandise who was forced to throw it overboard in a heavy storm, and who grieved thereat so much that his wig turned gray the same night—we laugh and it gives us gratification. For we treat our own mistake in the case of an object otherwise indifferent to us, or rather the Idea which we are following out, as we treat a ball which we knock to and fro for a time, though our only serious intention is to seize it and hold it fast. It is not the mere rebuff of a liar or a simpleton that arouses our gratification; for the latter story told with assumed seriousness would set a whole company in a roar of laughter, while the former would ordinarily not be regarded as worth attending to.

    It is remarkable that in all such cases the jest must contain something that is capable of deceiving for a moment. Hence, when the illusion is dissipated, the mind turns back to try it once again, and thus through a rapidly alternating tension and relaxation it is jerked back and put into a state of oscillation. This, because the strain on the cord as it were is suddenly (and not gradually) relaxed, must occasion a mental movement, and an inner bodily movement harmonising therewith, which continues involuntarily and fatigues, even while cheering us (the effects of a motion conducive to health).

    For if we admit that with all our thoughts is harmonically combined a movement in the organs of the body, we shall easily comprehend how to this sudden transposition of the mind, now to one now to another standpoint in order to contemplate its object, may correspond an alternating tension and relaxation of the elastic portions of our intestines, which communicates itself to the diaphragm (like that which ticklish people feel). In connexion with this the lungs expel the air at rapidly succeeding intervals, and thus bring about a movement beneficial to health; which alone, and not what precedes it in the mind, is the proper cause of the gratification in a thought that at bottom represents nothing.—Voltaire said that heaven had given us two things to counterbalance the many miseries of life, hope and sleep.98 He could have added laughter, if the means of exciting it in reasonable men were only as easily attainable, and the requisite wit or originality of humour were not so rare, as the talent is common of imagining things which break one’s head, as mystic dreamers do, or which break one’s neck, as your genius does, or which break one’s heart, as sentimental romance-writers (and even moralists of the same kidney) do.

    We may therefore, as it seems to me, readily concede to Epicurus that all gratification, even that which is occasioned through concepts, excited by aesthetical Ideas, is animal, i.e. bodily sensation; without the least prejudice to the spiritual feeling of respect for moral Ideas, which is not gratification at all but an esteem for self (for humanity in us), that raises us above the need of gratification, and even without the slightest prejudice to the less noble [feeling] of taste.

    We find a combination of these two last in naiveté, which is the breaking out of the sincerity originally natural to humanity in opposition to that art of dissimulation which has become a second nature. We laugh at the simplicity that does not understand how to dissemble; and yet we are delighted with the simplicity of the nature which thwarts that art. We look for the commonplace manner of artificial utterance devised with foresight to make a fair show; and behold! it is the unspoiled innocent nature which we do not expect to find, and which he who displays it did not think of disclosing. That the fair but false show which generally has so much influence upon our judgement is here suddenly transformed into nothing, so that, as it were, the rogue in us is laid bare, produces a movement of the mind in two opposite directions, which gives a wholesome shock to the body. But the fact that something infinitely better than all assumed manner, viz. purity of disposition (or at least the tendency thereto), is not quite extinguished yet in human nature, blends seriousness and high esteem with this play of the Judgement. But because it is only a transitory phenomenon and the veil of dissimulation is soon drawn over it again, there is mingled therewith a compassion which is an emotion of tenderness; this, as play, readily admits of combination with a good-hearted laugh, and ordinarily is actually so combined, and withal is wont to compensate him who supplies its material for the embarrassment which results from not yet being wise after the manner of men.—An art that is to be naive is thus a contradiction; but the representation of naiveté in a fictitious personage is quite possible, and is a beautiful though a rare art. Naiveté must not be confounded with open-hearted simplicity, which does not artificially spoil nature solely because it does not understand the art of social intercourse.

    The humorous manner again may be classified as that which, as exhilarating us, is near akin to the gratification that proceeds from laughter; and belongs to the originality of spirit, but not to the talent of beautiful art. Humour in the good sense means the talent of being able voluntarily to put oneself into a certain mental disposition, in which everything is judged quite differently from the ordinary method (reversed, in fact), and yet in accordance with certain rational principles in such a frame of mind. He who is involuntarily subject to such mutations is called a man of humours [launisch]; but he who can assume them voluntarily and purposively (on behalf of a lively presentment brought about by the aid of a contrast that excites a laugh)—he and his manner of speech are called humorous [launigt]. This manner, however, belongs rather to pleasant than to beautiful art, because the object of the latter must always exhibit intrinsic worth, and hence requires a certain seriousness in the presentation, as taste does in the act of judgement.

    SECOND DIVISION

    DIALECTIC OF THE AESTHETICAL JUDGEMENT

    § 55

    A faculty of Judgement that is to be dialectical must in the first place be rationalising, i.e. its judgements must claim universality99 and that a priori; for it is in the opposition of such judgements that Dialectic consists. Hence the incompatibility of aesthetical judgements of Sense (about the pleasant and the unpleasant) is not dialectical. And again, the conflict between judgements of Taste, so far as each man depends merely on his own taste, forms no Dialectic of taste; because no one proposes to make his own judgement a universal rule. There remains therefore no other concept of a Dialectic which has to do with taste than that of a Dialectic of the Critique of taste (not of taste itself) in respect of its principles; for here concepts that contradict one another (as to the ground of the possibility of judgements of taste in general) naturally and unavoidably present themselves. The transcendental Critique of taste will therefore contain a part which can bear the name of a Dialectic of the aesthetical Judgement, only if and so far as there is found an antinomy of the principles of this faculty which renders its conformity to law, and consequently also its internal possibility, doubtful.

    § 56. Representation of the antinomy of Taste

    The first commonplace of taste is contained in the proposition, with which every tasteless person proposes to avoid blame: every one has his own taste. That is as much as to say that the determining ground of this judgement is merely subjective (gratification or grief), and that the judgement has no right to the necessary assent of others.

    The second commonplace invoked even by those who admit for judgements of taste the right to speak with validity for every one is: there is no disputing about taste. That is as much as to say that the determining ground of a judgement of taste may indeed be objective, but that it cannot be reduced to definite concepts, and that consequently about the judgement itself nothing can be decided by proofs, although much may rightly be contested. For contesting [quarrelling] and disputing [controversy] are doubtless the same in this, that by means of the mutual opposition of judgements they seek to produce their accordance; but different in that the latter hopes to bring this about according to definite concepts as determining grounds, and consequently assumes objective concepts as grounds of the judgement. But where this is regarded as impracticable, controversy is regarded as alike impracticable.

    We easily see that between these two commonplaces there is a proposition wanting, which, though it has not passed into a proverb, is yet familiar to every one, viz. there may be a quarrel about taste (although there can be no controversy). But this proposition involves the contradictory of the former one. For wherever quarrelling is permissible, there must be a hope of mutual reconciliation; and consequently we can count on grounds of our judgement that have not merely private validity, and therefore are not merely subjective. And to this the proposition, every one has his own taste, is directly opposed.

    There emerges therefore in respect of the principle of taste the following Antinomy:—

    (1) Thesis. The judgement of taste is not based upon concepts; for otherwise it would admit of controversy (would be determinable by proofs).

    (2) Antithesis. The judgement of taste is based on concepts; for otherwise, despite its diversity, we could not quarrel about it (we could not claim for our judgement the necessary assent of others).

    § 57. Solution of the antinomy of Taste

    There is no possibility of removing the conflict between these principles that underlie every judgement of taste (which are nothing else than the two peculiarities of the judgement of taste exhibited above in the Analytic), except by showing that the concept to which we refer the Object in this kind of judgement is not taken in the same sense in both maxims of the aesthetical Judgement. This twofold sense or twofold point of view is necessary to our transcendental Judgement; but also the illusion which arises from the confusion of one with the other is natural and unavoidable.

    The judgement of taste must refer to some concept; otherwise it could make absolutely no claim to be necessarily valid for every one. But it is not therefore capable of being proved from a concept; because a concept may be either determinable or in itself undetermined and undeterminable. The concepts of the Understanding are of the former kind; they are determinable through predicates of sensible intuition which can correspond to them. But the transcendental rational concept of the supersensible, which lies at the basis of all sensible intuition, is of the latter kind, and therefore cannot be theoretically determined further.

    Now the judgement of taste is applied to objects of Sense, but not with a view of determining a concept of them for the Understanding; for it is not a cognitive judgement. It is thus only a private judgement, in which a singular representation intuitively perceived is referred to the feeling of pleasure; and so far would be limited as regards its validity to the individual judging. The object is for me an object of satisfaction; by others it may be regarded quite differently—every one has his own taste.

    Nevertheless there is undoubtedly contained in the judgement of taste a wider reference of the representation of the Object (as well as of the subject), whereon we base an extension of judgements of this kind as necessary for every one. At the basis of this there must necessarily be a concept somewhere; though a concept which cannot be determined through intuition. But through a concept of this sort we know nothing, and consequently it can supply no proof for the judgement of taste. Such a concept is the mere pure rational concept of the supersensible which underlies the object (and also the subject judging it), regarded as an Object of sense and thus as phenomenon.100 For if we do not admit such a reference, the claim of the judgement of taste to universal validity would not hold good. If the concept on which it is based were only a mere confused concept of the Understanding, like that of perfection, with which we could bring the sensible intuition of the Beautiful into correspondence, it would be at least possible in itself to base the judgement of taste on proofs; which contradicts the thesis.

    But all contradiction disappears if I say: the judgement of taste is based on a concept (viz. the concept of the general ground of the subjective purposiveness of nature for the Judgement); from which, however, nothing can be known and proved in respect of the Object, because it is in itself undeterminable and useless for knowledge. Yet at the same time and on that very account the judgement has validity for every one (though of course for each only as a singular judgement immediately accompanying his intuition); because its determining ground lies perhaps in the concept of that which may be regarded as the supersensible substrate of humanity.

    The solution of an antinomy only depends on the possibility of showing that two apparently contradictory propositions do not contradict one another in fact, but that they may be consistent; although the explanation of the possibility of their concept may transcend our cognitive faculties. That this illusion is natural and unavoidable by human Reason, and also why it is so, and remains so, although it ceases to deceive after the analysis of the apparent contradiction, may be thus explained.

    In the two contradictory judgements we take the concept, on which the universal validity of a judgement must be based, in the same sense; and yet we apply to it two opposite predicates. In the Thesis we mean that the judgement of taste is not based upon determinate concepts; and in the Antithesis that the judgement of taste is based upon a concept, but an indeterminate one (viz. of the supersensible substrate of phenomena). Between these two there is no contradiction.

    We can do nothing more than remove this conflict between the claims and counter-claims of taste. It is absolutely impossible to give a definite objective principle of taste, in accordance with which its judgements could be derived, examined, and established; for then the judgement would not be one of taste at all. The subjective principle, viz. the indefinite Idea of the supersensible in us, can only be put forward as the sole key to the puzzle of this faculty whose sources are hidden from us: it can be made no further intelligible.

    The proper concept of taste, that is of a merely reflective aesthetical Judgement, lies at the basis of the antinomy here exhibited and adjusted. Thus the two apparently contradictory principles are reconciled—both can be true; which is sufficient. If, on the other hand, we assume, as some do, pleasantness as the determining ground of taste (on account of the singularity of the representation which lies at the basis of the judgement of taste), or, as others will have it, the principle of perfection (on account of the universality of the same), and settle the definition of taste accordingly; then there arises an antinomy which it is absolutely impossible to adjust except by showing that both the contrary (though not contradictory) propositions are false. And this would prove that the concept on which they are based is self-contradictory. Hence we see that the removal of the antinomy of the aesthetical Judgement takes a course similar to that pursued by the Critique in the solution of the antinomies of pure theoretical Reason. And thus here, as also in the Critique of practical Reason, the antinomies force us against our will to look beyond the sensible and to seek in the supersensible the point of union for all our a priori faculties; because no other expedient is left to make our Reason harmonious with itself.

    Remark I.

    As we so often find occasion in Transcendental Philosophy for distinguishing Ideas from concepts of the Understanding, it may be of use to introduce technical terms to correspond to this distinction. I believe that no one will object if I propose some.—In the most universal signification of the word, Ideas are representations referred to an object, according to a certain (subjective or objective) principle, but so that they can never become a cognition of it. They are either referred to an intuition, according to a merely subjective principle of the mutual harmony of the cognitive powers (the Imagination and the Understanding), and they are then called aesthetical; or they are referred to a concept according to an objective principle, although they can never furnish a cognition of the object and are called rational Ideas. In the latter case the concept is a transcendent one, which is different from a concept of the Understanding, to which an adequately corresponding experience can always be supplied, and which therefore is called immanent.

    An aesthetical Idea cannot become a cognition, because it is an intuition (of the Imagination) for which an adequate concept can never be found. A rational Idea can never become a cognition, because it involves a concept (of the supersensible), corresponding to which an intuition can never be given.

    Now I believe we might call the aesthetical Idea an inexponible representation of the Imagination, and a rational Idea an indemonstrable concept of Reason. It is assumed of both that they are not generated without grounds, but (according to the above explanation of an Idea in general) in conformity with certain principles of the cognitive faculties to which they belong (subjective principles in the one case, objective in the other).

    Concepts of the Understanding must, as such, always be demonstrable [if by demonstration we understand, as in anatomy, merely presentation];101 i.e. the object corresponding to them must always be capable of being given in intuition (pure or empirical); for thus alone could they become cognitions. The concept of magnitude can be given a priori in the intuition of space, e.g. of a right line, etc.; the concept of cause in impenetrability, in the collision of bodies, etc. Consequently both can be authenticated by means of an empirical intuition, i.e. the thought of them can be proved (demonstrated, verified) by an example; and this must be possible, for otherwise we should not be certain that the concept was not empty, i.e. devoid of any Object.

    In Logic we ordinarily use the expressions demonstrable or indemonstrable only in respect of propositions, but these might be better designated by the titles respectively of mediately and immediately certain propositions; for pure Philosophy has also propositions of both kinds, i.e. true propositions, some of which are susceptible of proof and others not. It can, as philosophy, prove them on a priori grounds, but it cannot demonstrate them; unless we wish to depart entirely from the proper meaning of this word, according to which to demonstrate (ostendere, exhibere) is equivalent to presenting a concept in intuition (whether in proof or merely in definition). If the intuition is a priori this is called construction; but if it is empirical, then the Object is displayed by means of which objective reality is assured to the concept. Thus we say of an anatomist that he demonstrates the human eye, if by a dissection of this organ he makes intuitively evident the concept which he has previously treated discursively.

    It hence follows that the rational concept of the supersensible substrate of all phenomena in general, or even of that which must be placed at the basis of our arbitrary will in respect of the moral law, viz. of transcendental freedom, is already, in kind, an indemonstrable concept and a rational Idea; while virtue is so, in degree. For there can be given in experience, as regards its quality, absolutely nothing corresponding to the former; whereas in the latter case no empirical product attains to the degree of that causality, which the rational Idea prescribes as the rule.

    As in a rational Idea the Imagination with its intuitions does not attain to the given concept, so in an aesthetical Idea the Understanding by its concepts never attains completely to that internal intuition which the Imagination binds up with a given representation. Since, now, to reduce a representation of the Imagination to concepts is the same thing as to expound it, the aesthetical Idea may be called an inexponible representation of the Imagination (in its free play). I shall have occasion in the sequel to say something more of Ideas of this kind; now I only note that both kinds of Ideas, rational and aesthetical, must have their principles; and must have them in Reason—the one in the objective, the other in the subjective principles of its employment.

    We can consequently explain genius as the faculty of aesthetical Ideas; by which at the same time is shown the reason why in the products of genius it is the nature (of the subject) and not a premeditated purpose that gives the rule to the art (of the production of the beautiful). For since the beautiful must not be judged by concepts, but by the purposive attuning of the Imagination to agreement with the faculty of concepts in general, it cannot be rule and precept which can serve as the subjective standard of that aesthetical but unconditioned purposiveness in beautiful art, that can rightly claim to please every one. It can only be that in the subject which is nature and cannot be brought under rules or concepts, i.e. the supersensible substrate of all his faculties (to which no concept of the Understanding extends), and consequently that with respect to which it is the final purpose given by the intelligible [part] of our nature to harmonise all our cognitive faculties. Thus alone is it possible that there should be a priori at the basis of this purposiveness, for which we can prescribe no objective principle, a principle subjective and yet of universal validity.

    Remark II.

    The following important remark occurs here: There are three kinds of Antinomies of pure Reason, which, however, all agree in this, that they compel us to give up the otherwise very natural hypothesis that objects of sense are things in themselves, and force us to regard them merely as phenomena, and to supply to them an intelligible substrate (something supersensible of which the concept is only an Idea, and supplies no proper knowledge). Without such antinomies Reason could never decide upon accepting a principle narrowing so much the field of its speculation, and could never bring itself to sacrifices by which so many otherwise brilliant hopes must disappear. For even now when, by way of compensation for these losses, a greater field in a practical aspect opens out before it, it appears not to be able without grief to part from those hopes, and disengage itself from its old attachment.

    That there are three kinds of antinomies has its ground in this, that there are three cognitive faculties,—Understanding, Judgement, and Reason; of which each (as a superior cognitive faculty) must have its a priori principles. For Reason, in so far as it judges of these principles and their use, inexorably requires, in respect of them all, the unconditioned for the given conditioned; and this can never be found if we consider the sensible as belonging to things in themselves, and do not rather supply to it, as mere phenomenon, something supersensible (the intelligible substrate of nature both external and internal) as the reality in itself [Sache an sich selbst]. There are then: (1) For the cognitive faculty an antinomy of Reason in respect of the theoretical employment of the Understanding extended to the unconditioned; (2) for the feeling of pleasure and pain an antinomy of Reason in respect of the aesthetical employment of the Judgement; and (3) for the faculty of desire an antinomy in respect of the practical employment of the self-legislative Reason; so far as all these faculties have their superior principles a priori, and, in conformity with an inevitable requirement of Reason, must judge and be able to determine their Object, unconditionally according to those principles.

    As for the two antinomies of the theoretical and practical employment of the superior cognitive faculties, we have already shown their unavoidableness, if judgements of this kind are not referred to a supersensible substrate of the given Objects, as phenomena; and also the possibility of their solution, as soon as this is done. And as for the antinomies in the employment of the Judgement, in conformity with the requirements of Reason, and their solution which is here given, there are only two ways of avoiding them. Either: we must deny that any a priori principle lies at the basis of the aesthetical judgement of taste; we must maintain that all claim to necessary universal agreement is a groundless and vain fancy, and that a judgement of taste only deserves to be regarded as correct because it happens that many people agree about it; and this, not because we assume an a priori principle behind this agreement, but because (as in the taste of the palate) of the contingent similar organisation of the different subjects. Or: we must assume that the judgement of taste is really a disguised judgement of Reason upon the perfection discovered in a thing and the reference of the manifold in it to a purpose, and is consequently only called aesthetical on account of the confusion here attaching to our reflection, although it is at bottom teleological. In the latter case we could declare the solution of the antinomies by means of transcendental Ideas to be needless and without point, and thus could harmonise these laws of taste with Objects of sense, not as mere phenomena but as things in themselves. But we have shown in several places in the exposition of judgements of taste how little either of these expedients will satisfy.

    However, if it be granted that our deduction at least proceeds by the right method, although it be not yet plain enough in all its parts, three Ideas manifest themselves. First, there is the Idea of the supersensible in general, without any further determination of it, as the substrate of nature. Secondly, there is the Idea of the same as the principle of the subjective purposiveness of nature for our cognitive faculty. And thirdly, there is the Idea of the same as the principle of the purposes of freedom, and of the agreement of freedom with its purposes in the moral sphere.

    § 58. Of the Idealism of the purposiveness of both Nature and Art as the unique principle of the aesthetical Judgement

    To begin with, we can either place the principle of taste in the fact that it always judges in accordance with grounds which are empirical and therefore are only given a posteriori by sense, or concede that it judges on a priori grounds. The former would be the empiricism of the Critique of Taste; the latter its rationalism. According to the former the Object of our satisfaction would not differ from the pleasant; according to the latter, if the judgement rests on definite concepts, it would not differ from the good. Thus all beauty would be banished from the world, and only a particular name, expressing perhaps a certain mingling of the two above-named kinds of satisfaction, would remain in its place. But we have shown that there are also a priori grounds of satisfaction which can subsist along with the principle of rationalism, although they cannot be comprehended in definite concepts.

    On the other hand, the rationalism of the principle of taste is either that of the realism of the purposiveness, or of its idealism. Because a judgement of taste is not a cognitive judgement, and beauty is not a characteristic of the Object, considered in itself, the rationalism of the principle of taste can never be placed in the fact that the purposiveness in this judgement is thought as objective, i.e. that the judgement theoretically, and therefore also logically (although only in a confused way), refers to the perfection of the Object. It only refers aesthetically to the agreement of the representation of the Object in the Imagination with the essential principles of Judgement in general in the subject. Consequently, even according to the principle of rationalism, the judgement of taste and the distinction between its realism and idealism can only be settled thus. Either in the first case, this subjective purposiveness is assumed as an actual (designed) purpose of nature (or art) harmonising with our Judgement; or, in the second case, as a purposive harmony with the needs of Judgement, in respect of nature and its forms produced according to particular laws, which shows itself, without purpose, spontaneously, and contingently.

    The beautiful formations in the kingdom of organised nature speak loudly for the realism of the aesthetical purposiveness of nature; since we might assume that behind the production of the beautiful there is an Idea of the beautiful in the producing cause, viz. a purpose in respect of our Imagination. Flowers, blossoms, even the shapes of entire plants; the elegance of animal formations of all kinds, unneeded for their proper use, but, as it were, selected for our taste; especially the charming variety so satisfying to the eye and the harmonious arrangement of colours (in the pheasant, in shell-fish, in insects, even in the commonest flowers), which, as it only concerns the surface and not the figure of these creations (though perhaps requisite in regard of their internal purposes), seems to be entirely designed for external inspection; these things give great weight to that mode of explanation which assumes actual purposes of nature for our aesthetical Judgement.

    On the other hand, not only is Reason opposed to this assumption in its maxims, which bid us always avoid as far as possible unnecessary multiplication of principles; but nature everywhere shows in its free formations much mechanical tendency to the productions of forms which seem, as it were, to be made for the aesthetical exercise of our Judgement, without affording the least ground for the supposition that there is need of anything more than its mechanism, merely as nature, according to which, without any Idea lying at their root, they can be purposive for our judgement. But I understand by free formations of nature those whereby from a fluid at rest, through the volatilisation or separation of a portion of its constituents (sometimes merely of caloric), the remainder in becoming solid assumes a definite shape or tissue (figure or texture), which is different according to the specific difference of the material, but in the same material is constant. Here it is always presupposed that we are speaking of a perfect fluid, i.e. that the material in it is completely dissolved, and that it is not a mere medley of solid particles in a state of suspension.

    Formation, then, takes place by a shooting together, i.e. by a sudden solidification, not by a gradual transition from the fluid to the solid state, but all at once by a saltus; which transition is also called crystallisation. The commonest example of this kind of formation is the freezing of water, where first icicles are produced, which combine at angles of 60°, while others attach themselves to each vertex, until it all becomes ice; and so that, while this is going on, the water does not gradually become viscous, but is as perfectly fluid as if its temperature were far higher, although it is absolutely ice-cold. The matter that disengages itself, which is dissipated suddenly at the moment of solidification, is a considerable quantum of caloric, the disappearance of which, as it was only required for preserving fluidity, leaves the new ice not in the least colder than the water which shortly before was fluid.

    Many salts, and also rocks, of a crystalline figure, are produced thus from a species of earth dissolved in water, we do not exactly know how. Thus are formed the glandular configurations of many minerals, the cubical sulphide of lead, the ruby silver ore, etc., in all probability in water and by the shooting together of particles, as they become forced by some cause to dispense with this vehicle and to unite in definite external shapes.

    But also all kinds of matter, which have been kept in a fluid state by heat, and have become solid by cooling, show internally, when fractured, a definite texture. This makes us judge that if their own weight or the disturbance of the air had not prevented it, they would also have exhibited on the outer surface their specifically peculiar shapes. This has been observed in some metals on their inner surface, which have been hardened externally by fusion but are fluid in the interior, by the drawing off the internal fluid and the consequent undisturbed crystallisation of the remainder. Many of these mineral crystallisations, such as spars, hematite, arragonite, etc., often present beautiful shapes, the like of which art can only conceive; and the halo in the cavern of Antiparos102 is merely produced by water trickling down strata of gypsum.

    The fluid state is, to all appearance, older than the solid state, and plants as well as animal bodies are fashioned out of fluid nutritive matter, so far as this forms itself in a state of rest. This last of course primarily combines and forms itself in freedom according to a certain original disposition directed towards purposes (which, as will be shown in Part II., must not be judged aesthetically but teleologically according to the principle of realism), but also perhaps in conformity with the universal law of the affinity of materials. Again, the watery fluids dissolved in an atmosphere that is a mixture of different gases, if they separate from the latter on account of cooling, produce snow figures, which in correspondence with the character of the special mixture of gases, often seem very artistic and are extremely beautiful. So, without detracting from the teleological principle by which we judge of organisation, we may well think that the beauty of flowers, of the plumage of birds, or of shell-fish, both in shape and colour, may be ascribed to nature and its faculty of producing forms in an aesthetically purposive way, in its freedom, without particular purposes adapted thereto, according to chemical laws by the arrangement of the material requisite for the organisation in question.

    But what shows the principle of the Ideality of the purposiveness in the beauty of nature, as that which we always place at the basis of an aesthetical judgement, and which allows us to employ, as a ground of explanation for our representative faculty, no realism of purpose, is the fact that in judging beauty we invariably seek its gauge in ourselves a priori, and that our aesthetical Judgement is itself legislative in respect of the judgement whether anything is beautiful or not. This could not be, on the assumption of the Realism of the purposiveness of nature; because in that case we must have learned from nature what we ought to find beautiful, and the aesthetical judgement would be subjected to empirical principles. For in such an act of judging the important point is not, what nature is, or even, as a purpose, is in relation to us, but how we take it. There would be an objective purposiveness in nature if it had fashioned its forms for our satisfaction; and not a subjective purposiveness which depended upon the play of the Imagination in its freedom, where it is we who receive nature with favour, not nature which shows us favour. The property of nature that gives us occasion to perceive the inner purposiveness in the relation of our mental faculties in judging certain of its products—a purposiveness which is to be explained on supersensible grounds as necessary and universal—cannot be a natural purpose or be judged by us as such; for otherwise the judgement hereby determined would not be free, and would have at its basis heteronomy, and not, as beseems a judgement of taste, autonomy.

    In beautiful Art the principle of the Idealism of purposiveness is still clearer. As in the case of the beautiful in Nature, an aesthetical Realism of this purposiveness cannot be perceived by sensations (for then the art would be only pleasant, not beautiful). But that the satisfaction produced by aesthetical Ideas must not depend on the attainment of definite purposes (as in mechanically designed art), and that consequently, in the very rationalism of the principle, the ideality of the purposes and not their reality must be fundamental, appears from the fact that beautiful Art, as such, must not be considered as a product of Understanding and Science, but of Genius, and therefore must get its rule through aesthetical Ideas, which are essentially different from rational Ideas of definite purposes.

    Just as the ideality of the objects of sense as phenomena is the only way of explaining the possibility of their forms being susceptible of a priori determination, so the idealism of purposiveness, in judging the beautiful in nature and art, is the only hypothesis under which Criticism can explain the possibility of a judgement of taste which demands a priori validity for every one (without grounding on concepts the purposiveness that is represented in the Object).

    § 59. Of Beauty as the symbol of Morality

    Intuitions are always required to establish the reality of our concepts. If the concepts are empirical, the intuitions are called examples. If they are pure concepts of Understanding, the intuitions are called schemata. If we desire to establish the objective reality of rational concepts, i.e. of Ideas, on behalf of theoretical cognition, then we are asking for something impossible, because absolutely no intuition can be given which shall be adequate to them.

    All hypotyposis (presentation, subjectio sub adspectum), or sensible illustration, is twofold. It is either schematical, when to a concept comprehended by the Understanding the corresponding intuition is given a priori; or it is symbolical. In the latter case to a concept only thinkable by the Reason, to which no sensible intuition can be adequate, an intuition is supplied with which accords a procedure of the Judgement analogous to what it observes in schematism: it accords with it, that is, in respect of the rule of this procedure merely, not of the intuition itself; consequently in respect of the form of reflection merely, and not of its content.

    There is a use of the word symbolical that has been adopted by modern logicians, which is misleading and incorrect, i.e. to speak of the symbolical mode of representation as if it were opposed to the intuitive; for the symbolical is only a mode of the intuitive. The latter (the intuitive), that is, may be divided into the schematical and the symbolical modes of representation. Both are hypotyposes, i.e. presentations (exhibitiones); not mere characterisations, or designations of concepts by accompanying sensible signs which contain nothing belonging to the intuition of the Object, and only serve as a means for reproducing the concepts, according to the law of association of the Imagination, and consequently in a subjective point of view. These are either words, or visible (algebraical, even mimetical) signs, as mere expressions for concepts.103

    All intuitions, which we supply to concepts a priori, are therefore either schemata or symbols, of which the former contain direct, the latter indirect, presentations of the concept. The former do this demonstratively; the latter by means of an analogy (for which we avail ourselves even of empirical intuitions) in which the Judgement exercises a double function; first applying the concept to the object of a sensible intuition, and then applying the mere rule of the reflection made upon that intuition to a quite different object of which the first is only the symbol. Thus a monarchical state is represented by a living body, if it is governed by national laws, and by a mere machine (like a hand-mill) if governed by an individual absolute will; but in both cases only symbolically. For between a despotic state and a hand-mill there is, to be sure, no similarity; but there is a similarity in the rules according to which we reflect upon these two things and their causality. This matter has not been sufficiently analysed hitherto, for it deserves a deeper investigation; but this is not the place to linger over it. Our language [i.e. German] is full of indirect presentations of this sort, in which the expression does not contain the proper schema for the concept, but merely a symbol for reflection. Thus the words ground (support, basis), to depend (to be held up from above), to flow from something (instead of, to follow), substance (as Locke expresses it, the support of accidents), and countless others, are not schematical but symbolical hypotyposes and expressions for concepts, not by means of a direct intuition, but only by analogy with it, i.e. by the transference of reflection upon an object of intuition to a quite different concept to which perhaps an intuition can never directly correspond. If we are to give the name of cognition to a mere mode of representation (which is quite permissible if the latter is not a principle of the theoretical determination of what an object is in itself, but of the practical determination of what the Idea of it should be for us and for its purposive use), then all our knowledge of God is merely symbolical; and he who regards it as schematical, along with the properties of Understanding, Will, etc., which only establish their objective reality in beings of this world, falls into Anthropomorphism, just as he who gives up every intuitive element falls into Deism, by which nothing at all is cognised, not even in a practical point of view.

    Now I say the Beautiful is the symbol of the morally Good, and that it is only in this respect (a reference which is natural to every man and which every man postulates in others as a duty) that it gives pleasure with a claim for the agreement of every one else. By this the mind is made conscious of a certain ennoblement and elevation above the mere sensibility to pleasure received through sense, and the worth of others is estimated in accordance with a like maxim of their Judgement. That is the intelligible, to which, as pointed out in the preceding paragraph, Taste looks; with which our higher cognitive faculties are in accord; and without which a downright contradiction would arise between their nature and the claims made by taste. In this faculty the Judgement does not see itself, as in empirical judging, subjected to a heteronomy of empirical laws; it gives the law to itself in respect of the objects of so pure a satisfaction, just as the Reason does in respect of the faculty of desire. Hence, both on account of this inner possibility in the subject and of the external possibility of a nature that agrees with it, it finds itself to be referred to something within the subject as well as without him, something which is neither nature nor freedom, but which yet is connected with the supersensible ground of the latter. In this supersensible ground, therefore, the theoretical faculty is bound together in unity with the practical, in a way which though common is yet unknown. We shall indicate some points of this analogy, while at the same time we shall note the differences.

    (1) The beautiful pleases immediately (but only in reflective intuition, not, like morality, in its concept). (2) It pleases apart from any interest (the morally good is indeed necessarily bound up with an interest, though not with one which precedes the judgement upon the satisfaction, but with one which is first of all produced by it). (3) The freedom of the Imagination (and therefore of the sensibility of our faculty) is represented in judging the beautiful as harmonious with the conformity to law of the Understanding (in the moral judgement the freedom of the will is thought as the harmony of the latter with itself according to universal laws of Reason). (4) The subjective principle in judging the beautiful is represented as universal, i.e. as valid for every man, though not cognisable through any universal concept. (The objective principle of morality is also expounded as universal, i.e. for every subject and for every action of the same subject, and thus as cognisable by means of a universal concept). Hence the moral judgement is not only susceptible of definite constitutive principles, but is possible only by grounding its maxims on these in their universality.

    A reference to this analogy is usual even with the common Understanding [of men], and we often describe beautiful objects of nature or art by names that seem to put a moral appreciation at their basis. We call buildings or trees majestic and magnificent, landscapes laughing and gay; even colours are called innocent, modest, tender, because they excite sensations which have something analogous to the consciousness of the state of mind brought about by moral judgements. Taste makes possible the transition, without any violent leap, from the charm of Sense to habitual moral interest; for it represents the Imagination in its freedom as capable of purposive determination for the Understanding, and so teaches us to find even in objects of sense a free satisfaction apart from any charm of sense.

    APPENDIX

    § 60. Of the method of Taste

    The division of a Critique into Elementology and Methodology, as preparatory to science, is not applicable to the Critique of taste, because there neither is nor can be a science of the Beautiful, and the judgement of taste is not determinable by means of principles. As for the scientific element in every art, which regards truth in the presentation of its Object, this is indeed the indispensable condition (conditio sine qua non) of beautiful art, but not beautiful art itself. There is therefore for beautiful art only a manner (modus), not a method of teaching (methodus). The master must show what the pupil is to do and how he is to do it; and the universal rules, under which at last he brings his procedure, serve rather for bringing the main points back to his remembrance when occasion requires, than for prescribing them to him. Nevertheless regard must be had here to a certain ideal, which art must have before its eyes, although it cannot be completely attained in practice. It is only through exciting the Imagination of the pupil to accordance with a given concept, by making him note the inadequacy of the expression for the Idea, to which the concept itself does not attain because it is an aesthetical Idea, and by severe criticism, that he can be prevented from taking the examples set before him as types and models for imitation, to be subjected to no higher standard or independent judgement. It is thus that genius, and with it the freedom of the Imagination, is stifled by its very conformity to law; and without these no beautiful art, and not even an accurately judging individual taste, is possible.

    The propaedeutic to all beautiful art, regarded in the highest degree of its perfection, seems to lie, not in precepts, but in the culture of the mental powers by means of those elements of knowledge called humaniora, probably because humanity on the one side indicates the universal feeling of sympathy, and on the other the faculty of being able to communicate universally our inmost [feelings]. For these properties taken together constitute the characteristic social spirit104 of humanity by which it is distinguished from the limitations of animal life. The age and peoples, in which the impulse towards a law-abiding social life, by which a people becomes a permanent community, contended with the great difficulties presented by the difficult problem of uniting freedom (and therefore equality also) with compulsion (rather of respect and submission from a sense of duty than of fear)—such an age and such a people naturally first found out the art of reciprocal communication of Ideas between the cultivated and uncultivated classes and thus discovered how to harmonise the large-mindedness and refinement of the former with the natural simplicity and originality of the latter. In this way they first found that mean between the higher culture and simple nature which furnishes that true standard for taste as a sense common to all men which no universal rules can supply.

    With difficulty will a later age dispense with those models, because it will be always farther from nature; and in fine, without having permanent examples before it, a concept will hardly be possible, in one and the same people, of the happy union of the law-abiding constraint of the highest culture with the force and truth of free nature which feels its own proper worth.

    Now taste is at bottom a faculty for judging of the sensible illustration of moral Ideas (by means of a certain analogy involved in our reflection upon both these); and it is from this faculty also and from the greater susceptibility grounded thereon for the feeling arising from the latter (called moral feeling), that the pleasure is derived which taste regards as valid for mankind in general and not merely for the private feeling of each. Hence it appears plain that the true propaedeutic for the foundation of taste is the development of moral Ideas and the culture of the moral feeling; because it is only when sensibility is brought into agreement with this that genuine taste can assume a definite invariable form.

    THE CRITIQUE OF JUDGEMENT

    PART II

    CRITIQUE OF THE TELEOLOGICAL JUDGEMENT

    § 61. Of the objective purposiveness of Nature

    We have on transcendental principles good ground to assume a subjective purposiveness in nature, in its particular laws, in reference to its comprehensibility by human Judgement and to the possibility of the connexion of particular experiences in a system. This may be expected as possible in many products of nature, which, as if they were devised quite specially for our Judgement, contain a specific form conformable thereto; which through their manifoldness and unity serve at once to strengthen and to sustain the mental powers (that come into play in the employment of this faculty); and to which therefore we give the name of beautiful forms.

    But that the things of nature serve one another as means to purposes, and that their possibility is only completely intelligible through this kind of causality—for this we have absolutely no ground in the universal Idea of nature, as the complex of the objects of sense. In the above-mentioned case, the representation of things, because it is something in ourselves, can be quite well thought a priori as suitable and useful for the internally purposive determination of our cognitive faculties; but that purposes, which neither are our own nor belong to nature (for we do not regard nature as an intelligent being), could or should constitute a particular kind of causality, at least a quite special conformity to law,—this we have absolutely no a priori reason for presuming. Yet more, experience itself cannot prove to us the actuality of this; there must then have preceded a rationalising subtlety which only sportively introduces the concept of purpose into the nature of things, but which does not derive it from Objects or from their empirical cognition. To this latter it is of more service to make nature comprehensible according to analogy with the subjective ground of the connexion of our representations, than to cognise it from objective grounds.

    Further, objective purposiveness, as a principle of the possibility of things of nature, is so far removed from necessary connexion with the concept of nature, that it is much oftener precisely that upon which one relies to prove the contingency of nature and of its form. When, e.g. we adduce the structure of a bird, the hollowness of its bones, the disposition of its wings for motion and of its tail for steering, etc., we say that all this is contingent in the highest degree according to the mere nexus effectivus of nature, without calling in the aid of a particular kind of causality, namely that of purpose (nexus finalis). In other words, nature, considered as mere mechanism, could have produced its forms in a thousand other ways without stumbling upon the unity which is in accordance with such a principle. It is not in the concept of nature but quite apart from it that we can hope to find the least ground a priori for this.

    Nevertheless the teleological act of judgement is rightly brought to bear, at least problematically, upon the investigation of nature; but only in order to bring it under principles of observation and inquiry according to the analogy with the causality of purpose, without any pretence to explain it thereby. It belongs therefore to the reflective and not to the determinant judgement. The concept of combinations and forms of nature in accordance with purposes is then at least one principle more for bringing its phenomena under rules where the laws of simply mechanical causality do not suffice. For we bring in a teleological ground, where we attribute causality in respect of an Object to the concept of an Object, as if it were to be found in nature (not in ourselves); or rather when we represent to ourselves the possibility of the Object after the analogy of that causality which we experience in ourselves, and consequently think nature technically as through a special faculty. If we did not ascribe to it such a method of action, its causality would have to be represented as blind mechanism. If, on the contrary, we supply to nature causes acting designedly, and consequently place at its basis teleology, not merely as a regulative principle for the mere judging of phenomena, to which nature can be thought as subject in its particular laws, but as a constitutive principle of the derivation of its products from their causes; then would the concept of a natural purpose no longer belong to the reflective but to the determinant Judgement. Then, in fact, it would not belong specially to the Judgement (like the concept of beauty regarded as formal subjective purposiveness), but as a rational concept it would introduce into natural science a new causality, which we only borrow from ourselves and ascribe to other beings, without meaning to assume them to be of the same kind with ourselves.

    FIRST DIVISION

    ANALYTIC OF THE TELEOLOGICAL JUDGEMENT

    § 62. Of the objective purposiveness which is merely formal as distinguished from that which is material

    All geometrical figures drawn on a principle display a manifold, oft admired, objective purposiveness; i.e. in reference to their usefulness for the solution of several problems by a single principle, or of the same problem in an infinite variety of ways. The purposiveness is here obviously objective and intellectual, not merely subjective and aesthetical. For it expresses the suitability of the figure for the production of many intended figures, and is cognised through Reason. But this purposiveness does not make the concept of the object itself possible, i.e. it is not regarded as possible merely with reference to this use.

    In so simple a figure as the circle lies the key to the solution of a multitude of problems, each of which would demand various appliances; whereas the solution results of itself, as it were, as one of the infinite number of elegant properties of this figure. Are we, for example, asked to construct a triangle, being given the base and vertical angle? The problem is indeterminate, i.e. it can be solved in an infinite number of ways. But the circle embraces them altogether as the geometrical locus of the vertices of triangles satisfying the given conditions. Again, suppose that two lines are to cut one another so that the rectangle under the segments of the one should be equal to the rectangle under the segments of the other; the solution of the problem from this point of view presents much difficulty. But all chords intersecting inside a circle divide one another in this proportion. Other curved lines suggest other purposive solutions of which nothing was thought in the rule that furnished their construction. All conic sections in themselves and when compared with one another are fruitful in principles for the solution of a number of possible problems, however simple is the definition which determines their concept.—It is a true joy to see the zeal with which the old geometers investigated the properties of lines of this class, without allowing themselves to be led astray by the questions of narrow-minded persons, as to what use this knowledge would be. Thus they worked out the properties of the parabola without knowing the law of gravitation, which would have suggested to them its application to the trajectory of heavy bodies (for the motion of a heavy body can be seen to be parallel to the curve of a parabola). Again, they found out the properties of an ellipse without surmising that any of the heavenly bodies had weight, and without knowing the law of force at different distances from the point of attraction, which causes it to describe this curve in free motion. While they thus unconsciously worked for the science of the future, they delighted themselves with a purposiveness in the [essential] being of things which yet they were able to present completely a priori in its necessity. Plato, himself master of this science, hinted at such an original constitution of things in the discovery of which we can dispense with all experience, and at the power of the mind to produce from its supersensible principle the harmony of beings (where the properties of number come in, with which the mind plays in music). This [he touches upon] in the inspiration that raised him above the concepts of experience to Ideas, which seem to him to be explicable only through an intellectual affinity with the origin of all beings. No wonder that he banished from his school the man who was ignorant of geometry, since he thought he could derive from pure intuition, which has its home in the human spirit, that which Anaxagoras drew from empirical objects and their purposive combination. For in the very necessity of that which is purposive, and is constituted just as if it were designedly intended for our use,—but at the same time seems to belong originally to the being of things without any reference to our use—lies the ground of our great admiration of nature, and that not so much external as in our own Reason. It is surely excusable that this admiration should through misunderstanding gradually rise to the height of fanaticism.

    But this intellectual purposiveness, although no doubt objective (not subjective like aesthetical purposiveness), is in reference to its possibility merely formal (not real). It can only be conceived as purposiveness in general without any [definite] purpose being assumed as its basis, and consequently without teleology being needed for it. The figure of a circle is an intuition which is determined by means of the Understanding according to a principle. The unity of this principle which I arbitrarily assume and use as fundamental concept, applied to a form of intuition (space) which is met with in myself as a representation and yet a priori, renders intelligible the unity of many rules resulting from the construction of that concept, which are purposive for many possible designs. But this purposiveness does not imply a purpose or any other ground whatever. It is quite different if I meet with order and regularity in complexes of things, external to myself, enclosed within certain boundaries; as, e.g. in a garden, the order and regularity of the trees, flower-beds, and walks. These I cannot expect to derive a priori from my bounding of space made after a rule of my own; for this order and regularity are existing things which must be given empirically in order to be known, and not a mere representation in myself determined a priori according to a principle. So then the latter (empirical) purposiveness, as real, is dependent on the concept of a purpose.

    But the ground of admiration for a perceived purposiveness, although it be in the being of things (so far as their concepts can be constructed), may very well be seen, and seen to be legitimate. The manifold rules whose unity (derived from a principle) excites admiration, are all synthetical and do not follow from the concept of the Object, e.g. of a circle; but require this Object to be given in intuition. Hence this unity gets the appearance of having empirically an external basis of rules distinct from our representative faculty; as if therefore the correspondence of the Object to that need of rules which is proper to the Understanding were contingent in itself, and therefore only possible by means of a purpose expressly directed thereto. Now because this harmony, notwithstanding all this purposiveness, is not cognised empirically but a priori, it should bring us of itself to this point—that space, through whose determination (by means of the Imagination, in accordance with a concept) the Object is alone possible, is not a characteristic of things external to me, but a mere mode of representation in myself. Hence, in the figure which I draw in conformity with a concept, i.e. in my own mode of representing that which is given to me externally, whatever it may be in itself, it is I that introduce the purposiveness; I get no empirical instruction from the Object about the purposiveness, and so I require in it no particular purpose external to myself. But because this consideration already calls for a critical employment of Reason, and consequently cannot be involved in the judging of the Object according to its properties; so this latter [judging] suggests to me immediately nothing but the unification of heterogeneous rules (even according to their very diversity) in a principle. This principle, without requiring any particular a priori basis external to my concept, or indeed, generally speaking, to my representation, is yet cognised a priori by me as true. Now wonder is a shock of the mind arising from the incompatibility of a representation, and the rule given by its means, with the principles already lying at its basis; which provokes a doubt as to whether we have rightly seen or rightly judged. Admiration, however, is wonder which ever recurs, despite the disappearance of this doubt. Consequently the latter is a quite natural effect of that observed purposiveness in the being of things (as phenomena). It cannot indeed be censured, whilst the unification of the form of sensible intuition (space)—with the faculty of concepts (the Understanding)—is inexplicable to us; and that not only on account of the union being just of the kind that it is, but because it is enlarging for the mind to surmise [the existence of] something lying outside our sensible representations in which, although unknown to us, the ultimate ground of that agreement may be met with. We are, it is true, not necessitated to cognise this if we have only to do a priori with the formal purposiveness of our representations; but the fact that we are compelled to look out beyond it inspires at the same time an admiration for the object that impels us thereto.

    We are accustomed to speak of the above-mentioned properties of geometrical figures or of numbers as beautiful, on account of a certain a priori purposiveness they have for all kinds of cognitive uses, this purposiveness being quite unexpected on account of the simplicity of the construction. We speak, e.g. of this or that beautiful property of the circle, which was discovered in this or that way. But there is no aesthetical act of judgement through which we find it purposive, no act of judgement without a concept which renders noticeable a mere subjective purposiveness in the free play of our cognitive faculties; but an intellectual act according to concepts which enables us clearly to cognise an objective purposiveness, i.e. availableness for all kinds of (infinitely manifold) purposes. We must rather call this relative perfection than a beauty of the mathematical figure. To speak thus of an intellectual beauty cannot in general be permissible; for otherwise the word beauty would lose all determinate significance, or the intellectual satisfaction all superiority over the sensible. We should rather call a demonstration of such properties beautiful, because through it the Understanding as the faculty of concepts, and the Imagination as the faculty of presenting them, feel themselves strengthened a priori. (This, when viewed in connexion with the precision introduced by Reason, is spoken of as elegant.) Here, however, the satisfaction, although it is based on concepts, is subjective; while perfection brings with itself an objective satisfaction.

    § 63. Of the relative, as distinguished from the inner, purposiveness of nature

    Experience leads our Judgement to the concept of an objective and material purposiveness, i.e. to the concept of a purpose of nature, only when105 we have to judge of a relation of cause to effect which we find ourselves able to apprehend as legitimate only by presupposing the Idea of the effect of the causality of the cause as the fundamental condition, in the cause, of the possibility of the effect. This can take place in two ways. We may regard the effect directly as an art product, or only as material for the art of other possible natural beings; in other words, either as a purpose or as a means towards the purposive employment of other causes. This latter purposiveness is called utility (for man) or mere advantage (for other creatures), and is merely relative; while the former is an inner purposiveness of the natural being.

    For example, rivers bring down with them all kinds of earth serviceable for the growth of plants which sometimes is deposited inland, often also at their mouths. The tide brings this mud to many coasts over the land or deposits it on the shore; and so, more especially if men give their aid so that the ebb shall not carry it back again, the fruit-bearing land increases in area, and the vegetable kingdom gains the place which formerly was the habitation of fish and shells. In this way has nature itself brought about most of the extensions of the land, and still continues to do so, although very slowly.—Now the question is whether this is to be judged a purpose of nature, because it contains utility for men. We cannot put it down to the account of the vegetable kingdom, because just as much is subtracted from sea-life as is added to land-life.

    Or, to give an example of the advantageousness of certain natural things as means for other creatures (if we suppose them to be means), no soil is more suitable to pine trees than a sandy soil. Now the deep sea, before it withdrew from the land, left behind large tracts of sand in our northern regions, so that on this soil, so unfavourable for all cultivation, widely extended pine forests were enabled to grow, for the unreasoning destruction of which we frequently blame our ancestors. We may ask if this original deposit of tracts of sand was a purpose of nature for the benefit of the possible pine forests? So much is clear, that if we regard this as a purpose of nature, we must also regard the sand as a relative purpose, in reference to which the ocean strand and its withdrawal were means: for in the series of the mutually subordinated members of a purposive combination, every member must be regarded as a purpose (though not as a final purpose), to which its proximate cause is the means. So too if cattle, sheep, horses, etc., are to exist, there must be grass on the earth, but there must also be saline plants in the desert if camels are to thrive; and again these and other herbivorous animals must be met with in numbers if there are to be wolves, tigers, and lions. Consequently the objective purposiveness, which is based upon advantage, is not an objective purposiveness of things in themselves; as if the sand could not be conceived for itself as an effect of a cause, viz. the sea, without attributing to the latter a purpose, and regarding the effect, namely, the sand, as a work of art. It is a merely relative purposiveness contingent upon the thing to which it is ascribed; and although in the examples we have cited, the different kinds of grass are to be judged as in themselves organised products of nature, and consequently as artificial, yet are they to be regarded, in reference to the beasts which feed upon them, as mere raw material.

    But above all, though man, through the freedom of his causality, finds certain natural things of advantage for his designs—designs often foolish, such as using the variegated plumage of birds to adorn his clothes, or coloured earths and the juices of plants for painting his face; often again reasonable as when the horse is used for riding, the ox or (as in Minorca) the ass or pig for ploughing—yet we cannot even here assume a relative natural purpose. For his Reason knows how to give things a conformity with his own arbitrary fancies for which he was not at all predestined by nature. Only, if we assume that men are to live upon the earth, then the means must be there without which they could not exist as animals, and even as rational animals (in however low a degree of rationality); and thereupon those natural things, which are indispensable in this regard, must be considered as natural purposes.

    We can hence easily see that external purposiveness (advantage of one thing in respect of others) can be regarded as an external natural purpose only under the condition, that the existence of that [being], to which it is immediately or distantly advantageous, is in itself a purpose of nature. Since that can never be completely determined by mere contemplation of nature, it follows that relative purposiveness, although it hypothetically gives indications of natural purposes, yet justifies no absolute teleological judgement.

    Snow in cold countries protects the crops from the frost; it makes human intercourse easier (by means of sleighs). The Laplander finds in his country animals by whose aid this intercourse is brought about, i.e. reindeer, who find sufficient sustenance in a dry moss which they have to scratch out for themselves from under the snow, and who are easily tamed and readily permit themselves to be deprived of that freedom in which they could have remained if they chose. For other people in the same frozen regions marine animals afford rich stores; in addition to the food and clothing which are thus supplied, and the wood which is floated in by the sea to their dwellings, these marine animals provide material for fuel by which their huts are warmed. Here is a wonderful concurrence of many references of nature to one purpose; and all this applies to the cases of the Greenlander, the Lapp, the Samoyede, the inhabitant of Yakutsk, etc. But then we do not see why, generally, men must live there at all. Therefore to say that vapour falls out of the atmosphere in the form of snow, that the sea has its currents which float down wood that has grown in warmer lands, and that there are in it great sea monsters filled with oil, because the idea of advantage for certain poor creatures is fundamental for the cause which collects all these natural products, would be a very venturesome and arbitrary judgement. For even if there were none of this natural utility, we should miss nothing as regards the adequateness of natural causes to nature’s constitution; much more even to desire such a tendency in, and to attribute such a purpose to, nature would be the part of a presumptuous and inconsiderate fancy. For indeed it might be observed that it could only have been the greatest unsociability among men which thus scattered them into such inhospitable regions.

    § 64. Of the peculiar character of things as natural purposes

    In order to see that a thing is only possible as a purpose, that is, to be forced to seek the causality of its origin not in the mechanism of nature but in a cause whose faculty of action is determined through concepts, it is requisite that its form be not possible according to mere natural laws, i.e. laws which can be cognised by us through the Understanding alone when applied to objects of Sense; but that even the empirical knowledge of it as regards its cause and effect presupposes concepts of Reason. This contingency of its form in all empirical natural laws in reference to Reason affords a ground for regarding its causality as possible only through Reason. For Reason, which must cognise the necessity of every form of a natural product in order to comprehend even the conditions of its genesis, cannot assume such [natural] necessity in that particular given form. The causality of its origin is then referred to the faculty of acting in accordance with purposes (a will); and the Object which can only thus be represented as possible is represented as a purpose.

    If in a seemingly uninhabited country a man perceived a geometrical figure, say a regular hexagon, inscribed on the sand, his reflection busied with such a concept would attribute, although obscurely, the unity in the principle of its genesis to Reason, and consequently would not regard as a ground of the possibility of such a shape the sand, or the neighbouring sea, or the winds, or beasts with familiar footprints, or any other irrational cause. For the chance against meeting with such a concept, which is only possible through Reason, would seem so infinitely great, that it would be just as if there were no natural law, no cause in the mere mechanical working of nature capable of producing it; but as if only the concept of such an Object, as a concept which Reason alone can supply and with which it can compare the thing, could contain the causality for such an effect. This then would be regarded as a purpose, but as a product of art, not as a natural purpose (vestigium hominis video).106

    But in order to regard a thing cognised as a natural product as a purpose also—consequently as a natural purpose, if this is not a contradiction—something more is required. I would say provisionally: a thing exists as a natural purpose, if it is [although in a double sense]107 both cause and effect of itself. For herein lies a causality the like of which cannot be combined with the mere concept of a nature without attributing to it a purpose; it can certainly be thought without contradiction, but cannot be comprehended. We shall elucidate the determination of this Idea of a natural purpose by an example, before we analyse it completely.

    In the first place, a tree generates another tree according to a known natural law. But the tree produced is of the same genus; and so it produces itself generically. On the one hand, as effect it is continually self-produced; on the other hand, as cause it continually produces itself, and so perpetuates itself generically.

    Secondly, a tree produces itself as an individual. This kind of effect no doubt we call growth; but it is quite different from any increase according to mechanical laws, and is to be reckoned as generation, though under another name. The matter that the tree incorporates it previously works up into a specifically peculiar quality, which natural mechanism external to it cannot supply; and thus it develops itself by aid of a material which, as compounded, is its own product. No doubt, as regards the constituents got from nature without, it must only be regarded as an educt; but yet in the separation and recombination of this raw material we see such an originality in the separating and formative faculty of this kind of natural being, as is infinitely beyond the reach of art, if the attempt is made to reconstruct such vegetable products out of elements obtained by their dissection or material supplied by nature for their sustenance.

    Thirdly, each part of a tree generates itself in such a way that the maintenance of any one part depends reciprocally on the maintenance of the rest. A bud of one tree engrafted on the twig of another produces in the alien stock a plant of its own kind, and so also a scion engrafted on a foreign stem. Hence we may regard each twig or leaf of the same tree as merely engrafted or inoculated into it, and so as an independent tree attached to another and parasitically nourished by it. At the same time, while the leaves are products of the tree they also in turn give support to it; for the repeated defoliation of a tree kills it, and its growth thus depends on the action of the leaves upon the stem. The self-help of nature in case of injury in the vegetable creation, when the want of a part that is necessary for the maintenance of its neighbours is supplied by the remaining parts; and the abortions or malformations in growth, in which certain parts, on account of casual defects or hindrances, form themselves in a new way to maintain what exists, and so produce an anomalous creature, I shall only mention in passing, though they are among the most wonderful properties of organised creatures.

    § 65. Things regarded as natural purposes are organised beings

    According to the character alleged in the preceding section, a thing, which, though a natural product, is to be cognised as only possible as a natural purpose, must bear itself alternately as cause and as effect. This, however, is a somewhat inexact and indeterminate expression which needs derivation from a determinate concept.

    Causal combination as thought merely by the Understanding is a connexion constituting an ever-progressive series (of causes and effects); and things which as effects presuppose others as causes cannot be reciprocally at the same time causes of these. This sort of causal combination we call that of effective causes (nexus effectivus). But on the other hand, a causal combination according to a concept of Reason (of purposes) can also be thought, which regarded as a series would lead either forwards or backwards; in this the thing that has been called the effect may with equal propriety be termed the cause of that of which it is the effect. In the practical department of human art we easily find connexions such as this; e.g. a house, no doubt, is the cause of the money received for rent, but also conversely the representation of this possible income was the cause of building the house. Such a causal connexion we call that of final causes (nexus finalis). We may perhaps suitably name the first the connexion of real causes, the second of those which are ideal; because from this nomenclature it is at once comprehended that there can be no more than these two kinds of causality.

    For a thing to be a natural purpose in the first place it is requisite that its parts (as regards their being and their form) are only possible through their reference to the whole. For the thing itself is a purpose and so is comprehended under a concept or an Idea which must determine a priori all that is to be contained in it. But so far as a thing is only thought as possible in this way, it is a mere work of art; i.e. a product of one rational cause distinct from the matter (of the parts), whose causality (in the collection and combination of the parts) is determined through its Idea of a whole possible by their means (and consequently not through external nature).

    But if a thing as a natural product is to involve in itself and in its internal possibility a reference to purposes,—i.e. to be possible only as a natural purpose, and without the causality of the concepts of rational beings external to itself,—then it is requisite secondly that its parts should so combine in the unity of a whole that they are reciprocally cause and effect of each other’s form. Only in this way can the Idea of the whole conversely (reciprocally) determine the form and combination of all the parts; not indeed as cause—for then it would be an artificial product—but as the ground of cognition, for him who is judging it, of the systematic unity and combination of all the manifold contained in the given material.

    For a body then which is to be judged in itself and its internal possibility as a natural purpose, it is requisite that its parts mutually depend upon each other both as to their form and their combination, and so produce a whole by their own causality; while conversely the concept of the whole may be regarded as its cause according to a principle (in a being possessing a causality according to concepts adequate to such a product). In this case then the connexion of effective causes may be judged as an effect through final causes.

    In such a product of nature every part not only exists by means of the other parts, but is thought as existing for the sake of the others and the whole, that is as an (organic) instrument. Thus, however, it might be an artificial instrument, and so might be represented only as a purpose that is possible in general; but also its parts are all organs reciprocally producing each other. This can never be the case with artificial instruments, but only with nature which supplies all the material for instruments (even for those of art). Only a product of such a kind can be called a natural purpose, and this because it is an organised and self-organising being.

    In a watch one part is the instrument for moving the other parts, but the wheel is not the effective cause of the production of the others; no doubt one part is for the sake of the others, but it does not exist by their means. In this case the producing cause of the parts and of their form is not contained in the nature (of the material), but is external to it in a being which can produce effects according to Ideas of a whole possible by means of its causality. Hence a watch wheel does not produce other wheels, still less does one watch produce other watches, utilising (organising) foreign material for that purpose; hence it does not replace of itself parts of which it has been deprived, nor does it make good what is lacking in a first formation by the addition of the missing parts, nor if it has gone out of order does it repair itself—all of which, on the contrary, we may expect from organised nature.—An organised being is then not a mere machine, for that has merely moving power, but it possesses in itself formative power of a self-propagating kind which it communicates to its materials though they have it not of themselves; it organises them, in fact, and this cannot be explained by the mere mechanical faculty of motion.

    We say of nature and its faculty in organised products far too little if we describe it as an analogon of art; for this suggests an artificer (a rational being) external to it. Much rather does it organise itself and its organised products in every species, no doubt after one general pattern but yet with suitable deviations, which self-preservation demands according to circumstances. We perhaps approach nearer to this inscrutable property, if we describe it as an analogon of life; but then we must either endow matter, as mere matter, with a property which contradicts its very being (hylozoism), or associate therewith an alien principle standing in communion with it (a soul). But in the latter case we must, if such a product is to be a natural product, either presuppose organised matter as the instrument of that soul, which does not make the soul a whit more comprehensible; or regard the soul as artificer of this structure and so remove the product from (corporeal) nature. To speak strictly, then, the organisation of nature has in it nothing analogous to any causality we know.108 Beauty in nature can be rightly described as an analogon of art, because it is ascribed to objects only in reference to reflection upon their external aspect, and consequently only on account of the form of their external surface. But internal natural perfection, as it belongs to those things which are only possible as natural purposes, and are therefore called organised beings, is not analogous to any physical, i.e. natural, faculty known to us; nay even, regarding ourselves as, in the widest sense, belonging to nature, it is not even thinkable or explicable by means of any exactly fitting analogy to human art.

    The concept of a thing as in itself a natural purpose is therefore no constitutive concept of Understanding or of Reason, but it can serve as a regulative concept for the reflective Judgement, to guide our investigation about objects of this kind by a distant analogy with our own causality according to purposes generally, and in our meditations upon their ultimate ground. This latter use, however, is not in reference to the knowledge of nature or of its original ground, but rather to our own practical faculty of Reason, in analogy with which we considered the cause of that purposiveness.

    Organised beings are then the only beings in nature which, considered in themselves and apart from any relation to other things, can be thought as possible only as purposes of nature. Hence they first afford objective reality to the concept of a purpose of nature, as distinguished from a practical purpose; and so they give to the science of nature the basis for a teleology, i.e. a mode of judgement about natural Objects according to a special principle which otherwise we should in no way be justified in introducing (because we cannot see a priori the possibility of this kind of causality).

    § 66. Of the principle of judging of internal purposiveness in organised beings

    This principle, which is at the same time a definition, is as follows: An organised product of nature is one in which every part is reciprocally purpose, [end] and means. In it nothing is vain, without purpose, or to be ascribed to a blind mechanism of nature.

    This principle, as regards its occasion, is doubtless derived from experience, viz. from that methodised experience called observation; but on account of the universality and necessity which it ascribes to such purposiveness it cannot rest solely on empirical grounds, but must have at its basis an a priori principle, although it be merely regulative and these purposes lie only in the idea of the judging [subject] and not in an effective cause. We may therefore describe the aforesaid principle as a maxim for judging of the internal purposiveness of organised beings.

    It is an acknowledged fact that the dissectors of plants and animals, in order to investigate their structure and to find out the reasons, why and for what end such parts, such a disposition and combination of parts, and just such an internal form have been given them, assume as indisputably necessary the maxim that nothing in such a creature is vain; just as they lay down as the fundamental proposition of the universal science of nature, that nothing happens by chance. In fact, they can as little free themselves from this teleological proposition as from the universal physical proposition; for as without the latter we should have no experience at all, so without the former we should have no guiding thread for the observation of a species of natural things which we have thought teleologically under the concept of natural purposes.

    Now this concept brings the Reason into a quite different order of things from that of a mere mechanism of nature, which is no longer satisfying here. An Idea is to be the ground of the possibility of the natural product. But because this is an absolute unity of representation, instead of the material being a plurality of things that can supply by itself no definite unity of composition,—if that unity of the Idea is to serve at all as the a priori ground of determination of a natural law of the causality of such a form of composition,—the purpose of nature must be extended to everything included in its product. For if we once refer action of this sort on the whole to any supersensible ground of determination beyond the blind mechanism of nature, we must judge of it altogether according to this principle; and we have then no reason to regard the form of such a thing as partly dependent on mechanism—for by such mixing up of disparate principles no certain rule of judging would be left.

    For example, it may be that in an animal body many parts can be conceived as concretions according to mere mechanical laws (as the hide, the bones, the hair). And yet the cause which brings together the required matter, modifies it, forms it, and puts it in its appropriate place, must always be judged of teleologically; so that here everything must be considered as organised, and everything again in a certain relation to the thing itself is an organ.

    § 67. Of the principle of the teleological judging of nature in general as a system of purposes

    We have already said above that the external purposiveness of natural things affords no sufficient warrant for using them as purposes of nature in order to explain their presence, and for regarding their contingently purposive effects as the grounds of their presence according to the principle of final causes. Thus we cannot take for natural purposes, rivers because they promote intercourse among inland peoples, mountains because they contain the sources of the rivers and for their maintenance in rainless seasons have a store of snow, or the slope of the land which carries away the water and leaves the country dry; because although this shape of the earth’s surface be very necessary for the origin and maintenance of the vegetable and animal kingdoms, it has nothing in itself for the possibility of which we are forced to assume a causality according to purposes. The same is true of plants which man uses for his needs or his pleasures; of beasts, the camel, the ox, the horse, dog, etc., which are indispensable to him as well for food as because they are used in his service in many different ways. In the case of things which we have no reason for regarding in themselves as purposes, such external relation can only be hypothetically judged as purposive.

    To judge of a thing as a natural purpose on account of its internal form is something very different from taking the existence of that thing to be a purpose of nature. For the latter assertion we require not merely the concept of a possible purpose, but the knowledge of the final purpose (scopus) of nature. But this requires a reference of such knowledge to something supersensible far transcending all our teleological knowledge of nature, for the purpose of [the existence of]109 nature must itself be sought beyond nature. The internal form of a mere blade of grass is sufficient to show that for our human faculty of judgement its origin is possible only according to the rule of purposes. But if we change our point of view and look to the use which other natural beings make of it, abandon the consideration of its internal organisation and only look to its externally purposive references, we shall arrive at no categorical purpose; all this purposive reference rests on an ever more distant condition, which, as unconditioned (the presence of a thing as final purpose), lies quite outside the physico-teleological view of the world. For example, grass is needful for the ox, which again is needful for man as a means of existence, but then we do not see why it is necessary that men should exist (a question this, which we shall not find so easy to answer if we sometimes cast our thoughts on the New Hollanders or the inhabitants of Tierra del Fuego). So conceived, the thing is not even a natural purpose, for neither it (nor its whole genus) is to be regarded as a natural product.

    Hence it is only so far as matter is organised that it necessarily carries with it the concept of a natural purpose, because this its specific form is at the same time a product of nature. But this concept leads necessarily to the Idea of collective nature as a system in accordance with the rule of purposes, to which Idea all the mechanism of nature must be subordinated according to principles of Reason (at least in order to investigate natural phenomena therein). The principle of Reason belongs to it only as a subjective principle or a maxim: viz. everything in the World is some way good for something; nothing is vain in it. By the example that nature gives us in its organic products we are justified, nay called upon, to expect of it and of its laws nothing that is not purposive on the whole.

    It is plain that this is not a principle for the determinant but only for the reflective Judgement; that it is regulative and not constitutive; and that we derive from it a clue by which we consider natural things in reference to an already given ground of determination according to a new law-abiding order; and extend our natural science according to a different principle, viz. that of final causes, but yet without prejudice to the principle of mechanical causality. Furthermore, it is in no wise thus decided, whether anything of which we judge by this principle, is a designed purpose of nature; whether the grass is for the ox or the sheep, or whether these and the other things of nature are here for men. It is well also from this side to consider the things which are unpleasant to us and are contrary to purpose in particular references. Thus, for example, we can say: The vermin that torment men in their clothes, their hair, or their beds, may be, according to a wise appointment of nature, a motive to cleanliness which is in itself an important means for the preservation of health. Or again the mosquitoes and other stinging insects that make the wildernesses of America so oppressive to the savages, may be so many goads to activity for these primitive men, [inducing them] to drain the marshes and bring light into the forests which intercept every breath of air, and in this way, as well as by cultivating the soil, to make their habitations more healthy. The same thing, which appears to men contradictory to nature in its inner organisation, if viewed in this light gives an entertaining, sometimes an instructive, outlook into a teleological order of things, to which, without such a principle, mere physical observation would not lead us by itself. Thus some persons regard the tapeworm as given to the men or animals in whom it resides, as a kind of set-off for some defect in their vital organs; now I would ask if dreams (without which we never sleep, though we seldom remember them) may not be a purposive ordinance of nature? For during the relaxation of all the moving powers of the body, they serve to excite internally the vital organs by the medium of the Imagination and its great activity (which in this state generally rises to the height of affection). During sleep the Imagination commonly is more actively at play when the stomach is overloaded, in which case this excitement is the more necessary. Consequently, then, without this internal power of motion and this fatiguing unrest, on account of which we complain about our dreams (though in fact they are rather remedial), sleep even in a sound state of health would be a complete extinction of life.

    Also the beauty of nature, i.e. its connexion with the free play of our cognitive faculties in apprehending and judging of its appearance, can be regarded as a kind of objective purposiveness of nature in its whole [content] as a system of which man is a member; if once the teleological judging of the same by means of the natural purposes which organised beings suggest to us, has justified for us the Idea of a great system of purposes of nature. We can regard it as a favour110 which nature has felt for us, that in addition to what is useful it has so profusely dispensed beauty and charm; and we can therefore love it, as well as regard it with respect on account of its immensity, and feel ourselves ennobled by such regard; just as if nature had established and adorned its splendid theatre precisely with this view.

    We shall say only one thing more in this paragraph. If we have once discovered in nature a faculty of bringing forth products that can only be thought by us in accordance with the concept of final causes, we go further still. We venture to judge that things belong to a system of purposes, which yet do not (either in themselves or in their purposive relations) necessitate our seeking for any principle of their possibility beyond the mechanism of causes working blindly. For the first Idea, as concerns its ground, already brings us beyond the world of sense; since the unity of the supersensible principle must be regarded as valid in this way not merely for certain species of natural beings, but for the whole of nature as a system.

    § 68. Of the principle of Teleology as internal principle of natural science

    The principles of a science are either internal to it and are then called domestic (principia domestica), or are based on concepts that can only find their place outside it and so are foreign principles (peregrina). Sciences that contain the latter, place at the basis of their doctrines auxiliary propositions (lemmata), i.e. they borrow some concept, and with it a ground of arrangement, from another science.

    Every science is in itself a system, and it is not enough in it to build in accordance with principles and thus to employ a technical procedure, but we must go to work with it architectonically, as a building subsisting for itself; we must not treat it as an additional wing or part of another building, but as a whole in itself, although we may subsequently make a passage from it into that other or conversely.

    If then we introduce into the context of natural science the concept of God in order to explain the purposiveness in nature, and subsequently use this purposiveness to prove that there is a God, there is no internal consistency in either science [i.e. either in natural science or theology]; and a delusive circle brings them both into uncertainty, because they have allowed their boundaries to overlap.

    The expression, a purpose of nature, already sufficiently prevents the confusion of mixing up natural science and the occasion that it gives for judging teleologically of its objects, with the consideration of God, and so of a theological derivation of them. We must not regard it as insignificant, if one interchanges this expression with that of a divine purpose in the ordering of nature, or gives out the latter as more suitable and proper for a pious soul, because it must come in the end to deriving these purposive forms in nature from a wise author of the world. On the contrary, we must carefully and modestly limit ourselves to the expression, a purpose of nature, which asserts exactly as much as we know. Before we ask after the cause of nature itself, we find in nature, and in the course of its development, products of the same kind which are developed in it according to known empirical laws, in accordance with which natural science must judge of its objects, and, consequently, must seek in nature their causality according to the rule of purposes. So then it must not transgress its bounds in order to introduce into itself as a domestic principle that, to whose concept no experience can be commensurate, upon which we are only entitled to venture after the completion of natural science.

    Natural characteristics which demonstrate themselves a priori, and consequently admit of insight into their possibility from universal principles without any admixture of experience, although they carry with them a technical purposiveness, yet cannot, because they are absolutely necessary, be referred to the Teleology of nature, as to a method belonging to Physic for solving its problems. Arithmetical or geometrical analogies, as well as universal mechanical laws,—however strange and admirable may seem to us the union of different rules, quite independent of one another according to all appearance, in a single principle,—possess on that account no claim to be teleological grounds of explanation in Physic. Even if they deserve to be brought into consideration in the universal theory of the purposiveness of things of nature, yet they belong to another [science], i.e. Metaphysic, and constitute no internal principle of natural science; as with the empirical laws of natural purposes in organised beings, it is not only permissible but unavoidable to use the teleological mode of judging as a principle of the doctrine of nature in regard to a particular class of its objects.

    So to the end that Physic may keep within its own bounds, it abstracts itself entirely from the question, whether natural purposes are designed or undesigned; for that would be to meddle in an extraneous business, in Metaphysic. It is enough that there are objects, alone explicable according to natural laws which we can only think by means of the Idea of purposes as principle, and also alone internally cognisable as concerns their internal form, in this way. In order, therefore, to remove the suspicion of the slightest assumption,—as if we wished to mix with our grounds of cognition something not belonging to Physic at all, viz. a supernatural cause,—we speak in Teleology, indeed, of nature as if the purposiveness therein were designed, but in such a way that this design is ascribed to nature, i.e. to matter. Now in this way there can be no misunderstanding, because no design in the proper meaning of the word can possibly be ascribed to inanimate matter; we thus give notice that this word here only expresses a principle of the reflective not of the determinant Judgement, and so is to introduce no particular ground of causality; but only adds for the use of the Reason a different kind of investigation from that according to mechanical laws, in order to supplement the inadequacy of the latter even for empirical research into all particular laws of nature. Hence we speak quite correctly in Teleology, so far as it is referred to Physic, of the wisdom, the economy, the forethought, the beneficence of Nature, without either making an intelligent being of it, for that would be preposterous; or even without presuming to place another intelligent Being above it as its Architect, for that would be presumptuous.111 But there should be only signified thereby a kind of causality of nature after the analogy of our own in the technical use of Reason, in order to have before us the rule according to which certain products of nature must be investigated.

    But now why is it that Teleology usually forms no proper part of theoretical natural science, but is regarded as a propaedeutic or transition to Theology? This is done in order to restrict the study of nature, mechanically considered, to that which we can so subject to observation or experiment that we are able to produce it ourselves as nature does, or at least by similar laws. For we see into a thing completely only so far as we can make it in accordance with our concepts and bring it to completion. But organisation, as an inner purpose of nature, infinitely surpasses all our faculty of presenting the like by means of art. And as concerns the external contrivances of nature regarded as purposive (wind, rain, etc.), Physic, indeed, considers their mechanism, but it cannot at all present their reference to purposes, so far as this is a condition necessarily belonging to cause; for this necessity of connexion has to do altogether with the combination of our concepts and not with the constitution of things.

    SECOND DIVISION

    DIALECTIC OF THE TELEOLOGICAL JUDGEMENT

    § 69. What is an antinomy of the Judgement?

    The determinant Judgement has for itself no principles which are the foundation of concepts of Objects. It has no autonomy, for it subsumes only under given laws or concepts as principles. Hence it is exposed to no danger of an antinomy of its own or to a conflict of its principles. So [we saw that] the transcendental Judgement which contains the conditions of subsuming under categories was for itself not nomothetic, but that it only indicated the conditions of sensuous intuition, under which reality (application) can be supplied to a given concept, as law of the Understanding, whereby the Judgement could never fall into discord with itself (at least as far as its principles are concerned).

    But the reflective Judgement must subsume under a law, which is not yet given, and is therefore in fact only a principle of reflection upon objects, for which we are objectively quite in want of a law or of a concept of an Object that would be adequate as a principle for the cases that occur. Since now no use of the cognitive faculties can be permitted without principles, the reflective Judgement must in such cases serve as a principle for itself. This, because it is not objective and can supply no ground of cognition of the Object adequate for design, must serve as a mere subjective principle, for the purposive employment of our cognitive faculties, i.e. for reflecting upon a class of objects. Therefore in reference to such cases the reflective Judgement has its maxims—necessary maxims—on behalf of the cognition of natural laws in experience, in order to attain by their means to concepts, even concepts of Reason; since it has absolute need of such in order to learn merely to cognise nature according to its empirical laws.—Between these necessary maxims of the reflective Judgement there may be a conflict and consequently an antinomy, upon which a Dialectic bases itself. If each of two conflicting maxims has its ground in the nature of the cognitive faculties, this may be called a natural Dialectic, and an unavoidable illusion which we must expose and resolve in our Critique, to the end that it may not deceive us.

    § 70. Representation of this antinomy

    So far as Reason has to do with nature, as the complex of objects of external sense, it can base itself partly upon laws which the Understanding itself prescribes a priori to nature, partly upon laws which it can extend indefinitely by means of the empirical determinations occurring in experience. To apply the former kind of laws, i.e. the universal laws of material nature in general, the Judgement needs no special principle of reflection, since it is there determinant because an objective principle is given to it through Understanding. But as regards the particular laws that can only be made known to us through experience, there can be under them such great manifoldness and diversity, that the Judgement must serve as its own principle in order to investigate and search into the phenomena of nature in accordance with a law. Such a guiding thread is needed, if we are only to hope for a connected empirical cognition according to a thoroughgoing conformity of nature to law, even its unity according to empirical laws. In this contingent unity of particular laws it may very well happen that the Judgement in its reflection proceeds from two maxims. One of these is suggested to it a priori by the mere Understanding; but the other is prompted by particular experiences, which bring the Reason into play in order to form a judgement upon corporeal nature and its laws in accordance with a particular principle. Hence it comes about that these two kinds of maxims seem to be incapable of existing together, and consequently a Dialectic arises which leads the Judgement into error in the principle of its reflection.

    The first maxim of Judgement is the proposition: all production of material things and their forms must be judged to be possible according to merely mechanical laws.

    The second maxim is the counter-proposition: some products of material nature cannot be judged to be possible according to merely mechanical laws. (To judge them requires quite a different law of causality, namely, that of final causes.)

    If these regulative principles of investigation be converted into constitutive principles of the possibility of Objects, they will run thus:

    Proposition: All production of material things is possible according to merely mechanical laws.

    Counter-proposition: Some production of material things is not possible according to merely mechanical laws.

    In this latter aspect, as objective principles for the determinant Judgement, they would contradict each other; and consequently one of the two propositions must necessarily be false. We shall then, it is true, have an antinomy, but not of Judgement; there will be a conflict in the legislation of Reason. Reason, however, can prove neither the one nor the other of these fundamental propositions, because we can have a priori no determinant principle of the possibility of things according to mere empirical laws of nature.

    On the other hand, as regards the first-mentioned maxims of a reflective Judgement, they involve no contradiction in fact. For if I say, I must judge, according to merely mechanical laws, of the possibility of all events in material nature, and consequently of all forms regarded as its products, I do not therefore say: They are possible in this way alone (apart from any other kind of causality). All that is implied is: I must always reflect upon them according to the principle of the mere mechanism of nature, and consequently investigate this as far as I can; because unless this lies at the basis of investigation, there can be no proper knowledge of nature at all. But this does not prevent us, if occasion offers, from following out the second maxim in the case of certain natural forms (and even by occasion of these in the whole of nature), in order to reflect upon them according to the principle of final causes, which is quite a different thing from explaining them according to the mechanism of nature. Reflection in accordance with the first maxim is thus not abrogated; on the contrary, we are told to follow it as far as we can. Nor is it said that these forms would not be possible in accordance with the mechanism of nature. It is only asserted that human Reason in following up this maxim and in this way could never find the least ground for that which constitutes the specific [character] of a natural purpose, although it would increase its knowledge of natural laws. Thus it is left undecided whether or not in the unknown inner ground of nature, physico-mechanical and purposive combination may be united in the same things in one principle. We only say that our Reason is not in a position so to unite them; and that therefore the Judgement (as reflective—from subjective grounds, not as determinant, in consequence of an objective principle of the possibility of things in themselves) is compelled to think a different principle from that of natural mechanism as the ground of the possibility of certain forms in nature.

    § 71. Preliminary to the solution of the above antinomy

    We can in no way prove the impossibility of the production of organised natural products by the mere mechanism of nature, because we cannot see into the first inner ground of the infinite multiplicity of the particular laws of nature, which are contingent for us since they are only empirically known; and so we cannot arrive at the inner all-sufficient principle of the possibility of a nature (a principle which lies in the supersensible). Whether therefore the productive faculty of nature is sufficient for that which we judge to be formed or combined in accordance with the Idea of purposes, as well as for that which we believe to require merely a mechanical system [Maschinenwesen] of nature; or whether there lies at the basis of things which we must necessarily judge as properly natural purposes, a quite different kind of original causality, which cannot be contained in material nature or in its intelligible substrate, viz. an architectonic Understanding—this is a question to which our Reason, very narrowly limited in respect of the concept of causality if it is to be specified a priori, can give no answer whatever.—But it is just as certain and beyond doubt that, in regard to our cognitive faculties, the mere mechanism of nature can furnish no ground of explanation of the production of organised beings. For the reflective Judgement it is therefore a quite correct fundamental proposition, that for that connexion of things according to final causes which is so plain, there must be thought a causality distinct from that of mechanism, viz. that of an (intelligent) cause of the world acting in accordance with purposes; but for the determinant Judgement this would be a hasty and unprovable proposition. In the first case it is a mere maxim of the Judgement, wherein the concept of that causality is a mere Idea, to which we by no means undertake to concede reality, but which we use as a guide to reflection, which remains thereby always open to all mechanical grounds of explanation and does not withdraw out of the world of Sense. In the second case the proposition would be an objective principle prescribed by Reason, to which the determinant Judgement must subject itself, whereby however it withdraws beyond the world of Sense into the transcendent and perhaps is led into error.

    All appearance of an antinomy between the maxims of the proper physical (mechanical) and the teleological (technical) methods of explanation rests therefore on this; that we confuse a fundamental proposition of the reflective with one of the determinant Judgement, and the autonomy of the first (which has mere subjective validity for our use of Reason in respect of particular empirical laws) with the heteronomy of the second, which must regulate itself according to laws (universal or particular) given to it by the Understanding.

    § 72. Of the different systems which deal with the purposiveness of nature

    No one has ever doubted the correctness of the proposition that judgement must be passed upon certain things of nature (organised beings) and their possibility in accordance with the concept of final causes, even if we only desire a guiding thread to learn how to cognise their constitution through observation, without aspiring to an investigation into their first origin. The question therefore can only be: whether this fundamental proposition is merely subjectively valid, i.e. is a mere maxim of our Judgement; or whether it is an objective principle of nature, in accordance with which, apart from its mechanism (according to the mere laws of motion), quite a different kind of causality attaches to it, viz. that of final causes, under which these laws (of moving forces) stand only as intermediate causes.

    We could leave this question or problem quite undecided and unsolved speculatively; because if we content ourselves with speculation within the bounds of mere natural knowledge, we have enough in these maxims for the study of nature and for the tracking out of its hidden secrets, as far as human powers reach. There is then indeed a certain presentiment of our Reason or a hint as it were given us by nature, that, by means of this concept of final causes, we go beyond nature, and could unite it to the highest point in the series of causes, if we were to abandon or at least to lay aside for a time the investigation of nature (although we may not have advanced far in it), and seek thenceforth to find out whither this stranger in natural science, viz. the concept of natural purposes, would lead us.

    But here these undisputed maxims pass over into problems opening out a wide field for difficulties. Does purposive connexion in nature prove a particular kind of causality? Or is it not rather, considered in itself and in accordance with objective principles, similar to the mechanism of nature, resting on one and the same ground? Only, as this ground in many natural products is often hidden too deep for our investigation, we make trial of a subjective principle, that of art, i.e. of causality according to Ideas, and we ascribe it to nature by analogy. This expedient succeeds in many cases, but seems in some to mislead, and in no case does it justify us in introducing into natural science a particular kind of operation quite distinct from the causality according to the mere mechanical laws of nature. We give the name of Technic to the procedure (the causality) of nature, on account of the appearance of purpose that we find in its products; and we shall divide this into designed (technica intentionalis) and undesigned (technica naturalis). The first is meant to signify that the productive faculty of nature according to final causes must be taken for a particular kind of causality; the second that it is at bottom quite similar to the mechanism of nature, and that its contingent agreement with our artistic concepts and their rules should be explained as a mere subjective condition of judging it, and not, falsely, as a particular kind of natural production.

    If we now speak of systems explanatory of nature in regard of final causes, it must be remarked that they all controvert each other dogmatically, i.e. as to objective principles of the possibility of things, whether there are causes which act designedly or whether they are quite without design. They do not dispute as to the subjective maxims, by which we merely judge of the causes of such purposive products. In this latter case disparate principles could very well be unified; but in the former, contradictorily opposed laws annul each other and cannot subsist together.

    There are two sorts of systems as to the Technic of nature, i.e. its productive power in accordance with the rule of purposes; viz. Idealism or Realism of natural purposes. The first maintains that all purposiveness of nature is undesigned; the second that some (in organised beings) is designed. From this latter the hypothetical consequence can be deduced that the Technic of Nature, as concerns all its other products in reference to the whole of nature, is also designed, i.e. is a purpose.

    (1) The Idealism of purposiveness (I always understand here by this, objective purposiveness) is either that of the casuality or the fatality of the determination of nature in the purposive form of its products. The former principle treats of the reference of matter to the physical basis of its form, viz. the laws of motion; the second, its reference to the hyperphysical basis of itself and of the whole of nature. The system of casuality that is ascribed to Epicurus or Democritus is, taken literally, so plainly absurd that it need not detain us. Opposed to this is the system of fatality, of which Spinoza is taken as the author, although it is much older according to all appearance. This, as it appeals to something supersensible to which our insight does not extend, is not so easy to controvert; but that is because its concept of the original Being is not possible to understand. But so much is clear, that on this theory the purposive combination in the world must be taken as undesigned; for although derived from an original Being, it is not derived from its Understanding or from any design on its part, but rather from the necessity of its nature and of the world-unity which emanates therefrom. Consequently the Fatalism of purposiveness is at the same time an Idealism.

    (2) The Realism of the purposiveness of nature is also either physical or hyperphysical. The former bases the purposes in nature, by the analogy of a faculty acting with design, on the life of matter (either its own or the life of an inner principle in it, a world-soul) and is called Hylozoism. The latter derives them from the original ground of the universe, as from an intelligent Being (originally living), who produces them with design, and is Theism.112

    § 73. None of the above systems give what they pretend

    What do all these systems desire? They desire to explain our teleological judgements about nature, and they go so to work therewith that some deny their truth and, consequently, explain them as an Idealism of Nature (represented as Art); others recognise them as true, and promise to establish the possibility of a nature in accordance with the Idea of final causes.

    (1) The systems which defend the Idealism of final causes in nature grant, it is true, on the one hand to their principle a causality in accordance with the laws of motion (through which [causality] natural things exist purposively); but they deny to it intentionality, i.e. that it designedly determines itself to this its purposive production; in other words, they deny that the cause is a purpose. This is Epicurus’s method of explanation, according to which the distinction between a Technic of nature and mere mechanism is altogether denied. Blind chance is taken as the explanatory ground not only of the agreement of the developed products with our concepts of the purpose, and consequently of [nature’s] Technic; but also of the determination of the causes of this production in accordance with the laws of motion, and consequently of their mechanism. Thus nothing is explained, not even the illusion in our teleological judgements, and consequently, the would-be Idealism of these in no way established.

    On the other hand, Spinoza wishes to dispense with all inquiries into the ground of the possibility of purposes of nature, and to take away all reality from this Idea. He allows their validity in general not as products but as accidents inhering in an original Being; and to this Being, as substrate of those natural things, he ascribes not causality in regard to them but mere subsistence. On account of its unconditioned necessity, and also that of all natural things as accidents inhering in it, he secures, it is true, to the forms of nature that unity of ground which is requisite for all purposiveness; but at the same time he tears away their contingence, without which no unity of purpose can be thought, and with it all design, inasmuch as he takes away all intelligence from the original ground of natural things.

    But Spinozism does not furnish what it desires. It desires to afford an explanatory ground of the purposive connexion (which it does not deny) of the things of nature, and it merely speaks of the unity of the subject in which they all inhere. But even if we concede to it that the beings of the world exist in this way, such ontological unity is not therefore a unity of purpose, and does not make this in any way comprehensible. For this latter is a quite particular kind of unity which does not follow from the connexion of things (the beings of the world) in a subject (the original Being), but implies in itself reference to a cause which has Understanding; and even if we unite all these things in a simple subject, this never exhibits a purposive reference. For we do not think of them, first, as the inner effects of the substance, as if it were a cause; nor, secondly, of this cause as a cause producing effects by means of its Understanding. Without these formal conditions all unity is mere natural necessity; and, if it is ascribed as well to things which we represent as external to one another, blind necessity. But if we wish to give the name of purposiveness of nature to that which the schoolmen call the transcendental perfection of things (in reference to their proper being), according to which everything has in itself that which is requisite to make it one thing and not another, then we are only like children playing with words instead of concepts. For if all things must be thought as purposes, then to be a thing is the same as to be a purpose, and there is at bottom nothing which specially deserves to be represented as a purpose.

    We hence see at once that Spinoza by his reducing our concepts of the purposive in nature to our own consciousness of existing in an all-embracing (though simple) Being, and by his seeking that form merely in the unity of this Being, must have intended to maintain not the realism, but the idealism of its purposiveness. Even this he was not able to accomplish, because the mere representation of the unity of the substrate cannot bring about the Idea of a purposiveness, even that which is only undesigned.

    (2) Those who not only maintain the Realism of natural purposes, but also set about explaining it, believe that they can comprehend, at least as regards its possibility, a practical kind of causality, viz. that of causes working designedly; otherwise they could not undertake to supply this explanation. For to authorise even the most daring of hypotheses, at least the possibility of what we assume as basis must be certain, and we must be able to assure objective reality to its concept.

    But the possibility of living matter cannot even be thought; its concept involves a contradiction because lifelessness, inertia, constitutes the essential character of matter. The possibility of matter endowed with life, and of collective nature regarded as an animal, can only be used in an inadequate way (in the interests of the hypothesis of purposiveness in the whole of nature), so far as it is manifested by experience in the organisation of nature on a small scale; but in no way can we have insight into its possibility a priori. There must then be a circle in the explanation, if we wish to derive the purposiveness of nature in organised beings from the life of matter, and yet only know this life in organised beings, and can form no concept of its possibility without experience of this kind. Hylozoism, therefore, does not furnish what it promises.

    Finally, Theism can just as little establish dogmatically the possibility of natural purposes as a key to Teleology; although it certainly is superior to all other grounds of explanation in that, through the Understanding which it ascribes to the original Being, it rescues in the best way the purposiveness of nature from Idealism, and introduces a causality acting with design for its production.

    But we must first prove satisfactorily to the determinant Judgement the impossibility of the unity of purpose in matter resulting from its mere mechanism, before we are justified in placing the ground of this beyond nature in a determinate way. We can, however, advance no further than this. In accordance with the constitution and limits of our cognitive faculties (whilst we do not comprehend even the first inner ground of this mechanism) we must in no wise seek in matter a principle of determinate purposive references; but no other way of judging of the origination of its products as natural purposes remains to us than that by means of a supreme Understanding as cause of the world. But this is only a ground for the reflective, not for the determinant Judgement, and can justify absolutely no objective assertion.

    § 74. The reason that we cannot treat the concept of a Technic of nature dogmatically is the fact that a natural purpose is inexplicable

    We deal with a concept dogmatically (even though it should be empirically conditioned) if we consider it as contained under another concept of the Object which constitutes a principle113 of Reason, and determine it in conformity with this. But we deal with it merely critically, if we consider it only in reference to our cognitive faculties and consequently to the subjective conditions of thinking it, without undertaking to decide anything about its Object. Dogmatic procedure with a concept is then that which is conformable to law for the determinant Judgement, critical procedure for the reflective Judgement.

    Now the concept of a thing as a natural purpose is a concept which subsumes nature under a causality only thinkable through Reason, in order to judge in accordance with this principle about that which is given of the Object in experience. But in order to use it dogmatically for the determinant Judgement, we must be assured first of the objective reality of this concept, because otherwise we could subsume no natural thing under it. Again, the concept of a thing as a natural purpose is, no doubt, empirically conditioned, i.e. only possible under certain conditions given in experience, though not to be abstracted therefrom; but it is a concept only possible in accordance with a rational principle in the judgement about the object. Its objective reality, therefore (i.e. that an object in conformity with it is possible), cannot be comprehended and dogmatically established as such a principle; and we do not know whether it is merely a sophistical and objectively empty concept (conceptus ratiocinans), or a rational concept, establishing a cognition and confirmed by Reason (conceptus ratiocinatus).114 Therefore it cannot be dogmatically treated for the determinant Judgement, i.e. it is not only impossible to decide whether or not things of nature considered as natural purposes require for their production a causality of a quite peculiar kind (that acting on design); but the question cannot even be put, because the concept of a natural purpose is simply not susceptible of proof through Reason as regards its objective reality. That is, it is not constitutive for the determinant Judgement, but merely regulative for the reflective.

    That it is not susceptible of proof is clear because (as concept of a natural product) it embraces in itself natural necessity, and at the same time (as purpose) a contingency of the form of the Object (in reference to the mere laws of nature) in the very same thing. Hence, if there is to be no contradiction here it must contain a ground for the possibility of the thing in nature, and also a ground of the possibility of this nature itself and of its reference to something which, not being empirically cognisable nature (supersensible), is therefore for us not cognisable at all. [This is requisite] if it is to be judged according to a different kind of causality from that of natural mechanism when we wish to establish its possibility. The concept of a thing, then, as a natural purpose, is transcendent for the determinant Judgement, if we consider the Object through Reason (although for the reflective Judgement it certainly may be immanent in respect of the objects of experience). Hence for determinant judgements objective reality cannot be supplied to it; and so it is intelligible how all systems that one may project for the dogmatic treatment of the concept of natural purposes and of nature itself [considered] as a whole connected together by means of final causes, can decide nothing either by objective affirmation or by objective denial. For if things be subsumed under a concept that is merely problematical, its synthetical predicates (e.g. in the question whether the purpose of nature which we conceive for the production of things is designed or undesigned) can furnish only problematical judgements of the Object, whether affirmative or negative; and we do not know whether we are judging about something or about nothing. The concept of a causality through purposes (of art) has at all events objective reality, and also the concept of a causality according to the mechanism of nature. But the concept of a causality of nature according to the rule of purposes,—still more of a Being such as cannot be given us in experience, a Being who is the original cause of nature,—though it can be thought without contradiction, yet is of no avail for dogmatic determinations. For, since it cannot be derived from experience, and also is not requisite for the possibility thereof, its objective reality can in no way be assured. But even if this could be done, how can I number among the products of nature things which are definitely accounted products of divine art, when it is just the incapacity of nature to produce such things according to its own laws that made it necessary to invoke a cause different from it?

    § 75. The concept of an objective purposiveness of nature is a critical principle of Reason for the reflective Judgement

    It is then one thing to say, “the production of certain things of nature or that of collective nature is only possible through a cause which determines itself to action according to design”; and quite another to say, “I can according to the peculiar constitution of my cognitive faculties judge concerning the possibility of these things and their production, in no other fashion than by conceiving for this a cause working according to design, i.e. a Being which is productive in a way analogous to the causality of an intelligence.” In the former case I wish to establish something concerning the Object, and am bound to establish the objective reality of an assumed concept; in the latter, Reason only determines the use of my cognitive faculties, conformably to their peculiarities and to the essential conditions of their range and their limits. Thus the former principle is an objective proposition for the determinant Judgement, the latter merely a subjective proposition for the reflective Judgement, i.e. a maxim which Reason prescribes to it.

    We are in fact indispensably obliged to ascribe the concept of design to nature if we wish to investigate it, though only in its organised products, by continuous observation; and this concept is therefore an absolutely necessary maxim for the empirical use of our Reason. It is plain that once such a guiding thread for the study of nature is admitted and verified, we must at least try the said maxim of Judgement in nature as a whole; because thereby many of nature’s laws might discover themselves, which otherwise, on account of the limitation of our insight into its inner mechanism, would remain hidden. But though in regard to this latter employment that maxim of Judgement is certainly useful, it is not indispensable, for nature as a whole is not given as organised (in the narrow sense of the word above indicated). On the other hand, in regard to those natural products, which must be judged of as designed and not formed otherwise (if we are to have empirical knowledge of their inner constitution), this maxim of the reflective Judgement is essentially necessary; because the very thought of them as organised beings is impossible without combining therewith the thought of their designed production.

    Now the concept of a thing whose existence or form we represent to ourselves as possible under the condition of a purpose is inseparably bound up with the concept of its contingency (according to natural laws). Hence the natural things that we find possible only as purposes supply the best proof of the contingency of the world-whole; to the common Understanding and to the philosopher alike they are the only valid ground of proof for its dependence on and origin from a Being existing outside the world—a Being who must also be intelligent on account of that purposive form. Teleology then finds the consummation of its investigations only in Theology.

    But what now in the end does the most complete Teleology prove? Does it prove that there is such an intelligent Being? No. It only proves that according to the constitution of our cognitive faculties and in the consequent combination of experience with the highest principles of Reason, we can form absolutely no concept of the possibility of such a world [as this] save by thinking a designedly-working supreme cause thereof. Objectively we cannot therefore lay down the proposition, there is an intelligent original Being; but only subjectively, for the use of our Judgement in its reflection upon the purposes in nature, which can be thought according to no other principle than that of a designing causality of a highest cause.

    If we wished to establish on teleological grounds the above proposition dogmatically we should be beset with difficulties from which we could not extricate ourselves. For then the proposition must at bottom be reduced to the conclusion, that the organised beings in the world are no otherwise possible than by a designedly-working cause. And we should unavoidably have to assert that, because we can follow up these things in their causal combination only under the Idea of purposes, and cognise them only according to their conformity to law, we are thereby justified in assuming this as a condition necessary for every thinking and cognising being—a condition consequently attaching to the Object and not merely to our subject. But such an assertion we do not succeed in sustaining. For, since we do not, properly speaking, observe the purposes in nature as designed, but only in our reflection upon its products think this concept as a guiding thread for our Judgement, they are not given to us through the Object. It is quite impossible for us a priori to vindicate, as capable of assumption, such a concept according to its objective reality. It remains therefore a proposition absolutely resting upon subjective conditions alone, viz. of the Judgement reflecting in conformity with our cognitive faculties. If we expressed this proposition dogmatically as objectively valid, it would be: “There is a God.” But for us men there is only permissible the limited formula: “We cannot otherwise think and make comprehensible the purposiveness which must lie at the bottom of our cognition of the internal possibility of many natural things, than by representing it and the world in general as a product of an intelligent cause, [a God].”115

    Now if this proposition, based on an inevitably necessary maxim of our Judgement, is completely satisfactory from every human point of view for both the speculative and practical use of our Reason, I should like to know what we lose by not being able to prove it as also valid for higher beings, from objective grounds (which unfortunately are beyond our faculties). It is indeed quite certain that we cannot adequately cognise, much less explain, organised beings and their internal possibility, according to mere mechanical principles of nature; and we can say boldly it is alike certain that it is absurd for men to make any such attempt or to hope that another Newton will arise in the future, who shall make comprehensible by us the production of a blade of grass according to natural laws which no design has ordered.116 We must absolutely deny this insight to men. But then how do we know that in nature, if we could penetrate to the principle by which it specifies the universal laws known to us, there cannot lie hidden (in its mere mechanism) a sufficient ground of the possibility of organised beings without supposing any design in their production? would it not be judged by us presumptuous to say this? Probabilities here are of no account when we have to do with judgements of pure Reason.—We cannot therefore judge objectively, either affirmatively or negatively, concerning the proposition: “Does a Being acting according to design lie at the basis of what we rightly call natural purposes, as the cause of the world (and consequently as its author)?” So much only is sure, that if we are to judge according to what is permitted us to see by our own proper nature (the conditions and limitations of our Reason), we can place at the basis of the possibility of these natural purposes nothing else than an intelligent Being. This alone is in conformity with the maxim of our reflective Judgement and therefore with a ground which, though subjective, is inseparably attached to the human race.

    § 76. Remark

    This consideration, which very well deserves to be worked out in detail in Transcendental Philosophy, can come in here only in passing, by way of elucidation (not as a proof of what is here proposed).

    Reason is a faculty of principles and proceeds in its extremest advance to the unconditioned; on the other hand, the Understanding stands at its service always only under a certain condition which must be given. But without concepts of Understanding, to which objective reality must be given, the Reason cannot form any objective (synthetical) judgement; and contains in itself, as theoretical Reason, absolutely no constitutive but merely regulative principles. We soon see that where the Understanding cannot follow, the Reason is transcendent, and shows itself in Ideas formerly established (as regulative principles), but not in objectively valid concepts. But the Understanding which cannot keep pace with Reason but yet is requisite for the validity of Objects, limits the validity of these Ideas to the subject, although [extending it] generally to all [subjects] of this kind. That is, the Understanding limits their validity to the condition, that according to the nature of our (human) cognitive faculties, or, generally, according to the concept which we ourselves can make of the faculty of a finite intelligent being, nothing else can or must be thought; though this is not to assert that the ground of such a judgement lies in the Object. We shall adduce some examples which, though they are too important and difficult to impose them on the reader as proved propositions, yet will give him material for thought and may serve to elucidate what we are here specially concerned with.

    It is indispensably necessary for the human Understanding to distinguish between the possibility and the actuality of things. The ground for this lies in the subject and in the nature of our cognitive faculties. Such a distinction (between the possible and the actual) would not be given were there not requisite for knowledge two quite different elements, Understanding for concepts and sensible intuition for Objects corresponding to them. If our Understanding were intuitive it would have no objects but those which are actual. Concepts (which merely extend to the possibility of an object) and sensible intuitions (which give us something without allowing us to cognise it thus as an object) would both disappear. But now the whole of our distinction between the merely possible and the actual rests on this, that the former only signifies the positing of the representation of a thing in respect of our concept, and, in general, in respect of the faculty of thought; while the latter signifies the positing of the thing in itself [outside this concept].117 The distinction, then, of possible things from actual is one which has merely subjective validity for the human Understanding, because we can always have a thing in our thoughts although it is [really] nothing, or we can represent a thing as given although we have no concept of it. The propositions therefore—that things can be possible without being actual, and that consequently no conclusion can be drawn as to actuality from mere possibility—are quite valid for human Reason, without thereby proving that this distinction lies in things themselves. That this does not follow, and that consequently these propositions, though valid of Objects (in so far as our cognitive faculty, as sensuously conditioned, busies itself with Objects of sense), do not hold for things in general, appears from the irrepressible demand of Reason to assume something (the original ground) necessarily existing as unconditioned, in which possibility and actuality should no longer be distinguished, and for which Idea our Understanding has absolutely no concept; i.e. it can find no way of representing such a thing and its manner of existence. For if the Understanding thinks such a thing (which it may do at pleasure), the thing is merely represented as possible. If it is conscious of it as given in intuition, then is it actual; but nothing as to its possibility is thus thought. Hence the concept of an absolutely necessary Being is no doubt an indispensable Idea of Reason, but yet it is a problematical concept unattainable by the human Understanding. It is indeed valid for the employment of our cognitive faculties in accordance with their peculiar constitution, but not valid of the Object. Nor is it valid for every knowing being, because I cannot presuppose in every such being thought and intuition as two distinct conditions of the exercise of its cognitive faculties, and consequently as conditions of the possibility and actuality of things. An Understanding into which this distinction did not enter, might say: All Objects that I know are, i.e. exist; and the possibility of some, which yet do not exist (i.e. the contingency or the contrasted necessity of those which do exist), might never come into the representation of such a being at all. But what makes it difficult for our Understanding to treat its concepts here as Reason does, is merely that for it, as human Understanding, that is transcendent (i.e. impossible for the subjective conditions of its cognition) which Reason makes into a principle appertaining to the Object.—Here the maxim always holds, that all Objects whose cognition surpasses the faculty of the Understanding are thought by us according to the subjective conditions of the exercise of that faculty which necessarily attach to our (human) nature. If judgements laid down in this way (and there is no other alternative in regard to transcendent concepts) cannot be constitutive principles determining the Object as it is, they will remain regulative principles adapted to the human point of view, immanent in their exercise and sure.

    Just as Reason in the theoretical consideration of nature must assume the Idea of an unconditioned necessity of its original ground, so also it presupposes in the practical [sphere] its own (in respect of nature) unconditioned causality, or freedom, in that it is conscious of its own moral command. Here the objective necessity of the act, as a duty, is opposed to that necessity which it would have as an event, if its ground lay in nature and not in freedom (i.e. in the causality of Reason). The morally absolutely necessary act is regarded as physically quite contingent, since that which ought necessarily to happen often does not happen. It is clear then that it is owing to the subjective constitution of our practical faculty that the moral laws must be represented as commands, and the actions conforming to them as duties; and that Reason expresses this necessity not by an “is” (happens), but by an “ought to be.” This would not be the case were Reason considered as in its causality independent of sensibility (as the subjective condition of its application to objects of nature), and so as cause in an intelligible world entirely in agreement with the moral law. For in such a world there would be no distinction between “ought to do” and “does,” between a practical law of that which is possible through us, and the theoretical law of that which is actual through us. Though, therefore, an intelligible world in which everything would be actual merely because (as something good) it is possible, together with freedom as its formal condition, is for us a transcendent concept, not available as a constitutive principle to determine an Object and its objective reality; yet, because of the constitution of our (in part sensuous) nature and faculty it is, so far as we can represent it in accordance with the constitution of our Reason, for us and for all rational beings that have a connexion with the world of sense, a universal regulative principle. This principle does not objectively determine the constitution of freedom, as a form of causality, but it makes the rule of actions according to that Idea a command for every one, with no less validity than if it did so determine it.

    In the same way we may concede thus much as regards the case in hand. Between natural mechanism and the Technic of nature, i.e. its purposive connexion, we should find no distinction, were it not that our Understanding is of the kind that must proceed from the universal to the particular. The Judgement then in respect of the particular can cognise no purposiveness and, consequently, can form no determinant judgements, without having a universal law under which to subsume that particular. Now the particular, as such, contains something contingent in respect of the universal, while yet Reason requires unity and conformity to law in the combination of particular laws of nature. This conformity of the contingent to law is called purposiveness; and the derivation of particular laws from the universal, as regards their contingent element, is impossible a priori through a determination of the concept of the Object. Hence, the concept of the purposiveness of nature in its products is necessary for human Judgement in respect of nature, but has not to do with the determination of Objects. It is, therefore, a subjective principle of Reason for the Judgement, which as regulative (not constitutive) is just as necessarily valid for our human Judgement as if it were an objective principle.

    § 77. Of the peculiarity of the human Understanding, by means of which the concept of a natural purpose is possible

    We have brought forward in the Remark peculiarities of our cognitive faculties (even the higher ones) which we are easily led to transfer as objective predicates to the things themselves. But they concern Ideas, no object adequate to which can be given in experience, and they could only serve as regulative principles in the pursuit of experience. This is the case with the concept of a natural purpose, which concerns the cause of the possibility of such a predicate, which cause can only lie in the Idea. But the result corresponding to it (i.e. the product) is given in nature; and the concept of a causality of nature as of a being acting according to purposes seems to make the Idea of a natural purpose into a constitutive principle, which Idea has thus something different from all other Ideas.

    This difference consists, however, in the fact that the Idea in question is not a rational principle for the Understanding but for the Judgement. It is, therefore, merely the application of an Understanding in general to possible objects of experience, in cases where the judgement can only be reflective, not determinant, and where, consequently, the object, although given in experience, cannot be determinately judged in conformity with the Idea (not to say with complete adequacy), but can only be reflected on.

    There emerges, therefore, a peculiarity of our (human) Understanding in respect of the Judgement in its reflection upon things of nature. But if this be so, the Idea of a possible Understanding different from the human must be fundamental here. (Just so in the Critique of Pure Reason we must have in our thoughts another possible [kind of] intuition, if ours is to be regarded as a particular species for which objects are only valid as phenomena.) And so we are able to say: Certain natural products, from the special constitution of our Understanding, must be considered by us, in regard to their possibility, as if produced designedly and as purposes. But we do not, therefore, demand that there should be actually given a particular cause which has the representation of a purpose as its determining ground; and we do not deny that an Understanding, different from (i.e. higher than) the human, might find the ground of the possibility of such products of nature in the mechanism of nature, i.e. in a causal combination for which an Understanding is not explicitly assumed as cause.

    We have now to do with the relation of our Understanding to the Judgement; viz. we seek for a certain contingency in the constitution of our Understanding, to which we may point as a peculiarity distinguishing it from other possible Understandings.

    This contingency is found, naturally enough, in the particular, which the Judgement is to bring under the universal of the concepts of Understanding. For the universal of our (human) Understanding does not determine the particular, and it is contingent in how many ways different things which agree in a common characteristic may come before our perception. Our Understanding is a faculty of concepts, i.e. a discursive Understanding, for which it obviously must be contingent of what kind and how very different the particular may be that can be given to it in nature and brought under its concepts. But now intuition also belongs to knowledge, and a faculty of a complete spontaneity of intuition would be a cognitive faculty distinct from sensibility, and quite independent of it, in other words, an Understanding in the most general sense. Thus we can think an intuitive Understanding [negatively, merely as not discursive118], which does not proceed from the universal to the particular, and so to the individual (through concepts). For it that contingency of the accordance of nature in its products according to particular laws with the Understanding would not be met with; and it is this contingency that makes it so hard for our Understanding to reduce the manifold of nature to the unity of knowledge. This reduction our Understanding can only accomplish by bringing natural characteristics into a very contingent correspondence with our faculty of concepts, of which an intuitive Understanding would have no need.

    Our Understanding has then this peculiarity as concerns the Judgement, that in cognition by it the particular is not determined by the universal and cannot therefore be derived from it; but at the same time this particular in the manifold of nature must accord with the universal (by means of concepts and laws) so that it may be capable of being subsumed under it. This accordance under such circumstances must be very contingent and without definite principle as concerns the Judgement.

    In order now to be able at least to think the possibility of such an accordance of things of nature with our Judgement (which accordance we represent as contingent and consequently as only possible by means of a purpose directed thereto), we must at the same time think of another Understanding, by reference to which and apart from any purpose ascribed to it, we may represent as necessary that accordance of natural laws with our Judgement, which for our Understanding is only thinkable through the medium of purposes.

    In fact our Understanding has the property of proceeding in its cognition, e.g. of the cause of a product, from the analytical-universal (concepts) to the particular (the given empirical intuition). Thus as regards the manifold of the latter it determines nothing, but must await this determination by the Judgement, which subsumes the empirical intuition (if the object is a natural product) under the concept. We can however think an Understanding which, being, not like ours, discursive, but intuitive, proceeds from the synthetical-universal (the intuition of a whole as such) to the particular, i.e. from the whole to the parts. The contingency of the combination of the parts, in order that a definite form of the whole shall be possible, is not implied by such an Understanding and its representation of the whole. Our Understanding requires this because it must proceed from the parts as universally conceived grounds to different forms possible to be subsumed under them, as consequences. According to the constitution of our Understanding a real whole of nature is regarded only as the effect of the concurrent motive powers of the parts. Suppose then that we wish not to represent the possibility of the whole as dependent on that of the parts (after the manner of our discursive Understanding), but according to the standard of the intuitive (original) Understanding to represent the possibility of the parts (according to their constitution and combination) as dependent on that of the whole. In accordance with the above peculiarity of our Understanding it cannot happen that the whole shall contain the ground of the possibility of the connexion of the parts (which would be a contradiction in discursive cognition), but only that the representation of a whole may contain the ground of the possibility of its form and the connexion of the parts belonging to it. Now such a whole would be an effect (product) the representation of which is regarded as the cause of its possibility; but the product of a cause whose determining ground is merely the representation of its effect is called a purpose. Hence it is merely a consequence of the particular constitution of our Understanding, that it represents products of nature as possible, according to a different kind of causality from that of the natural laws of matter, namely, that of purposes and final causes. Hence also this principle has not to do with the possibility of such things themselves (even when considered as phenomena) according to the manner of their production, but merely with the judgement upon them which is possible to our Understanding. Here we see at once why it is that in natural science we are not long contented with an explanation of the products of nature by a causality according to purposes. For there we desire to judge of natural production merely in a manner conformable to our faculty of judging, i.e. to the reflective Judgement, and not in reference to things themselves on behalf of the determinant Judgement. It is here not at all requisite to prove that such an intellectus archetypus is possible, but only that we are led to the Idea of it,—which contains no contradiction,—in contrast to our discursive Understanding which has need of images (intellectus ectypus) and to the contingency of its constitution.

    If we consider a material whole, according to its form, as a product of the parts with their powers and faculties of combining with one another (as well as of bringing in foreign materials), we represent to ourselves a mechanical mode of producing it. But in this way no concept emerges of a whole as purpose, whose internal possibility presupposes throughout the Idea of a whole on which depend the constitution and mode of action of the parts, as we must represent to ourselves an organised body. It does not follow indeed, as has been shown, that the mechanical production of such a body is impossible; for to say so would be to say that it would be impossible (contradictory) for any Understanding to represent to itself such a unity in the connexion of the manifold, without the Idea of the unity being at the same time its producing cause, i.e. without designed production. This, however, would follow in fact if we were justified in regarding material beings as things in themselves. For then the unity that constitutes the ground of the possibility of natural formations would be simply the unity of space. But space is no real ground of the products, but only their formal condition, although it has this similarity to the real ground which we seek that in it no part can be determined except in relation to the whole (the representation of which therefore lies at the ground of the possibility of the parts). But now it is at least possible to consider the material world as mere phenomenon, and to think as its substrate something like a thing in itself (which is not phenomenon), and to attach to this a corresponding intellectual intuition (even though it is not ours). Thus there would be, although incognisable by us, a supersensible real ground for nature, to which we ourselves belong. In this we consider according to mechanical laws what is necessary in nature regarded as an object of Sense; but we consider according to teleological laws the agreement and unity of its particular laws and its forms—which in regard to mechanism we must judge contingent—regarded as objects of Reason (in fact the whole of nature as a system). Thus we should judge nature according to two different kinds of principles without the mechanical way of explanation being shut out by the teleological, as if they contradicted one another.

    From this we are enabled to see what otherwise, though we could easily surmise it, could with difficulty be maintained with certainty and proved, viz. that the principle of a mechanical derivation of purposive natural products is consistent with the teleological, but in no way enables us to dispense with it. In a thing that we must judge as a natural purpose (an organised being) we can no doubt try all the known and yet to be discovered laws of mechanical production, and even hope to make good progress therewith; but we can never get rid of the call for a quite different ground of production for the possibility of such a product, viz. causality by means of purposes. Absolutely no human Reason (in fact no finite Reason like ours in quality, however much it may surpass it in degree) can hope to understand the production of even a blade of grass by mere mechanical causes. As regards the possibility of such an object, the teleological connexion of causes and effects is quite indispensable for the Judgement, even for studying it by the clue of experience. For external objects as phenomena an adequate ground related to purposes cannot be met with; this, although it lies in nature, must only be sought in the supersensible substrate of nature, from all possible insight into which we are cut off. Hence it is absolutely impossible for us to produce from nature itself grounds of explanation for purposive combinations; and it is necessary by the constitution of the human cognitive faculties to seek the supreme ground of these purposive combinations in an original Understanding as the cause of the world.

    § 78. Of the union of the principle of the universal mechanism of matter with the teleological principle in the Technic of nature

    It is infinitely important for Reason not to let slip the mechanism of nature in its products, and in their explanation not to pass it by, because without it no insight into the nature of things can be attained. Suppose it admitted that a supreme Architect immediately created the forms of nature as they have been from the beginning, or that He predetermined those which in the course of nature continually form themselves on the same model. Our knowledge of nature is not thus in the least furthered, because we cannot know the mode of action of that Being and the Ideas which are to contain the principles of the possibility of natural beings, and we cannot by them explain nature as from above downwards (a priori). And if, starting from the forms of the objects of experience, from below upwards (a posteriori), we wish to explain the purposiveness, which we believe is met with in experience, by appealing to a cause working in accordance with purposes, then is our explanation quite tautological and we are only mocking Reason with words. Indeed when we lose ourselves with this way of explanation in the transcendent, whither natural knowledge cannot follow, Reason is seduced into poetical extravagance, which it is its peculiar destination to avoid.

    On the other hand, it is just as necessary a maxim of Reason not to pass by the principle of purposes in the products of nature. For, although it does not make their mode of origination any more comprehensible, yet it is a heuristic principle for investigating the particular laws of nature; supposing even that we wish to make no use of it for explaining nature itself,—in which we still always speak only of natural purposes, although it apparently exhibits a designed unity of purpose,—i.e. without seeking beyond nature the ground of the possibility of these particular laws. But since we must come in the end to this latter question, it is just as necessary to think for nature a particular kind of causality which does not present itself in it, as the mechanism of natural causes which does. To the receptivity of several forms, different from those of which matter is susceptible by mechanism, must be added a spontaneity of a cause (which therefore cannot be matter), without which no ground can be assigned for those forms. No doubt Reason, before it takes this step, must proceed with caution, and not try to explain teleologically every Technic of nature, i.e. every productive faculty of nature which displays in itself (as in regular bodies) purposiveness of figure to our mere apprehension; but must always regard such as so far mechanically possible. But on that account to wish entirely to exclude the teleological principle, and to follow simple mechanism only—in cases where, in the rational investigation of the possibility of natural forms through their causes, purposiveness shows itself quite undeniably as the reference to a different kind of causality—to do this must make Reason fantastic, and send it wandering among chimeras of unthinkable natural faculties; just as a mere teleological mode of explanation which takes no account of natural mechanism makes it visionary.

    In the same natural thing both principles cannot be connected as fundamental propositions of explanation (deduction) of one by the other, i.e. they do not unite for the determinant Judgement as dogmatical and constitutive principles of insight into nature. If I choose, e.g. to regard a maggot as the product of the mere mechanism of nature (of the new formation that it produces of itself, when its elements are set free by corruption), I cannot derive the same product from the same matter as from a causality that acts according to purposes. Conversely, if I regard the same product as a natural purpose, I cannot count on any mechanical mode of its production and regard this as the constitutive principle of my judgement upon its possibility, and so unite both principles. One method of explanation excludes the other; even supposing that objectively both grounds of the possibility of such a product rested on a single ground, to which we did not pay attention. The principle which should render possible the compatibility of both in judging of nature must be placed in that which lies outside both (and consequently outside the possible empirical representation of nature), but yet contains their ground, i.e. in the supersensible; and each of the two methods of explanation must be referred thereto. Now of this we can have no concept but the indeterminate concept of a ground, which makes the judging of nature by empirical laws possible, but which we cannot determine more nearly by any predicate. Hence the union of both principles cannot rest upon a ground of explanation of the possibility of a product according to given laws, for the determinant Judgement, but only upon a ground of its exposition for the reflective Judgement.—To explain is to derive from a principle, which therefore we must clearly know and of which we can give an account. No doubt the principle of the mechanism of nature and that of its causality in one and the same natural product must coalesce in a single higher principle, which is their common source, because otherwise they could not subsist side by side in the observation of nature. But if this principle, objectively common to the two, which therefore warrants the association of the maxims of natural investigation depending on both, be such that, though it can be pointed to, it cannot be determinately known nor clearly put forward for use in cases which arise, then from such a principle we can draw no explanation, i.e. no clear and determinate derivation of the possibility of a natural product in accordance with those two heterogeneous principles. But now the principle common to the mechanical and teleological derivations is the supersensible, which we must place at the basis of nature, regarded as phenomenon. And of this, in a theoretical point of view, we cannot form the smallest positive determinate concept. It cannot, therefore, in any way be explained how, according to it as principle, nature (in its particular laws) constitutes for us one system, which can be cognised as possible either by the principle of physical development or by that of final causes. If it happens that objects of nature present themselves which cannot be thought by us, as regards their possibility, according to the principle of mechanism (which always has a claim on a natural being), without relying on teleological propositions, we can only make an hypothesis. Namely, we suppose that we may hopefully investigate natural laws with reference to both (according as the possibility of its product is cognisable by our Understanding by one or the other principle), without stumbling at the apparent contradiction which comes into view between the principles by which they are judged. For at least the possibility is assured that both may be united objectively in one principle, since they concern phenomena that presuppose a supersensible ground.

    Mechanism, then, and the teleological (designed) Technic of nature, in respect of the same product and its possibility, may stand under a common supreme principle of nature in particular laws. But since this principle is transcendent we cannot, because of the limitation of our Understanding, unite both principles in the explanation of the same production of nature even if the inner possibility of this product is only intelligible [verständlich] through a causality according to purposes (as is the case with organised matter). We revert then to the above fundamental proposition of Teleology. According to the constitution of the human Understanding, no other than designedly-working causes can be assumed for the possibility of organised beings in nature; and the mere mechanism of nature cannot be adequate to the explanation of these its products. But we do not attempt to decide anything by this fundamental proposition as to the possibility of such things themselves.

    This is only a maxim of the reflective, not of the determinant Judgement; consequently only subjectively valid for us, not objectively for the possibility of things themselves of this kind (in which both kinds of production may well cohere in one and the same ground). Further, without any concept,—besides the teleologically conceived method of production,—of a simultaneously presented mechanism of nature, no judgement can be passed on this kind of production as a natural product. Hence the above maxim leads to the necessity of an unification of both principles in judging of things as natural purposes in themselves, but does not lead us to substitute one for the other either altogether or in certain parts. For in the place of what is thought (at least by us) as possible only by design we cannot set mechanism, and in the place of what is cognised as mechanically necessary we cannot set contingency, which would need a purpose as its determining ground; but we can only subordinate the one (Mechanism) to the other (designed Technic), which may quite well be the case according to the transcendental principle of the purposiveness of nature.

    For where purposes are thought as grounds of the possibility of certain things, we must assume also means, whose law of working requires for itself nothing presupposing a purpose,—a mechanical law—and yet can be a subordinate cause of designed effects. Thus—in the organic products of nature, and specially when prompted by their infinite number, we assume (at least as a permissible hypothesis) design in the combination of natural causes by particular laws as a universal principle of the reflective Judgement for the whole of nature (the world),—we can think a great and indeed universal combination of mechanical with teleological laws in the productions of nature, without interchanging the principles by which they are judged or putting one in the place of the other. For, in a teleological judgement, the matter, even if the form that it assumes be judged possible only by design, can also, conformably to the mechanical laws of its nature, be subordinated as a means to the represented purpose. But, since the ground of this compatibility lies in that which is neither one nor the other (neither mechanism nor purposive combination), but is the supersensible substrate of nature of which we know nothing, the two ways of representing the possibility of such Objects are not to be blended together by our (human) Reason. However, we cannot judge of their possibility otherwise than by judging them as ultimately resting on a supreme Understanding by the connexion of final causes; and thus the teleological method of explanation is not eliminated.

    Now it is quite indeterminate, and for our Understanding always indeterminable, how much the mechanism of nature does as a means towards each final design in nature. However, on account of the above-mentioned intelligible principle of the possibility of a nature in general, it may be assumed that it is possible throughout according to the two kinds of universally accordant laws (the physical and those of final causes), although we cannot see into the way how this takes place. Hence we do not know how far the mechanical method of explanation which is possible for us may extend. So much only is certain that, so far as we can go in this direction, it must always be inadequate for things that we once recognise as natural purposes; and therefore we must, by the constitution of our Understanding, subordinate these grounds collectively to a teleological principle.

    Hereon is based a privilege, and on account of the importance which the study of nature by the principle of mechanism has for the theoretical use of our Reason, also an appeal. We should explain all products and occurrences in nature, even the most purposive, by mechanism as far as is in our power (the limits of which we cannot specify in this kind of investigation). But at the same time we are not to lose sight of the fact that those things which we cannot even state for investigation except under the concept of a purpose of Reason, must, in conformity with the essential constitution of our Reason, mechanical causes notwithstanding, be subordinated by us finally to causality in accordance with purposes.

    METHODOLOGY OF THE TELEOLOGICAL JUDGEMENT.119

    § 79. Whether teleology must be treated as if it belonged to the doctrine of nature

    Every science must have its definite position in the encyclopaedia of all the sciences. If it is a philosophical science its position must be either in the theoretical or practical part. If again it has its place in the former of these, it must be either in the doctrine of nature, so far as it concerns that which can be an object of experience (in the doctrine of bodies, the doctrine of the soul, or the universal science of the world), or in the doctrine of God (the original ground of the world as the complex of all objects of experience).

    Now the question is, what place is due to Teleology? Does it belong to Natural Science (properly so called) or to Theology? One of the two it must be; for no science belongs to the transition from one to the other, because this transition only marks the articulation or organisation of the system, and not a place in it.

    That it does not belong to Theology as a part thereof, although it may be made of the most important use therein, is self-evident. For it has as its objects, natural productions, and their cause, and although it refers at the same time to the latter as to a ground lying outside of and beyond nature (a Divine Author), yet it does not do this for the determinant but only for the reflective Judgement in the consideration of nature (in order to guide our judgement on things in the world by means of such an Idea as a regulative principle, in conformity with the human Understanding).

    But it appears to belong just as little to Natural Science, which needs determinant and not merely reflective principles in order to supply objective grounds for natural effects. In fact, nothing is gained for the theory of nature or the mechanical explanation of its phenomena by means of its effective causes, by considering them as connected according to the relation of purposes. The exhibition of the purposes of nature in its products, so far as they constitute a system according to teleological concepts, properly belongs only to a description of nature which is drawn up in accordance with a particular guiding thread. Here Reason, no doubt, accomplishes a noble work, instructive and practically purposive in many points of view; but it gives no information as to the origin and the inner possibility of these forms, which is the special business of theoretical Natural Science. Teleology, therefore, as science, belongs to no Doctrine, but only to Criticism; and to the criticism of a special cognitive faculty, viz. Judgement. But so far as it contains principles a priori, it can and must furnish the method by which nature must be judged according to the principle of final causes. Hence its Methodology has at least negative influence upon the procedure in theoretical Natural Science, and also upon the relation which this can have in Metaphysic to Theology as its propaedeutic.

    § 80. Of the necessary subordination of the mechanical to the teleological principle in the explanation of a thing as a natural purpose

    The privilege of aiming at a merely mechanical method of explanation of all natural products is in itself quite unlimited; but the faculty of attaining thereto is by the constitution of our Understanding, so far as it has to do with things as natural purposes, not only very much limited but also clearly bounded. For, according to a principle of the Judgement, by this process alone nothing can be accomplished towards an explanation of these things; and consequently the judgement upon such products must always be at the same time subordinated by us to a teleological principle.

    It is therefore rational, even meritorious, to pursue natural mechanism, in respect of the explanation of natural products, so far as can be done with probability; and if we give up the attempt it is not because it is impossible in itself to meet in this path with the purposiveness of nature, but only because it is impossible for us as men. For there would be required for that an intuition other than sensuous, and a determinate knowledge of the intelligible substrate of nature from which a ground could be assigned for the mechanism of phenomena according to particular laws, which quite surpasses our faculties.

    Hence if the naturalist would not waste his labour he must in judging of things, the concept of any of which is indubitably established as a natural purpose (organised beings), always lay down as basis an original organisation, which uses that very mechanism in order to produce fresh organised forms or to develop the existing ones into new shapes (which, however, always result from that purpose and conformably to it).

    It is praiseworthy by the aid of comparative anatomy to go through the great creation of organised natures, in order to see whether there may not be in it something similar to a system and also in accordance with the principle of production. For otherwise we should have to be content with the mere principle of judgement (which gives no insight into their production) and, discouraged, to give up all claim to natural insight in this field. The agreement of so many genera of animals in a certain common schema, which appears to be fundamental not only in the structure of their bones but also in the disposition of their remaining parts,—so that with an admirable simplicity of original outline, a great variety of species has been produced by the shortening of one member and the lengthening of another, the involution of this part and the evolution of that,—allows a ray of hope, however faint, to penetrate into our minds, that here something may be accomplished by the aid of the principle of the mechanism of nature (without which there can be no natural science in general). This analogy of forms, which with all their differences seem to have been produced according to a common original type, strengthens our suspicions of an actual relationship between them in their production from a common parent, through the gradual approximation of one animal-genus to another—from those in which the principle of purposes seems to be best authenticated, i.e. from man, down to the polype, and again from this down to mosses and lichens, and finally to the lowest stage of nature noticeable by us, viz. to crude matter. And so the whole Technic of nature, which is so incomprehensible to us in organised beings that we believe ourselves compelled to think a different principle for it, seems to be derived from matter and its powers according to mechanical laws (like those by which it works in the formation of crystals).

    Here it is permissible for the archaeologist of nature to derive from the surviving traces of its oldest revolutions, according to all its mechanism known or supposed by him, that great family of creatures (for so we must represent them if the said thoroughgoing relationship is to have any ground). He can suppose the bosom of mother earth, as she passed out of her chaotic state (like a great animal), to have given birth in the beginning to creatures of less purposive form, that these again gave birth to others which formed themselves with greater adaptation to their place of birth and their relations to each other; until this womb becoming torpid and ossified, limited its births to definite species not further modifiable, and the manifoldness remained as it was at the end of the operation of that fruitful formative power.—Only he must still in the end ascribe to this universal mother an organisation purposive in respect of all these creatures; otherwise it would not be possible to think the possibility of the purposive form of the products of the animal and vegetable kingdoms.120 He has then only pushed further back the ground of explanation and cannot pretend to have made the development of those two kingdoms independent of the condition of final causes.

    Even as concerns the variation to which certain individuals of organised genera are accidentally subjected, if we find that the character so changed is hereditary and is taken up into the generative power, then we cannot pertinently judge the variation to be anything else than an occasional development of purposive capacities originally present in the species with a view to the preservation of the race. For in the complete inner purposiveness of an organised being, the generation of its like is closely bound up with the condition of taking nothing up into the generative power which does not belong, in such a system of purposes, to one of its undeveloped original capacities. Indeed, if we depart from this principle, we cannot know with certainty whether several parts of the form which is now apparent in a species have not a contingent and unpurposive origin; and the principle of Teleology, to judge nothing in an organised being as unpurposive which maintains it in its propagation, would be very unreliable in its application and would be valid solely for the original stock (of which we have no further knowledge).

    Hume121 takes exception to those who find it requisite to assume for all such natural purposes a teleological principle of judgement, i.e. an architectonic Understanding. He says that it may fairly be asked: how is such an Understanding possible? How can the manifold faculties and properties that constitute the possibility of an Understanding, which has at the same time executive force, be found so purposively together in one Being? But this objection is without weight. For the whole difficulty which surrounds the question concerning the first production of a thing containing in itself purposes and only comprehensible by means of them, rests on the further question as to the unity of the ground of the combination in this product of the various elements [des Mannichfaltigen] which are external to one another. For if this ground be placed in the Understanding of a producing cause as simple substance, the question, so far as it is teleological, is sufficiently answered; but if the cause be sought merely in matter as an aggregate of many substances external to one another, the unity of the principle is quite wanting for the internally purposive form of its formation, and the autocracy of matter in productions which can only be conceived by our Understanding as purposes is a word without meaning.

    Hence it comes to pass that those who seek a supreme ground of possibility for the objectively-purposive forms of matter, without attributing to it Understanding, either make the world-whole into a single all-embracing substance (Pantheism), or (which is only a more determinate explanation of the former) into a complex of many determinations inhering in a single simple substance (Spinozism); merely in order to satisfy that condition of all purposiveness—the unity of ground. Thus they do justice indeed to one condition of the problem, viz. the unity in the purposive combination, by means of the mere ontological concept of a simple substance; but they adduce nothing for the other condition, viz. the relation of this substance to its result as purpose, through which relation that ontological ground is to be more closely determined in respect of the question at issue. Hence they answer the whole question in no way. It remains absolutely unanswerable (for our Reason) if we do not represent that original ground of things, as simple substance; its property which has reference to the specific constitution of the forms of nature grounded thereon, viz. its purposive unity, as the property of an intelligent substance; and the relation of these forms to this intelligence (on account of the contingency which we ascribe to everything that we think possible only as a purpose) as that of causality.

    § 81. Of the association of mechanism with the teleological principle in the explanation of a natural purpose as a natural product

    According to the preceding paragraphs the mechanism of nature alone does not enable us to think the possibility of an organised being; but (at least according to the constitution of our cognitive faculty) it must be originally subordinated to a cause working designedly. But, just as little is the mere teleological ground of such a being sufficient for considering it and judging it as a product of nature, if the mechanism of the latter be not associated with the former, like the instrument of a cause working designedly, to whose purposes nature is subordinated in its mechanical laws. The possibility of such a unification of two quite different kinds of causality,—of nature in its universal conformity to law with an Idea which limits it to a particular form, for which it contains no ground in itself—is not comprehended by our Reason. It lies in the supersensible substrate of nature, of which we can determine nothing positively, except that it is the being in itself of which we merely know the phenomenon. But the principle, “all that we assume as belonging to this nature (phenomenon) and as its product, must be thought as connected therewith according to mechanical laws,” has none the less force, because without this kind of causality organised beings (as purposes of nature) would not be natural products.

    Now if the teleological principle of the production of these beings be assumed (as is inevitable), we can place at the basis of the cause of their internally purposive form either Occasionalism or Pre-established Harmony. According to the former the Supreme Cause of the world would, conformably to its Idea, furnish immediately the organic formation on the occasion of every union of intermingling materials. According to the latter it would, in the original products of its wisdom, only have supplied the capacity by means of which an organic being produces another of like kind, and the species perpetually maintains itself; whilst the loss of individuals is continually replaced by that nature which at the same time works towards their destruction. If we assume the Occasionalism of the production of organised beings, all nature is quite lost, and with it all employment of Reason in judging of the possibility of such products; hence we may suppose that no one will adopt this system, who has anything to do with philosophy.

    [The theory of] Pre-established Harmony may proceed in two different ways. It regards every organised being as generated by one of like kind, either as an educt or a product. The system which regards generations as mere educts is called the theory of individual preformation or the theory of evolution: that which regards them as products is entitled the system of epigenesis. This latter may also be entitled the system of generic preformation, because the productive faculty of the generator and consequently the specific form would be virtually performed according to the inner purposive capacities which are part of its stock. In correspondence with this the opposite theory of individual preformations would be better entitled the theory of involution.

    The advocates of the theory of evolution, who remove every individual from the formative power of nature, in order to make it come immediately from the hand of the Creator, would, however, not venture to regard this as happening according to the hypothesis of Occasionalism. For according to this the copulation is a mere formality, à propos of which a supreme intelligent Cause of the world has concluded to form a fruit immediately by his hand, and only to leave to the mother its development and nourishment. They declare themselves for preformation; as if it were not all the same, whether a supernatural origin is assigned to these forms in the beginning or in the course of the world. On the contrary, a great number of supernatural arrangements would be spared by occasional creation, which would be requisite, in order that the embryo formed in the beginning of the world might not be injured throughout the long period of its development by the destructive powers of nature, and might keep itself unharmed; and there would also be requisite an incalculably greater number of such preformed beings than would ever be developed, and with them many creations would be made without need and without purpose. They would, however, be willing to leave at least something to nature, so as not to fall into a complete Hyperphysic which can dispense with all natural explanations. It is true, they hold so fast by their Hyperphysic that they find even in abortions (which it is quite impossible to take for purposes of nature) an admirable purposiveness; though it be only directed to the fact that an anatomist would take exception to it as a purposeless purposiveness, and would feel a disheartened wonder thereat. But the production of hybrids could absolutely not be accommodated with the system of preformation; and to the seeds of the male creature, to which they had attributed nothing but the mechanical property of serving as the first means of nourishment for the embryo, they must attribute in addition a purposive formative power, which in the case of the product of two creatures of the same genus they would concede to neither parent.

    On the other hand, even if we do not recognise the great superiority which the theory of Epigenesis has over the former as regards the empirical grounds of its proof, still prior to proof Reason views this way of explanation with peculiar favour. For in respect of the things which we can only represent as possible originally according to the causality of purposes, at least as concerns their propagation, this theory regards nature as self-producing, not merely as self-evolving: and so with the least expenditure of the supernatural leaves to nature all that follows after the first beginning (though without determining anything about this first beginning by which Physic generally is thwarted, however it may essay its explanation by a chain of causes).

    As regards this theory of Epigenesis, no one has contributed more either to its proof or to the establishment of the legitimate principles of its application,—partly by the limitation of a too presumptuous employment of it,—than Herr Hofr. Blumenbach.122 In all physical explanations of these formations he starts from organised matter. That crude matter should have originally formed itself according to mechanical laws, that life should have sprung from the nature of what is lifeless, that matter should have been able to dispose itself into the form of a self-maintaining purposiveness—this he rightly declares to be contradictory to Reason. But at the same time he leaves to natural mechanism under this to us indispensable principle of an original organisation, an undeterminable but yet unmistakeable element, in reference to which the faculty of matter in an organised body is called by him a formative impulse (in contrast to, and yet standing under the higher guidance and direction of, that merely mechanical formative power universally resident in matter).

    § 82. Of the teleological system in the external relations of organised beings

    By external purposiveness I mean that by which one thing of nature serves another as means to a purpose. Now things which have no internal purposiveness and which presuppose none for their possibility, e.g. earth, air, water, etc., may at the same time be very purposive externally, i.e. in relation to other beings. But these latter must be organised beings, i.e. natural purposes, for otherwise the former could not be judged as means to them. Thus water, air, and earth cannot be regarded as means to the raising of mountains, because mountains contain nothing in themselves that requires a ground of their possibility according to purposes, in reference to which therefore their cause can never be represented under the predicate of a means (as useful therefor).

    External purposiveness is a quite different concept from that of internal purposiveness, which is bound up with the possibility of an object irrespective of its actuality being itself a purpose. We can ask about an organised being the question: What is it for? But we cannot easily ask this about things in which we recognise merely the working of nature’s mechanism. For in the former, as regards their internal possibility, we represent a causality according to purposes, a creative Understanding, and we refer this active faculty to its determining ground, viz. design. There is only one external purposiveness which is connected with the internal purposiveness of organisation, and yet serves in the external relation of a means to a purpose, without the question necessarily arising, as to what end this being so organised must have existed for. This is the organisation of both sexes in their mutual relation for the propagation of their kind; since here we can always ask, as in the case of an individual, why must such a pair exist? The answer is: This pair first constitutes an organising whole, though not an organised whole in a single body.

    If we now ask, wherefore anything is, the answer is either: Its presence and its production have no reference at all to a cause working according to design, and so we always refer its origin to the mechanism of nature, or: There is somewhere a designed ground of its presence (as a contingent natural being). This thought we can hardly separate from the concept of an organised thing; for, since we must place at the basis of its internal possibility a causality of final causes and an Idea lying at the ground of this, we cannot think the existence of this product except as a purpose. For the represented effect, the representation of which is at the same time the determining ground of the intelligent cause working towards its production, is called a purpose. In this case therefore we can either say: The purpose of the existence of such a natural being is in itself; i.e. it is not merely a purpose but a final purpose, or: This is external to it in another natural being, i.e. it exists purposively not as a final purpose, but necessarily as a means.

    But if we go through the whole of nature we find in it, as nature, no being which could make claim to the eminence of being the final purpose of creation; and we can even prove a priori that what might be for nature an ultimate purpose, according to all the thinkable determinations and properties wherewith one could endow it, could yet as a natural thing never be a final purpose.

    If we consider the vegetable kingdom we might at first sight, on account of the immeasurable fertility with which it spreads itself almost on every soil, be led to take it for a mere product of that mechanism which nature displays in the formations of the mineral kingdom. But a more intimate knowledge of its indescribably wise organisation does not permit us to hold to this thought, but prompts the question: What are these things created for? If it is answered: For the animal kingdom, which is thereby nourished and has thus been able to spread over the earth in genera so various, then the further question comes: What are these plant-devouring animals for? The answer would be something like this: For beasts of prey, which can only be nourished by that which has life. Finally we have the question: What are these last, as well as the first-mentioned natural kingdoms, good for? For man, in reference to the manifold use which his Understanding teaches him to make of all these creatures. He is the ultimate purpose of creation here on earth, because he is the only being upon it who can form a concept of purposes, and who can by his Reason make out of an aggregate of purposively formed things a system of purposes.

    We might also with the chevalier Linnaeus123 go the apparently opposite way and say: The herbivorous animals are there to moderate the luxurious growth of the vegetable kingdom, by which many of its species are choked. The carnivora are to set bounds to the voracity of the herbivora. Finally man, by his pursuit of these and his diminution of their numbers, preserves a certain equilibrium between the producing and the destructive powers of nature. And so man, although in a certain reference he might be esteemed a purpose, yet in another has only the rank of a means.

    If an objective purposiveness in the variety of the genera of creatures and their external relations to one another, as purposively constructed beings, be made a principle, then it is conformable to Reason to conceive in these relations a certain organisation and a system of all natural kingdoms according to final causes. Only here experience seems flatly to contradict the maxims of Reason, especially as concerns an ultimate purpose of nature, which is indispensable for the possibility of such a system and which we can put nowhere else but in man. For regarding him as one of the many animal genera, nature has not in the least excepted him from its destructive or its productive powers, but has subjected everything to a mechanism thereof without any purpose.

    The first thing that must be designedly prepared in an arrangement for a purposive complex of natural beings on the earth would be their place of habitation, the soil and the element on and in which they are to thrive. But a more exact knowledge of the constitution of this basis of all organic production indicates no other causes than those working quite undesignedly, causes which rather destroy than favour production, order, and purposes. Land and sea not only contain in themselves memorials of ancient mighty desolations which have confounded them and all creatures that are in them; but their whole structure, the strata of the one and the boundaries of the other, have quite the appearance of being the product of the wild and violent forces of a nature working in a state of chaos. Although the figure, the structure, and the slope of the land might seem to be purposively ordered for the reception of water from the air, for the welling up of streams between strata of different kinds (for many kinds of products), and for the course of rivers—yet a closer investigation shows that they are merely the effects of volcanic eruptions or of inundations of the ocean, as regards not only the first production of this figure, but, above all, its subsequent transformation, as well as the disappearance of its first organic productions.124 Now if the place of habitation of all these creatures, the soil (of the land) or the bosom (of the sea), indicates nothing but a quite undesigned mechanism of its production, how and with what right can we demand and maintain a different origin for these latter products? The closest examination, indeed (in Camper’s125 judgement), of the remains of the aforesaid devastations of nature seems to show that man was not comprehended in these revolutions; but yet he is so dependent on the remaining creatures that, if a universally directing mechanism of nature be admitted in the case of the others, he must also be regarded as comprehended under it; even though his Understanding (for the most part at least) has been able to deliver him from these devastations.

    But this argument seems to prove more than was intended by it. It seems to prove not merely that man cannot be the ultimate purpose of nature, and that on the same grounds the aggregate of the organised things of nature on the earth cannot be a system of purposes; but also that the natural products formerly held to be natural purposes have no other origin than the mechanism of nature.

    But in the solution given above of the Antinomy of the principles of the mechanical and teleological methods of production of organic beings of nature, we have seen that they are merely principles of the reflective Judgement in respect of nature as it produces forms in accordance with particular laws (for the systematic connexion of which we have no key). They do not determine the origin of these beings in themselves; but only say that we, by the constitution of our Understanding and our Reason, cannot conceive it in this kind of being except according to final causes. The greatest possible effort, even audacity, in the attempt to explain them mechanically is not only permitted, but we are invited to it by Reason; notwithstanding that we know from the subjective grounds of the particular species and limitations of our Understanding (not e.g. because the mechanism of production would contradict in itself an origin according to purposes) that we can never attain thereto. Finally, the compatibility of both ways of representing the possibility of nature may lie in the supersensible principle of nature (external to us, as well as in us); whilst the method of representation according to final causes may be only a subjective condition of the use of our Reason, when it not merely wishes to form a judgement upon objects as phenomena, but desires to refer these phenomena together with their principles to their supersensible substrate, in order to find certain laws of their unity possible, which it cannot represent to itself except through purposes (of which the Reason also has such as are supersensible).

    § 83. Of the ultimate purpose of nature as a teleological system

    We have shown in the preceding that, though not for the determinant but for the reflective Judgement, we have sufficient cause for judging man to be, not merely like all organised beings a natural purpose, but also the ultimate purpose of nature here on earth; in reference to whom all other natural things constitute a system of purposes according to fundamental propositions of Reason. If now that must be found in man himself, which is to be furthered as a purpose by means of his connexion with nature, this purpose must either be of a kind that can be satisfied by nature in its beneficence; or it is the aptitude and skill for all kinds of purposes for which nature (external and internal) can be used by him. The first purpose of nature would be man’s happiness, the second his culture.

    The concept of happiness is not one that man derives by abstraction from his instincts and so deduces from his animal nature; but it is a mere Idea of a state, that he wishes to make adequate to the Idea under merely empirical conditions (which is impossible). This Idea he projects in such different ways on account of the complication of his Understanding with Imagination and Sense, and changes so often, that nature, even if it were entirely subjected to his elective will, could receive absolutely no determinate, universal and fixed law, so as to harmonise with this vacillating concept and thus with the purpose which each man arbitrarily sets before himself. And even if we reduce this to the true natural wants as to which our race is thoroughly agreed, or on the other hand, raise ever so high man’s skill to accomplish his imagined purposes; yet, even thus, what man understands by happiness, and what is in fact his proper, ultimate, natural purpose (not purpose of freedom), would never be attained by him. For it is not his nature to rest and be contented with the possession and enjoyment of anything whatever. On the other side, too, there is something wanting. Nature has not taken him for her special darling and favoured him with benefit above all animals. Rather, in her destructive operations,—plague, hunger, perils of waters, frost, assaults of other animals great and small, etc.,—in these things has she spared him as little as any other animal. Further, the inconsistency of his own natural dispositions drives him into self-devised torments, and also reduces others of his own race to misery, by the oppression of lordship, the barbarism of war, and so forth; he, himself, as far as in him lies, works for the destruction of his own race; so that even with the most beneficent external nature, its purpose, if it were directed to the happiness of our species, would not be attained in an earthly system, because our nature is not susceptible of it. Man is then always only a link in the chain of natural purposes; a principle certainly in respect of many purposes, for which nature seems to have destined him in her disposition, and towards which he sets himself, but also a means for the maintenance of purposiveness in the mechanism of the remaining links. As the only being on earth which has an Understanding and, consequently, a faculty of setting arbitrary purposes before itself, he is certainly entitled to be the lord of nature; and if it be regarded as a teleological system he is, by his destination, the ultimate purpose of nature. But this is subject to the condition of his having an Understanding and the Will to give to it and to himself such a reference to purposes, as can be self-sufficient independently of nature, and, consequently, can be a final purpose; which, however, must not be sought in nature itself.

    But in order to find out where in man we have to place that ultimate purpose of nature, we must seek out what nature can supply to prepare him for what he must do himself in order to be a final purpose, and we must separate it from all those purposes whose possibility depends upon things that one can expect only from nature. Of the latter kind is earthly happiness, by which is understood the complex of all man’s purposes possible through nature, whether external nature or man’s nature; i.e. the matter of all his earthly purposes, which, if he makes it his whole purpose, renders him incapable of positing his own existence as a final purpose, and being in harmony therewith. There remains therefore of all his purposes in nature only the formal subjective condition; viz. the aptitude of setting purposes in general before himself, and (independent of nature in his purposive determination) of using nature, conformably to the maxims of his free purposes in general, as a means. This nature can do in regard to the final purpose that lies outside it, and it therefore may be regarded as its ultimate purpose. The production of the aptitude of a rational being for arbitrary purposes in general (consequently in his freedom) is culture. Therefore, culture alone can be the ultimate purpose which we have cause for ascribing to nature in respect to the human race (not man’s earthly happiness or the fact that he is the chief instrument of instituting order and harmony in irrational nature external to himself).

    But all culture is not adequate to this ultimate purpose of nature. The culture of skill is indeed the chief subjective condition of aptitude for furthering one’s purposes in general; but it is not adequate to furthering the will126 in the determination and choice of purposes, which yet essentially belongs to the whole extent of an aptitude for purposes. The latter condition of aptitude, which we might call the culture of training (discipline), is negative, and consists in the freeing of the will from the despotism of desires. By these, tied as we are to certain natural things, we are rendered incapable even of choosing, while we allow those impulses to serve as fetters, which Nature has given us as guiding threads that we should not neglect or violate the destination of our animal nature—we being all the time free enough to strain or relax, to extend or diminish them, according as the purposes of Reason require.

    Skill cannot be developed in the human race except by means of inequality among men; for the great majority provide the necessities of life, as it were, mechanically, without requiring any art in particular, for the convenience and leisure of others who work at the less necessary elements of culture, science and art. In an oppressed condition they have hard work and little enjoyment, although much of the culture of the higher classes gradually spreads to them. Yet with the progress of this culture (the height of which is called luxury, reached when the propensity to what can be done without begins to be injurious to what is indispensable), their calamities increase equally in two directions, on the one hand through violence from without, on the other hand through internal discontent; but still this splendid misery is bound up with the development of the natural capacities of the human race, and the purpose of nature itself, although not our purpose, is thus attained. The formal condition under which nature can alone attain this its final design, is that arrangement of men’s relations to one another, by which lawful authority in a whole, which we call a civil community, is opposed to the abuse of their conflicting freedoms; only in this can the greatest development of natural capacities take place. For this also there would be requisite,—if men were clever enough to find it out and wise enough to submit themselves voluntarily to its constraint,—a cosmopolitan whole, i.e. a system of all states that are in danger of acting injuriously upon each other.127 Failing this, and with the obstacles which ambition, lust of dominion, and avarice, especially in those who have the authority in their hands, oppose even to the possibility of such a scheme, there is, inevitably, war (by which sometimes states subdivide and resolve themselves into smaller states, sometimes a state annexes other smaller states and strives to form a greater whole). Though war is an undesigned enterprise of men (stirred up by their unbridled passions), yet is it [perhaps]128 a deep-hidden and designed enterprise of supreme wisdom for preparing, if not for establishing, conformity to law amid the freedom of states, and with this a unity of a morally grounded system of those states. In spite of the dreadful afflictions with which it visits the human race, and the perhaps greater afflictions with which the constant preparation for it in time of peace oppresses them, yet is it (although the hope for a restful state of popular happiness is ever further off) a motive for developing all talents serviceable for culture, to the highest possible pitch.129

    As concerns the discipline of the inclinations,—for which our natural capacity in regard of our destination as an animal race is quite purposive, but which render the development of humanity very difficult,—there is manifest in respect of this second requirement for culture a purposive striving of nature to a cultivation which makes us receptive of higher purposes than nature itself can supply. We cannot strive against the preponderance of evil, which is poured out upon us by the refinement of taste pushed to idealisation, and even by the luxury of science as affording food for pride, through the insatiable number of inclinations thus aroused. But yet we cannot mistake the purpose of nature—ever aiming to win us away from the rudeness and violence of those inclinations (inclinations to enjoyment) which belong rather to our animality, and for the most part are opposed to the cultivation of our higher destiny, and to make way for the development of our humanity. The beautiful arts and the sciences which, by their universally-communicable pleasure, and by the polish and refinement of society, make man more civilised, if not morally better, win us in large measure from the tyranny of sense-propensions, and thus prepare men for a lordship, in which Reason alone shall have authority; whilst the evils with which we are visited, partly by nature, partly by the intolerant selfishness of men, summon, strengthen, and harden the powers of the soul not to submit to them, and so make us feel an aptitude for higher purposes, which lies hidden in us.130

    § 84. Of the final purpose of the existence of a world, i.e. of creation itself

    A final purpose is that purpose which needs no other as condition of its possibility.

    If the mere mechanism of nature be assumed as the ground of explanation of its purposiveness, we cannot ask: what are things in the world there for? For according to such an idealistic system it is only the physical possibility of things (to think which as purposes would be mere subtlety without any Object) that is under discussion; whether we refer this form of things to chance or to blind necessity, in either case the question would be vain. If, however, we assume the purposive combination in the world to be real and to be [brought about] by a particular kind of causality, viz. that of a designedly-working cause, we cannot stop at the question: why have things of the world (organised beings) this or that form? why are they placed by nature in this or that relation to one another? But once an Understanding is thought that must be regarded as the cause of the possibility of such forms as are actually found in things, it must be also asked on objective grounds: Who could have determined this productive Understanding to an operation of this kind? This being is then the final purpose in reference to which such things are there.

    I have said above that the final purpose is not a purpose which nature would be competent to bring about and to produce in conformity with its Idea, because it is unconditioned. For there is nothing in nature (regarded as a sensible being) for which the determining ground present in itself would not be always conditioned; and this holds not merely of external (material) nature, but also of internal (thinking) nature—it being of course understood that I only am considering that in myself which is nature. But a thing that is to exist necessarily, on account of its objective constitution, as the final purpose of an intelligent cause, must be of the kind that in the order of purposes it is dependent on no further condition than merely its Idea.

    Now we have in the world only one kind of beings whose causality is teleological, i.e. is directed to purposes and is at the same time so constituted that the law according to which they have to determine purposes for themselves is represented as unconditioned and independent of natural conditions, and yet as in itself necessary. The being of this kind is man, but man considered as noumenon; the only natural being in which we can recognise, on the side of its peculiar constitution, a supersensible faculty (freedom) and also the law of causality, together with its Object, which this faculty may propose to itself as highest purpose (the highest good in the world).

    Now of man (and so of every rational creature in the World) as a moral being it can no longer be asked: why (quem in finem) he exists? His existence involves the highest purpose to which, as far as is in his power, he can subject the whole of nature; contrary to which at least he cannot regard himself as subject to any influence of nature.—If now things of the world, as beings dependent in their existence, need a supreme cause acting according to purposes, man is the final purpose of creation; since without him the chain of mutually subordinated purposes would not be complete as regards its ground. Only in man, and only in him as subject of morality, do we meet with unconditioned legislation in respect of purposes, which therefore alone renders him capable of being a final purpose, to which the whole of nature is teleologically subordinated.131

    § 85. Of Physico-theology

    Physico-theology is the endeavour of Reason to infer the Supreme Cause of nature and its properties from the purposes of nature (which can only be empirically known). Moral theology (ethico-theology) would be the endeavour to infer that Cause and its properties from the moral purpose of rational beings in nature (which can be known a priori).

    The former naturally precedes the latter. For if we wish to infer a World Cause teleologically from the things in the world, purposes of nature must first be given, for which we afterwards have to seek a final purpose, and for this the principle of the causality of this Supreme Cause.

    Many investigations of nature can and must be conducted according to the teleological principle, without our having cause to inquire into the ground of the possibility of purposive working with which we meet in various products of nature. But if we wish to have a concept of this we have absolutely no further insight into it than the maxim of the reflective Judgement affords: viz. if only a single organic product of nature were given to us, by the constitution of our cognitive faculty we could think no other ground for it than that of a cause of nature itself (whether the whole of nature or only this bit of it) which contains the causality for it through Understanding. This principle of judging, though it does not bring us any further in the explanation of natural things and their origin, yet discloses to us an outlook over nature, by which perhaps we may be able to determine more closely the concept, otherwise so unfruitful, of an Original Being.

    Now I say that Physico-theology, however far it may be pursued, can disclose to us nothing of a final purpose of creation; for it does not even extend to the question as to this. It can, it is true, justify the concept of an intelligent World Cause, as a subjective concept (only available for the constitution of our cognitive faculty) of the possibility of things that we can make intelligible to ourselves according to purposes; but it cannot determine this concept further, either in a theoretical or a practical point of view. Its endeavour does not come up to its design of being the basis of a Theology, but it always remains only a physical Teleology; because the purposive reference therein is and must be always considered only as conditioned in nature, and it consequently cannot inquire into the purpose for which nature itself exists (for which the ground must be sought outside nature),—notwithstanding that it is upon the determinate Idea of this that the determinate concept of that Supreme Intelligent World Cause, and the consequent possibility of a Theology, depend.

    What the things in the world are mutually useful for; what good the manifold in a thing does for the thing; how we have ground to assume that nothing in the world is in vain, but that everything in nature is good for something,—the condition being granted that certain things are to exist (as purposes), whence our Reason has in its power for the Judgement no other principle of the possibility of the Object, which it inevitably judges teleologically, than that of subordinating the mechanism of nature to the Architectonic of an intelligent Author of the world—all this the teleological consideration of the world supplies us with excellently and to our extreme admiration. But because the data, and so the principles, for determining that concept of an intelligent World Cause (as highest artist) are merely empirical, they do not enable us to infer any of its properties beyond those which experience reveals in its effects. Now experience, since it can never embrace collective nature as a system, must often (apparently) happen upon this concept (and by mutually conflicting grounds of proof); but it can never, even if we had the power of surveying empirically the whole system as far as it concerns mere nature, raise us above nature to the purpose of its existence, and so to the determinate concept of that supreme Intelligence.

    If we lessen the problem with the solution of which Physico-theology has to do, its solution appears easy. If we reduce the concept of a Deity to that of an intelligent being thought by us, of which there may be one or more, which possesses many and very great properties, but not all the properties which are requisite for the foundation of a nature in harmony with the greatest possible purpose; or if we do not scruple in a theory to supply by arbitrary additions what is deficient in the grounds of proof, and so, where we have only ground for assuming much perfection (and what is “much” for us?), consider ourselves entitled to presuppose all possible perfection; thus indeed physical Teleology may make weighty claims to the distinction of being the basis of a Theology. But if we are desired to point out what impels and moreover authorises us to add these supplements, then we shall seek in vain for a ground of justification in the principles of the theoretical use of Reason, which is ever desirous in the explanation of an Object of experience to ascribe to it no more properties than those for which empirical data of possibility are to be found. On closer examination we should see that properly speaking an Idea of a Supreme Being, which rests on a quite different use of Reason (the practical use), lies in us fundamentally a priori, impelling us to supplement, by the concept of a Deity, the defective representation, supplied by a physical Teleology, of the original ground of the purposes in nature; and we should not falsely imagine that we had worked out this Idea, and with it a Theology by means of the theoretical use of Reason in the physical cognition of the world—much less that we had proved its reality.

    One cannot blame the ancients much, if they thought of their gods as differing much from each other both as regards their faculties and as regards their designs and volitions, but yet thought of all of them, the Supreme One not excepted, as always limited after human fashion. For if they considered the arrangement and the course of things in nature, they certainly found ground enough for assuming something more than mechanism as its cause, and for conjecturing behind the machinery of this world designs of certain higher causes, which they could not think otherwise than superhuman. But because they met with good and evil, the purposive and the unpurposive, mingled together (at least as far as our insight goes), and could not permit themselves to assume nevertheless that wise and benevolent purposes of which they saw no proof lay hidden at bottom, on behalf of the arbitrary Idea of a supremely perfect original Author, their judgement upon the supreme World Cause could hardly have been other than it was, so long as they proceeded consistently according to maxims of the mere theoretical use of Reason. Others, who wished to be theologians as well as physicists, thought to find contentment for the Reason by providing for the absolute unity of the principle of natural things which Reason demands, the Idea of a Being of which as sole Substance the things would be all only inherent determinations. This Substance would not be Cause of the World by means of intelligence, but in it all the intelligences of the beings in the world would be comprised. This Being consequently would produce nothing according to purposes; but in it all things, on account of the unity of the subject of which they are mere determinations, must necessarily relate themselves purposively to one another, though without purpose and design. Thus they introduced the Idealism of final causes, by changing the unity (so difficult to explain) of a number of purposively combined substances, from being the unity of causal dependence on one Substance to be the unity of inherence in one. This system—which in the sequel, considered on the side of the inherent world beings, becomes Pantheism, and (later) on the side of the Subject subsisting by itself as Original Being, becomes Spinozism,—does not so much resolve as explain away into nothing the question of the first ground of the purposiveness of nature; because this latter concept, bereft of all reality, must be taken for a mere misinterpretation of a universal ontological concept of a thing in general.

    Hence the concept of a Deity, which would be adequate for our teleological judging of nature, can never be derived from mere theoretical principles of the use of Reason (on which Physico-theology alone is based). For as one alternative we may explain all Teleology as a mere deception of the Judgement in its judging of the causal combination of things, and fly to the sole principle of a mere mechanism of nature, which merely seems to us, on account of the unity of the Substance of whose determinations nature is but the manifold, to contain a universal reference to purposes. Or if, instead of this Idealism of final causes, we wish to remain attached to the principle of the Realism of this particular kind of causality, we may set beneath natural purposes many intelligent original beings or only a single one. But so far as we have for the basis of this concept [of Realism] only empirical principles derived from the actual purposive combination in the world, we cannot on the one hand find any remedy for the discordance that nature presents in many examples in respect of unity of purpose; and on the other hand, as to the concept of a single intelligent Cause, so far as we are authorised by mere experience, we can never draw it therefrom in a manner sufficiently determined for any serviceable Theology whatever (whether theoretical or practical).

    Physical Teleology impels us, it is true, to seek a Theology; but it cannot produce one, however far we may investigate nature by means of experience and, in reference to the purposive combination apparent in it, call in Ideas of Reason (which must be theoretical for physical problems). What is the use, one might well complain, of placing at the basis of all these arrangements a great Understanding incommensurable by us, and supposing it to govern the world according to design, if nature does not and cannot tell us anything of the final design? For without this we cannot refer all these natural purposes to any common point, nor can we form any teleological principle, sufficient either for cognising the purposes collected in a system, or for forming a concept of the Supreme Understanding, as Cause of such a nature, that could serve as a standard for our Judgement reflecting teleologically thereon. I should thus have an artistic Understanding for scattered purposes, but no Wisdom for a final purpose, in which final purpose nevertheless must be contained the determining ground of the said Understanding. But in the absence of a final purpose which pure Reason alone can supply (because all purposes in the world are empirically conditioned, and can contain nothing absolutely good but only what is good for this or that regarded as a contingent design), and which alone would teach me what properties, what degree, and what relation of the Supreme Cause to nature I have to think in order to judge of nature as a teleological system; how and with what right do I dare to extend at pleasure my very limited concept of that original Understanding (which I can base on my limited knowledge of the world), of the Might of that original Being in actualising its Ideas, and of its Will to do so, and complete this into the Idea of an Allwise, Infinite Being? If this is to be done theoretically, it would presuppose omniscience in me, in order to see into the purposes of nature in their whole connexion, and in addition the power of conceiving all possible plans, in comparison with which the present plan would be judged on [sufficient] grounds as the best. For without this complete knowledge of the effect I can arrive at no determinate concept of the Supreme Cause, which can only be found in the concept of an Intelligence infinite in every respect, i.e. the concept of a Deity, and so I can supply no foundation for Theology.

    Hence, with every possible extension of physical Teleology, according to the propositions above laid down we may say: By the constitution and the principles of our cognitive faculty we can think of nature, in its purposive arrangements which have become known to us, in no other way than as the product of an Understanding to which it is subject. But the theoretical investigation of nature can never reveal to us whether this Understanding may not also, with the whole of nature and its production, have had a final design (which would not lie in the nature of the sensible world). On the contrary, with all our knowledge of nature it remains undecided whether that Supreme Cause is its original ground according to a final purpose, or not rather by means of an Understanding determined by the mere necessity of its nature to produce certain forms (according to the analogy of what we call the art-instinct in animals); without it being necessary to ascribe to it even wisdom, much less the highest wisdom combined with all other properties requisite for the perfection of its product.

    Hence Physico-theology is a misunderstood physical Teleology, only serviceable as a preparation (propaedeutic) for Theology; and it is only adequate to this design by the aid of a foreign principle on which it can rely, and not in itself, as its name would intimate.

    § 86. Of Ethico-theology

    The commonest Understanding, if it thinks over the presence of things in the world, and the existence of the world itself, cannot forbear from the judgement that all the various creatures, no matter how great the art displayed in their arrangement, and how various their purposive mutual connexion,—even the complex of their numerous systems (which we incorrectly call worlds),—would be for nothing, if there were not also men (rational beings in general). Without men the whole creation would be a mere waste, in vain, and without final purpose. But it is not in reference to man’s cognitive faculty (theoretical Reason) that the being of everything else in the world gets its worth; he is not there merely that there may be some one to contemplate the world. For if the contemplation of the world only afforded a representation of things without any final purpose, no worth could accrue to its being from the mere fact that it is known; we must presuppose for it a final purpose, in reference to which its contemplation itself has worth. Again it is not in reference to the feeling of pleasure, or to the sum of pleasures, that we think a final purpose of creation as given; i.e. we do not estimate that absolute worth by well-being or by enjoyment (whether bodily or mental), or in a word, by happiness. For the fact that man, if he exists, takes this for his final design, gives us no concept as to why in general he should exist, and as to what worth he has in himself to make his existence pleasant. He must, therefore, be supposed to be the final purpose of creation, in order to have a rational ground for holding that nature must harmonise with his happiness, if it is considered as an absolute whole according to principles of purposes.—Hence there remains only the faculty of desire; not, however, that which makes man dependent (through sensuous impulses) upon nature, nor that in respect of which the worth of his being depends upon what he receives and enjoys. But the worth which he alone can give to himself, and which consists in what he does, how and according to what principles he acts, and that not as a link in nature’s chain but in the freedom of his faculty of desire—i.e. a good will—is that whereby alone his being can have an absolute worth, and in reference to which the being of the world can have a final purpose.

    The commonest judgement of healthy human Reason completely accords with this, that it is only as a moral being that man can be a final purpose of creation; if we but direct men’s attention to the question and incite them to investigate it. What does it avail, one will say, that this man has so much talent, that he is so active therewith, and that he exerts thereby a useful influence over the community, thus having a great worth both in relation to his own happy condition and to the benefit of others, if he does not possess a good will? He is a contemptible Object considered in respect of his inner self; and if the creation is not to be without any final purpose at all, he, who as man belongs to it, must, in a world under moral laws, inasmuch as he is a bad man, forfeit his subjective purpose (happiness). This is the only condition under which his existence can accord with the final purpose.

    If now we meet with purposive arrangements in the world and, as Reason inevitably requires, subordinate the purposes that are only conditioned to an unconditioned, supreme, i.e. final, purpose; then we easily see in the first place that we are thus concerned not with a purpose of nature (internal to itself), so far as it exists, but with the purpose of its existence along with all its ordinances, and, consequently, with the ultimate purpose of creation, and specially with the supreme condition under which can be posited a final purpose (i.e. the ground which determines a supreme Understanding to produce the beings of the world).

    Since now it is only as a moral being that we recognise man as the purpose of creation, we have in the first place a ground (at least, the chief condition) for regarding the world as a whole connected according to purposes, and as a system of final causes. And, more especially, as regards the reference (necessary for us by the constitution of our Reason) of natural purposes to an intelligent World Cause, we have one principle enabling us to think the nature and properties of this First Cause as supreme ground in the kingdom of purposes, and to determine its concept. This physical Teleology could not do; it could only lead to indeterminate concepts thereof, unserviceable alike in theoretical and in practical use.

    From the principle, thus determined, of the causality of the Original Being we must not think Him merely as Intelligence and as legislative for nature, but also as legislating supremely in a moral kingdom of purposes. In reference to the highest good, alone possible under His sovereignty, viz. the existence of rational beings under moral laws, we shall think this Original Being as all-knowing: thus our inmost dispositions (which constitute the proper moral worth of the actions of rational beings of the world) will not be hid from Him. We shall think Him as all-mighty: thus He will be able to make the whole of nature accord with this highest purpose. We shall think Him as all-good, and at the same time as just: because these two properties (which when united constitute Wisdom) are the conditions of the causality of a supreme Cause of the world, as highest good, under moral laws. So also all the other transcendental properties, such as Eternity, Omnipresence, etc. [for goodness and justice are moral properties132], which are presupposed in reference to such a final purpose, must be thought in Him.—In this way moral Teleology supplies the deficiency in physical Teleology, and first establishes a Theology; because the latter, if it did not borrow from the former without being observed, but were to proceed consistently, could only found a Demonology, which is incapable of any definite concept.

    But the principle of the reference of the world to a supreme Cause, as Deity, on account of the moral purposive destination of certain beings in it, does not accomplish this by completing the physico-teleological ground of proof and so taking this necessarily as its basis. It is sufficient in itself and directs attention to the purposes of nature and the investigation of that incomprehensible great art lying hidden behind its forms, in order to confirm incidentally by means of natural purposes the Ideas that pure practical Reason furnishes. For the concept of beings of the world under moral laws is a principle (a priori) according to which man must of necessity judge himself. Further, if there is in general a World Cause acting designedly and directed towards a purpose, this moral relation must be just as necessarily the condition of the possibility of a creation, as that in accordance with physical laws (if, that is, this intelligent Cause has also a final purpose). This is regarded a priori by Reason as a necessary fundamental proposition for it in its teleological judging of the existence of things. It now only comes to this, whether we have sufficient ground for Reason (either speculative or practical) to ascribe to the supreme Cause, acting in accordance with purposes, a final purpose. For it may a priori be taken by us as certain that this, by the subjective constitution of our Reason and even of the Reason of other beings as far as we can think it, can be nothing else than man under moral laws: since otherwise the purposes of nature in the physical order could not be known a priori, especially as it can in no way be seen that nature could not exist without such purposes.

    Remark

    Suppose the case of a man at the moment when his mind is disposed to a moral sensation. If surrounded by the beauties of nature, he is in a state of restful, serene enjoyment of his being, he feels a want, viz. to be grateful for this to some being or other. Or if another time he finds himself in the same state of mind when pressed by duties that he can and will only adequately discharge by a voluntary sacrifice, he again feels in himself a want, viz. to have thus executed a command and obeyed a Supreme Lord. Or, again; if he has in some heedless way transgressed his duty, but without becoming answerable to men, his severe self-reproach will speak to him with the voice of a judge to whom he has to give account. In a word, he needs a moral Intelligence, in order to have a Being for the purpose of his existence, which may be, conformably to this purpose, the cause of himself and of the world. It is vain to assign motives behind these feelings, for they are immediately connected with the purest moral sentiment, because gratitude, obedience, and humiliation (submission to deserved chastisement) are mental dispositions that make for duty; and the mind which is inclined towards a widening of its moral sentiment here only voluntarily conceives an object that is not in the world in order where possible to render its duty before such an one. It is therefore at least possible and grounded too in our moral disposition to represent a pure moral need of the existence of a Being, by which our morality gains strength or even (at least according to our representation) more scope, viz. a new object for its exercise. That is, [there is a need] to assume a morally-legislating Being outside the world, without any reference to theoretical proofs, still less to self-interest, from pure moral grounds free from all foreign influence (and consequently only subjective), on the mere recommendation of a pure practical Reason legislating by itself alone. And although such a mental disposition might seldom occur or might not last long, but be transient and without permanent effect, or might even pass away without any meditation on the object represented in such shadowy outline, or without care to bring it under clear concepts—there is yet here unmistakably the ground why our moral capacity, as a subjective principle, should not be contented in its contemplation of the world with its purposiveness by means of natural causes, but should ascribe to it a supreme Cause governing nature according to moral principles.—In addition, we feel ourselves constrained by the moral law to strive for a universal highest purpose which yet we, in common with the rest of nature, are incapable of attaining; and it is only so far as we strive for it that we can judge ourselves to be in harmony with the final purpose of an intelligent World Cause (if such there be). Thus is found a pure moral ground of practical Reason for assuming this Cause (since it can be done without contradiction), in order that we may no more regard that effort of Reason as quite idle, and so run the risk of abandoning it from weariness.

    With all this, so much only is to be said, that though fear first produces gods (demons), it is Reason by means of its moral principles that can first produce the concept of God (even when, as commonly is the case, one is unskilled in the Teleology of nature, or is very doubtful on account of the difficulty of adjusting by a sufficiently established principle its mutually contradictory phenomena). Also, the inner moral purposive destination of man’s being supplies that in which natural knowledge is deficient, by directing us to think, for the final purpose of the being of all things (for which no other principle than an ethical one is satisfactory to Reason), the supreme Cause [as endowed] with properties, whereby it is able to subject the whole of nature to that single design (for which nature is merely the instrument),—i.e. to think it as a Deity.

    § 87. Of the moral proof of the Being of God

    There is a physical Teleology, which gives sufficient ground of proof to our theoretical reflective Judgement to assume the being of an intelligent World-Cause. But we find also in ourselves and still more in the concept of a rational being in general endowed with freedom (of his causality) a moral Teleology. However, as the purposive reference, together with its law, is determined a priori in ourselves and therefore can be cognised as necessary, this internal conformity to law requires no intelligent cause external to us; any more than we need look to a highest Understanding as the source of the purposiveness (for every possible exercise of art) that we find in the geometrical properties of figures. But this moral Teleology concerns us as beings of the world, and therefore as beings bound up with other things in the world; upon which latter, whether as purposes or as objects in respect of which we ourselves are final purpose, the same moral laws require us to pass judgement. This moral Teleology, then, has to do with the reference of our own causality to purposes and even to a final purpose that we must aim at in the world, as well as with the reciprocal reference of the world to that moral purpose, and the external possibility of its accomplishment (to which no physical Teleology can lead us). Hence the question necessarily arises, whether it compels our rational judgement to go beyond the world and seek an intelligent supreme principle for that reference of nature to the moral in us; in order to represent nature as purposive even in reference to our inner moral legislation and its possible accomplishment. There is therefore certainly a moral Teleology, which is connected on the one hand with the nomothetic of freedom and on the other with that of nature; just as necessarily as civil legislation is connected with the question where the executive authority is to be sought, and in general in every case [with the question] wherein Reason is to furnish a principle of the actuality of a certain regular order of things only possible according to Ideas.— We shall first set forth the progress of Reason from that moral Teleology and its reference to physical, to Theology; and then make some observations upon the possibility and the validity of this way of reasoning.

    If we assume the being of certain things (or even only certain forms of things) to be contingent and so to be possible only through something else which is their cause, we may seek for the unconditioned ground of this causality of the supreme (and so of the conditioned) either in the physical or the teleological order (either according to the nexus effectivus or the nexus finalis). That is, we may either ask, what is the supreme productive cause of these things; or what is their supreme (absolutely unconditioned) purpose, i.e. the final purpose of that cause in its production of this or all its products generally? In the second case it is plainly presupposed that this cause is capable of representing purposes to itself, and consequently is an intelligent Being; at least it must be thought as acting in accordance with the laws of such a being.

    If we follow the latter order, it is a Fundamental Proposition to which even the commonest human Reason is compelled to give immediate assent, that if there is to be in general a final purpose furnished a priori by Reason, this can be no other than man (every rational being of the world) under moral laws.133 For (and so every one judges) if the world consisted of mere lifeless, or even in part of living but irrational, beings, its existence would have no worth because in it there would be no being who would have the least concept of what worth is. Again, if there were intelligent beings, whose Reason were only able to place the worth of the existence of things in the relation of nature to themselves (their well-being), but not to furnish of itself an original worth (in freedom), then there would certainly be (relative) purposes in the world, but no (absolute) final purpose, because the existence of such rational beings would be always purposeless. But the moral laws have this peculiar characteristic that they prescribe to Reason something as a purpose without any condition, and consequently exactly as the concept of a final purpose requires. The existence of a Reason that can be for itself the supreme law in the purposive reference, in other words the existence of rational beings under moral laws, can therefore alone be thought as the final purpose of the being of a world. If on the contrary this be not so, there would be either no purpose at all in the cause of its being, or there would be purposes, but no final purpose.

    The moral law as the formal rational condition of the use of our freedom obliges us by itself alone, without depending on any purpose as material condition; but it nevertheless determines for us, and indeed a priori, a final purpose towards which it obliges us to strive; and this purpose is the highest good in the world possible through freedom.

    The subjective condition under which man (and, according to all our concepts, every rational finite being) can set a final purpose before himself under the above law is happiness. Consequently, the highest physical good possible in the world, to be furthered as a final purpose as far as in us lies, is happiness, under the objective condition of the harmony of man with the law of morality as worthiness to be happy.

    But it is impossible for us in accordance with all our rational faculties to represent these two requirements of the final purpose proposed to us by the moral law, as connected by merely natural causes, and yet as conformable to the Idea of that final purpose. Hence the concept of the practical necessity of such a purpose through the application of our powers does not harmonise with the theoretical concept of the physical possibility of working it out, if we connect with our freedom no other causality (as a means) than that of nature.

    Consequently, we must assume a moral World-Cause (an Author of the world), in order to set before ourselves a final purpose consistently with the moral law; and in so far as the latter is necessary, so far (i.e. in the same degree and on the same ground) the former also must be necessarily assumed; i.e. we must admit that there is a God.134

    This proof, to which we can easily give the form of logical precision, does not say: it is as necessary to assume the Being of God as to recognise the validity of the moral law; and consequently he who cannot convince himself of the first, can judge himself free from the obligations of the second. No! there must in such case only be given up the aiming at the final purpose in the world, to be brought about by the pursuit of the second (viz. a happiness of rational beings in harmony with the pursuit of moral laws, regarded as the highest good). Every rational being would yet have to cognise himself as straitly bound by the precepts of morality, for its laws are formal and command unconditionally without respect to purposes (as the matter of volition). But the one requisite of the final purpose, as practical Reason prescribes it to beings of the world, is an irresistible purpose imposed on them by their nature (as finite beings), which Reason wishes to know as subject only to the moral law as inviolable condition, or even as universally set up in accordance with it. Thus Reason takes for final purpose the furthering of happiness in harmony with morality. To further this so far as is in our power (i.e. in respect of happiness) is commanded us by the moral law; be the issue of this endeavour what it may. The fulfilling of duty consists in the form of the earnest will, not in the intermediate causes of success.

    Suppose then that partly through the weakness of all the speculative arguments so highly extolled, and partly through many irregularities in nature and the world of sense which come before him, a man is persuaded of the proposition, There is no God; he would nevertheless be contemptible in his own eyes if on that account he were to imagine the laws of duty as empty, invalid and inobligatory, and wished to resolve to transgress them boldly. Such an one, even if he could be convinced in the sequel of that which he had doubted at the first, would always be contemptible while having such a disposition, although he should fulfil his duty as regards its [external] effect as punctiliously as could be desired, for [he would be acting] from fear or from the aim at recompense, without the sentiment of reverence for duty. If, conversely, as a believer [in God] he performs his duty according to his conscience, uprightly and disinterestedly, and nevertheless believes that he is free from all moral obligation so soon as he is convinced that there is no God, this could accord but badly with an inner moral disposition.

    We may then suppose the case of a righteous man [e.g. Spinoza],135 who holds himself firmly persuaded that there is no God, and also (because in respect of the Object of morality a similar consequence results) no future life; how is he to judge of his own inner purposive destination, by means of the moral law, which he reveres in practice? He desires no advantage to himself from following it, either in this or another world; he wishes, rather, disinterestedly to establish the good to which that holy law directs all his powers. But his effort is bounded; and from nature, although he may expect here and there a contingent accordance, he can never expect a regular harmony agreeing according to constant rules (such as his maxims are and must be, internally), with the purpose that he yet feels himself obliged and impelled to accomplish. Deceit, violence, and envy will always surround him, although he himself be honest, peaceable, and kindly; and the righteous men with whom he meets will, notwithstanding all their worthiness of happiness, be yet subjected by nature which regards not this, to all the evils of want, disease, and untimely death, just like the beasts of the earth. So it will be until one wide grave engulfs them together (honest or not, it makes no difference), and throws them back—who were able to believe themselves the final purpose of creation—into the abyss of the purposeless chaos of matter from which they were drawn.— The purpose, then, which this well-intentioned person had and ought to have before him in his pursuit of moral laws, he must certainly give up as impossible. Or else, if he wishes to remain dependent upon the call of his moral internal destination, and not to weaken the respect with which the moral law immediately inspires him, by assuming the nothingness of the single, ideal, final purpose adequate to its high demand (which cannot be brought about without a violation of moral sentiment), he must, as he well can—since there is at least no contradiction from a practical point of view in forming a concept of the possibility of a morally prescribed final purpose—assume the being of a moral author of the world, that is, a God.

    § 88. Limitation of the validity of the moral proof

    Pure Reason, as a practical faculty, i.e. as the faculty of determining the free use of our causality by Ideas (pure rational concepts), not only comprises in the moral law a regulative principle of our actions, but supplies us at the same time with a subjective constitutive principle in the concept of an Object which Reason alone can think, and which is to be actualised by our actions in the world according to that law. The Idea of a final purpose in the employment of freedom according to moral laws has therefore subjective practical reality. We are a priori determined by Reason to promote with all our powers the summum bonum [Weltbeste] which consists in the combination of the greatest welfare of rational beings with the highest condition of the good in itself, i.e. in universal happiness conjoined with morality most accordant to law. In this final purpose the possibility of one part, happiness, is empirically conditioned, i.e. dependent on the constitution of nature (which may or may not agree with this purpose) and is in a theoretical aspect problematical; whilst the other part, morality, in respect of which we are free from the effects of nature, stands fast a priori as to its possibility, and is dogmatically certain. It is then requisite for the objective theoretical reality of the concept of the final purpose of rational beings, that we should not only have a priori presupposed a final purpose for ourselves, but also that the creation, i.e. the world itself, should have as regards its existence a final purpose, which if it could be proved a priori would add objectivity to the subjective reality of the final purpose [of rational beings]. For if the creation has on the whole a final purpose, we cannot think it otherwise than as harmonising with the moral purpose (which alone makes the concept of a purpose possible). Now we find without doubt purposes in the world, and physical Teleology exhibits them in such abundance, that if we judge in accordance with Reason, we have ground for assuming as a principle in the investigation of nature that nothing in nature is without a purpose; but the final purpose of nature we seek there in vain. This can and must therefore, as its Idea only lies in Reason, be sought as regards its objective possibility only in rational beings. And the practical Reason of these latter not only supplies this final purpose; it also determines this concept in respect of the conditions under which alone a final purpose of creation can be thought by us.

    The question is now, whether the objective reality of the concept of a final purpose of creation cannot be exhibited adequately to the theoretical requirements of pure Reason—if not apodictically for the determinant Judgement yet adequately for the maxims of the theoretical reflective Judgement? This is the least one could expect from theoretical philosophy, which undertakes to combine the moral purpose with natural purposes by means of the Idea of one single purpose; but yet this little is far more than it can accomplish.

    According to the principle of the theoretical reflective Judgement we should say: if we have ground for assuming for the purposive products of nature a supreme Cause of nature—whose causality in respect of the actuality of creation is of a different kind from that required for the mechanism of nature, i.e. must be thought as the causality of an Understanding—we have also sufficient ground for thinking in this original Being not merely the purposes everywhere in nature but also a final purpose. This is not indeed a final purpose by which we can explain the presence of such a Being, but one of which we may at least convince ourselves (as was the case in physical Teleology) that we can make the possibility of such a world conceivable, not merely according to purposes, but only through the fact that we ascribe to its existence a final purpose.

    But a final purpose is merely a concept of our practical Reason, and can be inferred from no data of experience for the theoretical judging of nature, nor can it be applied to the cognition of nature. No use of this concept is possible except its use for practical Reason according to moral laws; and the final purpose of creation is that constitution of the world which harmonises with that which alone we can put forward definitely according to laws, viz. the final purpose of our pure practical Reason, in so far as it is to be practical.— Now we have in the moral law, which enjoins on us in a practical point of view the application of our powers to the accomplishment of this final purpose, a ground for assuming its possibility and practicability, and consequently too (because without the concurrence of nature with a condition not in our power, its accomplishment would be impossible) a nature of things harmonious with it. Hence we have a moral ground for thinking in a world also a final purpose of creation.

    We have not yet advanced from moral Teleology to a Theology, i.e. to the being of a moral Author of the world, but only to a final purpose of creation which is determined in this way. But in order to account for this creation, i.e. the existence of things, in accordance with a final purpose, we must assume not only first an intelligent Being (for the possibility of things of nature which we are compelled to judge of as purposes), but also a moral Being, as author of the world, i.e. a God. This second conclusion is of such a character that we see it holds merely for the Judgement according to concepts of practical Reason, and as such for the reflective and not the determinant Judgement. It is true that in us morally practical Reason is essentially different in its principles from technically practical Reason. But we cannot assume that it must be so likewise in the supreme World-Cause, regarded as Intelligence, and that a peculiar mode of its causality is requisite for the final purpose, different from that which is requisite merely for purposes of nature. We cannot therefore assume that in our final purpose we have not merely a moral ground for admitting a final purpose of creation (as an effect), but also for admitting a moral Being as the original ground of creation. But we may well say, that, according to the constitution of our rational faculty, we cannot comprehend the possibility of such a purposiveness in respect of the moral law, and its Object, as there is in this final purpose, apart from an Author and Governor of the world, who is at the same time its moral Lawgiver.

    The actuality of a highest morally-legislating Author is therefore sufficiently established merely for the practical use of our Reason, without determining anything theoretically as regards its being. For Reason requires, in respect of the possibility of its purpose, which is given to us independently by its own legislation, an Idea through which the inability to follow up this purpose, according to the mere natural concepts of the world, is removed (sufficiently for the reflective Judgement). Thus this Idea gains practical reality, although all means of creating such for it in a theoretical point of view, for the explanation of nature and determination of the supreme Cause, are entirely wanting for speculative cognition. For the theoretical reflective Judgement physical Teleology sufficiently proves from the purposes of nature an intelligent World-Cause; for the practical Judgement moral Teleology establishes it by the concept of a final purpose, which it is forced to ascribe to creation in a practical point of view. The objective reality of the Idea of God, as moral Author of the world, cannot, it is true, be established by physical purposes alone. But nevertheless, if the cognition of these purposes is combined with that of the moral purpose, they are, by virtue of the maxim of pure Reason which bids us seek unity of principles so far as is possible, of great importance for the practical reality of that Idea, by bringing in the reality which it has for the Judgement in a theoretical point of view.

    To prevent a misunderstanding which may easily arise, it is in the highest degree needful to remark that, in the first place, we can think these properties of the highest Being only according to analogy. How indeed could we explore the nature of that, to which experience can show us nothing similar? Secondly, in this way we only think the supreme Being; we cannot thereby cognise Him and ascribe anything theoretically to Him. It would be needful for the determinant Judgement in the speculative aspect of our Reason, to consider what the supreme World-Cause is in Himself. But here we are only concerned with the question what concept we can form of Him, according to the constitution of our cognitive faculties; and whether we have to assume His existence in order merely to furnish practical reality to a purpose, which pure Reason without any such presupposition enjoins upon us a priori to bring about with all our powers, i.e. in order to be able to think as possible a designed effect. Although that concept may be transcendent for the speculative Reason, and the properties which we ascribe to the Being thereby thought may, objectively used, conceal an anthropomorphism in themselves; yet the design of its use is not to determine the nature of that Being which is unattainable by us, but to determine ourselves and our will accordingly. We may call a cause after the concept which we have of its effect (though only in reference to this relation), without thereby meaning to determine internally its inner constitution, by means of the properties which can be made known to us solely by similar causes and must be given in experience. For example, amongst other properties we ascribe to the soul a vis locomotiva because bodily movements actually arise whose cause lies in the representation of them; without therefore meaning to ascribe to it the only mode [of action] that we know in moving forces (viz. by attraction, pressure, impulse, and consequently motion, which always presuppose an extended being). Just so we must assume something, which contains the ground of the possibility and practical reality, i.e. the practicability, of a necessary moral final purpose; but we can think of this, in accordance with the character of the effect expected of it, as a wise Being governing the world according to moral laws, and, conformably to the constitution of our cognitive faculties, as a cause of things distinct from nature, only in order to express the relation of this Being (which transcends all our cognitive faculties) to the Objects of our practical Reason. We do not pretend thus to ascribe to it theoretically the only causality of this kind known to us, viz. an Understanding and a Will: we do not even pretend to distinguish objectively the causality thought in this Being, as regards what is for us final purpose, from the causality thought in it as regards nature (and its purposive determinations in general). We can only assume this distinction as subjectively necessary by the constitution of our cognitive faculties, and as valid for the reflective, not for the objectively determinant Judgement. But if we come to practice, then such a regulative principle (of prudence or wisdom) [commanding us] to act conformably to that as purpose, which by the constitution of our cognitive faculties can only be thought as possible in a certain way, is at the same constitutive, i.e. practically determinant. Nevertheless, as a principle for judging of the objective possibility of things, it is no way theoretically determinant (i.e. it does not say that the only kind of possibility which belongs to the Object is that which belongs to our thinking faculty), but is a mere regulative principle for the reflective Judgement.

    Remark

    This moral proof is not one newly discovered, although perhaps its basis is newly set forth; since it has lain in man’s rational faculty from its earliest germ, and is only continually developed with its advancing cultivation. So soon as men begin to reflect upon right and wrong—at a time when, quite indifferent as to the purposiveness of nature, they avail themselves of it without thinking anything more of it than that it is the accustomed course of nature—this judgement is inevitable, viz. that the issue cannot be the same, whether a man has behaved candidly or falsely, fairly or violently, even though up to his life’s end, as far as can be seen, he has met with no happiness for his virtues, no punishment for his vices. It is as if they perceived a voice within [saying] that the issue must be different. And so there must lie hidden in them a representation, however obscure, of something after which they feel themselves bound to strive; with which such a result would not agree,—with which, if they looked upon the course of the world as the only order of things, they could not harmonise that inner purposive determination of their minds. Now they might represent in various rude fashions the way in which such an irregularity could be adjusted (an irregularity which must be far more revolting to the human mind than the blind chance that we are sometimes willing to use as a principle for judging of nature). But they could never think any other principle of the possibility of the unification of nature with its inner ethical laws, than a supreme Cause governing the world according to moral laws; because a final purpose in them proposed as duty, and a nature without any final purpose beyond them in which that purpose might be actualised, would involve a contradiction. As to the [inner]136 constitution of that World-Cause they could contrive much nonsense. But that moral relation in the government of the world would remain always the same, which by the uncultivated Reason, considered as practical, is universally comprehensible, but with which the speculative Reason can make far from the like advance.—And in all probability attention would be directed first by this moral interest to the beauty and the purposes in nature, which would serve excellently to strengthen this Idea though they could not be the foundation of it. Still less could that moral interest be dispensed with, because it is only in reference to the final purpose that the investigation of the purposes of nature acquires that immediate interest which displays itself in such a great degree in the admiration of them without any reference to the advantage to be derived from them.

    § 89. Of the use of the moral argument

    The limitation of Reason in respect of all our Ideas of the supersensible to the conditions of its practical employment has, as far as the Idea of God is concerned, undeniable uses. For it prevents Theology from rising into Theosophy (into transcendent concepts which confound Reason), or from sinking into Demonology (an anthropomorphic way of representing the highest Being). And it also prevents Religion from turning into Theurgy (a fanatical belief that we can have a feeling of other supersensible beings and can reciprocally influence them), or into Idolatry (a superstitious belief that we can please the Supreme Being by other means than by a moral sentiment).137

    For if we permit the vanity or the presumption of sophistry to determine the least thing theoretically (in a way that extends our knowledge) in respect of what lies beyond the world of sense, or if we allow any pretence to be made of insight into the being and constitution of the nature of God, of His Understanding and Will, of the laws of both and of His properties which thus affect the world, I should like to know where and at what point we will bound these assumptions of Reason. For wherever such insight can be derived, there may yet more be expected (if we only strain our reflection, as we have a mind to do). Bounds must then be put to such claims according to a certain principle, and not merely because we find that all attempts of the sort have hitherto failed, for that proves nothing against the possibility of a better result. But here no principle is possible, except either to assume that in respect of the supersensible absolutely nothing can be theoretically determined (except mere negations); or else that our Reason contains in itself a yet unused mine of cognitions, reaching no one knows how far, stored up for ourselves and our posterity.—But as concerns Religion, i.e. morals in reference to God as legislator, if the theoretical cognition of Him is to come first, morals must be adjusted in accordance with Theology; and not only is an external arbitrary legislation of a Supreme Being introduced in place of an internal necessary legislation of Reason, but also whatever is defective in our insight into the nature of this Being must extend to ethical precepts, and thus make Religion immoral and perverted.

    As regards the hope of a future life, if instead of the final purpose we have to accomplish in conformity with the precept of the moral law, we ask of our theoretical faculty of cognition a clue for the judgement of Reason upon our destination (which clue is only considered as necessary or worthy of acceptance in a practical reference), then in this aspect Psychology, like Theology, gives no more than a negative concept of our thinking being. That is, none of its actions or of the phenomena of the internal sense can be explained materialistically; and hence of its separate nature and of the continuance or non-continuance of its personality after death absolutely no ampliative determinant judgement is possible on speculative grounds by means of our whole theoretical cognitive faculty. Here then everything is handed over to the teleological judging of our existence in a practically necessary aspect, and to the assumption of our continuance as a condition requisite for the final purpose absolutely furnished by Reason. And so this advantage (which indeed at first glance seems to be a loss) is apparent; that, as Theology for us can never be Theosophy, or rational Psychology become Pneumatology—an ampliative science—so on the other hand this latter is assured of never falling into Materialism. Psychology, rather, is a mere anthropology of the internal sense, i.e. is the knowledge of our thinking self in life; and, as theoretical cognition, remains merely empirical. On the other hand, rational Psychology, as far as it is concerned with questions as to our eternal existence, is not a theoretical science at all, but rests on a single conclusion of moral Teleology; as also its whole use is necessary merely on account of the latter, i.e. on account of our practical destination.

    § 90. Of the kind of belief in a teleological proof of the Being of God

    The first requisite for every proof, whether it be derived from the immediate empirical presentation (as in the proof from observation of the object or from experiment) of that which is to be proved, or by Reason a priori from principles, is this. It should not persuade, but convince,138 or at least should tend to conviction. I.e. the ground of proof or the conclusion should not be merely a subjective (aesthetical) determining ground of assent (mere illusion), but objectively valid and a logical ground of cognition; for otherwise the Understanding is ensnared, but not convinced. Such an illusory proof is that which, perhaps with good intent but yet with wilful concealment of its weaknesses, is adduced in Natural Theology. In this we bring in the great number of indications of the origin of natural things according to the principle of purposes, and take advantage of the merely subjective basis of human Reason, viz. its special propensity to think only one principle instead of several, whenever this can be done without contradiction; and, when in this principle only one or more requisites for determining a concept are furnished, to add in our thought these additional [features] so as to complete the concept of the thing by arbitrarily supplementing it. For, in truth, when we meet with so many products in nature which are to us marks of an intelligent cause, why should we not think One cause rather than many; and in this One, not merely great intelligence, power, etc., but rather Omniscience, and Omnipotence—in a word, think it as a Cause that contains the sufficient ground of such properties in all possible things? Further, why should we not ascribe to this unique, all-powerful, original Being not only intelligence for natural laws and products, but also, as to a moral Cause of the world, supreme, ethical, practical Reason? For by this completion of the concept a sufficient principle is furnished both for insight into nature and for moral wisdom; and no objection grounded in any way can be made against the possibility of such an Idea. If now at the same time the moral motives of the mind are aroused, and a lively interest in the latter is added by the force of eloquence (of which they are indeed very worthy), then there arises therefrom a persuasion of the objective adequacy of the proof; and also (in most cases of its use) a wholesome illusion which quite dispenses with all examination of its logical strictness, and even on the contrary regards this with abhorrence and dislike as if an impious doubt lay at its basis.—Now against this there is indeed nothing to say, so long as we only have regard to its popular usefulness. But then the division of the proof into the two dissimilar parts involved in the argument—belonging to physical and moral Teleology respectively—cannot and must not be prevented. For the blending of these makes it impossible to discern where the proper force of the proof lies, and in what part and how it must be elaborated in order that its validity may be able to stand the strictest examination (even if we should be compelled to admit in one part the weakness of our rational insight). Thus it is the duty of the philosopher (supposing even that he counts as nothing the claims of sincerity) to expose the above illusion, however wholesome it is, which such a confusion can produce; and to distinguish what merely belongs to persuasion from that which leads to conviction (for these are determinations of assent which differ not merely in degree but in kind), in order to present plainly the state of the mind in this proof in its whole clearness, and to be able to subject it frankly to the closest examination.

    But a proof which is intended to convince, can again be of two kinds; either deciding what the object is in itself, or what it is for us (for men in general) according to our necessary rational principles of judgement (proof κατ’ ἀλήθειαν or κατ’ ἄνθρωπον, the last word being taken in its universal signification of man in general). In the first case it is based on adequate principles for the determinant Judgement, in the second for the reflective Judgement. In the latter case it can never, when resting on merely theoretical principles, tend to conviction; but if a practical principle of Reason (which is therefore universally and necessarily valid) lies at its basis, it may certainly lay claim to conviction adequate in a pure practical point of view, i.e. to moral conviction. But a proof tends to conviction, though without convincing, if it is [merely]139 brought on the way thereto; i.e. if it contains in itself only objective grounds, which although not attaining to certainty are yet of such a kind that they do not serve merely for persuasion as subjective grounds of the judgement.140

    All theoretical grounds of proof resolve themselves either into: (1) Proofs by logically strict Syllogisms of Reason; or where this is not the case, (2) Conclusions according to analogy; or where this also has no place, (3) Probable opinion; or finally, which has the least weight, (4) Assumption of a merely possible ground of explanation, i.e. Hypothesis.—Now I say that all grounds of proof in general, which aim at theoretical conviction, can bring about no belief of this kind from the highest to the lowest degree, if there is to be proved the proposition of the existence of an original Being, as a God, in the signification adequate to the whole content of this concept; viz. a moral Author of the world, by whom the final purpose of creation is at the same time supplied.

    (1.) As to the logically accurate proof proceeding from universal to particular, we have sufficiently established in the Critique the following: Since no intuition possible for us corresponds to the concept of a Being that is to be sought beyond nature—whose concept therefore, so far as it is to be theoretically determined by synthetical predicates, remains always problematical for us—there is absolutely no cognition of it to be had (by which the extent of our theoretical knowledge is in the least enlarged). The particular concept of a supersensible Being cannot be subsumed under the universal principles of the nature of things, in order to conclude from them to it, because those principles are valid simply for nature, as an object of sense.

    (2.) We can indeed think one of two dissimilar things, even in the very point of their dissimilarity, in accordance with the analogy141 of the other; but we cannot, from that wherein they are dissimilar, conclude from the one to the other by analogy, i.e. transfer from the one to the other this sign of specific distinction. Thus I can, according to the analogy of the law of the equality of action and reaction in the mutual attraction and repulsion of bodies, also conceive of the association of the members of a commonwealth according to rules of right; but I cannot transfer to it those specific determinations (material attraction or repulsion), and ascribe them to the citizens in order to constitute a system called a state.—Just so we can indeed conceive of the causality of the original Being in respect of the things of the world, as natural purposes, according to the analogy of an Understanding, as ground of the forms of certain products which we call works of art (for this only takes place on behalf of the theoretical or practical use that we have to make by our cognitive faculty of this concept in respect of the natural things in the world according to a certain principle). But we can in no way conclude according to analogy, because in the case of beings of the world Understanding must be ascribed to the cause of an effect which is judged artificial, that in respect of nature the same causality which we perceive in men attaches also to the Being which is quite distinct from nature. For this concerns the very point of dissimilarity which is thought between a cause sensibly conditioned in respect of its effects and the supersensible original Being itself in our concept of it, and which therefore cannot be transferred from one to the other.— In the very fact that I must conceive the divine causality only according to the analogy of an Understanding (which faculty we know in no other being than in sensibly-conditioned man) lies the prohibition to ascribe to it this Understanding in its peculiar signification.142

    (3.) Opinion finds in a priori judgements no place whatever, for by them we either cognise something as quite certain or else cognise nothing at all. But if the given grounds of proof from which we start (as here from the purposes in the world) are empirical, then we cannot even with their aid form any opinion as to anything beyond the world of sense, nor can we concede to such venturesome judgements the smallest claim to probability. For probability is part of a certainty possible in a certain series of grounds (its grounds compare with the sufficient ground as parts with a whole), the insufficient ground of which must be susceptible of completion. But since, as determining grounds of one and the same judgement, they must be of the same kind, for otherwise they would not together constitute a whole (such as certainty is), one part of them cannot lie within the bounds of possible experience and another outside all possible experience. Consequently, since merely empirical grounds of proof lead to nothing supersensible, and since what is lacking in the series of them cannot in any way be completed, we do not approach in the least nearer in our attempt to attain by their means to the supersensible and to a cognition thereof. Thus in any judgement about the latter by means of arguments derived from experience, probability has no place.

    (4.) If an hypothesis is to serve for the explanation of the possibility of a given phenomenon, at least its possibility must be completely certain.143 It is sufficient that in an hypothesis I disclaim any cognition of actuality (which is claimed in an opinion given out as probable); more than this I cannot give up. The possibility of that which I place at the basis of my explanation, must at least be exposed to no doubt; otherwise there would be no end of empty chimeras. But to assume the possibility of a supersensible Being determined according to certain concepts would be a completely groundless supposition. For here none of the conditions requisite for cognition, as regards that in it which rests upon intuition, is given, and so the sole criterion of possibility remaining is the mere principle of Contradiction (which can only prove the possibility of the thought, not of the object thought).

    The result then is this. For the existence [Dasein] of the original Being, as a Godhead, or of the soul as an immortal spirit, absolutely no proof in a theoretical point of view is possible for the human Reason, which can bring about even the least degree of belief. The ground of this is quite easy to comprehend. For determining our Ideas of the supersensible we have no material whatever, and we must derive this latter from things in the world of sense, which is absolutely inadequate for such an Object. Thus, in the absence of all determination of it, nothing remains but the concept of a non-sensible something which contains the ultimate ground of the world of sense, but which does not furnish any knowledge (any amplification of the concept) of its inner constitution.

    § 91. Of the kind of belief produced by a practical faith

    If we look merely to the way in which anything can be for us (according to the subjective constitution of our representative powers) an Object of knowledge (res cognoscibilis), then our concepts will not cohere with Objects, but merely with our cognitive faculties and the use which they can make of a given representation (in a theoretical or practical point of view). Thus the question whether anything is or is not a cognisable being is not a question concerning the possibility of things but of our knowledge of them.

    Cognisable things are of three kinds: things of opinion (opinabile); things of fact (scibile); and things of faith (mere credibile).

    (1.) Objects of mere rational Ideas, which for theoretical knowledge cannot be presented in any possible experience, are so far not cognisable things, and consequently in respect of them we can form no opinion; for to form an opinion a priori is absurd in itself and the straight road to mere chimeras. Either then our proposition is certain a priori or it contains nothing for belief. Therefore things of opinion are always Objects of an empirical cognition at least possible in itself (objects of the world of sense); but, which, on account merely of the [low] degree of this faculty that we possess, is for us impossible. Thus the ether of the new physicists,144 an elastic fluid pervading all other matter (mingled intimately with it) is a mere thing of opinion, yet is such that, if our external senses were sharpened to the highest degree, it could be perceived; though it can never be presented in any observation or experiment. To assume [the existence of] rational inhabitants of other planets is a thing of opinion; for if we could come closer to them, which is in itself possible, we should decide by experience whether they did or did not exist; but as we shall never come so near, it remains in the region of opinion. But to hold the opinion that there are in the material universe pure thinking spirits without bodies (viz. if we dismiss as unworthy of our notice certain phenomena which have been published as actual145) is to be called poetic fiction. This is no thing of opinion, but a mere Idea which remains over, when we remove from a thinking being everything material, and only leave thought to it. Whether then the latter (which we know only in man, that is, in combination with a body) does survive, we cannot decide. Such a thing is a sophistical being (ens rationis ratiocinantis), not a rational being (ens rationis ratiocinatae)146; of which latter it is possible to show conclusively, the objective reality of its concept; at least for the practical use of Reason, because this which has its peculiar and apodictically certain principles a priori, demands (postulates) it.

    (2.) Objects for concepts, whose objective reality can be proved (whether through pure Reason or through experience, and, in the first case, from its theoretical or practical data, in all cases by means of a corresponding intuition) are things of fact (res facti).147 Of this kind are the mathematical properties of magnitudes (in geometry), because they are susceptible of a presentation a priori for the theoretical use of Reason. Further, things or their characteristics, which can be exhibited in experience (either our own or that of others through the medium of testimony) are likewise things of fact.—And, what is very remarkable, there is one rational Idea (susceptible in itself of no presentation in intuition, and consequently, of no theoretical proof of its possibility) which also comes under things of fact. This is the Idea of freedom, whose reality, regarded as that of a particular kind of causality (of which the concept, theoretically considered, would be transcendent), may be exhibited by means of practical laws of pure Reason, and conformably to this, in actual actions, and, consequently, in experience.—This is the only one of all the Ideas of pure Reason, whose object is a thing of fact, and to be reckoned under the scibilia.

    (3.) Objects, which in reference to the use of pure practical Reason that is in conformity with duty must be thought a priori (whether as consequences or as grounds), but which are transcendent for its theoretical use, are mere things of faith. Of this kind is the highest good in the world, to be brought about by freedom.148 The concept of this cannot be established as regards its objective reality in any experience possible for us and thus adequately for the theoretical use of Reason; but its use is commanded by practical pure Reason [in reference to the best possible working out of that purpose],149 and it consequently must be assumed possible. This commanded effect, together with the only conditions of its possibility thinkable by us, viz. the Being of God and the immortality of the soul, are things of faith (res fidei), and of all objects are the only ones which can be so called.150 For though what we learn by testimony from the experience of others must be believed by us, yet it is not therefore a thing of faith; for it was the proper experience of some one witness and so a thing of fact, or is presupposed as such. Again it must be possible by this path (that of historical faith) to arrive at knowledge; and the Objects of history and geography, like everything in general which it is at least possible to know by the constitution of our cognitive faculties, belong not to things of faith but to things of fact. It is only objects of pure Reason which can be things of faith at all, though not as objects of the mere pure speculative Reason: for then they could not be reckoned with certainty among things, i.e. Objects of that cognition which is possible for us. They are Ideas, i.e. concepts of the objective reality of which we cannot theoretically be certain. On the other hand, the highest final purpose to be worked out by us, by which alone we can become worthy of being ourselves the final purpose of creation, is an Idea which has in a practical reference objective reality for us, and is also a thing. But because we cannot furnish such reality to this concept in a theoretical point of view, it is a mere thing of faith of the pure Reason, along with God and Immortality, as the conditions under which alone we, in accordance with the constitution of our (human) Reason, can conceive the possibility of that effect of the use of our freedom in conformity with law. But belief in things of faith is a belief in a pure practical point of view, i.e. a moral faith, which proves nothing for theoretical pure rational cognition, but only for that which is practical and directed to the fulfilment of its duties; it in no way extends speculation or the practical rules of prudence in accordance with the principle of self-love. If the supreme principle of all moral laws is a postulate, so is also the possibility of its highest Object; and consequently, too, the condition under which we can think this possibility is postulated along with it and by it. Thus the cognition of the latter is neither knowledge nor opinion of the being and character of these conditions, regarded as theoretical cognition; but is a mere assumption in a reference which is practical and commanded for the moral use of our Reason.

    If we were able also plausibly to base upon the purposes of nature, which physical Teleology presents to us in such rich abundance, a determinate concept of an intelligent World-Cause, then the existence [Dasein] of this Being would not be a thing of faith. For since this would not be assumed on behalf of the performance of my duty, but only in reference to the explanation of nature, it would be merely the opinion and hypothesis most conformable to our Reason. Now such Teleology leads in no way to a determinate concept of God; on the contrary, this can only be found in the concept of a moral Author of the World, because this alone furnishes the final purpose to which we can only reckon ourselves [as attached] if we behave conformably to what the moral law prescribes as final purpose and consequently obliges us [to do]. Hence it is only by its reference to the Object of our duty, as the condition of the possibility of attaining the final purpose of the same, that the concept of God attains the privilege of counting as a thing of faith, in our belief; but on the other hand, this same concept cannot make its Object valid as a thing of fact. For, although the necessity of duty is very plain for practical Reason, yet the attainment of its final purpose, so far as it is not altogether in our own power, is only assumed on behalf of the practical use of Reason, and therefore is not so practically necessary as duty itself.151

    Faith (as habitus, not as actus) is the moral attitude of Reason as to belief in that which is unattainable by theoretical cognition. It is therefore the constant principle of the mind, to assume as true, on account of the obligation in reference to it, that which it is necessary to presuppose as condition of the possibility of the highest moral final purpose152; although its possibility or impossibility be alike impossible for us to see into. Faith (absolutely so called) is trust in the attainment of a design, the promotion of which is a duty, but the possibility of the fulfilment of which (and consequently also that of the only conditions of it thinkable by us) is not to be comprehended by us. Faith, then, that refers to particular objects, which are not objects of possible knowledge or opinion (in which latter case it ought to be called, especially in historical matters, credulity and not faith), is quite moral. It is a free belief, not in that for which dogmatical proofs for the theoretically determinant Judgement are to be found, or in that to which we hold ourselves bound, but in that which we assume on behalf of a design in accordance with laws of freedom. This, however, is not, like opinion, without any adequate ground; but, is grounded as in Reason (although only in respect of its practical employment), and adequately for its design. For without this, the moral attitude of thought in its repudiation of the claim of the theoretical Reason for proofs (of the possibility of the Objects of morality) has no permanence; but wavers between practical commands and theoretical doubts. To be incredulous means to cling to maxims, and not to believe testimony in general; but he is unbelieving, who denies all validity to rational Ideas, because there is wanting a theoretical ground of their reality.154 He judges therefore dogmatically. A dogmatical unbelief cannot subsist together with a moral maxim dominant in the mental attitude (for Reason cannot command one to follow a purpose, which is cognised as nothing more than a chimera); but a doubtful faith can. To this the absence of conviction by grounds of speculative Reason is only a hindrance, the influence of which upon conduct a critical insight into the limits of this faculty can remove, while it substitutes by way of compensation a paramount practical belief.

    * * * * *

    If, in place of certain mistaken attempts, we wish to introduce a different principle into philosophy and to promote its influence, it makes us highly contented to see how and why those attempts must have disappointed us.

    God, freedom, and immortality, are the problems at the solution of which all the equipments of Metaphysic aim, as their ultimate and unique purpose. Now it was believed that the doctrine of freedom is needed for practical philosophy only as its negative condition; but that on the other hand the doctrine of God and of the constitution of the soul, as belonging to theoretical philosophy, must be established for themselves and separately, in order afterwards to unite both with that which the moral law (possible only under the condition of freedom) commands, and so to constitute a religion. But we can easily see that these attempts must fail. For from mere ontological concepts of things in general, or of the existence of a necessary Being, it is possible to form absolutely no determinate concept of an original Being by means of predicates which can be given in experience and can therefore serve for cognition. Again a concept based on experience of the physical purposiveness of nature could furnish no adequate proof for morality, or consequently for cognition of a Deity. Just as little could the cognition of the soul by means of experience (which we only apply in this life) supply us with a concept of its spiritual immortal nature, a concept which would be adequate for morality. Theology and Pneumatology, regarded as problems of the sciences of a speculative Reason, can be established by no empirical data and predicates, because the concept of them is transcendent for our whole cognitive faculty.—The determination of both concepts, God and the soul (in respect of its immortality) alike, can only take place by means of predicates, which, although they are only possible from a supersensible ground, must yet prove their reality in experience; for thus alone can they make possible a cognition of a quite supersensible Being.—The only concept of this kind to be met with in human Reason is that of the freedom of men under moral laws, along with the final purpose which Reason prescribes by these laws. Of these two [the moral laws and the final purpose] the first are useful for ascribing to the Author of Nature, the second for ascribing to man, those properties which contain the necessary condition of the possibility of both [God and the soul]; so that from this Idea a conclusion can be drawn as to the existence and constitution of these beings which are otherwise quite hidden from us.

    Thus the ground of the failure of the attempt to prove God and immortality by the merely theoretical path lies in this, that no cognition whatever is possible of the supersensible in this way (of natural concepts). The ground of its success by the moral way (of the concept of freedom) is as follows. Here the supersensible (freedom), which in this case is fundamental, by a determinate law of causality that springs from it, not only supplies material for cognition of other supersensibles (the moral final purpose and the conditions of its attainability), but also establishes its reality in actions as a fact; though at the same time it can furnish a valid ground of proof in no other than a practical point of view (the only one, however, of which Religion has need).

    It is thus very remarkable that of the three pure rational Ideas, God, freedom, and immortality, that of freedom is the only concept of the supersensible which (by means of the causality that is thought in it) proves its objective reality in nature by means of the effects it can produce there; and thus renders possible the connexion of both the others with nature, and of all three together with Religion. We have therefore in us a principle capable of determining the Idea of the supersensible within us, and thus also that of the supersensible without us, for knowledge, although only in a practical point of view; a principle this of which mere speculative philosophy (which could give a merely negative concept of freedom) must despair. Consequently the concept of freedom (as fundamental concept of all unconditioned practical laws) can extend Reason beyond those bounds, within which every natural (theoretical) concept must remain hopelessly limited.

    General remark on Teleology

    If the question is, what rank the moral argument, which proves the Being of God only as a thing of faith for the practical pure Reason, maintains among the other arguments in philosophy, it is easy to set aside the whole achievement of this last; by which it appears that there is no choice, but that our theoretical faculty must give up all its pretensions before an impartial criticism.

    All belief must in the first place be grounded upon facts, if it is not to be completely groundless; and therefore the only distinction in proofs that there can be is that belief in the consequence derived therefrom can either be grounded on this fact as knowledge for theoretical cognition, or merely as faith for practical. All facts belong either to the natural concept which proves its reality in the objects of sense, given (or which may possibly be given) before all natural concepts; or to the concept of freedom, which sufficiently establishes its reality through the causality of Reason in regard of certain effects in the world of sense, possible through it, which it incontrovertibly postulates in the moral law. The natural concept (merely belonging to theoretical cognition) is now either metaphysical and thinkable completely a priori, or physical, i.e. thinkable a posteriori and as necessary only through determinate experience. The metaphysical natural concept (which presupposes no determinate experience) is therefore ontological.

    The ontological proof of the being of God from the concept of an original Being is either that which from ontological predicates, by which alone it can be thought as completely determined, infers absolutely necessary being; or that which, from the absolute necessity of the being somewhere of some thing, whatever it be, infers the predicates of the original Being. For there belongs to the concept of an original Being, inasmuch as it is not derived from anything, the unconditioned necessity of its presence, and (in order to represent this) its complete determination by its [mere]155 concept. It was believed that both requirements were found in the concept of the ontological Idea of a Being the most real of all; and thus two metaphysical proofs originated.

    The proof (properly called ontological) resting upon a merely metaphysical natural concept concludes from the concept of the Being the most real of all, its absolutely necessary existence; for (it is said), if it did not exist, a reality would be wanting to it, viz. existence.—The other (which is also called the metaphysico-cosmological proof) concludes from the necessity of the existence somewhere of a thing (which must be conceded, for a being is given to us in self-consciousness), its complete determination as that of a Being the most real of all; for everything existing must be completely determined, but the absolutely necessary (i.e. that which we ought to cognise as such and consequently a priori) must be completely determined by means of its own concept. But this is only the case with the concept of a thing the most real of all. It is not needful to expose here the sophistry in both arguments, which has been already done elsewhere;156 it is only needful to remark that neither proof, even if they could be defended by all manner of dialectical subtlety, could ever pass from the schools into the world, or have the slightest influence on the mere sound Understanding.

    The proof, which rests on a natural concept that can only be empirical and yet is to lead us beyond the bounds of nature regarded as the complex of the objects of sense, can be no other than that derived from the purposes of nature. The concept of these cannot, it is true, be given a priori but only through experience; but yet it promises such a concept of the original ground of nature as alone, among all those which we can conceive, is suited to the supersensible, viz. that of a highest Understanding as Cause of the world. This, in fact, it completely performs in accordance with principles of the reflective Judgement, i.e. in accordance with the constitution of our (human) faculty of cognition.—But whether or not it is in a position to supply from the same data this concept of a supreme, i.e. independent intelligent Being, in short of a God or Author of a world under moral laws, and consequently as sufficiently determined for the Idea of a final purpose of the being of the world—this is the question upon which everything depends, whether we desire a theoretically adequate concept of the Original Being on behalf of our whole knowledge of nature, or a practical concept for religion.

    This argument derived from physical Teleology is worthy of respect. It produces a similar effect in the way of conviction upon the common Understanding as upon the subtlest thinker; and a Reimarus157 has acquired immortal honour in his work (not yet superseded), in which he abundantly develops this ground of proof with his peculiar thoroughness and lucidity.—But how does this proof acquire such mighty influence upon the mind? How does a judgement by cold reason (for we might refer to persuasion the emotion and elevation of reason produced by the wonders of nature) issue thus in a calm and unreserved assent? It is not the physical purposes, which all indicate in the World Cause an unfathomable intelligence; these are inadequate thereto, because they do not satisfy the need of the inquiring Reason. For, wherefore (it asks) are all those natural things that exhibit art? Wherefore is man himself, whom we must regard as the ultimate purpose of nature thinkable by us? Wherefore is this collective Nature here, and what is the final purpose of such great and manifold art? Reason cannot be contented with enjoyment or with contemplation, observation, and admiration (which, if it stops there, is only enjoyment of a particular kind) as the ultimate final purpose for the creation of the world and of man himself; for this presupposes a personal worth, which man alone can give himself, as the condition under which alone he and his being can be the final purpose. Failing this (which alone is susceptible of a definite concept), the purposes of nature do not satisfactorily answer our questions; especially because they cannot furnish any determinate concept of the highest Being as an all-sufficient (and therefore unique and so properly called highest) being, and of the laws according to which an Understanding is Cause of the world.

    Hence that the physico-teleological proof convinces, just as if it were a theological proof, does not arise from our availing ourselves of the Ideas of purposes of nature as so many empirical grounds of proof of a highest Understanding. But it mingles itself unnoticed with that moral ground of proof, which dwells in every man and influences him secretly, in the conclusion by which we ascribe to the Being, which manifests itself with such incomprehensible art in the purposes of nature, a final purpose and consequently wisdom (without however being justified in doing so by the perception of the former); and by which therefore we arbitrarily fill up the lacunas of the [design] argument. In fact it is only the moral ground of proof which produces conviction, and that only in a moral reference with which every man feels inwardly his agreement. But the physico-teleological proof has only the merit of leading the mind, in its consideration of the world, by the way of purposes and through them to an intelligent Author of the world. The moral reference to purposes and the Idea of a moral legislator and Author of the world, as a theological concept, seem to be developed of themselves out of that ground of proof, although they are in truth pure additions.

    Henceforward we may allow the customary statement to stand. For it is generally difficult (if the distinction requires much reflection) for ordinary sound Understanding to distinguish from one another as heterogeneous the different principles which it confuses, and from one of which alone it actually draws conclusions with correctness. The moral ground of proof of the Being of God, properly speaking, does not merely complete and render perfect the physico-teleological proof; but it is a special proof that supplies the conviction which is wanting in the latter. This latter in fact can do nothing more than guide Reason, in its judgements upon the ground of nature and that contingent but admirable order of nature only known to us by experience, to the causality of a Cause containing the ground of the same in accordance with purposes (which we by the constitution of our cognitive faculties must think as an intelligent cause); and thus by arresting the attention of Reason it makes it more susceptible of the moral proof. For what is requisite to the latter concept is so essentially different from everything which natural concepts contain and can teach, that there is need of a particular ground of proof quite independent of the former, in order to supply the concept of the original Being adequately for Theology and to infer its existence.—The moral proof (which it is true only proves the Being of God in a practical though indispensable aspect of Reason) would preserve all its force, if we found in the world no material, or only that which is doubtful, for physical Teleology. It is possible to conceive rational beings surrounded by a nature which displayed no clear trace of organisation but only the effects of a mere mechanism of crude matter; on behalf of which and amid the changeability of some merely contingent purposive forms and relations there would appear to be no ground for inferring an intelligent Author. In such case there would be no occasion for a physical Teleology; and yet Reason, which here gets no guidance from natural concepts, would find in the concept of freedom and in the moral Ideas founded thereon a practically sufficient ground for postulating the concept of the original Being in conformity with these, i.e. as a Deity, and for postulating nature (even the nature of our own being) as a final purpose in accordance with freedom and its laws—and all this in reference to the indispensable command of practical Reason.—However the fact that there is in the actual world for the rational beings in it abundant material for physical Teleology (even though this is not necessary) serves as a desirable confirmation of the moral argument, as far as nature can exhibit anything analogous to the (moral) rational Ideas. For the concept of a supreme Cause possessing intelligence (though not reaching far enough for a Theology) thus acquires sufficient reality for the reflective Judgement, but it is not required as the basis of the moral proof; nor does this latter serve to complete as a proof the former, which does not by itself point to morality at all, by means of an argument developed according to a single principle. Two such heterogeneous principles as nature and freedom can only furnish two different kinds of proof; and the attempt to derive one from the other is found unavailing as regards that which is to be proved.

    If the physico-teleological ground of proof sufficed for the proof which is sought, it would be very satisfactory for the speculative Reason; for it would furnish the hope of founding a Theosophy (for so we must call the theoretical cognition of the divine nature and its existence which would suffice at once for the explanation of the constitution of the world and for the determination of moral laws). In the same way if Psychology enabled us to arrive at a cognition of the immortality of the soul it would make Pneumatology possible, which would be just as welcome to the speculative Reason. But neither, agreeable as they would be to the arrogance of our curiosity, would satisfy the wish of Reason in respect of a theory which must be based on a cognition of the nature of things. Whether the first, as Theology, and the second, as Anthropology, when founded on the moral principle, i.e. the principle of freedom, and consequently in accordance with the practical use [of Reason] do not better fulfil their objective final design, is another question which we need not here pursue.

    The physico-teleological ground of proof does not reach to Theology, because it does not and cannot give any determinate concept, sufficient for this design, of the original Being; but we must derive this from quite another quarter, or must supply its lacuna by an arbitrary addition. You infer, from the great purposiveness of natural forms and their relations, a world-cause endowed with Understanding; but what is the degree of this Understanding? Without doubt you cannot assume that it is the highest possible Understanding; because for that it would be requisite that you should see that a greater Understanding than that of which you perceive proofs in the world, is not thinkable; and this would be to ascribe Omniscience to yourself.158 In the same way, if you infer from the magnitude of the world the very great might of its Author, you must be content with this having only a comparative significance for your faculty of comprehension; for since you do not know all that is possible, so as to compare it with the magnitude of the world as far as you know it, you cannot infer the Almightiness of its Author from so small a standard, and so on. Now you arrive in this way at no definite concept of an original Being available for a Theology; for this can only be found in the concept of the totality of perfections compatible with intelligence, and you cannot help yourself to this by merely empirical data. But without such a definite concept you cannot infer a unique intelligent original Being; you can only assume it (with whatever motive).—Now it may certainly be conceded that you should arbitrarily add (for Reason has nothing fundamental to say to the contrary): Where so much perfection is found, we may well assume that all perfection is united in a unique Cause of the world, because Reason succeeds better both theoretically and practically with a principle thus definite. But then you cannot regard this concept of the original Being as proved by you, for you have only assumed it on behalf of a better employment of Reason. Hence all lamentation or impotent anger on account of the alleged mischief of rendering doubtful the coherency of your chain of reasoning, is vain pretentiousness, which would fain have us believe that the doubt here freely expressed as to your argument is a doubting of sacred truth, in order that under this cover the shallowness of your argument may pass unnoticed.

    Moral Teleology, on the other hand, which is not less firmly based than physical,—which, indeed, rather deserves the preference because it rests a priori on principles inseparable from our Reason—leads to that which is requisite for the possibility of a Theology, viz. to a determinate concept of the supreme Cause, as Cause of the world according to moral laws, and, consequently, to the concept of such a cause as satisfies our moral final purpose. For this are required, as natural properties belonging to it, nothing less than Omniscience, Omnipotence, Omnipresence, and the like, which must be thought as bound up with the moral final purpose which is infinite and thus as adequate to it. Hence moral Teleology alone can furnish the concept of a unique Author of the world, which is available for a Theology.

    In this way Theology leads immediately to Religion, i.e. the recognition of our duties as divine commands159; because it is only the recognition of our duty and of the final purpose enjoined upon us by Reason which brings out with definiteness the concept of God. This concept, therefore, is inseparable in its origin from obligation to that Being. On the other hand, even if the concept of the original Being could be also found determinately by the merely theoretical path (viz. the concept of it as mere Cause of nature), it would afterwards be very difficult—perhaps impossible without arbitrary interpolation [of elements]—to ascribe to this Being by well-grounded proofs a causality in accordance with moral laws; and yet without this that quasi-theological concept could furnish no foundation for religion. Even if a religion could be established by this theoretical path, it would actually, as regards sentiment (wherein its essence lies) be different from that in which the concept of God and the (practical) conviction of His Being originate from the fundamental Ideas of morality. For if we must suppose the Omnipotence, Omniscience, etc., of an Author of the world as concepts given to us from another quarter, in order afterwards only to apply our concepts of duties to our relation to Him, then these latter concepts must bear very markedly the appearance of compulsion and forced submission. If, instead of this, the respect for the moral law, quite freely, in virtue of the precept of our own Reason, represents to us the final purpose of our destination, we admit among our moral views a Cause harmonising with this and with its accomplishment, with the sincerest reverence, which is quite distinct from pathological fear; and we willingly submit ourselves thereto.160

    If it be asked why it is incumbent upon us to have any Theology at all, it appears clear that it is not needed for the extension or correction of our cognition of nature or in general for any theory, but simply in a subjective point of view for Religion, i.e. the practical or moral use of our Reason. If it is found that the only argument which leads to a definite concept of the object of Theology is itself moral, it is not only not strange, but we miss nothing in respect of its final purpose as regards the sufficiency of belief from this ground of proof, provided that it be admitted that such an argument only establishes the Being of God sufficiently for our moral destination, i.e. in a practical point of view, and that here speculation neither shows its strength in any way, nor extends by means of it the sphere of its domain. Our surprise and the alleged contradiction between the possibility of a Theology asserted here and that which the Critique of speculative Reason said of the Categories—viz. that they can only produce knowledge when applied to objects of sense, but in no way when applied to the supersensible—vanish, if we see that they are here used for a cognition of God not in a theoretical point of view (in accordance with what His own nature, inscrutable to us, may be) but simply in a practical.—In order then at this opportunity to make an end of the misinterpretation of that very necessary doctrine of the Critique, which, to the chagrin of the blind dogmatist, refers Reason to its bounds, I add here the following elucidation.

    If I ascribe to a body motive force and thus think it by means of the category of causality, then I at the same time cognise it by that [category]; i.e. I determine the concept of it, as of an Object in general, by means of what belongs to it by itself (as the condition of the possibility of that relation) as an object of sense. If the motive force ascribed to it is repulsive, then there belongs to it (although I do not place near it any other body upon which it may exert force) a place in space, and moreover extension, i.e. space in itself, besides the filling up of this by means of the repulsive forces of its parts. In addition there is the law of this filling up (that the ground of the repulsion of the parts must decrease in the same proportion as the extension of the body increases, and as the space, which it fills with the same parts by means of this force, is augmented).—On the contrary, if I think a supersensible Being as the first mover, and thus by the category of causality as regards its determination of the world (motion of matter), I must not think it as existing in any place in space nor as extended; I must not even think it as existing in time or simultaneously with other beings. Hence I have no determinations whatever, which could make intelligible to me the condition of the possibility of motion by means of this Being as its ground. Consequently, I do not in the very least cognise it by means of the predicate of Cause (as first mover), for itself; but I have only the representation of a something containing the ground of the motions in the world; and the relation of the latter to it as their cause, since it does not besides furnish me with anything belonging to the constitution of the thing which is cause, leaves its concept quite empty. The reason of this is, that by predicates which only find their Object in the world of sense I can indeed proceed to the being of something which must contain their ground, but not to the determination of its concept as a supersensible being, which excludes all these predicates. By the category of causality, then, if I determine it by the concept of a first mover, I do not in the very least cognise what God is. Perhaps, however, I shall have better success if I start from the order of the world, not merely to think its causality as that of a supreme Understanding, but to cognise it by means of this determination of the said concept; because here the troublesome condition of space and of extension disappears.—At all events the great purposiveness in the world compels us to think a supreme cause of it, and to think its causality as that of an Understanding; but we are not therefore entitled to ascribe this to it. (E.g. we think of the eternity of God as presence in all time, because we can form no other concept of mere being as a quantum, i.e. as duration; or we think of the divine Omnipresence as presence in all places in order to make comprehensible to ourselves His immediate presence in things which are external to one another; without daring to ascribe to God any of these determinations, as something cognised in Him.) If I determine the causality of a man, in respect of certain products which are only explicable by designed purposiveness, by thinking it as that of Understanding, I need not stop here, but I can ascribe to him this predicate as a well-known property and cognise him accordingly. For I know that intuitions are given to the senses of men and are brought by the Understanding under a concept and thus under a rule; that this concept only contains the common characteristic (with omission of the particular ones) and is thus discursive; and that the rules for bringing given representations under a consciousness in general are given by Understanding before those intuitions, etc. I therefore ascribe this property to man as a property by means of which I cognise him. However, if I wish to think a supersensible Being (God) as an intelligence, this is not only permissible in a certain aspect of my employment of Reason—it is unavoidable; but to ascribe to Him Understanding and to flatter ourselves that we can cognise Him by means of it as a property of His, is in no way permissible. For I must omit all those conditions under which alone I know an Understanding, and thus the predicate which only serves for determining man cannot be applied at all to a supersensible Object; and therefore by a causality thus determined, I cannot cognise what God is. And so it is with all Categories, which can have no significance for cognition in a theoretical aspect, if they are not applied to objects of possible experience.—However, according to the analogy of an Understanding I can in a certain other aspect think a supersensible being, without at the same time meaning thereby to cognise it theoretically; viz. if this determination of its causality concerns an effect in the world, which contains a design morally necessary but unattainable by a sensible being. For then a cognition of God and of His Being (Theology) is possible by means of properties and determinations of His causality merely thought in Him according to analogy, which has all requisite reality in a practical reference though only in respect of this (as moral).—An Ethical Theology is therefore possible; for though morality can subsist without theology as regards its rule, it cannot do so as regards the final design which this proposes, unless Reason in respect of it is to be renounced. But a Theological Ethic (of pure Reason) is impossible; for laws which Reason itself does not give and whose observance it does not bring about as a pure practical faculty, can not be moral. In the same way a Theological Physic would be a nonentity, for it would propose no laws of nature but ordinances of a Highest Will; while on the other hand a physical (properly speaking a physico-teleological) Theology can serve at least as a propaedeutic to Theology proper, by giving occasion for the Idea of a final purpose which nature cannot present by the observation of natural purposes of which it offers abundant material. It thus makes felt the need of a Theology which shall determine the concept of God adequately for the highest practical use of Reason, but it cannot develop this and base it satisfactorily on its proofs.

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    FOOTNOTES:

    1 Dr. Caird (Critical Philosophy of Kant, vol. ii. p. 406) has given an instructive account of the gradual development in Kant’s mind of the main idea of the Critique of Judgement.

    2 Natural Theology and Modern Thought, p. 158.

    3 I reproduce here in part a paper read before the Victoria Institute in April 1892.

    4 Critique of Pure Reason. Dialectic, Bk. ii. chap. i. near the end.

    5 Cf. Kuno Fischer, A Critique of Kant, p. 142.

    6 Quoted by Caird, Critical Philosophy of Kant, vol. ii. p. 507, who reiterates this criticism all through his account of Kant’s teaching.

    7 Natural Theology and Modern Thought, p. 241.

    8 [Reading, with Windelband, in sicheren alleinigen Besitz.]

    9 If we have cause for supposing that concepts which we use as empirical principles stand in relationship with the pure cognitive faculty a priori, it is profitable, because of this reference, to seek for them a transcendental definition; i.e. a definition through pure categories, so far as these by themselves adequately furnish the distinction of the concept in question from others. We here follow the example of the mathematician who leaves undetermined the empirical data of his problem, and only brings their relation in their pure synthesis under the concepts of pure Arithmetic, and thus generalises the solution. Objection has been brought against a similar procedure of mine (cf. the Preface to the Critique of Practical Reason, Abbott’s Translation, p. 94), and my definition of the faculty of desire has been found fault with, viz. that it is [the being’s] faculty of becoming by means of its representations the cause of the actuality of the objects of these representations; for the desires might be mere cravings, and by means of these alone every one is convinced the Object cannot be produced.—But this proves nothing more than that there are desires in man, by which he is in contradiction with himself. For here he strives for the production of the Object by means of the representation alone, from which he can expect no result, because he is conscious that his mechanical powers (if I may so call those which are not psychological) which must be determined by that representation to bring about the Object (mediately) are either not competent, or even tend towards what is impossible; e.g. to reverse the past (O mihi praeteritos … etc.), or to annihilate in the impatience of expectation the interval before the wished for moment.—Although in such fantastic desires we are conscious of the inadequacy (or even the unsuitability) of our representations for being causes of their objects, yet their reference as causes, and consequently the representation of their causality, is contained in every wish; and this is specially evident if the wish is an affection or longing. For these [longings] by their dilatation and contraction of the heart and consequent exhaustion of its powers, prove that these powers are continually kept on the stretch by representations, but that they perpetually let the mind, having regard to the impossibility [of the desire], fall back in exhaustion. Even prayers for the aversion of great and (as far as one can see) unavoidable evils, and many superstitious means for attaining in a natural way impossible purposes, point to the causal reference of representations to their Objects; a reference which cannot at all be checked by the consciousness of the inadequacy of the effort to produce the effect.—As to why there should be in our nature this propensity to desires which are consciously vain, that is an anthropologico-teleological problem. It seems that if we were not determined to the application of our powers before we were assured of the adequacy of our faculties to produce an Object, these powers would remain in great part unused. For we commonly learn to know our powers only by first making trial of them. This deception in the case of vain wishes is then only the consequence of a benevolent ordinance in our nature. [This note was added by Kant in the Second Edition.]

    10 One of the various pretended contradictions in this whole distinction of the causality of nature from that of freedom is this. It is objected that if I speak of obstacles which nature opposes to causality according to (moral) laws of freedom or of the assistance it affords, I am admitting an influence of the former upon the latter. But if we try to understand what has been said, this misinterpretation is very easy to avoid. The opposition or assistance is not between nature and freedom, but between the former as phenomenon and the effects of the latter as phenomena in the world of sense. The causality of freedom itself (of pure and practical Reason) is the causality of a natural cause subordinated to freedom (i.e. of the subject considered as man and therefore as phenomenon). The intelligible, which is thought under freedom, contains the ground of the determination of this [natural cause] in a way not explicable any further (just as that intelligible does which constitutes the supersensible substrate of nature).

    11 It has been thought a doubtful point that my divisions in pure Philosophy should always be threefold. But that lies in the nature of the thing. If there is to be an a priori division it must be either analytical, according to the law of contradiction, which is always twofold (quodlibet ens est aut A aut non A); or it is synthetical. And if in this latter case it is to be derived from a priori concepts (not as in Mathematic from the intuition corresponding to the concept), the division must necessarily be trichotomy. For according to what is requisite for synthetical unity in general there must be (1) a condition, (2) a conditioned, and (3) the concept which arises from the union of the conditioned with its condition.

    12 The definition of taste which is laid down here is that it is the faculty of judging of the beautiful. But the analysis of judgements of taste must show what is required in order to call an object beautiful. The moments, to which this Judgement has regard in its reflection, I have sought in accordance with the guidance of the logical functions of judgement (for in a judgement of taste a reference to the Understanding is always involved). I have considered the moment of quality first, because the aesthetical judgement upon the beautiful first pays attention to it.

    13 A judgement upon an object of satisfaction may be quite disinterested, but yet very interesting, i.e. not based upon an interest, but bringing an interest with it; of this kind are all pure moral judgements. Judgements of taste, however, do not in themselves establish any interest. Only in society is it interesting to have taste: the reason of this will be shown in the sequel.

    14 [Second Edition.]

    15 An obligation to enjoyment is a manifest absurdity. Thus the obligation to all actions which have merely enjoyment for their aim can only be a pretended one; however spiritually it may be conceived (or decked out), even if it is a mystical, or so-called heavenly, enjoyment.

    16 [Second Edition.]

    17 [Second Edition.]

    18 [Ueberweg points out (Hist. of Phil., ii. 528, Eng. Trans.) that Mendelssohn had already called attention to the disinterestedness of our satisfaction in the Beautiful. “It appears,” says Mendelssohn, “to be a particular mark of the beautiful, that it is contemplated with quiet satisfaction, that it pleases, even though it be not in our possession, and even though we be never so far removed from the desire to put it to our use.” But, of course, as Ueberweg remarks, Kant’s conception of disinterestedness extends far beyond the absence of a desire to possess the object.]

    19 [Reading besondere with Windelband; Hartenstein reads bestimmte.]

    20 [I.e. The Critique of Pure Reason, Analytic, bk. ii. c. i.]

    21 [Second Edition. Spencer expresses much more concisely what Kant has in his mind here. “Pleasure … is a feeling which we seek to bring into consciousness and retain there; pain is … a feeling which we seek to get out of consciousness and to keep out.” Principles of Psychology, § 125.]

    22 [The editions of Hartenstein and Kirchmann omit ohne before zweck, which makes havoc of the sentence. It is correctly printed by Rosenkranz and Windelband.]

    23 [First Edition.]

    24 [Cf. Metaphysic of Morals, Introd. I. “The pleasure which is necessarily bound up with the desire (of the object whose representation affects feeling) may be called practical pleasure, whether it be cause or effect of the desire. On the contrary, the pleasure which is not necessarily bound up with the desire of the object, and which, therefore, is at bottom not a pleasure in the existence of the Object of the representation, but clings to the representation only, may be called mere contemplative pleasure or passive satisfaction. The feeling of the latter kind of pleasure we call taste.”]

    25 [Second Edition.]

    26 [First Edition has gleiche; Second Edition has solche.]

    27 [First and Second Editions have sehr zweifle; but this was corrected to nicht zweifle in the Third Edition of 1799.]

    28 [Belebt machen; First Edition had beliebt.]

    29 [Second Edition.]

    30 [Kant probably alludes here to Baumgarten (1714–1762), who was the first writer to give the name of Aesthetics to the Philosophy of Taste. He defined beauty as “perfection apprehended through the senses.” Kant is said to have used as a text-book at lectures a work by Meier, a pupil of Baumgarten’s, on this subject.]

    31 [Cf. Preface to the Metaphysical Elements of Ethics, v.: “The word perfection is liable to many misconceptions. It is sometimes understood as a concept belonging to Transcendental Philosophy; viz. the concept of the totality of the manifold, which, taken together, constitutes a Thing; sometimes, again, it is understood as belonging to Teleology, so that it signifies the agreement of the characteristics of a thing with a purpose. Perfection in the former sense might be called quantitative (material), in the latter qualitative (formal) perfection.”]

    32 [The words even if … general were added in the Second Edition.]

    33 [Second Edition.]

    34 Models of taste as regards the arts of speech must be composed in a dead and learned language. The first, in order that they may not suffer that change which inevitably comes over living languages, in which noble expressions become flat, common ones antiquated, and newly created ones have only a short currency. The second, because learned languages have a grammar which is subject to no wanton change of fashion, but the rules of which are preserved unchanged.

    35 [This distinction between an Idea and an Ideal, as also the further contrast between Ideals of the Reason and Ideals of the Imagination, had already been given by Kant in the Critique of Pure Reason, Dialectic, bk. ii. c. iii. § 1.]

    36 [Polycletus of Argos flourished about 430 B.C. His statue of the Spearbearer (Doryphorus), afterwards became known as the Canon; because in it the artist was supposed to have embodied a perfect representation of the ideal of the human figure.]

    37 [This was a celebrated statue executed by Myron, a Greek sculptor, contemporary with Polycletus. It is frequently mentioned in the Greek Anthology.]

    38 It will be found that a perfectly regular countenance, such as a painter might wish to have for a model, ordinarily tells us nothing; because it contains nothing characteristic, and therefore rather expresses the Idea of the race than the specific [traits] of a person. The exaggeration of a characteristic of this kind, i.e. such as does violence to the normal Idea (the purposiveness of the race) is called caricature. Experience also shows that these quite regular countenances commonly indicate internally only a mediocre man; presumably (if it may be assumed that external nature expresses the proportions of internal) because, if no mental disposition exceeds that proportion which is requisite in order to constitute a man free from faults, nothing can be expected of what is called genius, in which nature seems to depart from the ordinary relations of the mental powers on behalf of some special one.

    39 It might be objected to this explanation that there are things, in which we see a purposive form without cognising any [definite] purpose in them, like the stone implements often got from old sepulchral tumuli with a hole in them as if for a handle. These, although they plainly indicate by their shape a purposiveness of which we do not know the purpose, are nevertheless not described as beautiful. But if we regard a thing as a work of art, that is enough to make us admit that its shape has reference to some design and definite purpose. And hence there is no immediate satisfaction in the contemplation of it. On the other hand a flower, e.g. a tulip, is regarded as beautiful; because in perceiving it we find a certain purposiveness which, in our judgement, is referred to no purpose at all.

    40 [Cp. p. 170, infra.]

    41 [See The History of Sumatra, by W. Marsden (London, 1783), p. 113.]

    42 [Cf. § 42, infra.]

    43 [Second Edition.]

    44 [Second Edition.]

    45 [Lettres sur l’Égypte, par M. Savary, Amsterdam, 1787.]

    46 [Second Edition.]

    47 [With this should be compared the similar discussion in the Critique of Pure Reason, Dialectic, bk. ii. c. ii. § 1, On the System of Cosmological Ideas.]

    48 [Second Edition.]

    49 [Cf. § 83, infra.]

    50 [In the Philosophical Theory of Religion, pt. i. sub fin. (Abbott’s Translation, p. 360), Kant, as here, divides “all religions into two classes—favour-seeking religion (mere worship) and moral religion, that is, the religion of a good life;” and he concludes that “amongst all the public religions that have ever existed the Christian alone is moral.”]

    51 [Voyages dans les Alpes, par H. B. de Saussure; vol. i. was published at Neuchatel in 1779; vol. ii. at Geneva in 1786.]

    52 [Second Edition.]

    53 [Als Vermögen der Independenz der absoluten Totalität, a curious phrase.]

    54 [Second Edition.]

    55 Affections are specifically different from passions. The former are related merely to feeling; the latter belong to the faculty of desire, and are inclinations which render difficult or impossible all determination of the [elective] will by principles. The former are stormy and unpremeditated; the latter are steady and deliberate; thus indignation in the form of wrath is an affection, but in the form of hatred (revenge) is a passion. The latter can never and in no reference be called sublime; because while in an affection the freedom of the mind is hindered, in a passion it is abolished. [Cf. Preface to the Metaphysical Elements of Ethics, § xvi., where this distinction is more fully drawn out. Affection is described as hasty; and passion is defined as the sensible appetite grown into a permanent inclination.]

    56 [In the Preface to the Metaphysical Elements of Ethics, § xvii., Kant gives the term moral apathy to that freedom from the sway of the affections, which is distinguished from indifference to them.]

    57 [Reading weiche with Rosenkranz and Windelband; Hartenstein and Kirchmann have weise, which yields no sense.]

    58 [Cf. p. 129, supra.]

    59 [Kirchmann has positiv; but this is probably a mere misprint.]

    60 [L.c. vol. ii. p. 181.]

    61 [See Burke, On the Sublime and Beautiful, Part IV., Sect. vii. “If the pain and terror are so modified as not to be actually noxious; if the pain is not carried to violence, and the terror is not conversant about the present destruction of the person, as these emotions clear the parts, whether fine or gross, of a dangerous and troublesome incumbrance, they are capable of producing delight; not pleasure, but a sort of delightful horror, a sort of tranquillity tinged with terror; which, as it belongs to self-preservation, is one of the strongest of all the passions.” Kant quotes from the German version published at Riga in 1773. This was a free translation made from Burke’s fifth edition.]

    62 [See Burke, l.c., Part IV., Sect. xix. “Beauty acts by relaxing the solids of the whole system. There are all the appearances of such a relaxation; and a relaxation somewhat below the natural tone seems to me to be the cause of all positive pleasure. Who is a stranger to that manner of expression so common in all times and in all countries, of being softened, relaxed, enervated, dissolved, melted away by pleasure?”]

    63 [Reading Gebot; Kirchmann has Gesetz.]

    64 [Second Edition.]

    65 [Second Edition.]

    66 [Cf. Critique of Pure Reason, Methodology, c. 1, § 1. “The construction of a concept is the a priori presentation of the corresponding intuition.”]

    67 [Charles Batteux (1713–1780), author of Les Beaux Arts reduits à un même principe.]

    68 [Essay XVIII, The Sceptic. “Critics can reason and dispute more plausibly than cooks or perfumers. We may observe, however, that this uniformity among human kind, hinders not, but that there is a considerable diversity in the sentiments of beauty and worth, and that education, custom, prejudice, caprice, and humour, frequently vary our taste of this kind…. Beauty and worth are merely of a relative nature, and consist in an agreeable sentiment, produced by an object in a particular mind, according to the peculiar structure and constitution of that mind.”]

    69 [For the distinction, an important one in Kant, between judgements of experience and judgements of perception, see his Prolegomena, § 18. Cf. Kant’s Critical Philosophy for English Readers, vol. i. p. 116.]

    70 [First Edition has “limited.”]

    71 In order to be justified in claiming universal assent for an aesthetical judgement that rests merely on subjective grounds, it is sufficient to assume, (1) that the subjective conditions of the Judgement, as regards the relation of the cognitive powers thus put into activity to a cognition in general, are the same in all men. This must be true, because otherwise men would not be able to communicate their representations or even their knowledge. (2) The judgement must merely have reference to this relation (consequently to the formal condition of the Judgement) and be pure, i.e. not mingled either with concepts of the Object or with sensations, as determining grounds. If there has been any mistake as regards this latter condition, then there is only an inaccurate application of the privilege, which a law gives us, to a particular case; but that does not destroy the privilege itself in general.

    72 [Kant lays down these three maxims in his Introduction to Logic, § vii., as “general rules and conditions of the avoidance of error.”]

    73 We soon see that although enlightenment is easy in thesi, yet in hypothesi it is difficult and slow of accomplishment. For not to be passive as regards Reason, but to be always self-legislative, is indeed quite easy for the man who wishes only to be in accordance with his essential purpose, and does not desire to know what is beyond his Understanding. But since we can hardly avoid seeking this, and there are never wanting others who promise with much confidence that they are able to satisfy our curiosity, it must be very hard to maintain in or restore to the mind (especially the mind of the public) that bare negative which properly constitutes enlightenment.

    74 We may designate Taste as sensus communis aestheticus, common Understanding as sensus communis logicus.

    75 [Peter Camper (1722–1789), a celebrated naturalist and comparative anatomist; for some years professor at Groningen.]

    76 In my country a common man, if you propose to him such a problem as that of Columbus with his egg, says, that is not art, it is only science. I.e. if we know how, we can do it; and he says the same of all the pretended arts of jugglers. On the other hand, he will not refuse to apply the term art to the performance of a rope-dancer.

    77 [Kant was accustomed to say that the talk at a dinner table should always pass through these three stages—narrative, discussion, and jest; and punctilious in this, as in all else, he is said to have directed the conversation at his own table accordingly (Wallace’s Kant, p. 39).]

    78 [Second Edition.]

    79 [Cf. Aristotle’s Poetics, c. iv. p. 1448 b: ἃ γὰρ αὐτὰ λυπηρῶς ὁρῶμεν, τούτων τὰς εἰκόνας τὰς μάλιστα ἠκριβωμένας χαίρομεν θεωροῦντες οἷον θηρίων τε μορφὰς τῶν ἀτιμοτάτων καὶ νεκρῶν. Cf. also Rhetoric, I. 11, p. 1371 b; and Burke on the Sublime and Beautiful, Part I. § 16. Boileau (L’art poétique, chant 3), makes a similar observation:

    “Il n’est point de serpent ni de monstre odieux

    Qui, par l’art imité, ne puisse plaire aux yeux.

    D’un pinceau délicat l’artifice agréable

    Du plus affreux objet fait un objet aimable.”]

    80 [Second Edition.]

    81 [Cf. p. 199, infra.]

    82 [In English we would rather say “without soul”; but I prefer to translate Geist consistently by spirit, to avoid the confusion of it with Seele.]

    83 [These lines occur in one of Frederick the Great’s French poems: Épître au maréchal Keith XVIII., “sur les vaines terreurs de la mort et les frayeurs d’une autre vie.” Kant here translates them into German.]

    84 [Withof, whose “Moral Poems” appeared in 1755. This reference was supplied by H. Krebs in Notes and Queries 5th January 1895.]

    85 Perhaps nothing more sublime was ever said and no sublimer thought ever expressed than the famous inscription on the Temple of Isis (Mother Nature): “I am all that is and that was and that shall be, and no mortal hath lifted my veil.” Segner availed himself of this Idea in a suggestive vignette prefixed to his Natural Philosophy, in order to inspire beforehand the pupil whom he was about to lead into that temple with a holy awe, which should dispose his mind to serious attention. [J. A. de Segner (1704–1777) was Professor of Natural Philosophy at Göttingen, and the author of several scientific works of repute.]

    86 [Second Edition.]

    87 The three former faculties are united in the first instance by means of the fourth. Hume gives us to understand in his History of England that although the English are inferior in their productions to no people in the world as regards the evidences they display of the three former properties, separately considered, yet they must be put after their neighbours the French as regards that which unites these properties. [In his Observations on the Beautiful and Sublime, § iv. sub init., Kant remarks that the English have the keener sense of the sublime, the French of the beautiful.]

    88 The reader is not to judge this scheme for a possible division of the beautiful arts as a deliberate theory. It is only one of various attempts which we may and ought to devise.

    89 [Second Edition.]

    90 [I.e. the case of Plastic art, with its subdivisions of Architecture and Sculpture, as is explained in the next paragraph.]

    91 That landscape gardening may be regarded as a species of the art of painting, although it presents its forms corporeally, seems strange. But since it actually takes its forms from nature (trees, shrubs, grasses, and flowers from forest and field—at least in the first instance), and so far is not an art like Plastic; and since it also has no concept of the object and its purpose (as in Architecture) conditioning its arrangements, but involves merely the free play of the Imagination in contemplation, it so far agrees with mere aesthetical painting which has no definite theme (which arranges sky, land, and water, so as to entertain us by means of light and shade only).—In general the reader is only to judge of this as an attempt to combine the beautiful arts under one principle, viz. that of the expression of aesthetical Ideas (according to the analogy of speech), and not to regard it as a definitive analysis of them.

    92 I must admit that a beautiful poem has always given me a pure gratification; whilst the reading of the best discourse, whether of a Roman orator or of a modern parliamentary speaker or of a preacher, has always been mingled with an unpleasant feeling of disapprobation of a treacherous art, which means to move men in important matters like machines to a judgement that must lose all weight for them on quiet reflection. Readiness and accuracy in speaking (which taken together constitute Rhetoric) belong to beautiful art; but the art of the orator (ars oratoria), the art of availing oneself of the weaknesses of men for one’s own designs (whether these be well meant or even actually good does not matter) is worthy of no respect. Again, this art only reached its highest point, both at Athens and at Rome, at a time when the state was hastening to its ruin and true patriotic sentiment had disappeared. The man who along with a clear insight into things has in his power a wealth of pure speech, and who with a fruitful Imagination capable of presenting his Ideas unites a lively sympathy with what is truly good, is the vir bonus discendi peritus, the orator without art but of great impressiveness, as Cicero has it; though he may not always remain true to this ideal.

    93 [From this to the end of the paragraph, and the next note, were added in the Second Edition.]

    94 Those who recommend the singing of spiritual songs at family prayers do not consider that they inflict a great hardship upon the public by such noisy (and therefore in general pharisaical) devotions; for they force the neighbours either to sing with them or to abandon their meditations. [Kant suffered himself from such annoyances, which may account for the asperity of this note. At one period he was disturbed by the devotional exercises of the prisoners in the adjoining jail. In a letter to the burgomaster “he suggested the advantage of closing the windows during these hymn-singings, and added that the warders of the prison might probably be directed to accept less sonorous and neighbour-annoying chants as evidence of the penitent spirit of their captives” (Wallace’s Kant, p. 42).]

    95 [Cf. “Parturiunt montes, nascitur ridiculus mus.”]

    96 [The First Edition adds “as in the case of a man who gets the news of a great commercial success.”]

    97 [The jest may have been taken from Steele’s play, “The Funeral or Grief à la mode,” where it occurs verbatim. This play was published in 1702.]

    98 [Henriade, Chant 7, sub init.

    “Du Dieu qui nous créa la clémence infinie,

    Pour adoucir les maux de cette courte vie,

    A placé parmi nous deux êtres bienfaisants,

    De la terre à jamais aimables habitants,

    Soutiens dans les travaux, trésors dans l’indigence:

    L’un est le doux sommeil, et l’autre est l’espérance.”]

    99 We may describe as a rationalising judgement (judicium ratiocinans) one which proclaims itself as universal, for as such it can serve as the major premise of a syllogism. On the other hand, we can only speak of a judgement as rational (judicium ratiocinatum) which is thought as the conclusion of a syllogism, and consequently as grounded a priori.

    100 [Cf. p. 241, infra.]

    101 [Second Edition.]

    102 [Antiparos is a small island in the Cyclades, remarkable for a splendid stalactite cavern near the southern coast.]

    103 The intuitive in cognition must be opposed to the discursive (not to the symbolical). The former is either schematical, by demonstration; or symbolical as a representation in accordance with a mere analogy.

    104 [I read Geselligkeit with Rosenkranz and Windelband; Hartenstein and Kirchmann have Glückseligkeit.]

    105 As in pure mathematics we can never talk of the existence, but only of the possibility of things, viz. of an intuition corresponding to a concept, and so never of cause and effect, it follows that all purposiveness observed there must be considered merely as formal and never as a natural purpose.

    106 [The allusion is to Vitruvius de Architectura, Bk. vi. Praef. “Aristippus philosophus Socraticus, naufragio cum eiectus ad Rhodiensium litus animadvertisset geometrica schemata descripta, exclamavisse ad comites ita dicitur, Bene speremus, hominum enim vestigia video.”]

    107 [Second Edition.]

    108 We can conversely throw light upon a certain combination, much more often met with in Idea than in actuality, by means of an analogy to the so-called immediate natural purposes. In a recent complete transformation of a great people into a state the word organisation for the regulation of magistracies, etc., and even of the whole body politic, has often been fitly used. For in such a whole every member should surely be purpose as well as means, and, whilst all work together towards the possibility of the whole, each should be determined as regards place and function by means of the Idea of the whole. [Kant probably alludes here to the organisation of the United States of America.]

    109 [These words are inserted by Rosenkranz and Windelband, but omitted by Hartenstein and Kirchmann.]

    110 In the aesthetical part [§ 58, p. 247] it was said: We view beautiful nature with favour, whilst we have a quite free (disinterested) satisfaction in its form. For in this mere judgement of taste no consideration is given to the purpose for which these natural beauties exist; whether to excite pleasure in us, or as purposes without any reference to us at all. But in a teleological judgement we pay attention to this reference, and here we can regard it as a favour of nature that it has been willing to minister to our culture by the exhibition of so many beautiful figures.

    111 The German word vermessen is a good word and full of meaning. A judgement in which we forget to consider the extent of our powers (our Understanding) may sometimes sound very humble, and yet make great pretensions, and so be very presumptuous. Of this kind are most of those by which we pretend to extol the divine wisdom by ascribing to it designs in the works of creation and preservation which are really meant to do honour to the private wisdom of the reasoner.

    112 We thus see that in most speculative things of pure Reason, as regards dogmatic assertions, the philosophical schools have commonly tried all possible solutions of a given question. To explain the purposiveness of nature men have tried either lifeless matter or a lifeless God, or again, living matter or a living God. It only remains for us, if the need should arise, to abandon all these objective assertions and to examine critically our judgement merely in reference to our cognitive faculties, in order to supply to their principle a validity which, if not dogmatic, shall at least be that of a maxim sufficient for the sure employment of Reason.

    113 [That is, the wider concept serves as a universal, under which the particular may be brought; cognition from principles, in Kant’s phrase, is the process of knowing the particular in the universal by means of concepts.]

    114 [This distinction will be familiar to the student of the Critique of Pure Reason. See Dialectic, bk. i., Of the Concepts of Pure Reason.]

    115 [Second Edition.]

    116 [This principle, that for our intellect, the conception of an organised body is impossible except by the aid of the Idea of design, is frequently insisted on by Kant. Professor Wallace points out (Kant, p. 110) that as far back as 1755, in his General Physiogony and Theory of the Heavens, Kant classed the origin of animals and plants with the secrets of Providence and the mystical number 666 “as one of the topics on which ingenuity and thought are occasionally wasted.”]

    117 [Second Edition.]

    118 [Second Edition.]

    119 [This is marked as an Appendix in the Second Edition.]

    120 We may call a hypothesis of this kind a daring venture of reason, and there may be few even of the most acute naturalists through whose head it has not sometimes passed. For it is not absurd, like that generatio aequivoca by which is understood the production of an organised being through the mechanics of crude unorganised matter. It would always remain generatio univoca in the most universal sense of the word, for it only considers one organic being as derived from another organic being, although from one which is specifically different; e.g. certain water-animals transform themselves gradually into marsh-animals and from these, after some generations, into land-animals. A priori, in the judgement of Reason alone, there is no contradiction here. Only experience gives no example of it; according to experience all generation that we know is generatio homonyma. This is not merely univoca in contrast to the generation out of unorganised material, but in the organisation the product is of like kind to that which produced it; and generation heteronyma, so far as our empirical knowledge of nature extends, is nowhere found.

    121 [It is probable that Kant alludes here to Hume’s Essay On a Providence and a Future State, § xi of the Inquiry. Hume argues that though the inference from an effect to an intelligent cause may be valid in the case of human contrivance, it is not legitimate to rise by a like argument to Supreme Intelligence. “In human nature there is a certain experienced coherence of designs and inclinations; so that when from any fact we have discovered one intention of any man, it may often be reasonable from experience to infer another, and draw a long chain of conclusions concerning his past or future conduct. But this method of reasoning can never have place with regard to a being so remote and incomprehensible, who bears much less analogy to any other being in the universe than the sun to a waxen taper, and who discovers himself only by some faint traces or outlines, beyond which we have no authority to ascribe to him any attribute or perfection.”]

    122 [J. F. Blumenbach (1752–1840), a German naturalist and professor at Göttingen; the author of Institutiones Physiologicae (1787) and other works. An interesting account of him is given in Lever’s novel Adventures of Arthur O’Leary, ch. xix.]

    123 [Carl von Linné (1707–1778), Knight of the Polar Star, the celebrated Swedish botanist.]

    124 If the once adopted name Natural history is to continue for the description of nature, we may in contrast with art, give the title of Archaeology of nature to that which the former literally indicates, viz. a representation of the old condition of the earth, about which, although we cannot hope for certainty, we have good ground for conjecture. As sculptured stones, etc., belong to the province of art, so petrefactions belong to the archaeology of nature. And since work is actually being done in this [science] (under the name of the Theory of the Earth), constantly, although of course slowly, this name is not given to a merely imaginary investigation of nature, but to one to which nature itself leads and invites us.

    125 [See p. 184 above.]

    126 [First Edition has freedom.]

    127 [These views are set forth by Kant more fully in the essay Zum ewigen Frieden (1795).]

    128 [Second Edition.]

    129 [Cf. The Philosophical Theory of Religion, Part i., On the bad principle in Human Nature, III., where Kant remarks that although war “is not so incurably bad as the deadness of a universal monarchy … yet, as an ancient observed, it makes more bad men than it takes away.”]

    130 The value of life for us, if it is estimated by that which we enjoy (by the natural purpose of the sum of all inclinations, i.e. happiness), is easy to decide. It sinks below zero; for who would be willing to enter upon life anew under the same conditions? who would do so even according to a new, self-chosen plan (yet in conformity with the course of nature), if it were merely directed to enjoyment? We have shown above what value life has in virtue of what it contains in itself, when lived in accordance with the purpose that nature has along with us, and which consists in what we do (not merely what we enjoy), in which, however, we are always but means towards an undetermined final purpose. There remains then nothing but the value which we ourselves give our life, through what we can not only do, but do purposively in such independence of nature that the existence of nature itself can only be a purpose under this condition.

    131 It would be possible that the happiness of rational beings in the world should be a purpose of nature, and then also this would be its ultimate purpose. At least we cannot see a priori why nature should not be so ordered, because by means of its mechanism this effect would be certainly possible, at least so far as we see. But morality, with a causality according to purposes subordinated thereto, is absolutely impossible by means of natural causes; for the principle by which it determines to action is supersensible, and is therefore the only possible principle in the order of purposes that in respect of nature is absolutely unconditioned. Its subject consequently alone is qualified to be the final purpose of creation to which the whole of nature is subordinated.—Happiness, on the contrary, as has been shown in the preceding paragraphs by the testimony of experience, is not even a purpose of nature in respect of man in preference to other creatures; much less a final purpose of creation. Men may of course make it their ultimate subjective purpose. But if I ask, in reference to the final purpose of creation, why must men exist? then we are speaking of an objective supreme purpose, such as the highest Reason would require for creation. If we answer: These beings exist to afford objects for the benevolence of that Supreme Cause; then we contradict the condition to which the Reason of man subjects even his inmost wish for happiness (viz. the harmony with his own internal moral legislation). This proves that happiness can only be a conditioned purpose, and that it is only as a moral being that man can be the final purpose of creation; but that as concerns his state happiness is only connected with it as a consequence, according to the measure of his harmony with that purpose regarded as the purpose of his being.

    132 [Second Edition.]

    133 I say deliberately under moral laws. It is not man in accordance with moral laws, i.e. a being who behaves himself in conformity with them, who is the final purpose of creation. For by using the latter expression we should be asserting more than we know; viz. that it is in the power of an Author of the world to cause man always to behave himself in accordance with moral laws. But this presupposes a concept of freedom and of nature (of which latter we can only think an external author), which would imply an insight into the supersensible substrate of nature and its identity with that which causality through freedom makes possible in the world. And this far surpasses the insight of our Reason. Only of man under moral laws can we say, without transgressing the limits of our insight: his being constitutes the final purpose of the world. This harmonises completely with the judgement of human Reason reflecting morally upon the course of the world. We believe that we perceive in the case of the wicked the traces of a wise purposive reference, if we only see that the wanton criminal does not die before he has undergone the deserved punishment of his misdeeds. According to our concepts of free causality, our good or bad behaviour depends on ourselves; we regard it the highest wisdom in the government of the world to ordain for the first, opportunity, and for both, their consequence, in accordance with moral laws. In the latter properly consists the glory of God, which is hence not unsuitably described by theologians as the ultimate purpose of creation.— It is further to be remarked that when we use the word creation, we understand nothing more than we have said here, viz. the cause of the being of the world or of the things in it (substances). This is what the concept properly belonging to this word involves (actuatio substantiae est creatio); and consequently there is not implied in it the supposition of a freely working, and therefore intelligent, cause (whose being we first of all want to prove).

    134 [Note added in Second Edition.] This moral argument does not supply any objectively-valid proof of the Being of God; it does not prove to the sceptic that there is a God, but proves that if he wishes to think in a way consonant with morality, he must admit the assumption of this proposition under the maxims of his practical Reason.— We should therefore not say: it is necessary for morals [Sittlichkeit], to assume the happiness of all rational beings of the world in proportion to their morality [Moralität]; but rather, this is necessitated by morality. Accordingly, this is a subjective argument sufficient for moral beings.

    135 [Second Edition.]

    136 [Second Edition.]

    137 In a practical sense that religion is always idolatry which conceives the Supreme Being with properties, according to which something else besides morality can be a fit condition for that which man can do being in accordance with His Will. For however pure and free from sensible images the concept that we have formed may be in a theoretical point of view, yet it will be in a practical point of view still represented as an idol, i.e. in regard to the character of His Will, anthropomorphically.

    138 [Cf. Introd. to Logic, ix. p. 63, “Conviction is opposed to Persuasion, which is a belief from inadequate reasons, of which we do not know whether they are only subjective or are also objective.”]

    139 [Second Edition.]

    140 [I.e. Urtheils. First Edition had Urtheilens, the judging subject.]

    141 Analogy (in a qualitative signification) is the identity of the relation between reasons and consequences (causes and effects), so far as it is to be found, notwithstanding the specific difference of the things or those properties in them which contain the reason for like consequences (i.e. considered apart from this relation). Thus we conceive of the artificial constructions of beasts by comparing them with those of men; by comparing the ground of those effects brought about by the former, which we do not know, with the ground of similar effects brought about by men (reason), which we do know; i.e. we regard the ground of the former as an analogon of reason. We then try at the same time to show that the ground of the artisan faculty of beasts, which we call instinct, specifically different as it is in fact from reason, has yet a similar relation to its effect (the buildings of the beaver as compared with those of men).—But then I cannot therefore conclude that because man uses reason for his building, the beaver must have the like, and call this a conclusion according to analogy. But from the similarity of the mode of operation of beasts (of which we cannot immediately perceive the ground) to that of men (of which we are immediately conscious), we can quite rightly conclude according to analogy, that beasts too act in accordance with representations (not as Descartes has it, that they are machines), and that despite their specific distinction they are yet (as living beings) of the same genus as man. The principle of our right so to conclude consists in the sameness of the ground for reckoning beasts in respect of the said determination in the same genus with men, regarded as men, so far as we can externally compare them with one another in accordance with their actions. There is par ratio. Just so I can conceive, according to the analogy of an Understanding, the causality of the supreme World-Cause, by comparing its purposive products in the world with the artificial works of men; but I cannot conclude according to analogy to those properties in it [which are in man], because here the principle of the possibility of such a method of reasoning entirely fails, viz. the paritas rationis for counting the Supreme Being in one and the same genus with man (in respect of the causality of both). The causality of the beings of the world, which is always sensibly conditioned (as is causality through Understanding) cannot be transferred to a Being which has in common with them no generic concept save that of Thing in general.

    142 We thus miss nothing in the representation of the relations of this Being to the world, as far as the consequences, theoretical or practical, of this concept are concerned. To wish to investigate what it is in itself, is a curiosity as purposeless as it is vain.

    143 [Cf. Introd. to Logic, p. 76, where the conditions of a legitimate hypothesis are laid down. See also Critique of Pure Reason, Methodology, c. i. § 3.]

    144 [This illustration is also given in the Logic (p. 57); where the three modi of belief, Opinion, Faith, and Knowledge, are distinguished from each other. Cf. Critique of Pure Reason, Methodology, c. ii. § 3.]

    145 [The speculations of Swedenborg seem to have always had a strange fascination for Kant. He says of two reported cases of Swedenborg’s clairvoyance that he knows not how to disprove them (Rosenkranz vii. 5); but in his Anthropology §§ 35, 37, he attacks Swedenborgianism as folly. So in an early essay, Dreams of a Visionary explained by Dreams of Metaphysics, he avows his scepticism as to the value of the information which “psychical research” can supply about the spirit-world, though he is careful not to commit himself to any dogmatic statement on the subject of ghosts. In the Critique of Pure Reason (when discussing the Postulates of Empirical Thought) he gives, as an instance of a concept inconsistent with the canons of possibility, “a power of being in a community of thought with other men, however distant from us.”]

    146 [Cf. supra, p. 229.]

    147 I here extend, correctly as it seems to me, the concept of a thing of fact beyond the usual signification of this word. For it is not needful, not even feasible, to limit this expression merely to actual experience, if we are talking of the relation of things to our cognitive faculties; for an experience merely possible is quite sufficient in order that we may speak of them merely as objects of a definite kind of cognition.

    148 [Cf. introduction to Logic, p. 59 note.]

    149 [Second Edition.]

    150 Things of faith are not therefore articles of faith; if we understand by the latter things of faith to the confession of which (internal or external) we can be bound. Natural theology contains nothing like this. For since they, as things of faith (like things of fact) cannot be based on theoretical proofs, [they are accepted by] a belief which is free and which only as such is compatible with the morality of the subject.

    151 The final purpose which the moral law enjoins upon us to further, is not the ground of duty; since this lies in the moral law, which, as formal practical principle, leads categorically, independently of the Objects of the faculty of desire (the material of the will) and consequently of any purpose whatever. This formal characteristic of my actions (their subordination under the principle of universal validity), wherein alone consists their inner moral worth, is quite in our power; and I can quite well abstract from the possibility or the unattainableness of purposes which I am obliged to promote in conformity with that law (because in them consists only the external worth of my actions) as something which is never completely in my power, in order only to look to that which is of my doing. But then the design of promoting the final purpose of all rational beings (happiness so far as it is possible for it to be accordant with duty) is even yet prescribed by the law of duty. The speculative Reason, however, does not see at all the attainableness of this (neither on the side of our own physical faculty nor on that of the co-operation of nature). It must rather, so far as we can judge in a rational way, hold the derivation, by the aid of such causes, of such a consequence of our good conduct from mere nature (internal and external) without God and immortality, to be an ungrounded and vain, though well-meant, expectation; and if it could have complete certainty of this judgement, it would regard the moral law itself as the mere deception of our Reason in a practical aspect. But since the speculative Reason fully convinces itself that the latter can never take place, but that on the other hand those Ideas whose object lies outside nature can be thought without contradiction, it must for its own practical law and the problem prescribed thereby, and therefore in a moral aspect, recognise those Ideas as real in order not to come into contradiction with itself.

    152 It is a trust in the promise of the moral law; [not however such as is contained in it, but such as I put into it and that on morally adequate grounds.153 For a final purpose cannot be commanded by any law of Reason without this latter at the same time promising, however uncertainly, its attainableness; and thus justifying our belief in the special conditions under which alone our Reason can think it as attainable. The word fides expresses this; and it can only appear doubtful, how this expression and this particular Idea came into moral philosophy, since it first was introduced with Christianity, and the adoption of it perhaps might seem to be only a flattering imitation of Christian terminology. But this is not the only case in which this wonderful religion with its great simplicity of statement has enriched philosophy with far more definite and purer concepts of morality, than it had been able to furnish before; but which, once they are there, are freely assented to by Reason and are assumed as concepts to which it could well have come of itself and which it could and should have introduced.]

    153 [Second Edition.]

    154 [Cf. Introd. to Logic, ix. p. 60, “That man is morally unbelieving who does not accept that which though impossible to know is morally necessary to suppose.”]

    155 [First Edition.]

    156 [In the Critique of Pure Reason, Dialectic, bk. II. c. iii. §§ 4, 5.]

    157 [H. S. Reimarus (1694–1768), the author of the famous Wolfenbüttel Fragments, published after the death of Reimarus by Lessing. The book alluded to by Kant is probably the Abhandlungen von den vornehmsten Wahrheiten der natürlichen Religion (1754), which had great popularity in its day.]

    158 [These arguments are advanced by Hume, Inquiry, § vii. Cf. also Pure Reason, Dialectic, bk. II. c. iii. § 6, and Practical Reason, Dialectic, c. ii. § vii.]

    159 [Cf. Practical Reason, Dialectic, c. ii. § v.]

    160 The admiration for beauty, and also the emotion aroused by the manifold purposes of nature, which a reflective mind is able to feel even prior to a clear representation of a rational Author of the world, have something in themselves like religious feeling. They seem in the first place by a method of judging analogous to moral to produce an effect upon the moral feeling (gratitude to, and veneration for, the unknown cause); and thus by exciting moral Ideas to produce an effect upon the mind, when they inspire that admiration which is bound up with far more interest than mere theoretical observation can bring about.

    Transcriber’s Notes
    Punctuation, hyphenation, and spelling were made consistent when a predominant preference was found in this book; otherwise they were not changed.
    Simple typographical errors were corrected.
    Ambiguous hyphens at the ends of lines were retained.
    Text has three occcurrences of “casuality”, which have been retained, but which may be misprints for “causality”.
    These are transliterations of the Greek text for use on devices that cannot display such text:
    Page xvii: kosmos.
    Page xxii: kalo.
    Page xxiv: sôphrosynê.
    Page xxxiii: nous.
    Page 397: kat’ alêtheian (or) kat’ anthrôpon.
    Footnote 79 (originally on page 195): ha gar auta lypêrôs horômen, toutôn tas eikonas tas malista êkribômenas chairomen theôrountes hoion thêriôn te morphas tôn atimotatôn kai nekrôn.

  • William Shakespeare《THE TRAGEDY  OF   HAMLET, PRINCE   OF   DENMARK》

    Contents
    ACT I
    Scene     I. Elsinore.      A     platform before    the  Castle.
    Scene     II. Elsinore.     A     room      of    state       in    the  Castle
    Scene     III. A room      in    Polonius’s      house.
    Scene     IV.   The platform.
    Scene     V.   A     more      remote   part of    the  Castle.
    ACT II

    Scene     I. A  room      in    Polonius’s      house.

    Scene     II. A room      in    the  Castle.

    ACT III

    Scene     I. A  room      in    the  Castle.

    Scene     II. A hall  in    the  Castle.

    Scene     III. A room      in    the  Castle.

    Scene     IV.   Another  room      in    the  Castle.

    ACT IV

    Scene     I. A  room      in    the  Castle.

    Scene     II. Another     room      in    the  Castle.

    Scene     III. Another    room      in    the  Castle.

    Scene     IV.   A     plain       in    Denmark.

    Scene     V.   Elsinore. A     room      in    the  Castle.

    Scene     VI.   Another  room      in    the  Castle.

    Scene     VII. Another  room      in    the  Castle.

    ACT V

    Scene     I. A  churchyard.

    Scene     II. A hall  in    the  Castle.

    Dramatis Personæ

    HAMLET, Prince     of    Denmark.

    CLAUDIUS,     King of    Denmark,      Hamlet’s uncle.

    The GHOST   of    the  late king,       Hamlet’s father.

    GERTRUDE,    the  Queen,   Hamlet’s mother,  now wife of    Claudius.

    POLONIUS,    Lord Chamberlain.

    LAERTES, Son to    Polonius.

    OPHELIA,       Daughter       to    Polonius.

    HORATIO,      Friend     to    Hamlet.

    FORTINBRAS, Prince     of    Norway.

    VOLTEMAND,       Courtier.

    CORNELIUS,  Courtier.

    ROSENCRANTZ,    Courtier.

    GUILDENSTERN,   Courtier.

    MARCELLUS,  Officer.

    BARNARDO,  Officer.

    FRANCISCO,  a     Soldier

    OSRIC,    Courtier.

    REYNALDO,   Servant   to    Polonius.

    Players.

    A     Gentleman,   Courtier.

    A     Priest.

    Two Clowns,  Grave-diggers.

    A     Captain.

    English   Ambassadors.

    Lords,     Ladies,    Officers,  Soldiers, Sailors,   Messengers,  and       Attendants.

    SCENE.   Elsinore.

    ACT I

    SCENE    I.     Elsinore. A     platform before    the  Castle.

    Enter      FRANCISCO       and BARNARDO ,      two sentinels.

    BARNARDO.

    Who’s     there?

    FRANCISCO.

    Nay, answer   me. Stand     and unfold    yourself.

    BARNARDO.

    Long      live  the  King!

    FRANCISCO.

    Barnardo?

    BARNARDO.

    He.

    FRANCISCO.

    You come      most      carefully upon      your hour.

    BARNARDO.

    ’Tis  now struck     twelve.   Get  thee to    bed, Francisco.

    FRANCISCO.

    For  this  relief       much     thanks.   ’Tis  bitter      cold,

    And I      am  sick at    heart.

    BARNARDO.

    Have      you had quiet      guard?

    FRANCISCO.

    Not a     mouse    stirring.

    BARNARDO.

    Well,       good      night.

    If     you do   meet      Horatio   and Marcellus,

    The rivals      of    my  watch,    bid  them      make      haste.

    Enter      HORATIO    and MARCELLUS .

    FRANCISCO.

    I      think      I      hear them.     Stand,    ho!  Who       is     there?

    HORATIO.

    Friends   to    this  ground.

    MARCELLUS.

    And liegemen to    the  Dane.

    FRANCISCO.

    Give you good      night.

    MARCELLUS.

    O,    farewell, honest    soldier,   who hath reliev’d   you?

    FRANCISCO.

    Barnardo has  my  place.     Give you good-night.

    [ Exit. ]

    MARCELLUS.

    Holla,     Barnardo!

    BARNARDO.

    Say, what,      is     Horatio   there?

    HORATIO.

    A     piece      of    him.

    BARNARDO.

    Welcome,      Horatio.  Welcome,      good      Marcellus.

    MARCELLUS.

    What,     has  this  thing      appear’d again      tonight?

    BARNARDO.

    I      have       seen nothing.

    MARCELLUS.

    Horatio   says ’tis   but  our  fantasy,

    And will  not  let   belief      take hold of    him

    Touching       this  dreaded sight,      twice      seen of    us.

    Therefore      I      have       entreated      him along

    With       us    to    watch     the  minutes  of    this  night,

    That if     again      this  apparition     come

    He   may approve  our  eyes and speak     to    it.

    HORATIO.

    Tush,      tush,       ’twill not  appear.

    BARNARDO.

    Sit   down      awhile,

    And let   us    once       again      assail      your ears,

    That are  so    fortified  against   our  story,

    What      we   two nights     have       seen.

    HORATIO.

    Well,       sit    we   down,

    And let   us    hear Barnardo speak     of    this.

    BARNARDO.

    Last night      of    all,

    When     yond      same      star that’s      westward       from       the  pole,

    Had made     his   course    t’illume   that part of    heaven

    Where    now it     burns,     Marcellus      and myself,

    The bell  then beating  one—

    MARCELLUS.

    Peace,    break      thee off.  Look       where     it     comes    again.

    Enter      GHOST .

    BARNARDO.

    In    the  same      figure,    like  the  King that’s      dead.

    MARCELLUS.

    Thou      art   a     scholar;  speak     to    it,    Horatio.

    BARNARDO.

    Looks     it     not  like  the  King?      Mark      it,    Horatio.

    HORATIO.

    Most      like. It     harrows  me  with fear and wonder.

    BARNARDO

    It     would     be   spoke     to.

    MARCELLUS.

    Question it,    Horatio.

    HORATIO.

    What      art   thou that usurp’st  this  time of    night, Together     with that       fair  and warlike   form

    In    which     the  majesty  of    buried    Denmark

    Did  sometimes    march?   By   heaven   I      charge    thee speak.

    MARCELLUS.

    It     is     offended.

    BARNARDO.

    See, it     stalks      away.

    HORATIO.

    Stay!       speak,    speak!    I      charge    thee speak!

    [ Exit       GHOST . ]

    MARCELLUS.

    ’Tis  gone,     and will  not  answer.

    BARNARDO.

    How now,       Horatio!  You tremble  and look pale.

    Is     not  this  something     more      than fantasy?

    What      think      you on’t?

    HORATIO.

    Before    my  God,       I      might     not  this  believe

    Without  the  sensible  and true avouch

    Of   mine      own eyes.

    MARCELLUS.

    Is     it     not  like  the  King?

    HORATIO.

    As   thou art   to    thyself:

    Such       was the  very armour   he   had on

    When     he   th’ambitious  Norway  combated;

    So   frown’d   he   once,      when      in    an   angry     parle

    He   smote     the  sledded  Polacks   on   the  ice.

    ’Tis  strange.

    MARCELLUS.

    Thus       twice      before,   and jump      at    this  dead      hour,

    With       martial   stalk hath he   gone      by   our  watch.

    HORATIO.

    In    what       particular       thought  to    work       I      know      not; But       in    the  gross      and scope     of    my  opinion,

    This bodes     some      strange   eruption to    our  state.

    MARCELLUS.

    Good      now,       sit    down,     and tell  me, he   that knows,

    Why this  same      strict       and most      observant      watch

    So   nightly    toils the  subject   of    the  land,

    And why such daily cast of    brazen    cannon

    And foreign   mart       for   implements   of    war;

    Why such impress  of    shipwrights,   whose    sore task

    Does      not  divide     the  Sunday   from       the  week.

    What      might     be   toward,   that this  sweaty    haste

    Doth       make      the  night      joint-labourer       with the  day:

    Who       is’t   that can  inform    me?

    HORATIO.

    That can  I;

    At    least,      the  whisper  goes       so.   Our last  King,

    Whose    image     even       but  now appear’d to    us,

    Was,       as    you know,     by   Fortinbras      of    Norway,

    Thereto  prick’d    on   by   a     most      emulate  pride,

    Dar’d      to    the  combat;  in    which     our  valiant    Hamlet,

    For  so    this  side of    our  known    world      esteem’d him,

    Did  slay this  Fortinbras;     who by   a     seal’d     compact,

    Well ratified   by   law  and heraldry,

    Did  forfeit,    with his   life,  all    those      his   lands

    Which    he   stood     seiz’d     of,   to    the  conqueror;

    Against   the  which,    a     moiety    competent

    Was gaged    by   our  King;      which     had return’d

    To   the  inheritance    of    Fortinbras,

    Had he   been      vanquisher;   as    by   the  same      cov’nant

    And carriage  of    the  article     design’d,

    His  fell   to    Hamlet.  Now,      sir,   young    Fortinbras,

    Of   unimproved   mettle,   hot  and full,

    Hath       in    the  skirts      of    Norway,  here and there,

    Shark’d   up   a     list   of    lawless   resolutes,

    For  food       and diet, to    some      enterprise

    That hath a     stomach in’t; which     is     no   other,

    As   it     doth       well appear   unto our  state,

    But  to    recover   of    us    by   strong    hand

    And terms     compulsatory,      those      foresaid  lands

    So   by   his   father     lost. And this, I      take it,

    Is     the  main      motive    of    our  preparations,

    The source    of    this  our  watch,    and the  chief       head

    Of   this  post-haste    and rummage      in    the  land.

    BARNARDO.

    I      think      it     be   no   other      but  e’en so:

    Well may it     sort that this  portentous    figure

    Comes    armed    through  our  watch     so    like  the  King

    That was and is     the  question of    these      wars.

    HORATIO.

    A     mote      it     is     to    trouble   the  mind’s    eye.

    In    the  most      high and palmy     state       of    Rome,

    A     little ere  the  mightiest Julius      fell,

    The graves    stood     tenantless      and the  sheeted  dead

    Did  squeak   and gibber    in    the  Roman   streets;

    As   stars with trains      of    fire  and dews      of    blood,

    Disasters in    the  sun; and the  moist      star,

    Upon      whose    influence Neptune’s     empire   stands,

    Was sick almost    to    doomsday     with eclipse.

    And even       the  like  precurse of    fierce      events,

    As   harbingers     preceding      still  the  fates

    And prologue to    the  omen     coming   on,

    Have      heaven   and earth      together demonstrated

    Unto       our  climatures     and countrymen.

    Re-enter GHOST .

    But, soft, behold!  Lo,   where     it     comes    again!

    I’ll    cross      it,    though   it     blast       me. Stay,       illusion!

    If     thou hast any  sound,    or    use  of    voice,

    Speak     to    me.

    If     there      be   any  good      thing      to    be   done,

    That may to    thee do   ease,      and grace      to    me,

    Speak     to    me.

    If     thou art   privy       to    thy  country’s fate,

    Which,    happily,  foreknowing  may avoid,

    O    speak!

    Or   if     thou hast uphoarded    in    thy  life

    Extorted treasure  in    the  womb     of    earth,

    For  which,    they say, you spirits     oft   walk in    death,

    Speak     of    it.    Stay,       and speak!

    [ The      cock crows. ]

    Stop it,    Marcellus!

    MARCELLUS.

    Shall       I      strike      at    it     with my  partisan?

    HORATIO.

    Do,  if     it     will  not  stand.

    BARNARDO.

    ’Tis  here!

    HORATIO.

    ’Tis  here!

    [ Exit       GHOST . ]

    MARCELLUS.

    ’Tis  gone!

    We  do   it     wrong,    being     so    majestical,

    To   offer       it     the  show      of    violence,

    For  it     is     as    the  air,  invulnerable,

    And our  vain blows     malicious mockery.

    BARNARDO.

    It     was about     to    speak,    when      the  cock crew.

    HORATIO.

    And then it     started,   like  a     guilty      thing

    Upon      a     fearful    summons.     I      have       heard

    The cock,      that is     the  trumpet  to    the  morn,

    Doth       with his   lofty and shrill-sounding     throat

    Awake    the  god of    day; and at    his   warning,

    Whether in    sea  or    fire, in    earth      or    air,

    Th’extravagant     and erring     spirit       hies

    To   his   confine.  And of    the  truth       herein

    This present   object     made     probation.

    MARCELLUS.

    It     faded     on   the  crowing  of    the  cock.

    Some     say  that ever ’gainst    that season   comes

    Wherein our  Saviour’s birth       is     celebrated,

    The bird of    dawning singeth   all    night      long;

    And then,      they say, no   spirit       dare stir  abroad,

    The nights     are  wholesome,   then no   planets   strike,

    No   fairy takes,     nor  witch      hath power     to    charm;

    So   hallow’d and so    gracious is     the  time.

    HORATIO.

    So   have       I      heard,    and do   in    part believe   it.

    But  look,       the  morn      in    russet     mantle   clad,

    Walks     o’er the  dew of    yon high eastward hill.

    Break      we   our  watch     up,  and by   my  advice,

    Let  us    impart    what       we   have       seen tonight

    Unto       young    Hamlet;  for   upon      my  life,

    This spirit,      dumb     to    us,   will  speak     to    him.

    Do   you consent  we   shall acquaint him with it,

    As   needful   in    our  loves,     fitting     our  duty?

    MARCELLUS.

    Let’s do’t, I      pray,       and I      this  morning know

    Where    we   shall find him most      conveniently.

    [ Exeunt. ]

    SCENE    II.     Elsinore. A     room      of    state       in    the  Castle.

    Enter      Claudius KING    of    Denmark,      Gertrude the  QUEEN,       HAMLET, POLONIUS, LAERTES,   VOLTEMAND,

    CORNELIUS,  LORDS   and ATTENDANT .

    KING.

    Though  yet  of    Hamlet   our  dear brother’s death

    The memory be   green,    and that it     us    befitted

    To   bear our  hearts     in    grief,      and our  whole     kingdom

    To   be   contracted     in    one brow      of    woe;

    Yet  so    far   hath discretion      fought    with nature

    That we   with wisest     sorrow    think      on   him,

    Together with remembrance of    ourselves.

    Therefore      our  sometime      sister,     now our  queen,

    Th’imperial    jointress to    this  warlike   state, Have    we,  as    ’twere       with a     defeated joy,

    With       one auspicious     and one dropping eye,

    With       mirth      in    funeral,   and with dirge      in    marriage,

    In    equal      scale      weighing delight   and dole,

    Taken     to    wife; nor  have       we   herein    barr’d

    Your       better     wisdoms, which     have       freely      gone

    With       this  affair      along.     For  all,   our  thanks.

    Now       follows,   that you know      young    Fortinbras,

    Holding  a     weak      supposal of    our  worth,

    Or   thinking  by   our  late dear brother’s death

    Our state       to    be   disjoint   and out  of    frame,

    Colleagued    with this  dream    of    his   advantage,

    He   hath not  fail’d       to    pester     us    with message,

    Importing      the  surrender      of    those      lands

    Lost by   his   father,    with all    bonds     of    law,

    To   our  most      valiant    brother.  So   much     for   him.

    Now       for   ourself    and for   this  time of    meeting:

    Thus       much     the  business is:    we   have       here writ

    To   Norway,  uncle      of    young    Fortinbras,

    Who,      impotent and bed-rid,  scarcely  hears

    Of   this  his   nephew’s       purpose, to    suppress

    His  further    gait herein;    in    that the  levies,

    The lists, and full  proportions   are  all    made

    Out of    his   subject:  and we   here dispatch

    You, good      Cornelius,      and you, Voltemand,

    For  bearers   of    this  greeting to    old  Norway,

    Giving    to    you no   further    personal power

    To   business with the  King,      more      than the  scope

    Of   these      dilated    articles   allow.

    Farewell; and let   your haste      commend      your duty.

    CORNELIUS   and VOLTEMAND.

    In    that, and all    things,    will  we   show      our  duty.

    KING.

    We  doubt     it     nothing: heartily   farewell.

    [ Exeunt  VOLTEMAND     and CORNELIUS . ]

    And now,       Laertes,  what’s    the  news      with you?

    You told us    of    some      suit. What      is’t,  Laertes?

    You cannot   speak     of    reason    to    the  Dane,

    And lose your voice.     What      wouldst  thou beg, Laertes,

    That shall not  be   my  offer,      not  thy  asking?

    The head      is     not  more      native     to    the  heart,

    The hand      more      instrumental  to    the  mouth,

    Than      is     the  throne    of    Denmark to    thy  father.

    What      wouldst  thou have,      Laertes?

    LAERTES.

    Dread     my  lord,

    Your       leave      and favour    to    return     to    France,

    From      whence  though   willingly  I      came      to    Denmark

    To   show      my  duty in    your coronation;

    Yet  now I      must      confess,  that duty done,

    My  thoughts and wishes    bend      again      toward   France,

    And bow them      to    your gracious leave      and pardon.

    KING.

    Have      you your father’s   leave?     What      says Polonius?

    POLONIUS.

    He   hath,      my  lord, wrung    from       me  my  slow leave

    By   laboursome   petition; and at    last

    Upon      his   will  I      seal’d     my  hard consent.

    I      do   beseech you give him leave      to    go.

    KING.

    Take       thy  fair  hour,      Laertes;  time be   thine,

    And thy  best graces    spend     it     at    thy  will!

    But  now,       my  cousin    Hamlet,  and my  son—

    HAMLET.

    [ Aside. ] A     little more      than kin,  and less than kind.

    KING.

    How is     it     that the  clouds    still  hang      on   you?

    HAMLET.

    Not so,   my  lord, I      am  too  much     i’     the  sun.

    QUEEN.

    Good      Hamlet,  cast thy  nighted  colour    off,

    And let   thine      eye  look like  a     friend     on   Denmark.

    Do   not  for   ever with thy  vailed     lids

    Seek       for   thy  noble     father     in    the  dust.

    Thou      know’st  ’tis   common,       all    that lives must      die,

    Passing  through  nature    to    eternity.

    HAMLET.

    Ay,  madam,  it     is     common.

    QUEEN.

    If     it     be,

    Why seems    it     so    particular       with thee?

    HAMLET.

    Seems,   madam! Nay, it     is;    I      know      not  seems.

    ’Tis  not  alone      my  inky cloak,     good      mother,

    Nor customary     suits of    solemn   black,

    Nor windy     suspiration    of    forc’d     breath,

    No,  nor  the  fruitful    river in    the  eye,

    Nor the  dejected haviour   of    the  visage,

    Together with all    forms,     moods,   shows     of    grief,

    That can  denote   me  truly.      These     indeed    seem,

    For  they are  actions   that a     man might     play;

    But  I      have       that within     which     passeth  show;

    These     but  the  trappings       and the  suits of    woe.

    KING.

    ’Tis  sweet     and commendable      in    your nature,   Hamlet,

    To   give these      mourning      duties     to    your father;

    But  you must      know,     your father     lost  a     father,

    That father     lost, lost  his,  and the  survivor  bound

    In    filial obligation,     for   some      term

    To   do   obsequious   sorrow.   But  to    persevere

    In    obstinate condolement is     a     course

    Of   impious  stubbornness. ’Tis  unmanly grief,

    It     shows     a     will  most      incorrect to    heaven,

    A     heart      unfortified,    a     mind      impatient,

    An   understanding      simple    and unschool’d;

    For  what       we   know      must      be,  and is     as    common

    As   any  the  most      vulgar     thing      to    sense,

    Why should    we   in    our  peevish  opposition

    Take       it     to    heart?     Fie,  ’tis   a     fault to    heaven, A      fault       against   the  dead,      a     fault to    nature,

    To   reason    most      absurd,   whose    common theme

    Is     death     of    fathers,   and who still  hath cried,

    From      the  first corse      till   he   that died today,

    ‘This must      be   so.’  We  pray you throw     to    earth

    This unprevailing  woe,       and think      of    us

    As   of    a     father;    for   let   the  world      take note

    You are  the  most      immediate     to    our  throne,

    And with no   less nobility   of    love

    Than      that which     dearest   father     bears      his   son

    Do   I      impart    toward   you. For  your intent

    In    going     back       to    school    in    Wittenberg,

    It     is     most      retrograde     to    our  desire:

    And we   beseech you bend      you to    remain

    Here       in    the  cheer      and comfort  of    our  eye,

    Our chiefest  courtier, cousin,   and our  son.

    QUEEN.

    Let  not  thy  mother   lose her  prayers,  Hamlet.

    I      pray thee stay with us;   go   not  to    Wittenberg.

    HAMLET.

    I      shall in    all    my  best obey       you, madam.

    KING.

    Why,      ’tis   a     loving     and a     fair  reply.

    Be   as    ourself    in    Denmark.      Madam,  come;

    This gentle    and unforc’d accord    of    Hamlet

    Sits  smiling   to    my  heart;     in    grace      whereof,

    No   jocund    health    that Denmark drinks     today

    But  the  great      cannon   to    the  clouds    shall tell,

    And the  King’s     rouse      the  heaven   shall bruit       again,

    Re-speaking  earthly    thunder. Come     away.

    [ Exeunt  all    but  HAMLET . ]

    HAMLET.

    O    that this  too  too  solid       flesh would     melt,

    Thaw,     and resolve   itself into a     dew!

    Or   that the  Everlasting    had not  fix’d

    His  canon     ’gainst    self-slaughter.      O    God!       O    God!

    How weary,    stale,      flat, and unprofitable

    Seem      to    me  all    the  uses of    this  world!

    Fie   on’t! Oh  fie!  ’tis   an   unweeded     garden

    That grows     to    seed;      things     rank and gross      in    nature

    Possess  it     merely.   That it     should    come      to    this!

    But  two months  dead—nay,    not  so    much,     not  two:

    So   excellent a     king;       that was to    this

    Hyperion to    a     satyr;      so    loving     to    my  mother,

    That he   might     not  beteem  the  winds     of    heaven

    Visit her  face too  roughly.  Heaven  and earth!

    Must      I      remember?    Why,      she  would     hang      on   him

    As   if     increase of    appetite had grown

    By   what       it     fed  on;  and yet,  within     a     month—

    Let  me  not  think      on’t—Frailty,  thy  name     is     woman!

    A     little month,   or    ere  those      shoes     were       old

    With       which     she  followed my  poor       father’s   body

    Like Niobe,    all    tears.—Why  she, even       she—

    O    God!       A     beast      that wants     discourse       of    reason

    Would    have       mourn’d longer,—married  with mine      uncle,

    My  father’s   brother;  but  no   more      like  my  father

    Than      I      to    Hercules. Within    a     month?

    Ere  yet  the  salt  of    most      unrighteous   tears

    Had left  the  flushing  in    her  galled     eyes,

    She married. O    most      wicked    speed,    to    post

    With       such dexterity to    incestuous     sheets!

    It     is     not, nor  it     cannot   come      to    good.

    But  break      my  heart,     for   I      must      hold my  tongue.

    Enter      HORATIO,    MARCELLUS and BARNARDO .

    HORATIO.

    Hail to    your lordship!

    HAMLET.

    I      am  glad to    see  you well:

    Horatio,  or    I      do   forget     myself.

    HORATIO.

    The same,     my  lord,

    And your poor       servant   ever.

    HAMLET.

    Sir,  my  good      friend;

    I’ll    change   that name     with you:

    And what       make      you from       Wittenberg,   Horatio?—

    Marcellus?

    MARCELLUS.

    My  good      lord.

    HAMLET.

    I      am  very glad to    see  you.—Good   even,      sir.—

    But  what,      in    faith,      make      you from       Wittenberg?

    HORATIO.

    A     truant     disposition,    good      my  lord.

    HAMLET.

    I      would     not  hear your enemy    say  so;

    Nor shall you do   my  ear  that violence,

    To   make      it     truster    of    your own report

    Against   yourself. I      know      you are  no   truant.

    But  what       is     your affair      in    Elsinore?

    We’ll       teach      you to    drink      deep      ere  you depart.

    HORATIO.

    My  lord, I      came      to    see  your father’s   funeral.

    HAMLET.

    I      prithee   do   not  mock      me, fellow-student.

    I      think      it     was to    see  my  mother’s wedding.

    HORATIO.

    Indeed,   my  lord, it     follow’d  hard upon.

    HAMLET.

    Thrift,     thrift,      Horatio!  The funeral   bak’d      meats

    Did  coldly     furnish    forth       the  marriage tables.

    Would    I      had met my  dearest   foe  in    heaven

    Or   ever I      had seen that day, Horatio.

    My  father,—methinks I      see  my  father.

    HORATIO.

    Where,   my  lord?

    HAMLET.

    In    my  mind’s    eye, Horatio.

    HORATIO.

    I      saw him once;      he   was a     goodly    king.

    HAMLET.

    He   was a     man,      take him for   all    in    all,

    I      shall not  look upon      his   like  again.

    HORATIO.

    My  lord, I      think      I      saw him yesternight.

    HAMLET.

    Saw?      Who?

    HORATIO.

    My  lord, the  King your father.

    HAMLET.

    The King my  father!

    HORATIO.

    Season   your admiration    for   a     while

    With       an   attent     ear, till   I      may deliver

    Upon      the  witness   of    these      gentlemen

    This marvel    to    you.

    HAMLET.

    For  God’s     love let   me  hear.

    HORATIO.

    Two nights     together had these      gentlemen,

    Marcellus      and Barnardo,      on   their watch

    In    the  dead      waste     and middle    of    the  night,

    Been      thus encounter’d.  A     figure     like  your father,

    Armed    at    point      exactly,   cap-à-pie,

    Appears  before    them,     and with solemn   march

    Goes      slow and stately    by   them:     thrice     he   walk’d

    By   their oppress’d      and fear-surprised      eyes,

    Within    his   truncheon’s   length;   whilst     they,       distill’d

    Almost   to    jelly with the  act  of    fear,

    Stand     dumb,    and speak     not  to    him. This to    me

    In    dreadful secrecy   impart    they did,

    And I      with them      the  third       night      kept the  watch, Where,       as    they had deliver’d, both       in    time,

    Form      of    the  thing,     each       word      made     true and good,

    The apparition     comes.   I      knew      your father;

    These     hands     are  not  more      like.

    HAMLET.

    But  where     was this?

    MARCELLUS.

    My  lord, upon      the  platform where     we   watch.

    HAMLET.

    Did  you not  speak     to    it?

    HORATIO.

    My  lord, I      did;

    But  answer   made     it     none:     yet  once       methought

    It     lifted      up   it     head,      and did  address

    Itself       to    motion,  like  as    it     would     speak.

    But  even       then the  morning cock crew       loud,

    And at    the  sound     it     shrunk    in    haste      away,

    And vanish’d from       our  sight.

    HAMLET.

    ’Tis  very strange.

    HORATIO.

    As   I      do   live, my  honour’d lord, ’tis   true;

    And we   did  think      it     writ down      in    our  duty

    To   let   you know      of    it.

    HAMLET.

    Indeed,   indeed,   sirs, but  this  troubles  me.

    Hold       you the  watch     tonight?

    Mar. and BARNARDO.

    We  do,  my  lord.

    HAMLET.

    Arm’d,    say  you?

    Both.

    Arm’d,    my  lord.

    HAMLET.

    From      top  to    toe?

    BOTH.

    My  lord, from       head      to    foot.

    HAMLET.

    Then      saw you not  his   face?

    HORATIO.

    O    yes, my  lord, he   wore       his   beaver    up.

    HAMLET.

    What,     look’d     he   frowningly?

    HORATIO.

    A     countenance more      in    sorrow    than in    anger.

    HAMLET.

    Pale,       or    red?

    HORATIO.

    Nay, very pale.

    HAMLET.

    And fix’d his   eyes upon      you?

    HORATIO.

    Most      constantly.

    HAMLET.

    I      would     I      had been      there.

    HORATIO.

    It     would     have       much     amaz’d   you.

    HAMLET.

    Very like, very like. Stay’d     it     long?

    HORATIO.

    While     one with moderate      haste      might     tell  a     hundred.

    MARCELLUS  and BARNARDO.

    Longer,   longer.

    HORATIO.

    Not when      I      saw’t.

    HAMLET.

    His  beard     was grizzled, no?

    HORATIO.

    It     was, as    I      have       seen it     in    his   life,

    A     sable      silver’d.

    HAMLET.

    I      will  watch     tonight;

    Perchance     ’twill walk again.

    HORATIO.

    I      warrant  you it     will.

    HAMLET.

    If     it     assume  my  noble     father’s   person,

    I’ll    speak     to    it,    though   hell  itself should    gape

    And bid  me  hold my  peace.    I      pray you all,

    If     you have       hitherto  conceal’d      this  sight,

    Let  it     be   tenable   in    your silence    still;

    And whatsoever    else shall hap tonight,

    Give it     an   understanding,     but  no   tongue.

    I      will  requite   your loves.     So,  fare ye    well.

    Upon      the  platform ’twixt      eleven    and twelve,

    I’ll    visit you.

    ALL.

    Our duty to    your honour.

    HAMLET.

    Your       loves,     as    mine      to    you: farewell.

    [ Exeunt  HORATIO,    MARCELLUS and BARNARDO . ]

    My  father’s   spirit       in    arms!      All   is     not  well;

    I      doubt     some      foul play: would     the  night      were       come!

    Till   then sit    still, my  soul: foul deeds     will  rise,

    Though  all    the  earth      o’erwhelm     them,     to    men’s     eyes.

    [ Exit. ]

    SCENE    III.    A     room      in    Polonius’s      house.

    Enter      LAERTES      and OPHELIA .

    LAERTES.

    My  necessaries    are  embark’d.      Farewell.

    And, sister,     as    the  winds     give benefit

    And convoy   is     assistant, do   not  sleep,

    But  let   me  hear from       you.

    OPHELIA.

    Do   you doubt     that?

    LAERTES.

    For  Hamlet,  and the  trifling    of    his   favour,

    Hold       it     a     fashion   and a     toy  in    blood;

    A     violet      in    the  youth     of    primy     nature,

    Forward, not  permanent,   sweet,    not  lasting;

    The perfume and suppliance     of    a     minute;

    No   more.

    OPHELIA.

    No   more      but  so?

    LAERTES.

    Think      it     no   more.

    For  nature    crescent does       not  grow      alone

    In    thews     and bulk;       but  as    this  temple   waxes,

    The inward    service    of    the  mind      and soul

    Grows     wide       withal.    Perhaps  he   loves      you now,

    And now no   soil  nor  cautel     doth       besmirch

    The virtue     of    his   will; but  you must      fear,

    His  greatness      weigh’d, his   will  is     not  his   own;

    For  he   himself   is     subject   to    his   birth:

    He   may not, as    unvalu’d persons  do,

    Carve     for   himself;  for   on   his   choice    depends

    The sanctity  and health    of    this  whole     state;

    And therefore must      his   choice    be   circumscrib’d

    Unto       the  voice      and yielding  of    that body

    Whereof he   is     the  head.      Then      if     he   says he   loves      you,

    It     fits   your wisdom  so    far   to    believe   it

    As   he   in    his   particular       act  and place

    May give his   saying    deed;      which     is     no   further

    Than      the  main      voice      of    Denmark goes       withal.

    Then      weigh     what       loss your honour   may sustain

    If     with too  credent  ear  you list   his   songs, Or       lose your heart,       or    your chaste    treasure  open

    To   his   unmaster’d    importunity.

    Fear it,    Ophelia, fear it,    my  dear sister;

    And keep       you in    the  rear of    your affection,

    Out of    the  shot and danger   of    desire.

    The chariest  maid      is     prodigal enough

    If     she  unmask  her  beauty    to    the  moon.

    Virtue     itself scopes    not  calumnious    strokes:

    The canker    galls the  infants    of    the  spring

    Too oft   before    their buttons  be   disclos’d,

    And in    the  morn      and liquid      dew of    youth

    Contagious    blastments    are  most      imminent.

    Be   wary       then,      best safety     lies  in    fear.

    Youth     to    itself rebels,    though   none      else near.

    OPHELIA.

    I      shall th’effect  of    this  good      lesson    keep

    As   watchman     to    my  heart.     But  good      my  brother,

    Do   not  as    some      ungracious    pastors   do,

    Show      me  the  steep      and thorny    way to    heaven;

    Whilst     like  a     puff’d     and reckless  libertine

    Himself   the  primrose path of    dalliance treads,

    And recks      not  his   own rede.

    LAERTES.

    O,    fear me  not.

    I      stay too  long.      But  here my  father     comes.

    Enter      POLONIUS .

    A     double   blessing  is     a     double   grace;

    Occasion smiles     upon      a     second   leave.

    POLONIUS.

    Yet  here,      Laertes?  Aboard,  aboard,  for   shame.

    The wind       sits  in    the  shoulder of    your sail,

    And you are  stay’d     for.  There,     my  blessing  with you.

    [ Laying  his   hand      on   LAERTES’S   head. ]

    And these      few  precepts in    thy  memory

    Look       thou character.      Give thy  thoughts no   tongue,

    Nor any  unproportion’d     thought  his   act.

    Be   thou familiar,  but  by   no   means    vulgar.

    Those     friends    thou hast, and their adoption tried,

    Grapple  them      unto thy  soul with hoops     of    steel;

    But  do   not  dull thy  palm      with entertainment

    Of   each       new-hatch’d, unfledg’d       comrade.       Beware

    Of   entrance to    a     quarrel;  but  being     in,

    Bear’t     that th’opposed    may beware   of    thee.

    Give every      man thine      ear, but  few  thy  voice:

    Take       each       man’s     censure, but  reserve   thy  judgment.

    Costly     thy  habit      as    thy  purse      can  buy,

    But  not  express’d in    fancy;     rich, not  gaudy:

    For  the  apparel   oft   proclaims      the  man;

    And they in    France    of    the  best rank and station

    Are  of    a     most      select     and generous       chief       in    that.

    Neither   a     borrower nor  a     lender    be:

    For  loan oft   loses      both       itself and friend;

    And borrowing     dulls the  edge      of    husbandry.

    This above     all:   to    thine      own self  be   true;

    And it     must      follow,    as    the  night      the  day,

    Thou      canst      not  then be   false to    any  man.

    Farewell: my  blessing  season   this  in    thee.

    LAERTES.

    Most      humbly   do   I      take my  leave,     my  lord.

    POLONIUS.

    The time invites    you; go,  your servants tend.

    LAERTES.

    Farewell, Ophelia, and remember     well

    What      I      have       said to    you.

    OPHELIA.

    ’Tis  in    my  memory lock’d,

    And you yourself  shall keep       the  key  of    it.

    LAERTES.

    Farewell.

    [ Exit. ]

    POLONIUS.

    What      is’t,  Ophelia, he   hath said to    you?

    OPHELIA.

    So   please    you, something     touching the  Lord Hamlet.

    POLONIUS.

    Marry,    well bethought:

    ’Tis  told me  he   hath very oft   of    late

    Given     private    time to    you; and you yourself

    Have      of    your audience been      most      free and bounteous.

    If     it     be   so,—as   so    ’tis   put  on   me,

    And that in    way of    caution,—I    must      tell  you

    You do   not  understand    yourself  so    clearly

    As   it     behoves my  daughter and your honour.

    What      is     between you?       Give me  up   the  truth.

    OPHELIA.

    He   hath,      my  lord, of    late made     many      tenders

    Of   his   affection to    me.

    POLONIUS.

    Affection!      Pooh!     You speak     like  a     green     girl,

    Unsifted in    such perilous  circumstance.

    Do   you believe   his   tenders,  as    you call  them?

    OPHELIA.

    I      do   not  know,     my  lord, what       I      should    think.

    POLONIUS.

    Marry,    I’ll    teach      you; think      yourself  a     baby;

    That you have       ta’en      these      tenders   for   true pay,

    Which    are  not  sterling.  Tender   yourself  more      dearly;

    Or,—not to    crack      the  wind       of    the  poor       phrase,

    Roaming it     thus,—you’ll  tender    me  a     fool.

    OPHELIA.

    My  lord, he   hath importun’d    me  with love

    In    honourable   fashion.

    POLONIUS.

    Ay,  fashion   you may call  it;    go   to,   go   to.

    OPHELIA.

    And hath given      countenance to    his   speech,  my  lord,

    With       almost    all    the  holy vows      of    heaven.

    POLONIUS.

    Ay,  springes to    catch      woodcocks.   I      do   know,

    When     the  blood     burns,     how prodigal the  soul

    Lends     the  tongue   vows:      these      blazes,    daughter,

    Giving    more      light than heat,      extinct    in    both,

    Even       in    their promise, as    it     is     a-making,

    You must      not  take for   fire. From      this  time

    Be   something     scanter   of    your maiden   presence;

    Set  your entreatments at    a     higher    rate

    Than      a     command      to    parley.    For  Lord Hamlet,

    Believe   so    much     in    him that he   is     young;

    And with a     larger     tether     may he   walk

    Than      may be   given      you. In    few, Ophelia,

    Do   not  believe   his   vows;      for   they are  brokers,

    Not of    that dye  which     their investments   show,

    But  mere      implorators    of    unholy    suits,

    Breathing      like  sanctified      and pious      bawds,

    The better     to    beguile.  This is     for   all.

    I      would     not, in    plain       terms,     from       this  time forth

    Have      you so    slander   any  moment leisure

    As   to    give words     or    talk  with the  Lord Hamlet.

    Look       to’t, I      charge    you; come      your ways.

    OPHELIA.

    I      shall obey,      my  lord.

    [ Exeunt. ]

    SCENE    IV.   The platform.

    Enter      HAMLET,      HORATIO      and MARCELLUS .

    HAMLET.

    The air   bites       shrewdly; it     is     very cold.

    HORATIO.

    It     is     a     nipping  and an   eager     air.

    HAMLET.

    What      hour       now?

    HORATIO.

    I      think      it     lacks       of    twelve.

    MARCELLUS.

    No,  it     is     struck.

    HORATIO.

    Indeed?  I      heard     it     not. It     then draws     near the  season

    Wherein the  spirit       held his   wont      to    walk.

    [ A   flourish   of    trumpets,      and ordnance       shot off   within. ]

    What      does       this  mean,     my  lord?

    HAMLET.

    The King doth       wake      tonight   and takes      his   rouse,

    Keeps     wassail,  and the  swaggering   upspring reels;

    And as    he   drains     his   draughts of    Rhenish  down,

    The kettle-drum   and trumpet  thus bray out

    The triumph  of    his   pledge.

    HORATIO.

    Is     it     a     custom?

    HAMLET.

    Ay   marry     is’t;

    And to    my  mind,     though   I      am  native     here,

    And to    the  manner  born,      it     is     a     custom

    More      honour’d in    the  breach    than the  observance.

    This heavy-headed      revel       east and west

    Makes    us    traduc’d and tax’d       of    other      nations:

    They       clepe      us    drunkards,     and with swinish   phrase

    Soil  our  addition; and indeed    it     takes

    From      our  achievements,      though   perform’d      at    height,

    The pith and marrow  of    our  attribute.

    So   oft   it     chances  in    particular       men

    That for   some      vicious    mole      of    nature    in    them,

    As   in    their birth,      wherein  they are  not  guilty,

    Since      nature    cannot   choose   his   origin,

    By   their o’ergrowth    of    some      complexion,

    Oft  breaking down      the  pales      and forts of    reason;

    Or   by   some      habit,     that too  much     o’erleavens

    The form       of    plausive  manners;—that    these      men,

    Carrying, I      say, the  stamp     of    one defect,

    Being     Nature’s livery      or    Fortune’s star,—

    His  virtues    else,—be they as    pure as    grace,

    As   infinite    as    man may undergo,

    Shall       in    the  general   censure  take corruption

    From      that particular       fault.      The dram      of    evil

    Doth       all    the  noble     substance      often      doubt

    To   his   own scandal.

    HORATIO.

    Look,      my  lord, it     comes!

    Enter      GHOST .

    HAMLET.

    Angels    and ministers of    grace      defend   us!

    Be   thou a     spirit       of    health    or    goblin    damn’d,

    Bring      with thee airs  from       heaven   or    blasts     from       hell,

    Be   thy  intents    wicked    or    charitable,

    Thou      com’st    in    such a     questionable shape

    That I      will  speak     to    thee.      I’ll    call  thee Hamlet,

    King,      father,    royal       Dane.     O,    answer   me!

    Let  me  not  burst      in    ignorance;     but  tell

    Why thy  canoniz’d      bones,    hearsed  in    death,

    Have      burst      their cerements;    why the  sepulchre,

    Wherein we   saw thee quietly    inurn’d,

    Hath       op’d his   ponderous     and marble   jaws

    To   cast thee up   again!     What      may this  mean,

    That thou,      dead      corse,     again      in    complete       steel,

    Revisit’st thus the  glimpses of    the  moon,

    Making   night      hideous, and we   fools       of    nature

    So   horridly  to    shake     our  disposition

    With       thoughts beyond   the  reaches  of    our  souls?

    Say, why is     this? Wherefore?    What      should    we   do?

    [GHOST beckons HAMLET . ]

    HORATIO.

    It     beckons you to    go   away      with it,

    As   if     it     some      impartment   did  desire

    To   you alone.

    MARCELLUS.

    Look       with what       courteous      action

    It     waves     you to    a     more      removed ground.

    But  do   not  go   with it.

    HORATIO.

    No,  by   no   means.

    HAMLET.

    It     will  not  speak;    then will  I      follow     it.

    HORATIO.

    Do   not, my  lord.

    HAMLET.

    Why,      what       should    be   the  fear?

    I      do   not  set   my  life   at    a     pin’s fee;

    And for   my  soul, what       can  it     do   to    that,

    Being     a     thing      immortal as    itself?

    It     waves     me  forth       again.     I’ll    follow     it.

    HORATIO.

    What      if     it     tempt     you toward   the  flood,     my  lord,

    Or   to    the  dreadful summit   of    the  cliff

    That beetles   o’er his   base into the  sea,

    And there      assume  some      other      horrible  form

    Which    might     deprive   your sovereignty   of    reason,

    And draw       you into madness?      Think      of    it.

    The very place      puts toys of    desperation,

    Without  more      motive,   into every      brain

    That looks      so    many      fadoms   to    the  sea

    And hears      it     roar beneath.

    HAMLET.

    It     waves     me  still.

    Go   on,  I’ll    follow     thee.

    MARCELLUS.

    You shall not  go,  my  lord.

    HAMLET.

    Hold       off   your hands.

    HORATIO.

    Be   rul’d;      you shall not  go.

    HAMLET.

    My  fate cries out,

    And makes    each       petty      artery     in    this  body

    As   hardy     as    the  Nemean lion’s      nerve.

    [GHOST beckons. ]

    Still  am  I      call’d.     Unhand  me, gentlemen.

    [ Breaking      free from       them. ]

    By   heaven,  I’ll    make      a     ghost     of    him that lets  me.

    I      say, away!—Go    on,  I’ll    follow     thee.

    [ Exeunt  GHOST        and HAMLET . ]

    HORATIO.

    He   waxes     desperate      with imagination.

    MARCELLUS.

    Let’s follow;    ’tis   not  fit    thus to    obey       him.

    HORATIO.

    Have      after.      To   what       issue      will  this  come?

    MARCELLUS.

    Something    is     rotten     in    the  state       of    Denmark.

    HORATIO.

    Heaven  will  direct     it.

    MARCELLUS.

    Nay, let’s follow     him.

    [ Exeunt. ]

    SCENE    V.    A     more      remote   part of    the  Castle.

    Enter      GHOST        and HAMLET .

    HAMLET.

    Whither  wilt  thou lead me? Speak,    I’ll    go   no   further.

    GHOST.

    Mark      me.

    HAMLET.

    I      will.

    GHOST.

    My  hour       is     almost    come,

    When     I      to    sulph’rous     and tormenting    flames

    Must      render    up   myself.

    HAMLET.

    Alas, poor       ghost!

    GHOST.

    Pity me  not, but  lend thy  serious   hearing

    To   what       I      shall unfold.

    HAMLET.

    Speak,    I      am  bound    to    hear.

    GHOST.

    So   art   thou to    revenge, when      thou shalt       hear.

    HAMLET.

    What?

    GHOST.

    I      am  thy  father’s   spirit,

    Doom’d  for   a     certain    term       to    walk the  night,

    And for   the  day  confin’d  to    fast  in    fires,

    Till   the  foul crimes    done      in    my  days of    nature

    Are  burnt      and purg’d    away.     But  that I      am  forbid

    To   tell  the  secrets   of    my  prison-house,

    I      could      a     tale unfold    whose    lightest   word

    Would    harrow   up   thy  soul; freeze     thy  young    blood,

    Make      thy  two eyes like  stars start from       their spheres,

    Thy  knotted  and combined      locks      to    part,

    And each       particular       hair to    stand      on   end

    Like quills      upon      the  fretful     porcupine.

    But  this  eternal   blazon    must      not  be

    To   ears of    flesh and blood.    List, list,  O,    list!

    If     thou didst       ever thy  dear father     love—

    HAMLET.

    O    God!

    GHOST.

    Revenge his   foul and most      unnatural      murder.

    HAMLET.

    Murder!

    GHOST.

    Murder   most      foul, as    in    the  best it     is;

    But  this  most      foul, strange,  and unnatural.

    HAMLET.

    Haste     me  to    know’t,   that I,     with wings     as    swift

    As   meditation    or    the  thoughts of    love

    May sweep    to    my  revenge.

    GHOST.

    I      find thee apt;

    And duller     shouldst thou be   than the  fat   weed

    That rots itself in    ease on   Lethe      wharf,

    Wouldst thou not  stir  in    this. Now,      Hamlet,  hear.

    ’Tis  given      out  that, sleeping in    my  orchard,

    A     serpent   stung     me; so    the  whole     ear  of    Denmark

    Is     by   a     forged    process  of    my  death

    Rankly    abus’d;   but  know,     thou noble     youth,

    The serpent   that did  sting       thy  father’s   life

    Now       wears     his   crown.

    HAMLET.

    O    my  prophetic      soul!

    Mine      uncle!

    GHOST.

    Ay,  that incestuous,    that adulterate     beast,

    With       witchcraft      of    his   wit,  with traitorous      gifts,—

    O    wicked    wit,  and gifts,       that have       the  power

    So   to    seduce!—won      to    his   shameful lust

    The will  of    my  most      seeming-virtuous queen.

    O    Hamlet,  what       a     falling     off   was there,

    From      me, whose    love was of    that dignity

    That it     went       hand      in    hand      even       with the  vow

    I      made     to    her  in    marriage;       and to    decline

    Upon      a     wretch    whose    natural   gifts were       poor

    To   those      of    mine.      But  virtue,     as    it     never      will  be       mov’d, Though     lewdness court      it     in    a     shape     of       heaven;

    So   lust, though   to    a     radiant   angel      link’d,

    Will sate itself in    a     celestial  bed

    And prey on   garbage.

    But  soft! methinks I      scent      the  morning air;

    Brief let   me  be.  Sleeping within     my  orchard,

    My  custom   always    of    the  afternoon,

    Upon      my  secure    hour       thy  uncle      stole

    With       juice of    cursed    hebenon in    a     vial,

    And in    the  porches  of    my  ears did  pour

    The leperous distilment,     whose    effect

    Holds     such an   enmity    with blood     of    man

    That swift as    quicksilver     it     courses  through

    The natural   gates      and alleys      of    the  body;

    And with a     sudden   vigour    it     doth       posset

    And curd,      like  eager     droppings      into milk,

    The thin and wholesome    blood.    So   did  it     mine;

    And a     most      instant    tetter      bark’d     about,

    Most      lazar-like,      with vile  and loathsome     crust

    All   my  smooth  body.

    Thus       was I,     sleeping, by   a     brother’s hand,

    Of   life,  of    crown,    of    queen    at    once       dispatch’d:

    Cut  off   even       in    the  blossoms       of    my  sin,

    Unhous’led,   disappointed, unanel’d;

    No   reckoning      made,     but  sent to    my  account

    With       all    my  imperfections on   my  head.

    O    horrible! O    horrible! most      horrible!

    If     thou hast nature    in    thee,      bear it     not;

    Let  not  the  royal       bed of    Denmark be

    A     couch     for   luxury     and damned incest.

    But  howsoever     thou pursu’st  this  act,

    Taint      not  thy  mind,     nor  let   thy  soul contrive

    Against   thy  mother   aught;    leave      her  to    heaven,

    And to    those      thorns    that in    her  bosom    lodge,

    To   prick       and sting       her. Fare thee well at    once!

    The glow-worm   shows     the  matin     to    be   near,

    And ’gins to    pale his   uneffectual    fire.

    Adieu,    adieu,     adieu.     Hamlet,  remember     me.

    [ Exit. ]

    HAMLET.

    O    all    you host of    heaven!  O    earth!     What      else?

    And shall I      couple    hell? O,    fie!  Hold,      my  heart;

    And you, my  sinews,   grow      not  instant    old,

    But  bear me  stiffly      up.  Remember    thee?

    Ay,  thou poor       ghost,     while      memory holds      a     seat

    In    this  distracted      globe.     Remember    thee?

    Yea, from       the  table      of    my  memory

    I’ll    wipe       away      all    trivial      fond records,

    All   saws       of    books,    all    forms,     all    pressures       past,

    That youth     and observation   copied    there;

    And thy  commandment     all    alone      shall live

    Within    the  book      and volume   of    my  brain,

    Unmix’d  with baser      matter.   Yes, by   heaven!

    O    most      pernicious     woman!

    O    villain,    villain,    smiling   damned villain!

    My  tables.    Meet      it     is     I      set   it     down,

    That one may smile,     and smile,     and be   a     villain!

    At    least I      am  sure it     may be   so    in    Denmark.

    [ Writing. ]

    So,  uncle,     there      you are. Now       to    my  word;

    It     is     ‘Adieu,    adieu,     remember     me.’

    I      have       sworn’t.

    HORATIO      and MARCELLUS.

    [ Within. ]       My  lord, my  lord.

    MARCELLUS.

    [ Within. ]       Lord Hamlet.

    HORATIO.

    [ Within. ]       Heaven  secure    him.

    HAMLET.

    So   be   it!

    MARCELLUS.

    [ Within. ]       Illo,  ho,  ho,  my  lord!

    HAMLET.

    Hillo,      ho,  ho,  boy! Come,    bird, come.

    Enter      HORATIO    and MARCELLUS .

    MARCELLUS.

    How is’t,  my  noble     lord?

    HORATIO.

    What      news,     my  lord?

    HAMLET.

    O,    wonderful!

    HORATIO.

    Good      my  lord, tell  it.

    HAMLET.

    No,  you’ll      reveal     it.

    HORATIO.

    Not I,     my  lord, by   heaven.

    MARCELLUS.

    Nor I,     my  lord.

    HAMLET.

    How say  you then,      would     heart      of    man once       think      it?—

    But  you’ll      be   secret?

    HORATIO      and MARCELLUS.

    Ay,  by   heaven,  my  lord.

    HAMLET.

    There’s   ne’er      a     villain     dwelling in    all    Denmark

    But  he’s an   arrant     knave.

    HORATIO.

    There     needs     no   ghost,     my  lord, come      from       the  grave

    To   tell  us    this.

    HAMLET.

    Why,      right;      you are  i’     the  right;

    And so,   without  more      circumstance at    all,

    I      hold it     fit    that we   shake     hands     and part:

    You, as    your business and desires   shall point      you,—

    For  every      man hath business and desire,

    Such       as    it     is;—and  for   my  own poor       part,

    Look       you, I’ll    go   pray.

    HORATIO.

    These     are  but  wild and whirling  words,    my  lord.

    HAMLET.

    I’m  sorry       they offend    you, heartily;

    Yes  faith,      heartily.

    HORATIO.

    There’s   no   offence,  my  lord.

    HAMLET.

    Yes, by   Saint      Patrick,   but  there      is,    Horatio,

    And much     offence   too. Touching       this  vision     here,

    It     is     an   honest    ghost,     that let   me  tell  you.

    For  your desire     to    know      what       is     between us,

    O’ermaster’t  as    you may.       And now,       good      friends,

    As   you are  friends,   scholars, and soldiers,

    Give me  one poor       request.

    HORATIO.

    What      is’t,  my  lord?       We  will.

    HAMLET.

    Never     make      known    what       you have       seen tonight.

    HORATIO      and MARCELLUS.

    My  lord, we   will  not.

    HAMLET.

    Nay, but  swear’t.

    HORATIO.

    In    faith,      my  lord, not  I.

    MARCELLUS.

    Nor I,     my  lord, in    faith.

    HAMLET.

    Upon      my  sword.

    MARCELLUS.

    We  have       sworn,    my  lord, already.

    HAMLET.

    Indeed,   upon      my  sword,    indeed.

    GHOST.

    [ Cries     under     the  stage. ]   Swear.

    HAMLET.

    Ha,  ha   boy, say’st      thou so?  Art   thou there,     truepenny?

    Come     on,  you hear this  fellow     in    the  cellarage.

    Consent to    swear.

    HORATIO.

    Propose  the  oath,      my  lord.

    HAMLET.

    Never     to    speak     of    this  that you have       seen.

    Swear     by   my  sword.

    GHOST.

    [ Beneath. ]    Swear.

    HAMLET.

    Hic  et    ubique? Then      we’ll shift our  ground.

    Come     hither,    gentlemen,

    And lay   your hands     again      upon      my  sword.

    Never     to    speak     of    this  that you have       heard.

    Swear     by   my  sword.

    GHOST.

    [ Beneath. ]    Swear.

    HAMLET.

    Well said, old  mole!     Canst     work       i’     th’earth  so    fast?

    A     worthy    pioner!   Once      more      remove,  good      friends.

    HORATIO.

    O    day  and night,     but  this  is     wondrous      strange.

    HAMLET.

    And therefore as    a     stranger give it     welcome.

    There     are  more      things     in    heaven   and earth,     Horatio,

    Than      are  dreamt   of    in    your philosophy.   But  come,

    Here,      as    before,   never,     so    help you mercy,

    How strange   or    odd soe’er     I      bear myself,—

    As   I      perchance     hereafter shall think      meet

    To   put  an   antic       disposition    on—

    That you, at    such times      seeing    me, never      shall,

    With       arms       encumber’d   thus,       or    this  head-shake,

    Or   by   pronouncing of    some      doubtful phrase,

    As   ‘Well,      we   know’,    or    ‘We could      and if     we   would’,

    Or   ‘If    we   list   to    speak’;    or    ‘There     be   and if     they might’,

    Or   such ambiguous    giving     out, to    note

    That you know      aught     of    me:—this      not  to    do.

    So   grace      and mercy     at    your most      need      help you,

    Swear.

    GHOST.

    [ Beneath. ]    Swear.

    HAMLET.

    Rest,       rest, perturbed      spirit.      So,  gentlemen,

    With       all    my  love I      do   commend      me  to    you;

    And what       so    poor       a     man as    Hamlet   is

    May do   t’express his   love and friending to    you,

    God willing,   shall not  lack. Let  us    go   in    together,

    And still  your fingers    on   your lips, I      pray.

    The time is     out  of    joint.      O    cursed    spite,

    That ever I      was born       to    set   it     right.

    Nay, come,     let’s go   together.

    [ Exeunt. ]

    ACT II

    SCENE    I.     A     room      in    Polonius’s      house.

    Enter      POLONIUS and REYNALDO .

    POLONIUS.

    Give him this  money    and these      notes,     Reynaldo.

    REYNALDO.

    I      will, my  lord.

    POLONIUS.

    You shall do   marvellous    wisely,    good      Reynaldo,

    Before    you visit him, to    make      inquiry

    Of   his   behaviour.

    REYNALDO.

    My  lord, I      did  intend    it.

    POLONIUS.

    Marry,    well said; very well said. Look       you, sir,

    Enquire  me  first what       Danskers are  in    Paris;

    And how,       and who,       what       means,   and where     they keep,

    What      company,      at    what       expense; and finding

    By   this  encompassment   and drift of    question,

    That they do   know      my  son, come      you more      nearer

    Than      your particular       demands will  touch     it.

    Take       you as    ’twere     some      distant    knowledge    of    him,

    As   thus,       ‘I     know      his   father     and his   friends,

    And in    part him’—do you mark      this, Reynaldo?

    REYNALDO.

    Ay,  very well, my  lord.

    POLONIUS.

    ‘And in    part him, but,’ you may say, ‘not well;

    But  if’t   be   he   I      mean,     he’s very wild;

    Addicted so    and so;’  and there      put  on   him

    What      forgeries you please;   marry,    none      so    rank As   may       dishonour      him; take heed      of    that;

    But, sir,   such wanton,  wild, and usual      slips

    As   are  companions  noted     and most      known

    To   youth     and liberty.

    REYNALDO.

    As   gaming,  my  lord?

    POLONIUS.

    Ay,  or    drinking, fencing,  swearing,

    Quarrelling,   drabbing.      You may go   so    far.

    REYNALDO.

    My  lord, that would     dishonour      him.

    POLONIUS.

    Faith       no,  as    you may season   it     in    the  charge.

    You must      not  put  another  scandal  on   him,

    That he   is     open      to    incontinency;

    That’s     not  my  meaning: but  breathe  his   faults      so    quaintly

    That they may seem      the  taints      of    liberty;

    The flash and outbreak of    a     fiery mind,

    A     savageness    in    unreclaimed  blood,

    Of   general   assault.

    REYNALDO.

    But  my  good      lord—

    POLONIUS.

    Wherefore     should    you do   this?

    REYNALDO.

    Ay,  my  lord, I      would     know      that.

    POLONIUS.

    Marry,    sir,   here’s     my  drift,

    And I      believe   it     is     a     fetch      of    warrant.

    You laying     these      slight      sullies     on   my  son,

    As   ’twere     a     thing      a     little soil’d      i’     th’   working,

    Mark      you,

    Your       party      in    converse,       him you would     sound,

    Having   ever seen in    the  prenominate crimes

    The youth     you breathe  of    guilty,     be   assur’d He     closes     with       you in    this  consequence;

    ‘Good     sir,’  or    so;   or    ‘friend,’   or    ‘gentleman’—

    According      to    the  phrase    or    the  addition

    Of   man and country.

    REYNALDO.

    Very good,     my  lord.

    POLONIUS.

    And then,      sir,   does       he   this,—

    He   does—What  was I      about     to    say?

    By   the  mass,     I      was about     to    say  something.    Where    did  I       leave?

    REYNALDO.

    At    ‘closes    in    the  consequence.’

    At    ‘friend    or    so,’  and ‘gentleman.’

    POLONIUS.

    At    ‘closes    in    the  consequence’ ay,   marry!

    He   closes     with you thus:       ‘I     know      the  gentleman,

    I      saw him yesterday,      or    t’other    day,

    Or   then,      or    then,      with such and such;      and, as    you say,

    There     was he   gaming,  there      o’ertook in’s  rouse,

    There     falling     out  at    tennis’:   or    perchance,

    ‘I     saw him enter      such a     house     of    sale’—

    Videlicet, a     brothel,  or    so    forth.      See  you now;

    Your       bait of    falsehood      takes      this  carp of    truth;

    And thus do   we   of    wisdom  and of    reach,

    With       windlasses,    and with assays    of    bias,

    By   indirections   find directions      out.

    So   by   my  former    lecture    and advice

    Shall       you my  son. You have       me, have       you not?

    REYNALDO.

    My  lord, I      have.

    POLONIUS.

    God b’    wi’   you, fare you well.

    REYNALDO.

    Good      my  lord.

    POLONIUS.

    Observe his   inclination     in    yourself.

    REYNALDO.

    I      shall,      my  lord.

    POLONIUS.

    And let   him ply   his   music.

    REYNALDO.

    Well,       my  lord.

    POLONIUS.

    Farewell.

    [ Exit       REYNALDO . ]

    Enter      OPHELIA .

    How now,       Ophelia, what’s    the  matter?

    OPHELIA.

    Alas, my  lord, I      have       been      so    affrighted.

    POLONIUS.

    With       what,      in    the  name     of    God?

    OPHELIA.

    My  lord, as    I      was sewing   in    my  chamber,

    Lord Hamlet,  with his   doublet  all    unbrac’d,

    No   hat  upon      his   head,      his   stockings foul’d,

    Ungart’red,    and down-gyved  to    his   ankle,

    Pale as    his   shirt,       his   knees     knocking each       other,

    And with a     look so    piteous   in    purport

    As   if     he   had been      loosed    out  of    hell

    To   speak     of    horrors,  he   comes    before    me.

    POLONIUS.

    Mad for   thy  love?

    OPHELIA.

    My  lord, I      do   not  know,     but  truly I      do   fear it.

    POLONIUS.

    What      said he?

    OPHELIA.

    He   took me  by   the  wrist and held me  hard;

    Then      goes       he   to    the  length    of    all    his   arm;

    And with his   other      hand      thus o’er his   brow,

    He   falls to    such perusal   of    my  face

    As   he   would     draw       it.    Long      stay’d     he   so,

    At    last,—a   little shaking  of    mine      arm,

    And thrice     his   head      thus waving   up   and down,

    He   rais’d      a     sigh so    piteous   and profound

    As   it     did  seem      to    shatter   all    his   bulk

    And end his   being.     That done,     he   lets  me  go,

    And with his   head      over his   shoulder turn’d

    He   seem’d   to    find his   way without  his   eyes,

    For  out  o’    doors     he   went       without  their help,

    And to    the  last  bended  their light on   me.

    POLONIUS.

    Come,    go   with me. I      will  go   seek the  King.

    This is     the  very ecstasy   of    love,

    Whose    violent    property fordoes   itself,

    And leads      the  will  to    desperate      undertakings,

    As   oft   as    any  passion  under     heaven

    That does       afflict      our  natures.  I      am  sorry,—

    What,     have       you given      him any  hard words     of    late?

    OPHELIA.

    No,  my  good      lord; but  as    you did  command,

    I      did  repel      his   letters     and denied

    His  access    to    me.

    POLONIUS.

    That hath made     him mad.

    I      am  sorry       that with better     heed      and judgment

    I      had not  quoted   him. I      fear’d     he   did  but  trifle,

    And meant    to    wreck     thee.      But  beshrew my  jealousy!

    It     seems    it     is     as    proper    to    our  age

    To   cast beyond   ourselves in    our  opinions

    As   it     is     common for   the  younger sort

    To   lack discretion.     Come,    go   we   to    the  King.

    This must      be   known,   which,    being     kept close,     might       move

    More      grief to    hide than hate to    utter       love.

    [ Exeunt. ]

    SCENE    II.     A     room      in    the  Castle.

    Enter      KING,    QUEEN,  ROSENCRANTZ,    GUILDENSTERN   and ATTENDANTS .

    KING.

    Welcome,      dear Rosencrantz  and Guildenstern.

    Moreover      that we   much     did  long to    see  you,

    The need      we   have       to    use  you did  provoke

    Our hasty      sending. Something    have       you heard

    Of   Hamlet’s transformation;     so    I      call  it,

    Since      nor  th’exterior      nor  the  inward    man

    Resembles     that it     was. What      it     should    be,

    More      than his   father’s   death,    that thus hath put  him

    So   much     from       th’understanding  of    himself,

    I      cannot   dream    of.   I      entreat   you both

    That,      being     of    so    young    days brought  up   with him,

    And since      so    neighbour’d  to    his   youth     and humour,

    That you vouchsafe      your rest here in    our  court

    Some     little time,      so    by   your companies

    To   draw       him on   to    pleasures       and to    gather,

    So   much     as    from       occasion you may glean,

    Whether aught     to    us    unknown afflicts    him thus

    That,      open’d,   lies  within     our  remedy.

    QUEEN.

    Good      gentlemen,    he   hath much     talk’d      of    you,

    And sure I      am, two men there      are  not  living

    To   whom     he   more      adheres. If     it     will  please    you

    To   show      us    so    much     gentry    and good      will

    As   to    expend   your time with us    awhile,

    For  the  supply    and profit      of    our  hope,

    Your       visitation shall receive   such thanks

    As   fits   a     king’s     remembrance.

    ROSENCRANTZ.

    Both       your majesties

    Might,    by   the  sovereign      power     you have       of    us,

    Put  your dread     pleasures       more      into command

    Than      to    entreaty.

    GUILDENSTERN.

    We  both       obey,

    And here give up   ourselves,      in    the  full  bent,

    To   lay   our  service    freely      at    your feet

    To   be   commanded.

    KING.

    Thanks,  Rosencrantz  and gentle    Guildenstern.

    QUEEN.

    Thanks,  Guildenstern  and gentle    Rosencrantz.

    And I      beseech you instantly to    visit

    My  too  much     changed son. Go,  some      of    you,

    And bring      these      gentlemen     where     Hamlet   is.

    GUILDENSTERN.

    Heavens make      our  presence and our  practices

    Pleasant and helpful    to    him.

    QUEEN.

    Ay,  amen.

    [ Exeunt  ROSENCRANTZ,  GUILDENSTERN   and some      ATTENDANTS . ]

    Enter      POLONIUS .

    POLONIUS.

    Th’ambassadors   from       Norway,  my  good      lord,

    Are  joyfully   return’d.

    KING.

    Thou      still  hast been      the  father     of    good      news.

    POLONIUS.

    Have      I,     my  lord?       Assure    you, my  good      liege,

    I      hold my  duty,      as    I      hold my  soul,

    Both       to    my  God and to    my  gracious King:

    And I      do   think,—or      else this  brain      of    mine

    Hunts     not  the  trail of    policy     so    sure

    As   it     hath us’d to    do—that I      have       found

    The very cause     of    Hamlet’s lunacy.

    KING.

    O    speak     of    that, that do   I      long to    hear.

    POLONIUS.

    Give first admittance    to    th’ambassadors;

    My  news      shall be   the  fruit to    that great      feast.

    KING.

    Thyself   do   grace      to    them,     and bring      them      in.

    [ Exit       POLONIUS . ]

    He   tells me, my  sweet     queen,    that he   hath found

    The head      and source    of    all    your son’s      distemper.

    QUEEN.

    I      doubt     it     is     no   other      but  the  main,

    His  father’s   death     and our  o’erhasty marriage.

    KING.

    Well,       we   shall sift   him.

    Enter      POLONIUS with VOLTEMAND     and CORNELIUS .

    Welcome,      my  good      friends!

    Say, Voltemand,   what       from       our  brother   Norway?

    VOLTEMAND.

    Most      fair  return     of    greetings       and desires.

    Upon      our  first, he   sent out  to    suppress

    His  nephew’s       levies,     which     to    him appear’d

    To   be   a     preparation   ’gainst    the  Polack;

    But  better     look’d     into, he   truly found

    It     was against   your Highness;      whereat  griev’d,

    That so    his   sickness, age, and impotence

    Was falsely     borne     in    hand,     sends     out  arrests

    On  Fortinbras;     which     he,  in    brief,      obeys,

    Receives rebuke    from       Norway;  and in    fine,

    Makes    vow before    his   uncle      never      more

    To   give th’assay  of    arms       against   your Majesty.

    Whereon old  Norway,  overcome      with joy,

    Gives      him three      thousand       crowns   in    annual    fee,

    And his   commission   to    employ   those      soldiers

    So   levied     as    before,   against   the  Polack:

    With       an   entreaty, herein    further    shown,

    [ Gives    a     paper. ]

    That it     might     please    you to    give quiet      pass Through your       dominions     for   this  enterprise,

    On  such regards   of    safety     and allowance

    As   therein   are  set   down.

    KING.

    It     likes us    well;

    And at    our  more      consider’d     time we’ll read,

    Answer,  and think      upon      this  business.

    Meantime      we   thank     you for   your well-took      labour.

    Go   to    your rest, at    night      we’ll feast       together:.

    Most      welcome home.

    [ Exeunt  VOLTEMAND     and CORNELIUS . ]

    POLONIUS.

    This business is     well ended.

    My  liege       and madam,  to    expostulate

    What      majesty  should    be,  what       duty is,

    Why day  is     day, night      night,     and time is     time.

    Were      nothing  but  to    waste     night,     day  and time.

    Therefore,      since      brevity    is     the  soul of    wit,

    And tediousness   the  limbs      and outward flourishes,

    I      will  be   brief.      Your       noble     son  is     mad.

    Mad call  I      it;    for   to    define     true madness,

    What      is’t   but  to    be   nothing  else but  mad?

    But  let   that go.

    QUEEN.

    More      matter,   with less art.

    POLONIUS.

    Madam,  I      swear     I      use  no   art   at    all.

    That he   is     mad,      ’tis   true: ’tis   true ’tis   pity;

    And pity ’tis   ’tis   true. A     foolish    figure,

    But  farewell  it,    for   I      will  use  no   art.

    Mad let   us    grant      him then.      And now remains

    That we   find out  the  cause     of    this  effect,

    Or   rather     say, the  cause     of    this  defect,

    For  this  effect      defective comes    by   cause.

    Thus       it     remains, and the  remainder     thus.       Perpend,

    I      have       a     daughter—have   whilst     she  is     mine—

    Who       in    her  duty and obedience,    mark,

    Hath       given      me  this. Now       gather,   and surmise.

    [ Reads. ]

    To   the  celestial, and my  soul’s     idol, the  most      beautified       Ophelia—

    That’s     an   ill     phrase,   a     vile  phrase;   ‘beautified’    is     a     vile phrase:   but  you shall hear.

    [ Reads. ]

    these;     in    her  excellent white      bosom,   these,     &c.

    QUEEN.

    Came     this  from       Hamlet   to    her?

    POLONIUS.

    Good      madam,  stay awhile;   I      will  be   faithful.

    [ Reads. ]

    Doubt     thou the  stars are  fire,

                                       Doubt     that the  sun  doth       move,

                         Doubt     truth       to    be   a     liar,

                                       But  never      doubt     I      love.

    O    dear Ophelia, I      am  ill     at    these      numbers.       I      have       not  art   to    reckon    my  groans.

    But  that I      love thee best,       O    most      best,       believe   it.       Adieu.

                  Thine      evermore,      most      dear lady, whilst     this  machine       is     to    him,                                   HAMLET.

    This in    obedience     hath my  daughter show’d   me;

    And more      above,    hath his   solicitings,

    As   they fell   out  by   time,      by   means,   and place,

    All   given      to    mine      ear.

    KING.

    But  how hath she  receiv’d  his   love?

    POLONIUS.

    What      do   you think      of    me?

    KING.

    As   of    a     man faithful   and honourable.

    POLONIUS.

    I      would     fain prove     so.   But  what       might     you think,

    When     I      had seen this  hot  love on   the  wing,

    As   I      perceiv’d it,    I      must      tell  you that,

    Before    my  daughter told me, what       might     you, Or   my  dear       Majesty  your queen    here,      think,

    If     I      had play’d     the  desk or    table-book,

    Or   given      my  heart      a     winking, mute      and dumb,

    Or   look’d     upon      this  love with idle  sight,

    What      might     you think?     No,  I      went       round     to    work,

    And my  young    mistress  thus I      did  bespeak:

    ‘Lord      Hamlet   is     a     prince,    out  of    thy  star.

    This must      not  be.’  And then I      precepts gave       her,

    That she  should    lock herself    from       his   resort,

    Admit     no   messengers,  receive   no   tokens.

    Which    done,     she  took the  fruits      of    my  advice,

    And he,  repulsed,—a  short      tale to    make—

    Fell  into a     sadness, then into a     fast,

    Thence   to    a     watch,    thence    into a     weakness,

    Thence   to    a     lightness, and, by   this  declension,

    Into the  madness wherein  now he   raves,

    And all    we   wail for.

    KING.

    Do   you think      ’tis   this?

    QUEEN.

    It     may be,  very likely.

    POLONIUS.

    Hath       there      been      such a     time,      I’d   fain know      that,

    That I      have       positively said ‘’Tis so,’

    When     it     prov’d    otherwise?

    KING.

    Not that I      know.

    POLONIUS.

    Take       this  from       this, if     this  be   otherwise.

    [ Points   to    his   head      and shoulder. ]

    If     circumstances       lead me, I      will  find

    Where    truth       is     hid, though   it     were       hid  indeed

    Within    the  centre.

    KING.

    How may we   try   it     further?

    POLONIUS.

    You know      sometimes    he   walks      four hours     together

    Here       in    the  lobby.

    QUEEN.

    So   he   does       indeed.

    POLONIUS.

    At    such a     time I’ll    loose      my  daughter to    him.

    Be   you and I      behind   an   arras       then,

    Mark      the  encounter.     If     he   love her  not,

    And be   not  from       his   reason    fall’n       thereon,

    Let  me  be   no   assistant for   a     state,

    But  keep       a     farm and carters.

    KING.

    We  will  try   it.

    Enter      HAMLET,     reading.

    QUEEN.

    But  look where     sadly      the  poor       wretch    comes    reading.

    POLONIUS.

    Away,     I      do   beseech you, both       away

    I’ll    board     him presently.      O,    give me  leave.

    [ Exeunt  KING,    QUEEN and ATTENDANTS . ]

    How does       my  good      Lord Hamlet?

    HAMLET.

    Well,       God-a-mercy.

    POLONIUS.

    Do   you know      me, my  lord?

    HAMLET.

    Excellent well. You’re    a     fishmonger.

    POLONIUS.

    Not I,     my  lord.

    HAMLET.

    Then      I      would     you were       so    honest    a     man.

    POLONIUS.

    Honest,  my  lord?

    HAMLET.

    Ay   sir, to  be  honest, as  this       world    goes,    is   to  be  one man      picked  out of  ten thousand.

    POLONIUS.

    That’s     very true, my  lord.

    HAMLET.

    For  if     the  sun  breed     maggots in    a     dead      dog, being     a       good      kissing    carrion,—

    Have      you a     daughter?

    POLONIUS.

    I      have,      my  lord.

    HAMLET.

    Let  her not walk      i’    th’ sun.      Conception  is   a    blessing,       but not as  your      daughter may     conceive. Friend,    look to’t.

    POLONIUS.

    How say  you by   that?      [ Aside. ] Still  harping  on   my  daughter.       Yet  he   knew      me  not at     first;      he  said      I     was       a     fishmonger. He is   far gone,    far gone.    And      truly      in    my youth     I      suffered  much     extremity for   love; very near this.       I’ll    speak     to    him again.

    —What  do   you read,      my  lord?

    HAMLET.

    Words,   words,    words.

    POLONIUS.

    What      is     the  matter,   my  lord?

    HAMLET.

    Between who?

    POLONIUS.

    I      mean     the  matter    that you read,      my  lord.

    HAMLET.

    Slanders, sir.   For  the  satirical  slave      says here that old  men have       grey beards;   that their faces      are  wrinkled; their eyes purging  thick       amber    and plum-tree     gum;      and that they have       a       plentiful  lack of    wit,  together with most      weak      hams.     All       which, sir,      though I     most     powerfully    and       potently       believe, yet I     hold      it   not honesty to have it     thus set       down.     For  you yourself, sir,   should    be   old  as    I      am, if       like  a     crab you could      go   backward.

    POLONIUS.

    [ Aside. ] Though  this  be   madness,       yet  there      is     a     method       in’t.—

    Will you walk out  of    the  air,  my  lord?

    HAMLET.

    Into my  grave?

    POLONIUS.

    Indeed,   that is     out  o’    the  air.  [ Aside. ] How pregnant sometimes       his   replies    are! A happiness  that      often    madness      hits       on, which   reason  and       sanity   could    not so prosperously be   delivered of.   I      will  leave      him and suddenly       contrive  the  means of meeting between him and my  daughter.

    My  honourable   lord, I      will  most      humbly   take my  leave      of       you.

    HAMLET.

    You cannot, sir, take      from     me anything      that      I     will more      willingly part      withal, except      my  life,  except    my  life,       except    my  life.

    POLONIUS.

    Fare you well, my  lord.

    HAMLET.

    These     tedious   old  fools.

    Enter      ROSENCRANTZ and GUILDENSTERN .

    POLONIUS.

    You go   to    seek the  Lord Hamlet;  there      he   is.

    ROSENCRANTZ.

    [ To Polonius. ]     God save you, sir.

    [ Exit       POLONIUS . ]

    GUILDENSTERN.

    My  honoured      lord!

    ROSENCRANTZ.

    My  most      dear lord!

    HAMLET.

    My  excellent      good    friends! How     dost      thou,    Guildenstern? Ah, Rosencrantz.

    Good      lads, how do   ye    both?

    ROSENCRANTZ.

    As   the  indifferent     children  of    the  earth.

    GUILDENSTERN.

    Happy    in    that we   are  not  over-happy;

    On  Fortune’s cap  we   are  not  the  very button.

    HAMLET.

    Nor the  soles      of    her  shoe?

    ROSENCRANTZ.

    Neither,  my  lord.

    HAMLET.

    Then      you live  about     her  waist,     or    in    the  middle    of    her       favours?

    GUILDENSTERN.

    Faith,      her  privates  we.

    HAMLET.

    In    the  secret     parts      of    Fortune? O,    most      true; she  is     a       strumpet.      What’s    the  news?

    ROSENCRANTZ.

    None,     my  lord, but  that the  world’s   grown    honest.

    HAMLET.

    Then      is   doomsday   near.     But your      news     is   not true.       Let me question      more    in particular. What    have    you,       my good    friends, deserved      at  the hands   of  Fortune, that she  sends     you to    prison     hither?

    GUILDENSTERN.

    Prison,    my  lord?

    HAMLET.

    Denmark’s     a     prison.

    ROSENCRANTZ.

    Then      is     the  world      one.

    HAMLET.

    A     goodly    one; in    which     there      are  many      confines, wards,       and dungeons,     Denmark being     one o’    th’   worst.

    ROSENCRANTZ.

    We  think      not  so,   my  lord.

    HAMLET.

    Why,      then ’tis   none      to    you; for   there      is     nothing  either       good      or    bad but  thinking makes     it     so.   To   me  it     is       a     prison.

    ROSENCRANTZ.

    Why,      then your ambition makes    it     one; ’tis   too  narrow   for   your       mind.

    HAMLET.

    O    God,     I     could    be  bounded      in   a    nutshell,      and       count    myself   a    king      of  infinite space,      were       it       not  that I      have       bad dreams.

    GUILDENSTERN.

    Which    dreams,  indeed,   are  ambition;       for   the  very substance       of    the  ambitious      is merely the  shadow  of    a     dream.

    HAMLET.

    A     dream    itself is     but  a     shadow.

    ROSENCRANTZ.

    Truly,      and I      hold ambition of    so    airy  and light a     quality    that       it     is     but  a     shadow’s shadow.

    HAMLET.

    Then      are our beggars bodies, and       our monarchs    and       outstretch’d   heroes  the beggars’ shadows. Shall       we   to    th’  court?       For, by   my  fay,  I      cannot   reason.

    ROSENCRANTZ     and GUILDENSTERN.

    We’ll       wait upon      you.

    HAMLET.

    No   such matter.   I      will  not  sort you with the  rest of    my  servants;       for,  to    speak     to you    like  an   honest    man,      I      am  most       dreadfully      attended.      But, in    the  beaten   way of friendship,       what       make      you at    Elsinore?

    ROSENCRANTZ.

    To   visit you, my  lord, no   other      occasion.

    HAMLET.

    Beggar   that      I     am,       I     am even     poor     in   thanks; but  I     thank    you.      And      sure,     dear friends, my thanks  are  too dear      a    halfpenny.   Were    you       not sent      for?       Is   it   your own     inclining?     Is   it   a    free       visitation?      Come,   deal      justly    with      me.       Come,   come; nay,     speak.

    GUILDENSTERN.

    What      should    we   say, my  lord?

    HAMLET.

    Why,      anything.     But to  the purpose.      You      were     sent for; and       there    is   a    kind      of confession      in    your       looks,     which     your modesties     have       not  craft enough  to       colour.

    I      know      the  good      King and Queen    have       sent for   you.

    ROSENCRANTZ.

    To   what       end, my  lord?

    HAMLET.

    That you must      teach      me. But  let   me  conjure   you, by   the       rights     of    our  fellowship, by the consonancy of  our youth,   by   the obligation    of  our ever-preserved   love, and      by   what       more      dear a     better     proposer could      charge    you withal,       be   even       and direct      with me, whether  you were       sent for       or    no.

    ROSENCRANTZ.

    [ To Guildenstern. ]      What      say  you?

    HAMLET.

    [ Aside. ] Nay, then I      have       an   eye  of    you. If     you love me, hold       not  off.

    GUILDENSTERN.

    My  lord, we   were       sent for.

    HAMLET.

    I      will tell you       why;     so  shall     my anticipation prevent your discovery,    and       your secrecy to    the  King and Queen       moult     no   feather.  I      have       of    late, but  wherefore      I know      not, lost  all    my  mirth,     forgone  all    custom   of    exercises;       and indeed,   it     goes so  heavily  with      my disposition   that       this       goodly  frame    the earth,    seems   to  me a sterile promontory;  this       most     excellent      canopy the air, look      you, this       brave o’erhanging     firmament,   this       majestical    roof fretted  with      golden  fire,       why,     it appears    no       other      thing      to    me  than a     foul and pestilent congregation       of    vapours.

    What      a     piece      of    work       is     man!      How noble     in       reason?  How infinite    in    faculties, in form   and moving,  how       express   and admirable?    In    action     how like  an   angel?    In apprehension,      how like  a     god?       The beauty    of    the  world,       the  paragon of    animals.

    And yet,  to    me, what       is     this  quintessence of    dust?      Man       delights  not  me; no,  nor woman    neither,  though   by   your       smiling   you seem      to    say  so.

    ROSENCRANTZ.

    My  lord, there      was no   such stuff in    my  thoughts.

    HAMLET.

    Why did  you laugh     then,      when      I      said ‘Man      delights  not       me’?

    ROSENCRANTZ.

    To   think,    my lord,      if    you       delight  not in   man,     what       Lenten  entertainment     the players   shall     receive  from       you.      We coted    them    on the way,      and       hither     are they coming to    offer       you service.

    HAMLET.

    He   that plays      the  king shall be   welcome,—his      Majesty  shall have       tribute    of    me; the   adventurous  knight    shall use  his   foil  and       target;    the  lover       shall not  sigh gratis, the      humorous     man       shall end his   part in    peace;    the  clown     shall make      those       laugh whose  lungs      are  tickle      a’    th’   sere; and the  lady shall       say  her  mind      freely,     or    the blank verse      shall halt for’t. What       players   are  they?

    ROSENCRANTZ.

    Even       those      you were       wont      to    take such delight   in—the       tragedians     of    the  city.

    HAMLET.

    How chances it   they      travel?  Their     residence,    both     in   reputation     and       profit,   was better    both       ways.

    ROSENCRANTZ.

    I      think      their inhibition       comes    by   the  means    of    the  late       innovation.

    HAMLET.

    Do   they hold the  same      estimation     they did  when      I      was in       the  city? Are  they so followed?

    ROSENCRANTZ.

    No,  indeed,   they are  not.

    HAMLET.

    How comes    it?    Do   they grow      rusty?

    ROSENCRANTZ.

    Nay, their     endeavour   keeps    in   the wonted pace;    but there      is,  sir, an  ayry      of children,  little      eyases, that      cry   out on the top of  question,     and       are most tyrannically clapped  for’t.     These   are now      the fashion, and       so  berattle  the common stages—so   they      call them—that  many    wearing  rapiers  are afraid    of goose-quills   and dare scarce       come      thither.

    HAMLET.

    What,     are  they children? Who       maintains      ’em?       How are  they       escoted? Will they pursue   the  quality    no   longer    than they can       sing?      Will they not  say  afterwards,    if they     should  grow     themselves    to  common      players—as  it   is   most     like,      if     their means are  no   better—their writers    do   them      wrong       to    make      them      exclaim   against their  own succession?

    ROSENCRANTZ.

    Faith,      there      has  been      much     to    do   on   both       sides;       and the  nation    holds      it     no   sin   to tarre   them    to  controversy.  There    was       for a    while,    no money  bid for argument

    unless    the  poet and the  player     went       to    cuffs       in    the       question.

    HAMLET.

    Is’t   possible?

    GUILDENSTERN.

    O,    there      has  been      much     throwing about     of    brains.

    HAMLET.

    Do   the  boys       carry       it     away?

    ROSENCRANTZ.

    Ay,  that they do,  my  lord. Hercules and his   load too.

    HAMLET.

    It     is   not very      strange; for my uncle    is   King      of  Denmark,      and       those    that      would make mouths at  him       while    my father   lived,    give      twenty, forty,     fifty,      a     hundred ducats  apiece  for his picture  in   little.     ’Sblood, there      is   something   in   this       more than   natural,  if       philosophy    could      find it     out.

    [ Flourish of    trumpets within. ]

    GUILDENSTERN.

    There     are  the  players.

    HAMLET.

    Gentlemen,   you are  welcome to    Elsinore. Your       hands,    come.       The appurtenance of   welcome is     fashion   and ceremony.     Let       me  comply   with you in    this  garb,      lest my   extent     to    the       players,  which     I      tell  you must      show      fairly       outward,       should    more appear  like  entertainment      than yours.     You are       welcome.       But  my  uncle-father  and aunt-mother are  deceived.

    GUILDENSTERN.

    In    what,      my  dear lord?

    HAMLET.

    I      am  but  mad north-north-west. When     the  wind       is     southerly,       I      know      a     hawk      from a    handsaw.

    Enter      POLONIUS .

    POLONIUS.

    Well be   with you, gentlemen.

    HAMLET.

    Hark       you, Guildenstern, and you too, at    each       ear  a     hearer.       That great      baby       you

    see  there      is     not  yet  out  of    his   swaddling      clouts.

    ROSENCRANTZ.

    Happily  he’s the  second   time come      to    them;     for   they say  an       old  man is     twice      a child.

    HAMLET.

    I      will  prophesy       he   comes    to    tell  me  of    the  players.  Mark       it.—You  say  right,      sir: for     a     Monday  morning ’twas      so       indeed.

    POLONIUS.

    My  lord, I      have       news      to    tell  you.

    HAMLET.

    My  lord, I      have       news      to    tell  you. When     Roscius   was an       actor      in    Rome—

    POLONIUS.

    The actors     are  come      hither,    my  lord.

    HAMLET.

    Buzz,      buzz.

    POLONIUS.

    Upon      my  honour.

    HAMLET.

    Then      came      each       actor      on   his   ass—

    POLONIUS.

    The best      actors   in   the world,   either    for tragedy,       comedy, history, pastoral, pastoral-comical,

    historical-pastoral,

    tragical-historical,

    tragical-comical-

    historical-pastoral, scene    individable,  or  poem    unlimited.    Seneca   cannot  be  too heavy,   nor Plautus too light,     for the law  of  writ       and       the liberty.  These   are the only men.

    HAMLET.

    O    Jephthah,      judge     of    Israel,     what       a     treasure  hadst       thou!

    POLONIUS.

    What      treasure  had he,  my  lord?

    HAMLET.

    Why—

    ’One       fair  daughter,      and no   more,

    The which     he   loved      passing  well.’

    POLONIUS.

    [ Aside. ] Still  on   my  daughter.

    HAMLET.

    Am  I      not  i’     th’   right,      old  Jephthah?

    POLONIUS.

    If     you call  me  Jephthah,      my  lord, I      have       a     daughter that I       love passing  well.

    HAMLET.

    Nay, that follows   not.

    POLONIUS.

    What      follows   then,      my  lord?

    HAMLET.

    Why,

    As   by   lot,  God wot,

    and then,      you know,

    It     came      to    pass,      as    most      like  it     was.

    The first       row       of  the pious    chanson      will show    you       more.    For look      where   my abridgement comes.

    Enter      four or    five  PLAYERS .

    You are welcome,     masters,       welcome      all. I     am glad      to    see thee      well.      Welcome, good  friends. O,  my old friend!    Thy       face      is   valanc’d since     I     saw       thee      last.

    Com’st   thou to    beard     me  in    Denmark?      What,     my  young       lady and mistress! By’r lady, your ladyship is     nearer    to    heaven       than when      I      saw you last, by   the  altitude of      a     chopine.       Pray God your voice,     like  a     piece      of    uncurrent      gold,       be   not  cracked within      the ring.      Masters,       you       are all    welcome.     We’ll     e’en      to’t like French falconers, fly    at       anything we   see. We’ll       have       a     speech   straight.  Come,       give us    a taste    of    your quality.   Come,    a     passionate       speech.

    FIRST      PLAYER.

    What      speech,  my  lord?

    HAMLET.

    I      heard    thee      speak    me a    speech  once,    but it   was       never    acted,   or  if    it   was,      not above    once,    for the  play,     I     remember,   pleased not the million, ’twas     caviare   to the   general. But it   was—as       I     received       it,   and others,  whose   judgments   in   such matters cried       in    the       top  of    mine—an      excellent play, well digested in    the  scenes, set   down      with as    much     modesty as    cunning. I      remember       one said there      were       no sallets in    the  lines to    make      the       matter    savoury, nor  no   matter    in    the  phrase    that

    might     indite    the author  of  affectation,  but called   it   an  honest    method,       as wholesome     as    sweet,    and by   very       much     more      handsome     than fine. One speech   in it, I     chiefly    loved.   ’Twas    Aeneas’ tale       to  Dido,    and       thereabout    of  it   especially where  he  speaks  of  Priam’s slaughter.      If    it   live in   your      memory,      begin    at  this line, let   me  see, let   me  see:

    The rugged   Pyrrhus,  like  th’   Hyrcanian      beast,—

    It     is     not  so:   it     begins    with Pyrrhus—

    The rugged   Pyrrhus,  he   whose    sable      arms,

                         Black      as    his   purpose, did  the  night      resemble

                         When     he   lay   couched in    the  ominous horse,

                         Hath       now this  dread     and black      complexion       smear’d

                         With       heraldry  more      dismal.   Head      to    foot

                         Now       is     he   total gules,     horridly  trick’d

                         With       blood     of    fathers,   mothers, daughters,     sons,

                         Bak’d      and impasted with the  parching streets,

                         That lend a     tyrannous      and a     damned light

                         To   their vile  murders. Roasted  in    wrath     and fire,

                         And thus o’ersized with coagulate      gore,

                         With       eyes like  carbuncles,    the  hellish    Pyrrhus

                         Old  grandsire       Priam     seeks.

    So,  proceed  you.

    POLONIUS.

    ’Fore       God,       my  lord, well spoken,  with good      accent    and       good      discretion.

    FIRST      PLAYER.

    Anon      he   finds       him,

                         Striking   too  short      at    Greeks.   His  antique  sword,

                         Rebellious     to    his   arm, lies  where     it     falls,

                         Repugnant    to    command.     Unequal match’d,

                         Pyrrhus   at    Priam     drives,    in    rage strikes    wide;

                         But  with the  whiff       and wind       of    his   fell   sword

                         Th’unnerved  father     falls. Then      senseless Ilium,

                         Seeming to    feel  this  blow,      with flaming   top

                         Stoops    to    his   base,      and with a     hideous  crash

                         Takes     prisoner  Pyrrhus’  ear. For  lo,   his   sword,

                         Which    was declining on   the  milky      head

                         Of   reverend Priam,    seem’d   i’     th’air      to    stick.

                         So,  as    a     painted  tyrant,    Pyrrhus   stood,

                         And like  a     neutral   to    his   will  and matter,

                         Did  nothing.

                         But  as    we   often      see  against   some      storm,

                         A     silence    in    the  heavens, the  rack stand      still,

                         The bold winds     speechless,    and the  orb  below

                         As   hush       as    death,    anon      the  dreadful thunder

                         Doth       rend the  region;   so    after Pyrrhus’  pause,

                         Aroused vengeance    sets him new a-work,

                         And never      did  the  Cyclops’ hammers fall

                         On  Mars’s    armour,  forg’d     for   proof      eterne,

                         With       less remorse  than Pyrrhus’  bleeding sword

                         Now       falls on   Priam.

                         Out, out, thou strumpet Fortune! All   you gods,

                         In    general   synod,    take away      her  power;

                         Break      all    the  spokes    and fellies     from       her       wheel,

                         And bowl       the  round     nave       down      the  hill   of       heaven,

                         As   low  as    to    the  fiends.

    POLONIUS.

    This is     too  long.

    HAMLET.

    It     shall to    the  barber’s, with your beard.—Prythee   say  on.

    He’s for   a     jig   or    a     tale of    bawdry,  or    he   sleeps.

    Say  on;  come      to    Hecuba.

    FIRST      PLAYER.

    But  who,       O    who,       had seen the  mobled  queen,—

    HAMLET.

    ‘The mobled  queen’?

    POLONIUS.

    That’s     good!     ‘Mobled  queen’    is     good.

    FIRST      PLAYER.

    Run barefoot up   and down,     threat’ning    the  flames

                         With       bisson    rheum.   A     clout      upon      that head

                         Where    late the  diadem   stood,     and for   a     robe,

                         About     her  lank and all    o’erteemed    loins,

                         A     blanket,  in    th’alarm of    fear caught   up—

                         Who       this  had seen,      with tongue   in    venom       steep’d,

                         ’Gainst    Fortune’s state       would     treason   have       pronounc’d.

                         But  if     the  gods       themselves    did  see  her  then,                    When     she  saw Pyrrhus   make      malicious sport

                         In    mincing  with his   sword     her  husband’s     limbs,

                         The instant    burst      of    clamour  that she  made,—

                         Unless    things     mortal    move      them      not  at    all,—

                         Would    have       made     milch      the  burning  eyes of       heaven,

                         And passion  in    the  gods.

    POLONIUS.

    Look,      where     he   has  not  turn’d     his   colour,    and has  tears       in’s  eyes.      Pray you, no more.

    HAMLET.

    ’Tis  well. I’ll    have       thee speak     out  the  rest of    this  soon.—Good       my  lord, will  you see  the  players   well bestowed?     Do   you hear,       let   them      be   well used;      for   they are the   abstracts and brief       chronicles      of    the  time.      After       your death     you were       better have    a     bad epitaph  than their ill     report     while      you       live.

    POLONIUS.

    My  lord, I      will  use  them      according      to    their desert.

    HAMLET.

    God’s     bodikin, man,     better.  Use       every    man      after     his   desert,  and       who      should scape      whipping?    Use       them      after     your      own      honour and       dignity. The       less they deserve,      the  more      merit      is     in    your bounty.  Take       them      in.

    POLONIUS.

    Come,    sirs.

    HAMLET.

    Follow    him, friends.   We’ll       hear a     play tomorrow.

    [ Exeunt  POLONIUS with all    the  PLAYERS     but  the  First. ]

    Dost thou hear me, old  friend?    Can you play The       Murder   of       Gonzago?

    FIRST      PLAYER.

    Ay,  my  lord.

    HAMLET.

    We’ll       ha’t tomorrow      night.     You could      for   a     need       study      a     speech   of    some      dozen or sixteen   lines,       which     I      would     set   down      and insert      in’t, could      you       not?

    FIRST      PLAYER.

    Ay,  my  lord.

    HAMLET.

    Very well. Follow    that lord, and look you mock      him not.

    [ Exit       FIRST    PLAYER . ]

    [ To Rosencrantz and       Guildenstern]      My good    friends, I’ll  leave      you       till  night.

    You are  welcome to    Elsinore.

    ROSENCRANTZ.

    Good      my  lord.

    [ Exeunt  ROSENCRANTZ and GUILDENSTERN . ]

    HAMLET.

    Ay,  so,   God b’    wi’   ye.   Now       I      am  alone.

    O    what       a     rogue     and peasant  slave      am  I!

    Is     it     not  monstrous     that this  player     here,

    But  in    a     fiction,    in    a     dream    of    passion,

    Could     force      his   soul so    to    his   own conceit

    That from       her  working  all    his   visage    wan’d;

    Tears      in    his   eyes,      distraction     in’s  aspect,

    A     broken   voice,     and his   whole     function suiting

    With       forms     to    his   conceit? And all    for   nothing!

    For  Hecuba?

    What’s    Hecuba  to    him, or    he   to    Hecuba,

    That he   should    weep      for   her? What      would     he   do,

    Had he   the  motive    and the  cue  for   passion

    That I      have?     He   would     drown    the  stage      with tears

    And cleave    the  general   ear  with horrid     speech;

    Make      mad the  guilty,     and appal      the  free,

    Confound      the  ignorant, and amaze    indeed,

    The very faculties of    eyes and ears. Yet  I,

    A     dull and muddy-mettled    rascal,    peak

    Like John-a-dreams,   unpregnant   of    my  cause,

    And can  say  nothing. No,  not  for   a     king

    Upon      whose    property and most      dear life

    A     damn’d  defeat    was made.     Am  I      a     coward?

    Who       calls me  villain,    breaks    my  pate across?

    Plucks    off   my  beard     and blows     it     in    my  face?

    Tweaks   me  by   the  nose,      gives      me  the  lie    i’     th’   throat

    As   deep      as    to    the  lungs?    Who       does       me  this?

    Ha!  ’Swounds,      I      should    take it:    for   it     cannot   be But    I       am  pigeon-liver’d,      and lack gall

    To   make      oppression    bitter,     or    ere  this

    I      should    have       fatted     all    the  region    kites

    With       this  slave’s    offal.       Bloody,   bawdy    villain!

    Remorseless, treacherous,  lecherous,     kindless  villain!

    Oh  vengeance!

    Why,      what       an   ass  am  I!     This is     most      brave,

    That I,     the  son  of    a     dear father     murder’d,

    Prompted      to    my  revenge  by   heaven   and hell,

    Must,      like  a     whore,    unpack   my  heart      with words

    And fall   a-cursing      like  a     very drab,

    A     scullion! Fie   upon’t!   Foh!

    About,    my  brain!     I      have       heard

    That guilty      creatures sitting     at    a     play,

    Have      by   the  very cunning  of    the  scene,

    Been      struck     so    to    the  soul that presently

    They       have       proclaim’d     their malefactions.

    For  murder,  though   it     have       no   tongue,  will  speak

    With       most      miraculous    organ.    I’ll    have       these      players

    Play something     like  the  murder   of    my  father

    Before    mine      uncle.     I’ll    observe  his   looks;

    I’ll    tent him to    the  quick.     If     he   but  blench,

    I      know      my  course.   The spirit       that I      have       seen

    May be   the  devil,      and the  devil       hath power

    T’assume a     pleasing shape,    yea, and perhaps

    Out of    my  weakness      and my  melancholy,

    As   he   is     very potent    with such spirits,

    Abuses   me  to    damn     me. I’ll    have       grounds

    More      relative   than this. The play’s     the  thing

    Wherein I’ll    catch      the  conscience    of    the  King.

    [ Exit. ]

    ACT III

    SCENE    I.     A     room      in    the  Castle.

    Enter      KING,    QUEEN,  POLONIUS,    OPHELIA,       ROSENCRANTZ        and GUILDENSTERN .

    KING.

    And can  you by   no   drift of    circumstance

    Get  from       him why he   puts on   this  confusion,

    Grating   so    harshly   all    his   days of    quiet

    With       turbulent and dangerous     lunacy?

    ROSENCRANTZ.

    He   does       confess   he   feels himself   distracted,

    But  from       what       cause     he   will  by   no   means    speak.

    GUILDENSTERN.

    Nor do   we   find him forward  to    be   sounded,

    But  with a     crafty      madness keeps     aloof

    When     we   would     bring      him on   to    some      confession

    Of   his   true state.

    QUEEN.

    Did  he   receive   you well?

    ROSENCRANTZ.

    Most      like  a     gentleman.

    GUILDENSTERN.

    But  with much     forcing   of    his   disposition.

    ROSENCRANTZ.

    Niggard  of    question, but  of    our  demands,

    Most      free in    his   reply.

    QUEEN.

    Did  you assay      him to    any  pastime?

    ROSENCRANTZ.

    Madam,  it     so    fell   out  that certain    players

    We  o’er-raught   on   the  way. Of   these      we   told him, And there       did  seem      in    him a     kind of    joy

    To   hear of    it.    They       are  about     the  court,

    And, as    I      think,      they have       already   order

    This night      to    play before    him.

    POLONIUS.

    ’Tis  most      true;

    And he   beseech’d      me  to    entreat   your Majesties

    To   hear and see  the  matter.

    KING.

    With       all    my  heart;     and it     doth       much     content  me

    To   hear him so    inclin’d.

    Good      gentlemen,    give him a     further    edge,

    And drive       his   purpose  on   to    these      delights.

    ROSENCRANTZ.

    We  shall,      my  lord.

    [ Exeunt  ROSENCRANTZ and GUILDENSTERN . ]

    KING.

    Sweet     Gertrude,       leave      us    too,

    For  we   have       closely    sent for   Hamlet   hither,

    That he,  as    ’twere     by   accident, may here

    Affront    Ophelia.

    Her  father     and myself,   lawful     espials,

    Will so    bestow   ourselves that, seeing    unseen,

    We  may of    their encounter     frankly    judge,

    And gather    by   him, as    he   is     behav’d,

    If’t   be   th’affliction    of    his   love or    no

    That thus he   suffers    for.

    QUEEN.

    I      shall obey       you.

    And for   your part, Ophelia, I      do   wish

    That your good      beauties be   the  happy     cause

    Of   Hamlet’s wildness: so    shall I      hope      your virtues

    Will bring      him to    his   wonted   way again,

    To   both       your honours.

    OPHELIA.

    Madam,  I      wish it     may.

    [ Exit       QUEEN . ]

    POLONIUS.

    Ophelia, walk you here.—Gracious,   so    please    you,

    We  will  bestow   ourselves.—[ To    Ophelia. ]       Read      on   this book, That show      of    such an   exercise  may colour

    Your       loneliness.—We    are  oft   to    blame     in    this,

    ’Tis  too  much     prov’d,    that with devotion’s     visage

    And pious      action     we   do   sugar      o’er

    The devil       himself.

    KING.

    [ Aside. ] O    ’tis   too  true!

    How smart     a     lash that speech   doth       give my  conscience!

    The harlot’s   cheek,    beautied with plastering      art,

    Is     not  more      ugly to    the  thing      that helps      it

    Than      is     my  deed      to    my  most      painted  word.

    O    heavy     burden!

    POLONIUS.

    I      hear him coming.  Let’s withdraw,      my  lord.

    [ Exeunt  KING    and POLONIUS . ]

    Enter      HAMLET .

    HAMLET.

    To   be,  or    not  to    be,  that is     the  question:

    Whether ’tis   nobler    in    the  mind      to    suffer

    The slings     and arrows    of    outrageous    fortune,

    Or   to    take arms       against   a     sea  of    troubles,

    And by   opposing       end them?     To   die—to   sleep,

    No   more;     and by   a     sleep      to    say  we   end

    The heart-ache,   and the  thousand       natural   shocks

    That flesh is     heir to:   ’tis   a     consummation

    Devoutly to    be   wish’d.    To   die,  to    sleep.

    To   sleep,     perchance     to    dream—ay,   there’s    the  rub,

    For  in    that sleep      of    death     what       dreams   may come,

    When     we   have       shuffled  off   this  mortal    coil,

    Must      give us    pause.    There’s   the  respect

    That makes    calamity of    so    long life.

    For  who would     bear the  whips     and scorns    of    time, The       oppressor’s    wrong,    the  proud     man’s     contumely,

    The pangs     of    dispriz’d love, the  law’s       delay,

    The insolence       of    office,     and the  spurns

    That patient   merit      of    the  unworthy       takes,

    When     he   himself   might     his   quietus   make

    With       a     bare bodkin?  Who       would     these      fardels    bear,

    To   grunt      and sweat     under     a     weary     life,

    But  that the  dread     of    something     after death,

    The undiscover’d  country,  from       whose    bourn

    No   traveller  returns,  puzzles   the  will,

    And makes    us    rather     bear those      ills   we   have

    Than      fly    to    others    that we   know      not  of?

    Thus       conscience    does       make      cowards of    us    all,

    And thus the  native     hue of    resolution

    Is     sicklied   o’er with the  pale cast of    thought,

    And enterprises    of    great      pith and moment,

    With       this  regard    their currents  turn awry

    And lose the  name     of    action.    Soft you now,

    The fair  Ophelia! Nymph,  in    thy  orisons

    Be   all    my  sins remember’d.

    OPHELIA.

    Good      my  lord,

    How does       your honour   for   this  many      a     day?

    HAMLET.

    I      humbly   thank     you; well, well, well.

    OPHELIA.

    My  lord, I      have       remembrances     of    yours

    That I      have       longed   long to    re-deliver.

    I      pray you, now receive   them.

    HAMLET.

    No,  not  I.

    I      never      gave       you aught.

    OPHELIA.

    My  honour’d lord, you know      right       well you did,

    And with them      words     of    so    sweet     breath    compos’d

    As   made     the  things     more      rich; their perfume lost, Take       these      again;     for   to    the  noble     mind

    Rich gifts wax poor       when      givers     prove     unkind.

    There,     my  lord.

    HAMLET.

    Ha,  ha!  Are  you honest?

    OPHELIA.

    My  lord?

    HAMLET.

    Are  you fair?

    OPHELIA.

    What      means    your lordship?

    HAMLET.

    That if     you be   honest    and fair, your honesty  should    admit     no       discourse       to    your beauty.

    OPHELIA.

    Could     beauty,   my  lord, have       better     commerce     than with       honesty?

    HAMLET.

    Ay,  truly;      for   the  power     of    beauty    will  sooner    transform       honesty  from       what       it     is to a     bawd      than the  force       of    honesty  can  translate beauty    into his   likeness. This was       sometime      a     paradox, but  now the  time gives      it     proof.     I       did  love you once.

    OPHELIA.

    Indeed,   my  lord, you made     me  believe   so.

    HAMLET.

    You should  not have     believed       me;       for virtue    cannot  so    inoculate     our old stock but     we   shall relish      of    it.    I       loved      you not.

    OPHELIA.

    I      was the  more      deceived.

    HAMLET.

    Get  thee to    a     nunnery. Why wouldst  thou be   a     breeder  of       sinners?  I      am  myself indifferent  honest;   but  yet  I      could       accuse    me  of    such things     that it     were       better     my mother   had       not borne   me.       I     am very      proud,  revengeful,    ambitious,   with      more offences     at  my beck     than I     have     thoughts      to  put them    in,  imagination to  give them      shape,    or    time to    act  them      in.   What      should       such fellows    as    I      do   crawling

    between earth      and heaven? We  are  arrant     knaves    all,   believe       none      of    us.   Go   thy ways to    a     nunnery. Where’s  your       father?

    OPHELIA.

    At    home,    my  lord.

    HAMLET.

    Let  the  doors     be   shut upon      him, that he   may play the  fool       nowhere but  in’s  own house.    Farewell.

    OPHELIA.

    O    help him, you sweet     heavens!

    HAMLET.

    If     thou dost marry,    I’ll    give thee this  plague    for   thy  dowry.    Be       thou as    chaste    as ice,     as    pure as    snow,     thou shalt       not       escape   calumny. Get  thee to    a     nunnery, go: farewell.   Or  if    thou wilt needs   marry,   marry    a    fool;      for wise      men      know      well enough what     monsters     you       make    of  them.     To  a    nunnery,      go; and       quickly  too.

    Farewell.

    OPHELIA.

    O    heavenly powers,  restore   him!

    HAMLET.

    I      have       heard     of    your paintings too, well enough. God hath       given      you one face, and you       make    yourselves   another.       You      jig, you       amble,  and       you       lisp,      and nickname      God’s     creatures,      and make      your wantonness   your       ignorance.     Go   to,   I’ll no      more    on’t,      it   hath     made     me mad.     I     say,       we will have     no more    marriages.

    Those     that are  married  already,  all    but  one, shall live; the  rest shall       keep       as    they are. To   a     nunnery, go.

    [ Exit. ]

    OPHELIA.

    O,    what       a     noble     mind      is     here o’erthrown!

    The courtier’s,      soldier’s, scholar’s, eye, tongue,  sword,

    Th’expectancy      and rose of    the  fair  state,

    The glass      of    fashion   and the  mould    of    form,

    Th’observ’d   of    all    observers,      quite,     quite      down!

    And I,     of    ladies     most      deject     and wretched,

    That suck’d    the  honey     of    his   music     vows,

    Now       see  that noble     and most      sovereign      reason,

    Like sweet     bells jangled   out  of    tune and harsh,

    That unmatch’d     form       and feature   of    blown     youth Blasted with       ecstasy.  O    woe is     me,

    T’have    seen what       I      have       seen,      see  what       I      see.

    Enter      KING    and POLONIUS .

    KING.

    Love?     His  affections      do   not  that way tend,

    Nor what       he   spake,    though   it     lack’d     form       a     little,

    Was not  like  madness.       There’s   something     in    his   soul

    O’er which     his   melancholy   sits  on   brood,

    And I      do   doubt     the  hatch     and the  disclose

    Will be   some      danger,  which     for   to    prevent,

    I      have       in    quick      determination

    Thus       set   it     down:     he   shall with speed     to    England

    For  the  demand of    our  neglected      tribute:

    Haply     the  seas and countries different,

    With       variable  objects,  shall expel

    This something     settled    matter    in    his   heart,

    Whereon his   brains     still  beating  puts him thus

    From      fashion   of    himself.  What      think      you on’t?

    POLONIUS.

    It     shall do   well. But  yet  do   I      believe

    The origin     and commencement   of    his   grief

    Sprung   from       neglected      love. How now,       Ophelia?

    You need      not  tell  us    what       Lord Hamlet   said,

    We  heard     it     all.   My  lord, do   as    you please,

    But  if     you hold it     fit,   after the  play,

    Let  his   queen    mother   all    alone      entreat   him

    To   show      his   grief,      let   her  be   round     with him,

    And I’ll    be   plac’d,    so    please    you, in    the  ear

    Of   all    their conference.   If     she  find him not,

    To   England  send       him; or    confine   him where

    Your       wisdom  best shall think.

    KING.

    It     shall be   so.

    Madness in    great      ones       must      not  unwatch’d     go.

    [ Exeunt. ]

    SCENE    II.     A     hall  in    the  Castle.

    Enter      HAMLET      and certain    PLAYERS .

    HAMLET.

    Speak     the  speech,  I      pray you, as    I      pronounced  it     to    you,       trippingly       on   the  tongue.

    But  if    you       mouth  it,   as  many    of  your      players  do, I      had       as  lief the town-crier spoke my  lines.      Nor do   not       saw the  air   too  much     with your hand,     thus,       but  use  all gently;    for   in    the  very torrent,   tempest, and, as    I      may say,       whirlwind      of    passion, you  must     acquire and       beget    a     temperance that      may      give      it   smoothness. O,  it offends   me  to    the  soul to    hear a     robustious     periwig-pated       fellow     tear a     passion  to tatters,      to    very rags,       to    split       the  ears of    the  groundlings,  who,       for   the  most      part, are capable  of  nothing but inexplicable dumb   shows   and       noise.     I     would   have such    a     fellow     whipped for   o’erdoing       Termagant.    It     out-Herods   Herod.    Pray you avoid      it.

    FIRST      PLAYER.

    I      warrant  your honour.

    HAMLET.

    Be   not  too  tame      neither;  but  let   your own discretion      be   your       tutor.      Suit the  action to the word,    the word     to  the action,    with      this       special  observance, that      you o’erstep       not  the  modesty of    nature;   for   anything so    overdone       is       from       the  purpose of     playing,  whose    end, both       at    the       first and now,       was and is,    to    hold as    ’twere     the mirror      up   to  nature;  to  show    virtue    her own      feature, scorn    her  own      image,  and the very age and body      of    the  time his       form       and pressure. Now,      this  overdone,      or come tardy     off,  though it   make    the unskilful       laugh,   cannot  but make      the judicious grieve;    the  censure  of    the  which     one must       in    your allowance      o’erweigh a    whole     theatre   of    others.       O,    there      be   players   that I      have       seen play—and       heard others  praise,    and that highly—not   to    speak     it       profanely,      that, neither   having    the accent     of    Christians,       nor  the  gait of    Christian, pagan,    nor  man,      have       so       strutted and   bellowed that I      have       thought  some      of       Nature’s journeymen   had made     men, and       not  made     them       well, they imitated humanity       so    abominably.

    FIRST      PLAYER.

    I      hope      we   have       reform’d that indifferently   with us,   sir.

    HAMLET.

    O    reform    it     altogether.    And let   those      that play your clowns       speak     no   more      than is set      down    for them.    For there      be  of  them    that      will themselves  laugh,   to  set on some quantity       of  barren  spectators    to  laugh    too,      though   in   the meantime    some

    necessary      question      of  the play      be  then     to  be  considered.   That’s   villanous,     and shows   a     most      pitiful       ambition in    the  fool that uses it.    Go   make      you ready.

    [ Exeunt  PLAYERS . ]

    Enter      POLONIUS,  ROSENCRANTZ    and GUILDENSTERN .

    How now,       my  lord?

    Will the  King hear this  piece      of    work?

    POLONIUS.

    And the  Queen    too, and that presently.

    HAMLET.

    Bid  the  players   make      haste.

    [ Exit       POLONIUS . ]

    Will you two help to    hasten    them?

    ROSENCRANTZ     and GUILDENSTERN.

    We  will, my  lord.

    [ Exeunt  ROSENCRANTZ and GUILDENSTERN . ]

    HAMLET.

    What      ho,  Horatio!

    Enter      HORATIO .

    HORATIO.

    Here,      sweet     lord, at    your service.

    HAMLET.

    Horatio,  thou art   e’en as    just  a     man

    As   e’er my  conversation cop’d      withal.

    HORATIO.

    O    my  dear lord.

    HAMLET.

    Nay, do   not  think      I      flatter;

    For  what       advancement may I      hope      from       thee,

    That no   revenue  hast, but  thy  good      spirits

    To   feed and clothe     thee?      Why should    the  poor       be   flatter’d?

    No,  let   the  candied  tongue   lick  absurd    pomp,

    And crook      the  pregnant hinges    of    the  knee

    Where    thrift       may follow     fawning. Dost thou hear?

    Since      my  dear soul was mistress  of    her  choice,

    And could      of    men distinguish,    her  election

    Hath       seal’d     thee for   herself.   For  thou hast been

    As   one, in    suffering all,   that suffers    nothing,

    A     man that Fortune’s buffets    and rewards

    Hast ta’en      with equal      thanks.   And bles’d     are  those

    Whose    blood     and judgment      are  so    well co-mingled

    That they are  not  a     pipe for   Fortune’s finger

    To   sound     what       stop she  please.   Give me  that man

    That is     not  passion’s slave,      and I      will  wear       him

    In    my  heart’s    core,       ay,   in    my  heart      of    heart,

    As   I      do   thee.      Something    too  much     of    this.

    There     is     a     play tonight   before    the  King.

    One scene     of    it     comes    near the  circumstance

    Which    I      have       told thee,      of    my  father’s   death.

    I      prythee,  when      thou see’st     that act  a-foot,

    Even       with the  very comment      of    thy  soul

    Observe mine      uncle.     If     his   occulted guilt

    Do   not  itself unkennel in    one speech,

    It     is     a     damned ghost     that we   have       seen;

    And my  imaginations are  as    foul

    As   Vulcan’s stithy.     Give him heedful   note;

    For  I      mine      eyes will  rivet to    his   face;

    And after we   will  both       our  judgments     join

    In    censure  of    his   seeming.

    HORATIO.

    Well,       my  lord.

    If     he   steal aught     the  whilst     this  play is     playing,

    And scape     detecting,      I      will  pay  the  theft.

    HAMLET.

    They       are  coming   to    the  play. I      must      be   idle.

    Get  you a     place.

    Danish    march.    A     flourish.  Enter      KING,    QUEEN,  POLONIUS,       OPHELIA, ROSENCRANTZ,   GUILDENSTERN   and others.

    KING.

    How fares       our  cousin    Hamlet?

    HAMLET.

    Excellent, i’     faith;      of    the  chameleon’s  dish: I      eat  the  air,       promise-crammed:      you cannot    feed capons   so.

    KING.

    I      have       nothing  with this  answer,  Hamlet;  these      words     are       not  mine.

    HAMLET.

    No,  nor  mine      now.       [ To Polonius. ]     My  lord, you play’d     once       i’     th’university,  you say?

    POLONIUS.

    That did  I,     my  lord, and was accounted     a     good      actor.

    HAMLET.

    What      did  you enact?

    POLONIUS.

    I      did  enact      Julius      Caesar.   I      was kill’d i’     th’   Capitol.       Brutus    killed      me.

    HAMLET.

    It     was a     brute      part of    him to    kill   so    capital    a     calf there.       Be   the  players   ready?

    ROSENCRANTZ.

    Ay,  my  lord; they stay upon      your patience.

    QUEEN.

    Come     hither,    my  dear Hamlet,  sit    by   me.

    HAMLET.

    No,  good      mother,  here’s     metal     more      attractive.

    POLONIUS.

    [ To the  King. ]     O    ho!  do   you mark      that?

    HAMLET.

    Lady,      shall I      lie    in    your lap?

    [ Lying    down      at    OPHELIA’S   feet. ]

    OPHELIA.

    No,  my  lord.

    HAMLET.

    I      mean,     my  head      upon      your lap?

    OPHELIA.

    Ay,  my  lord.

    HAMLET.

    Do   you think      I      meant    country  matters?

    OPHELIA.

    I      think      nothing, my  lord.

    HAMLET.

    That’s     a     fair  thought  to    lie    between maids’    legs.

    OPHELIA.

    What      is,    my  lord?

    HAMLET.

    Nothing.

    OPHELIA.

    You are  merry,    my  lord.

    HAMLET.

    Who,      I?

    OPHELIA.

    Ay,  my  lord.

    HAMLET.

    O    God,       your only jig-maker!     What      should    a     man do   but       be   merry?    For  look you how cheerfully      my  mother   looks,       and my  father     died within’s  two hours.

    OPHELIA.

    Nay, ’tis   twice      two months,  my  lord.

    HAMLET.

    So   long?    Nay      then,     let  the devil     wear     black,    for I’ll    have     a    suit       of  sables.  O

    heavens! die two       months ago,      and       not forgotten     yet?       Then     there’s  hope     a    great man’s memory       may      outlive    his life half       a    year.     But by’r       lady,     he  must      build churches    then;     or  else      shall     he  suffer    not  thinking on, with      the hobby-horse, whose  epitaph  is     ‘For,       O,    for   O,    the  hobby-horse is     forgot!’

    Trumpets       sound.    The dumb     show      enters.

    Enter      a     King and a     Queen    very lovingly; the  Queen       embracing     him and he   her.

    She kneels,  and       makes   show    of  protestation unto    him.       He takes    her up, and declines his head     upon    her neck.      Lays      him       down    upon    a    bank     of  flowers. She, seeing    him asleep,   leaves     him. Anon      comes    in    a       fellow,    takes      off   his   crown,    kisses

    it,    pours     poison    in    the  King’s     ears, and exits.      The Queen       returns,  finds       the  King dead,     and makes    passionate       action.    The Poisoner with some      three      or    four Mutes, comes       in    again,     seeming to    lament   with her. The dead      body       is     carried    away.     The Poisoner woos      the  Queen    with gifts.       She seems    loth and unwilling awhile,   but  in the     end accepts       his   love.

    [ Exeunt. ]

    OPHELIA.

    What      means    this, my  lord?

    HAMLET.

    Marry,    this  is     miching  mallicho; it     means    mischief.

    OPHELIA.

    Belike     this  show      imports  the  argument      of    the  play.

    Enter      PROLOGUE .

    HAMLET.

    We  shall know      by   this  fellow:    the  players   cannot   keep       counsel; they’ll     tell  all.

    OPHELIA.

    Will they tell  us    what       this  show      meant?

    HAMLET.

    Ay,  or  any       show    that      you’ll    show    him.      Be  not you ashamed     to  show,    he’ll      not shame   to    tell  you what       it     means.

    OPHELIA.

    You are  naught,  you are  naught:  I’ll    mark      the  play.

    PROLOGUE.

    For  us,   and for   our  tragedy,

                         Here       stooping to    your clemency,

                         We  beg your hearing  patiently.

    HAMLET.

    Is     this  a     prologue,      or    the  posy       of    a     ring?

    OPHELIA.

    ’Tis  brief,      my  lord.

    HAMLET.

    As   woman’s love.

    Enter      a     KING    and a     QUEEN .

    PLAYER  KING.

    Full  thirty      times      hath Phoebus’ cart gone      round

    Neptune’s     salt  wash      and Tellus’    orbed     ground,

    And thirty      dozen     moons    with borrow’d sheen

    About     the  world      have       times      twelve    thirties    been,

    Since      love our  hearts,    and Hymen   did  our  hands

    Unite      commutual    in    most      sacred    bands.

    PLAYER  QUEEN.

    So   many      journeys may the  sun  and moon

    Make      us    again      count     o’er ere  love be   done.

    But, woe is     me, you are  so    sick of    late,

    So   far   from       cheer      and from       your former    state,

    That I      distrust   you. Yet, though   I      distrust,

    Discomfort    you, my  lord, it     nothing  must:

    For  women’s fear and love holds      quantity,

    In    neither   aught,    or    in    extremity.

    Now       what       my  love is,    proof      hath made     you know,

    And as    my  love is     siz’d,      my  fear is     so.

    Where    love is     great,     the  littlest     doubts   are  fear;

    Where    little fears       grow      great,     great      love grows     there.

    PLAYER  KING.

    Faith,      I      must      leave      thee,      love, and shortly    too:

    My  operant  powers   their functions leave      to    do:

    And thou shalt       live  in    this  fair  world      behind,

    Honour’d,      belov’d,  and haply      one as    kind

    For  husband shalt       thou—

    PLAYER  QUEEN.

    O    confound      the  rest.

    Such       love must      needs     be   treason   in    my  breast.

    In    second   husband let   me  be   accurst!

    None      wed the  second   but  who kill’d the  first.

    HAMLET.

    [ Aside. ] Wormwood,  wormwood.

    PLAYER  QUEEN.

    The instances that second   marriage move

    Are  base respects of    thrift,      but  none      of    love.

    A     second   time I      kill   my  husband dead,

    When     second   husband kisses     me  in    bed.

    PLAYER  KING.

    I      do   believe   you think      what       now you speak;

    But  what       we   do   determine,     oft   we   break.

    Purpose  is     but  the  slave      to    memory,

    Of   violent    birth,      but  poor       validity:

    Which    now,       like  fruit unripe,   sticks      on   the  tree,

    But  fall   unshaken      when      they mellow   be.

    Most      necessary      ’tis   that we   forget

    To   pay  ourselves what       to    ourselves is     debt.

    What      to    ourselves in    passion  we   propose,

    The passion  ending,   doth       the  purpose  lose.

    The violence of    either     grief or    joy

    Their      own enactures      with themselves    destroy.

    Where    joy   most      revels,    grief doth       most      lament;

    Grief       joys, joy   grieves,  on   slender   accident.

    This world      is     not  for   aye; nor  ’tis   not  strange

    That even       our  loves      should    with our  fortunes change,

    For  ’tis   a     question left  us    yet  to    prove,

    Whether love lead fortune,  or    else fortune   love.

    The great      man down,     you mark      his   favourite flies,

    The poor       advanc’d makes    friends    of    enemies;

    And hitherto  doth       love on   fortune   tend:

    For  who not  needs     shall never      lack a     friend,

    And who in    want       a     hollow    friend     doth       try,

    Directly   seasons  him his   enemy.

    But  orderly   to    end where     I      begun,

    Our wills and fates       do   so    contrary run

    That our  devices   still  are  overthrown.

    Our thoughts are  ours,       their ends       none      of    our  own.

    So   think      thou wilt  no   second   husband wed,

    But  die  thy  thoughts when      thy  first lord is     dead.

    PLAYER  QUEEN.

    Nor earth      to    me  give food,      nor  heaven   light,

    Sport      and repose    lock from       me  day  and night,

    To   desperation   turn my  trust and hope,

    An   anchor’s cheer      in    prison     be   my  scope,

    Each       opposite that blanks    the  face of    joy,

    Meet      what       I      would     have       well, and it     destroy!

    Both       here and hence     pursue    me  lasting    strife,

    If,    once       a     widow,   ever I      be   wife.

    HAMLET.

    [ To Ophelia. ]       If     she  should    break      it     now.

    PLAYER  KING.

    ’Tis  deeply    sworn.    Sweet,    leave      me  here awhile.

    My  spirits     grow      dull, and fain I      would     beguile

    The tedious   day  with sleep.

    [ Sleeps. ]

    PLAYER  QUEEN.

    Sleep      rock thy  brain,

    And never      come      mischance     between us    twain.

    [ Exit. ]

    HAMLET.

    Madam,  how like  you this  play?

    QUEEN.

    The lady protests  too  much,     methinks.

    HAMLET.

    O,    but  she’ll      keep       her  word.

    KING.

    Have      you heard     the  argument?     Is     there      no   offence   in’t?

    HAMLET.

    No,  no,  they do   but  jest, poison    in    jest; no   offence   i’     th’       world.

    KING.

    What      do   you call  the  play?

    HAMLET.

    The Mousetrap.   Marry,    how?      Tropically.      This play is     the       image     of    a     murder   done in   Vienna. Gonzago      is   the Duke’s    name,   his wife      Baptista:      you       shall     see anon;

    ’tis   a    knavish piece    of  work:    but what     o’   that?     Your       majesty, and       we that      have free     souls,     it       touches  us    not. Let  the  gall’d      jade wince;    our  withers   are       unwrung.

    Enter      LUCIANUS .

    This is     one Lucianus, nephew  to    the  King.

    OPHELIA.

    You are  a     good      chorus,   my  lord.

    HAMLET.

    I      could      interpret between you and your love, if     I      could      see       the  puppets  dallying.

    OPHELIA.

    You are  keen,      my  lord, you are  keen.

    HAMLET.

    It     would     cost you a     groaning to    take off   my  edge.

    OPHELIA.

    Still  better,    and worse.

    HAMLET.

    So   you       mistake your      husbands.—Begin,     murderer.    Pox,       leave    thy damnable faces,  and begin.     Come,    the  croaking       raven      doth       bellow    for   revenge.

    LUCIANUS.

    Thoughts       black,     hands     apt, drugs     fit,   and time agreeing,

    Confederate  season,   else no   creature seeing;

    Thou      mixture   rank,       of    midnight weeds    collected,

    With       Hecate’s ban thrice     blasted,  thrice     infected,

    Thy  natural   magic     and dire property

    On  wholesome    life   usurp     immediately.

    [ Pours   the  poison    into the  sleeper’s ears. ]

    HAMLET.

    He   poisons him       i’    th’garden     for’s      estate.  His name’s Gonzago.      The       story     is extant,      and written   in    very       choice    Italian.    You shall see  anon      how the  murderer gets       the  love of    Gonzago’s     wife.

    OPHELIA.

    The King rises.

    HAMLET.

    What,     frighted  with false fire?

    QUEEN.

    How fares       my  lord?

    POLONIUS.

    Give o’er the  play.

    KING.

    Give me  some      light.      Away.

    All.

    Lights,    lights,     lights.

    [ Exeunt  all    but  HAMLET      and HORATIO . ]

    HAMLET.

    Why,      let   the  strucken deer go   weep,

    The hart ungalled play;

    For  some      must      watch,    while      some      must      sleep,

    So   runs the  world      away.

    Would    not  this, sir,   and a     forest     of    feathers, if     the  rest of       my  fortunes turn Turk with me; with two Provincial      roses      on       my  razed      shoes,    get  me  a     fellowship      in    a cry       of       players,  sir?

    HORATIO.

    Half a     share.

    HAMLET.

    A     whole     one, I.

    For  thou dost know,     O    Damon   dear,

    This realm     dismantled    was

    Of   Jove himself,  and now reigns     here

    A     very,       very—pajock.

    HORATIO.

    You might     have       rhymed.

    HAMLET.

    O    good      Horatio,  I’ll    take the  ghost’s   word      for   a     thousand       pound.   Didst      perceive?

    HORATIO.

    Very well, my  lord.

    HAMLET.

    Upon      the  talk  of    the  poisoning?

    HORATIO.

    I      did  very well note him.

    HAMLET.

    Ah,  ha!  Come,    some      music.    Come,    the  recorders.

    For  if     the  king like  not  the  comedy,

    Why then,      belike     he   likes it     not, perdie.

    Come,    some      music.

    Enter      ROSENCRANTZ and GUILDENSTERN .

    GUILDENSTERN.

    Good      my  lord, vouchsafe      me  a     word      with you.

    HAMLET.

    Sir,  a     whole     history.

    GUILDENSTERN.

    The King,      sir—

    HAMLET.

    Ay,  sir,   what       of    him?

    GUILDENSTERN.

    Is     in    his   retirement,    marvellous    distempered.

    HAMLET.

    With       drink,      sir?

    GUILDENSTERN.

    No,  my  lord; rather     with choler.

    HAMLET.

    Your       wisdom  should    show      itself more      richer     to    signify       this  to    the  doctor,   for   me to     put  him to    his   purgation       would     perhaps  plunge   him into far   more      choler.

    GUILDENSTERN.

    Good      my  lord, put  your discourse       into some      frame,    and start       not  so    wildly     from my affair.

    HAMLET.

    I      am  tame,     sir,   pronounce.

    GUILDENSTERN.

    The Queen    your mother,  in    most      great      affliction of    spirit,       hath sent me  to    you.

    HAMLET.

    You are  welcome.

    GUILDENSTERN.

    Nay, good      my  lord, this  courtesy is     not  of    the  right       breed.       If     it     shall please    you to

    make      me a    wholesome  answer, I     will do your      mother’s       commandment;  if    not, your      pardon   and my  return     shall       be   the  end of    my  business.

    HAMLET.

    Sir,  I      cannot.

    GUILDENSTERN.

    What,     my  lord?

    HAMLET.

    Make      you a     wholesome    answer.  My  wit’s diseased. But, sir,   such       answer   as    I      can make,      you shall command;     or    rather,       as    you say, my  mother.  Therefore      no   more, but      to    the       matter.   My  mother,  you say,—

    ROSENCRANTZ.

    Then      thus      she says:     your      behaviour    hath     struck   her  into      amazement and admiration.

    HAMLET.

    O    wonderful      son, that can  so    stonish   a     mother!  But  is     there       no   sequel    at    the  heels of  this  mother’s admiration?

    ROSENCRANTZ.

    She desires   to    speak     with you in    her  closet     ere  you go   to       bed.

    HAMLET.

    We  shall obey,      were       she  ten  times      our  mother.  Have      you       any  further    trade      with us?

    ROSENCRANTZ.

    My  lord, you once       did  love me.

    HAMLET.

    And so    I      do   still, by   these      pickers   and stealers.

    ROSENCRANTZ.

    Good      my  lord, what       is     your cause     of    distemper?    You do       surely     bar  the  door       upon your     own liberty     if     you deny       your griefs      to    your friend.

    HAMLET.

    Sir,  I      lack advancement.

    ROSENCRANTZ.

    How can       that      be, when    you       have     the voice    of  the  King      himself for your succession  in    Denmark?

    HAMLET.

    Ay,  sir,   but  while      the  grass      grows—the   proverb  is       something     musty.

    Re-enter the  PLAYERS     with recorders.

    O,    the  recorders.      Let  me  see  one.—To withdraw with you, why do       you go   about to recover   the  wind       of    me, as    if     you       would     drive       me  into a     toil?

    GUILDENSTERN.

    O    my  lord, if     my  duty be   too  bold,      my  love is     too       unmannerly.

    HAMLET.

    I      do   not  well understand    that. Will you play upon      this  pipe?

    GUILDENSTERN.

    My  lord, I      cannot.

    HAMLET.

    I      pray you.

    GUILDENSTERN.

    Believe   me, I      cannot.

    HAMLET.

    I      do   beseech you.

    GUILDENSTERN.

    I      know      no   touch     of    it,    my  lord.

    HAMLET.

    ’Tis  as    easy as    lying:      govern   these      ventages with your finger       and thumb,   give it breath with      your      mouth, and       it   will  discourse     most     eloquent      music.   Look     you, these       are  the  stops.

    GUILDENSTERN.

    But  these      cannot   I      command      to    any  utterance      of       harmony.       I      have       not  the  skill.

    HAMLET.

    Why,      look      you       now,     how      unworthy     a    thing    you make    of  me!       You      would   play upon    me; you       would     seem      to    know      my  stops;     you would     pluck       out  the  heart      of my     mystery;       you       would   sound   me  from     my lowest   note     to  the top of  my compass;       and there      is     much     music,    excellent voice,     in    this  little       organ,    yet  cannot you    make    it   speak.   ’Sblood, do you       think     I     am easier   to  be  played  on than     a pipe?       Call me  what       instrument    you will, though   you can  fret  me,       you cannot   play upon      me.

    Enter      POLONIUS .

    God bless      you, sir.

    POLONIUS.

    My  lord, the  Queen    would     speak     with you, and presently.

    HAMLET.

    Do   you see  yonder   cloud      that’s      almost    in    shape     of    a       camel?

    POLONIUS.

    By   the  mass,     and ’tis   like  a     camel     indeed.

    HAMLET.

    Methinks it     is     like  a     weasel.

    POLONIUS.

    It     is     backed   like  a     weasel.

    HAMLET.

    Or   like  a     whale.

    POLONIUS.

    Very like  a     whale.

    HAMLET.

    Then      will  I      come      to    my  mother   by   and by.—They      fool       me  to    the  top  of    my  bent.

    —I   will  come      by   and by.

    POLONIUS.

    I      will  say  so.

    [ Exit. ]

    HAMLET.

    By   and by   is     easily      said. Leave     me, friends.

    [ Exeunt  all    but  HAMLET . ]

    ’Tis  now the  very witching time of    night,

    When     churchyards  yawn,     and hell  itself breathes out

    Contagion     to    this  world.     Now       could      I      drink      hot       blood,

    And do   such bitter      business as    the  day

    Would    quake     to    look on.  Soft now,       to    my  mother.

    O    heart,     lose not  thy  nature;   let   not  ever

    The soul of    Nero       enter      this  firm bosom:

    Let  me  be   cruel,      not  unnatural.

    I      will  speak     daggers  to    her, but  use  none;

    My  tongue   and soul in    this  be   hypocrites.

    How in    my  words     somever she  be   shent,

    To   give them      seals       never,     my  soul, consent.

    [ Exit. ]

    SCENE    III.    A     room      in    the  Castle.

    Enter      KING,    ROSENCRANTZ    and GUILDENSTERN .

    KING.

    I      like  him not, nor  stands    it     safe with us

    To   let   his   madness range.    Therefore      prepare  you,

    I      your commission   will  forthwith dispatch,

    And he   to    England  shall along     with you.

    The terms     of    our  estate     may not  endure

    Hazard   so    near us    as    doth       hourly    grow

    Out of    his   lunacies.

    GUILDENSTERN.

    We  will  ourselves provide.

    Most      holy and religious fear it     is

    To   keep       those      many      many      bodies    safe

    That live  and feed upon      your Majesty.

    ROSENCRANTZ.

    The single     and peculiar  life   is     bound

    With       all    the  strength and armour   of    the  mind,

    To   keep       itself from       ’noyance;      but  much     more

    That spirit       upon      whose    weal depend  and rest

    The lives of    many.     The cease     of    majesty

    Dies not  alone;     but  like  a     gulf doth       draw

    What’s    near it     with it.    It     is     a     massy     wheel

    Fix’d on   the  summit   of    the  highest   mount,

    To   whose    huge      spokes    ten  thousand       lesser     things

    Are  mortis’d  and adjoin’d; which     when      it     falls,

    Each       small      annexment,   petty      consequence,

    Attends  the  boist’rous      ruin. Never     alone

    Did  the  King sigh, but  with a     general   groan.

    KING.

    Arm you, I      pray you, to    this  speedy   voyage; For    we   will  fetters       put  upon      this  fear,

    Which    now goes       too  free-footed.

    ROSENCRANTZ     and GUILDENSTERN.

    We  will  haste      us.

    [ Exeunt  ROSENCRANTZ and GUILDENSTERN . ]

    Enter      POLONIUS .

    POLONIUS.

    My  lord, he’s going     to    his   mother’s closet.

    Behind   the  arras       I’ll    convey   myself

    To   hear the  process.  I’ll    warrant  she’ll      tax   him home,

    And as    you said, and wisely     was it     said,

    ’Tis  meet      that some      more      audience than a     mother,

    Since      nature    makes    them      partial,    should    o’erhear

    The speech   of    vantage. Fare you well, my  liege,

    I’ll    call  upon      you ere  you go   to    bed,

    And tell  you what       I      know.

    KING.

    Thanks,  dear my  lord.

    [ Exit       POLONIUS . ]

    O,    my  offence   is     rank,       it     smells     to    heaven;

    It     hath the  primal    eldest     curse      upon’t,—

    A     brother’s murder!  Pray can  I      not,

    Though  inclination     be   as    sharp      as    will:

    My  stronger guilt defeats   my  strong    intent,

    And, like  a     man to    double   business bound,

    I      stand      in    pause     where     I      shall first begin,

    And both       neglect.  What      if     this  cursed    hand

    Were      thicker    than itself with brother’s blood,

    Is     there      not  rain enough  in    the  sweet     heavens

    To   wash      it     white      as    snow?     Whereto serves     mercy

    But  to    confront the  visage    of    offence?

    And what’s    in    prayer    but  this  twofold   force,

    To   be   forestalled     ere  we   come      to    fall,

    Or   pardon’d being     down?    Then      I’ll    look up.

    My  fault is     past.       But  O,    what       form       of    prayer

    Can serve      my  turn?      Forgive   me  my  foul murder!

    That cannot   be;  since      I      am  still  possess’d

    Of   those      effects    for   which     I      did  the  murder,—

    My  crown,    mine      own ambition,       and my  queen.

    May one be   pardon’d and retain     th’offence?

    In    the  corrupted      currents  of    this  world

    Offence’s       gilded     hand      may shove     by   justice,

    And oft   ’tis   seen the  wicked    prize       itself

    Buys out  the  law. But  ’tis   not  so    above;

    There     is     no   shuffling, there      the  action     lies

    In    his   true nature,   and we   ourselves compell’d

    Even       to    the  teeth      and forehead of    our  faults,

    To   give in    evidence.       What      then?      What      rests?

    Try  what       repentance    can. What      can  it     not?

    Yet  what       can  it,    when      one cannot   repent?

    O    wretched state!      O    bosom    black      as    death!

    O    limed      soul, that struggling      to    be   free,

    Art   more      engag’d! Help,      angels!   Make      assay:

    Bow,       stubborn knees;    and heart      with strings    of    steel,

    Be   soft as    sinews    of    the  new-born      babe.

    All   may be   well.

    [ Retires  and kneels. ]

    Enter      HAMLET .

    HAMLET.

    Now       might     I      do   it     pat, now he   is     praying.

    And now I’ll    do’t. And so    he   goes       to    heaven;

    And so    am  I      reveng’d. That would     be   scann’d:

    A     villain     kills my  father,    and for   that

    I,     his   sole son, do   this  same      villain     send

    To   heaven.  O,    this  is     hire and salary,    not  revenge.

    He   took my  father     grossly,   full  of    bread,

    With       all    his   crimes    broad     blown,    as    flush       as    May;

    And how his   audit      stands,   who knows    save heaven?

    But  in    our  circumstance and course    of    thought,

    ’Tis  heavy     with him. And am  I      then reveng’d,

    To   take him in    the  purging  of    his   soul,

    When     he   is     fit    and season’d for   his   passage? No.

    Up,  sword,    and know      thou a     more      horrid     hent: When    he       is     drunk     asleep;   or    in    his   rage,

    Or   in    th’incestuous pleasure of    his   bed,

    At    gaming,  swearing;       or    about     some      act

    That has  no   relish      of    salvation in’t,

    Then      trip  him, that his   heels      may kick at    heaven,

    And that his   soul may be   as    damn’d  and black

    As   hell, whereto  it     goes.      My  mother   stays.

    This physic    but  prolongs thy  sickly      days.

    [ Exit. ]

    The KING    rises and advances.

    KING.

    My  words     fly    up,  my  thoughts remain   below.

    Words    without  thoughts never      to    heaven   go.

    [ Exit. ]

    SCENE    IV.   Another  room      in    the  Castle.

    Enter      QUEEN        and POLONIUS .

    POLONIUS.

    He   will  come      straight.  Look       you lay   home     to    him,

    Tell  him his   pranks    have       been      too  broad     to    bear with,

    And that your Grace     hath screen’d and stood     between

    Much     heat and him. I’ll    silence    me  e’en here.

    Pray you be   round     with him.

    HAMLET.

    [ Within. ]       Mother,  mother,  mother.

    QUEEN.

    I’ll    warrant  you, Fear me  not.

    Withdraw,      I      hear him coming.

    [POLONIUS   goes       behind   the  arras. ]

    Enter      HAMLET .

    HAMLET.

    Now,      mother,  what’s    the  matter?

    QUEEN.

    Hamlet,  thou hast thy  father     much     offended.

    HAMLET.

    Mother,  you have       my  father     much     offended.

    QUEEN.

    Come,    come,     you answer   with an   idle  tongue.

    HAMLET.

    Go,  go,  you question with a     wicked    tongue.

    QUEEN.

    Why,      how now,       Hamlet?

    HAMLET.

    What’s    the  matter    now?

    QUEEN.

    Have      you forgot     me?

    HAMLET.

    No,  by   the  rood,      not  so.

    You are  the  Queen,   your husband’s     brother’s wife,

    And, would     it     were       not  so.   You are  my  mother.

    QUEEN.

    Nay, then I’ll    set   those      to    you that can  speak.

    HAMLET.

    Come,    come,     and sit    you down,     you shall not  budge.

    You go   not  till   I      set   you up   a     glass

    Where    you may see  the  inmost    part of    you.

    QUEEN.

    What      wilt  thou do?  Thou      wilt  not  murder   me?

    Help,      help,       ho!

    POLONIUS.

    [ Behind. ]      What,     ho!  help,       help,       help!

    HAMLET.

    How now?      A     rat? [ Draws. ]

    Dead      for   a     ducat,     dead!

    [ Makes  a     pass through  the  arras. ]

    POLONIUS.

    [ Behind. ]      O,    I      am  slain!

    [ Falls     and dies. ]

    QUEEN.

    O    me, what       hast thou done?

    HAMLET.

    Nay, I      know      not. is     it     the  King?

    [ Draws   forth       POLONIUS . ]

    QUEEN.

    O    what       a     rash and bloody    deed      is     this!

    HAMLET.

    A     bloody    deed.      Almost   as    bad, good      mother,

    As   kill   a     king and marry     with his   brother.

    QUEEN.

    As   kill   a     king?

    HAMLET.

    Ay,  lady, ’twas      my  word.—

    [ To Polonius. ]     Thou      wretched,      rash,       intruding fool, farewell!

    I      took thee for   thy  better.    Take       thy  fortune,

    Thou      find’st     to    be   too  busy       is     some      danger.—

    Leave     wringing of    your hands.    Peace,    sit    you down,

    And let   me  wring      your heart,     for   so    I      shall,

    If     it     be   made     of    penetrable     stuff;

    If     damned custom   have       not  braz’d     it     so,

    That it     is     proof      and bulwark  against   sense.

    QUEEN.

    What      have       I      done,     that thou dar’st      wag thy  tongue

    In    noise      so    rude against   me?

    HAMLET.

    Such       an   act

    That blurs       the  grace      and blush      of    modesty,

    Calls virtue     hypocrite,      takes      off   the  rose

    From      the  fair  forehead of    an   innocent love,

    And sets a     blister     there.     Makes    marriage vows

    As   false as    dicers’    oaths.     O    such a     deed

    As   from       the  body      of    contraction    plucks

    The very soul, and sweet     religion   makes

    A     rhapsody of    words.    Heaven’s face doth       glow,

    Yea this  solidity   and compound    mass,

    With       tristful    visage,    as    against   the  doom,

    Is     thought-sick at    the  act.

    QUEEN.

    Ay   me, what       act,

    That roars      so    loud,      and thunders in    the  index?

    HAMLET.

    Look       here upon      this  picture,   and on   this,

    The counterfeit    presentment  of    two brothers.

    See  what       a     grace      was seated    on   this  brow,

    Hyperion’s     curls,      the  front       of    Jove himself,

    An   eye  like  Mars,      to    threaten and command,

    A     station    like  the  herald    Mercury

    New lighted   on   a     heaven-kissing     hill:

    A     combination  and a     form       indeed,

    Where    every      god did  seem      to    set   his   seal,

    To   give the  world      assurance      of    a     man.

    This was your husband. Look       you now what       follows.

    Here       is     your husband, like  a     mildew’d ear

    Blasting  his   wholesome    brother.  Have      you eyes?

    Could     you on   this  fair  mountain      leave      to    feed,

    And batten    on   this  moor?    Ha!  have       you eyes?

    You cannot   call  it     love; for   at    your age

    The hey-day in    the  blood     is     tame,     it’s   humble,

    And waits      upon      the  judgment:     and what       judgment

    Would    step from       this  to    this? Sense     sure you have,

    Else could      you not  have       motion;  but  sure that sense

    Is     apoplex’d,     for   madness would     not  err

    Nor sense     to    ecstacy   was ne’er      so    thrall’d

    But  it     reserv’d  some      quantity of    choice

    To   serve      in    such a     difference.     What      devil       was’t

    That thus hath cozen’d  you at    hoodman-blind?

    Eyes without  feeling,   feeling    without  sight,

    Ears without  hands     or    eyes,      smelling sans all,

    Or   but  a     sickly      part of    one true sense

    Could     not  so    mope.    O    shame!   where     is     thy  blush?

    Rebellious     hell,

    If     thou canst      mutine   in    a     matron’s bones,

    To   flaming   youth     let   virtue     be   as    wax,

    And melt in    her  own fire. Proclaim no   shame

    When     the  compulsive    ardour    gives      the  charge,

    Since      frost itself as    actively   doth       burn,

    And reason    panders  will.

    QUEEN.

    O    Hamlet,  speak     no   more.

    Thou      turn’st    mine      eyes into my  very soul,

    And there      I      see  such black      and grained  spots

    As   will  not  leave      their tinct.

    HAMLET.

    Nay, but  to    live

    In    the  rank sweat     of    an   enseamed     bed,

    Stew’d    in    corruption,    honeying       and making   love

    Over       the  nasty      sty.

    QUEEN.

    O    speak     to    me  no   more;

    These     words     like  daggers  enter      in    mine      ears;

    No   more,     sweet     Hamlet.

    HAMLET.

    A     murderer       and a     villain;

    A     slave      that is     not  twentieth       part the  tithe

    Of   your precedent      lord. A     vice of    kings,

    A     cutpurse of    the  empire   and the  rule,

    That from       a     shelf the  precious diadem   stole

    And put  it     in    his   pocket!

    QUEEN.

    No   more.

    HAMLET.

    A     king of    shreds    and patches!—

    Enter      GHOST .

    Save me  and hover     o’er me  with your wings,

    You heavenly guards!   What      would     your gracious figure?

    QUEEN.

    Alas, he’s mad.

    HAMLET.

    Do   you not  come      your tardy      son  to    chide,

    That,      laps’d     in    time and passion,  lets  go   by

    The important      acting     of    your dread     command?

    O    say!

    GHOST.

    Do   not  forget.    This visitation

    Is     but  to    whet       thy  almost    blunted  purpose.

    But  look,       amazement   on   thy  mother   sits.

    O    step between her  and her  fighting  soul.

    Conceit  in    weakest  bodies    strongest       works.

    Speak     to    her, Hamlet.

    HAMLET.

    How is     it     with you, lady?

    QUEEN.

    Alas, how is’t   with you,

    That you do   bend      your eye  on   vacancy,

    And with the  incorporal      air   do   hold discourse?

    Forth      at    your eyes your spirits     wildly     peep,

    And, as    the  sleeping soldiers  in    the  alarm,

    Your       bedded  hairs,      like  life   in    excrements,

    Start up   and stand      an   end. O    gentle    son,

    Upon      the  heat and flame      of    thy  distemper

    Sprinkle  cool patience. Whereon do   you look?

    HAMLET.

    On  him, on   him! Look       you how pale he   glares,

    His  form       and cause     conjoin’d,      preaching      to    stones,

    Would    make      them      capable.—Do not  look upon      me,

    Lest with this  piteous   action     you convert

    My  stern      effects.   Then      what       I      have       to    do

    Will want       true colour;    tears       perchance     for   blood.

    QUEEN.

    To   whom     do   you speak     this?

    HAMLET.

    Do   you see  nothing  there?

    QUEEN.

    Nothing  at    all;   yet  all    that is     I      see.

    HAMLET.

    Nor did  you nothing  hear?

    QUEEN.

    No,  nothing  but  ourselves.

    HAMLET.

    Why,      look you there!     look how it     steals     away!

    My  father,    in    his   habit      as    he   liv’d!

    Look       where     he   goes       even       now out  at    the  portal.

    [ Exit       GHOST . ]

    QUEEN.

    This is     the  very coinage  of    your brain.

    This bodiless  creation  ecstasy

    Is     very cunning  in.

    HAMLET.

    Ecstasy!

    My  pulse      as    yours      doth       temperately   keep       time,

    And makes    as    healthful music.    It     is     not  madness

    That I      have       utter’d.   Bring      me  to    the  test,

    And I      the  matter    will  re-word; which     madness

    Would    gambol  from.      Mother,  for   love of    grace,

    Lay  not  that flattering unction  to    your soul

    That not  your trespass, but  my  madness speaks.

    It     will  but  skin and film the  ulcerous place,

    Whilst     rank corruption,    mining   all    within,

    Infects    unseen.  Confess  yourself  to    heaven,

    Repent   what’s    past,       avoid      what       is     to    come;

    And do   not  spread    the  compost on   the  weeds,

    To   make      them      ranker.    Forgive   me  this  my  virtue;

    For  in    the  fatness   of    these      pursy      times

    Virtue     itself of    vice must      pardon   beg,

    Yea, curb and woo for   leave      to    do   him good.

    QUEEN.

    O    Hamlet,  thou hast cleft my  heart      in    twain.

    HAMLET.

    O    throw     away      the  worser    part of    it,

    And live  the  purer      with the  other      half.

    Good      night.     But  go   not  to    mine      uncle’s   bed.

    Assume  a     virtue,     if     you have       it     not.

    That monster custom,  who all    sense     doth       eat,

    Of   habits     evil, is     angel      yet  in    this,

    That to    the  use  of    actions   fair  and good

    He   likewise  gives      a     frock       or    livery

    That aptly       is     put  on.  Refrain   tonight,

    And that shall lend a     kind of    easiness

    To   the  next abstinence.    The next more      easy;

    For  use  almost    can  change   the  stamp     of    nature,

    And either     curb the  devil,      or    throw     him out

    With       wondrous      potency. Once      more,     good      night,

    And when      you are  desirous to    be   bles’d,

    I’ll    blessing  beg of    you. For  this  same      lord

    [ Pointing      to    Polonius. ]

    I      do   repent;   but  heaven   hath pleas’d   it     so,

    To   punish    me  with this, and this  with me,

    That I      must      be   their scourge  and minister.

    I      will  bestow   him, and will  answer   well

    The death     I      gave       him. So   again,     good      night.

    I      must      be   cruel,      only to    be   kind:

    Thus       bad begins,   and worse     remains  behind.

    One word      more,     good      lady.

    QUEEN.

    What      shall I      do?

    HAMLET.

    Not this, by   no   means,   that I      bid  you do:

    Let  the  bloat      King tempt     you again      to    bed,

    Pinch      wanton   on   your cheek,    call  you his   mouse,

    And let   him, for   a     pair of    reechy    kisses,

    Or   paddling in    your neck with his   damn’d  fingers,

    Make      you to    ravel       all    this  matter    out,

    That I      essentially     am  not  in    madness,

    But  mad in    craft.      ’Twere    good      you let   him know,

    For  who that’s      but  a     queen,    fair, sober,     wise,

    Would    from       a     paddock, from       a     bat, a     gib,

    Such       dear concernings  hide?      Who       would     do   so?

    No,  in    despite   of    sense     and secrecy,

    Unpeg    the  basket    on   the  house’s  top,

    Let  the  birds       fly,   and like  the  famous   ape,

    To   try   conclusions,  in    the  basket    creep

    And break      your own neck down.

    QUEEN.

    Be   thou assur’d,  if     words     be   made     of    breath,

    And breath    of    life,  I      have       no   life   to    breathe

    What      thou hast said to    me.

    HAMLET.

    I      must      to    England, you know      that?

    QUEEN.

    Alack,

    I      had forgot.    ’Tis  so    concluded     on.

    HAMLET.

    There’s   letters     seal’d:    and my  two schoolfellows,

    Whom    I      will  trust as    I      will  adders    fang’d,—

    They       bear the  mandate,       they must      sweep    my  way

    And marshal  me  to    knavery. Let  it     work;

    For  ’tis   the  sport      to    have       the  enginer

    Hoist      with his   own petard,   and ’t     shall go   hard

    But  I      will  delve      one yard below     their mines

    And blow       them      at    the  moon.    O,    ’tis   most      sweet,

    When     in    one line  two crafts      directly   meet.

    This man shall set   me  packing.

    I’ll    lug  the  guts into the  neighbour     room.

    Mother,  good      night.     Indeed,   this  counsellor

    Is     now most      still, most      secret,    and most      grave,

    Who       was in    life   a     foolish    peating  knave.

    Come,    sir,   to    draw       toward   an   end with you.

    Good      night,     mother.

    [ Exit       HAMLET      dragging out  POLONIUS . ]

    ACT IV

    SCENE    I.     A     room      in    the  Castle.

    Enter      KING,    QUEEN,  ROSENCRANTZ    and GUILDENSTERN .

    KING.

    There’s   matter    in    these      sighs.     These     profound       heaves

    You must      translate. ’tis   fit    we   understand    them.

    Where    is     your son?

    QUEEN.

    Bestow   this  place      on   us    a     little while.

    [ To ROSENCRANTZ and GUILDENSTERN,        who go   out. ]

    Ah,  my  good      lord, what       have       I      seen tonight!

    KING.

    What,     Gertrude?      How does       Hamlet?

    QUEEN.

    Mad as    the  sea  and wind,      when      both       contend

    Which    is     the  mightier. In    his   lawless   fit

    Behind   the  arras       hearing  something     stir,

    Whips     out  his   rapier,    cries ‘A    rat,  a     rat!’

    And in    this  brainish  apprehension kills

    The unseen   good      old  man.

    KING.

    O    heavy     deed!

    It     had been      so    with us,   had we   been      there.

    His  liberty     is     full  of    threats   to    all;

    To   you yourself, to    us,   to    everyone.

    Alas, how shall this  bloody    deed      be   answer’d?

    It     will  be   laid  to    us,   whose    providence

    Should   have       kept short,     restrain’d,      and out  of    haunt

    This mad young    man.      But  so    much     was our  love

    We  would     not  understand    what       was most      fit,

    But  like  the  owner     of    a     foul disease,

    To   keep       it     from       divulging,      let   it     feed

    Even       on   the  pith of    life.  Where    is     he   gone?

    QUEEN.

    To   draw       apart      the  body      he   hath kill’d,

    O’er whom     his   very madness,       like  some      ore

    Among   a     mineral   of    metals    base,

    Shows    itself pure.      He   weeps    for   what       is     done.

    KING.

    O    Gertrude,       come      away!

    The sun  no   sooner    shall the  mountains     touch

    But  we   will  ship him hence,    and this  vile  deed

    We  must      with all    our  majesty  and skill

    Both       countenance and excuse.—Ho, Guildenstern!

    Re-enter ROSENCRANTZ and GUILDENSTERN .

    Friends   both,      go   join you with some      further    aid:

    Hamlet   in    madness hath Polonius slain,

    And from       his   mother’s closet     hath he   dragg’d  him.

    Go   seek him out, speak     fair, and bring      the  body

    Into the  chapel.   I      pray you haste      in    this.

    [ Exeunt  ROSENCRANTZ and GUILDENSTERN . ]

    Come,    Gertrude,       we’ll call  up   our  wisest     friends,

    And let   them      know      both       what       we   mean     to    do

    And what’s    untimely done,     so    haply      slander,

    Whose    whisper  o’er the  world’s   diameter,

    As   level as    the  cannon   to    his   blank,

    Transports     his   poison’d shot,       may miss our  name,

    And hit   the  woundless     air.  O,    come      away!

    My  soul is     full  of    discord   and dismay.

    [ Exeunt. ]

    SCENE    II.     Another  room      in    the  Castle.

    Enter      HAMLET .

    HAMLET.

    Safely     stowed.

    ROSENCRANTZ     and GUILDENSTERN.

    [ Within. ]       Hamlet!  Lord Hamlet!

    HAMLET.

    What      noise?    Who       calls on   Hamlet? O,    here they come.

    Enter      ROSENCRANTZ and GUILDENSTERN .

    ROSENCRANTZ.

    What      have       you done,     my  lord, with the  dead      body?

    HAMLET.

    Compounded it     with dust,       whereto  ’tis   kin.

    ROSENCRANTZ.

    Tell  us    where     ’tis,  that we   may take it     thence,

    And bear it     to    the  chapel.

    HAMLET.

    Do   not  believe   it.

    ROSENCRANTZ.

    Believe   what?

    HAMLET.

    That I      can  keep       your counsel, and not  mine      own.       Besides,       to    be   demanded     of    a sponge—what   replication     should       be   made     by   the  son  of    a     king?

    ROSENCRANTZ.

    Take       you me  for   a     sponge,  my  lord?

    HAMLET.

    Ay,  sir; that      soaks    up the King’s   countenance,      his rewards, his authorities.  But such      officers   do   the  King best       service    in    the  end: he   keeps     them,     like  an   ape, in the       corner    of    his   jaw; first mouthed,      to    be   last  swallowed:       when      he   needs     what you have       gleaned, it     is     but       squeezing     you, and, sponge,  you shall be   dry  again.

    ROSENCRANTZ.

    I      understand    you not, my  lord.

    HAMLET.

    I      am  glad of    it.    A     knavish   speech   sleeps     in    a     foolish       ear.

    ROSENCRANTZ.

    My  lord, you must      tell  us    where     the  body      is     and go   with       us    to    the  King.

    HAMLET.

    The body      is     with the  King,      but  the  King is     not  with the body.       The King is     a     thing

    GUILDENSTERN.

    A     thing,     my  lord!

    HAMLET.

    Of   nothing. Bring      me  to    him. Hide       fox,  and all    after.

    [ Exeunt. ]

    SCENE    III.    Another  room      in    the  Castle.

    Enter      KING,   attended.

    KING.

    I      have       sent to    seek him and to    find the  body.

    How dangerous     is     it     that this  man goes       loose!

    Yet  must      not  we   put  the  strong    law  on   him:

    He’s lov’d       of    the  distracted      multitude,

    Who       like  not  in    their judgment,     but  their eyes;

    And where     ’tis   so,   th’offender’s  scourge  is     weigh’d,

    But  never      the  offence.  To   bear all    smooth  and even,

    This sudden   sending  him away      must      seem

    Deliberate     pause.    Diseases desperate      grown

    By   desperate      appliance      are  reliev’d,

    Or   not  at    all.

    Enter      ROSENCRANTZ .

    How now?      What      hath befall’n?

    ROSENCRANTZ.

    Where    the  dead      body      is     bestow’d,      my  lord,

    We  cannot   get  from       him.

    KING.

    But  where     is     he?

    ROSENCRANTZ.

    Without, my  lord, guarded, to    know      your pleasure.

    KING.

    Bring      him before    us.

    ROSENCRANTZ.

    Ho,  Guildenstern! Bring      in    my  lord.

    Enter      HAMLET      and GUILDENSTERN .

    KING.

    Now,      Hamlet,  where’s  Polonius?

    HAMLET.

    At    supper.

    KING.

    At    supper?  Where?

    HAMLET.

    Not where     he   eats, but  where     he   is     eaten.     A     certain       convocation  of    politic     worms are     e’en      at  him.      Your       worm    is   your      only      emperor      for diet.      We fat   all  creatures else      to  fat us, and       we fat ourselves     for   maggots.     Your     fat king      and       your      lean beggar       is     but  variable  service,—two dishes,    but  to    one table.       That’s     the  end.

    KING.

    Alas, alas!

    HAMLET.

    A     man      may      fish with      the worm    that      hath     eat of    a    king,     and       eat of  the fish that hath     fed  of    that       worm.

    KING.

    What      dost thou mean     by   this?

    HAMLET.

    Nothing  but to  show    you       how      a    king      may      go a     progress      through the guts      of  a beggar.

    KING.

    Where    is     Polonius?

    HAMLET.

    In    heaven.  Send      thither    to    see. If     your messenger    find him       not  there,     seek him i’

    th’other  place    yourself.       But indeed, if    you       find       him       not within   this       month, you shall      nose       him as    you       go   up   the  stairs      into the  lobby.

    KING.

    [ To some      Attendants. ]  Go   seek him there.

    HAMLET.

    He   will  stay till   you come.

    [ Exeunt  ATTENDANTS . ]

    KING.

    Hamlet,  this  deed,      for   thine      especial  safety,—

    Which    we   do   tender,   as    we   dearly     grieve

    For  that which     thou hast done,—must send       thee hence

    With       fiery quickness.     Therefore      prepare  thyself;

    The bark is     ready,     and the  wind       at    help,

    Th’associates tend,      and everything     is     bent

    For  England.

    HAMLET.

    For  England?

    KING.

    Ay,  Hamlet.

    HAMLET.

    Good.

    KING.

    So   is     it,    if     thou knew’st   our  purposes.

    HAMLET.

    I      see  a     cherub   that sees them.     But, come;     for   England!       Farewell, dear mother.

    KING.

    Thy  loving     father,    Hamlet.

    HAMLET.

    My  mother.  Father    and mother   is     man and wife; man and wife is       one flesh;      and so,   my  mother.  Come,    for   England.

    [ Exit. ]

    KING.

    Follow    him at    foot. Tempt    him with speed     aboard;

    Delay      it     not; I’ll    have       him hence     tonight.

    Away,     for   everything     is     seal’d     and done

    That else leans      on   th’affair.  Pray you make      haste.

    [ Exeunt  ROSENCRANTZ and GUILDENSTERN . ]

    And England, if     my  love thou hold’st    at    aught,—

    As   my  great      power     thereof   may give thee sense, Since   yet  thy       cicatrice looks      raw  and red

    After       the  Danish    sword,    and thy  free awe

    Pays homage to    us,—thou      mayst     not  coldly     set

    Our sovereign      process,  which     imports  at    full,

    By   letters     conjuring       to    that effect,

    The present   death     of    Hamlet.  Do   it,    England;

    For  like  the  hectic     in    my  blood     he   rages,

    And thou must      cure me. Till   I      know      ’tis   done,

    Howe’er my  haps,      my  joys were       ne’er      begun.

    [ Exit. ]

    SCENE    IV.   A     plain       in    Denmark.

    Enter      FORTINBRAS      and FORCES       marching.

    FORTINBRAS.

    Go,  Captain, from       me  greet      the  Danish    king.

    Tell  him that by   his   license,   Fortinbras

    Craves    the  conveyance   of    a     promis’d march

    Over       his   kingdom.       You know      the  rendezvous.

    If     that his   Majesty  would     aught     with us,

    We  shall express   our  duty in    his   eye;

    And let   him know      so.

    CAPTAIN.

    I      will  do’t, my  lord.

    FORTINBRAS.

    Go   softly      on.

    [ Exeunt  all    but  the  CAPTAIN . ]

    Enter      HAMLET,      ROSENCRANTZ,    GUILDENSTERN    &C .

    HAMLET.

    Good      sir,   whose    powers   are  these?

    CAPTAIN.

    They       are  of    Norway,  sir.

    HAMLET.

    How purpos’d,       sir,   I      pray you?

    CAPTAIN.

    Against   some      part of    Poland.

    HAMLET.

    Who       commands    them,     sir?

    CAPTAIN.

    The nephew  to    old  Norway,  Fortinbras.

    HAMLET.

    Goes      it     against   the  main      of    Poland,   sir,

    Or   for   some      frontier?

    CAPTAIN.

    Truly       to    speak,    and with no   addition,

    We  go   to    gain a     little patch     of    ground

    That hath in    it     no   profit      but  the  name.

    To   pay  five  ducats,   five, I      would     not  farm it;

    Nor will  it     yield       to    Norway  or    the  Pole

    A     ranker    rate, should    it     be   sold in    fee.

    HAMLET.

    Why,      then the  Polack    never      will  defend   it.

    CAPTAIN.

    Yes, it     is     already   garrison’d.

    HAMLET.

    Two thousand       souls      and twenty    thousand       ducats

    Will not  debate   the  question of    this  straw!

    This is     th’imposthume     of    much     wealth    and peace,

    That inward    breaks,   and shows     no   cause     without

    Why the  man dies. I      humbly   thank     you, sir.

    CAPTAIN.

    God b’    wi’   you, sir.

    [ Exit. ]

    ROSENCRANTZ.

    Will’t      please    you go,  my  lord?

    HAMLET.

    I’ll    be   with you straight.  Go   a     little before.

    [ Exeunt  all    but  HAMLET . ]

    How all    occasions      do   inform    against   me,

    And spur my  dull revenge. What      is     a     man

    If     his   chief       good      and market   of    his   time

    Be   but  to    sleep      and feed?      A     beast,     no   more.

    Sure he   that made     us    with such large      discourse,

    Looking  before    and after,      gave       us    not

    That capability      and godlike   reason

    To   fust in    us    unus’d.   Now       whether  it     be

    Bestial    oblivion, or    some      craven    scruple

    Of   thinking  too  precisely on   th’event,—

    A     thought  which,    quarter’d,      hath but  one part wisdom

    And ever three      parts      coward,—I     do   not  know

    Why yet  I      live  to    say  this  thing’s    to    do,

    Sith I      have       cause,    and will, and strength, and means

    To   do’t. Examples       gross      as    earth      exhort    me,

    Witness  this  army      of    such mass      and charge,

    Led  by   a     delicate  and tender    prince,

    Whose    spirit,      with divine     ambition puff’d,

    Makes    mouths  at    the  invisible  event,

    Exposing what       is     mortal    and unsure

    To   all    that fortune,  death,    and danger   dare,

    Even       for   an   eggshell. Rightly    to    be   great

    Is     not  to    stir  without  great      argument,

    But  greatly    to    find quarrel   in    a     straw

    When     honour’s at    the  stake.     How stand      I      then,

    That have       a     father     kill’d,      a     mother   stain’d,

    Excitements   of    my  reason    and my  blood,

    And let   all    sleep,     while      to    my  shame    I      see

    The imminent      death     of    twenty    thousand       men

    That,      for   a     fantasy   and trick of    fame,

    Go   to    their graves    like  beds,      fight for   a     plot

    Whereon the  numbers cannot   try   the  cause,

    Which    is     not  tomb      enough  and continent

    To   hide the  slain?      O,    from       this  time forth,

    My  thoughts be   bloody    or    be   nothing  worth.

    [ Exit. ]

    SCENE    V.    Elsinore. A     room      in    the  Castle.

    Enter      QUEEN, HORATIO      and a     GENTLEMAN .

    QUEEN.

    I      will  not  speak     with her.

    GENTLEMAN.

    She is     importunate, indeed    distract.

    Her  mood     will  needs     be   pitied.

    QUEEN.

    What      would     she  have?

    GENTLEMAN.

    She speaks    much     of    her  father;    says she  hears

    There’s   tricks      i’     th’   world,     and hems,     and beats      her heart, Spurns    enviously at    straws,    speaks    things     in    doubt,

    That carry       but  half sense.     Her  speech   is     nothing,

    Yet  the  unshaped      use  of    it     doth       move

    The hearers   to    collection;     they aim at    it,

    And botch     the  words     up   fit    to    their own thoughts,

    Which,    as    her  winks,     and nods,      and gestures yield       them,

    Indeed    would     make      one think      there      might     be   thought,

    Though  nothing  sure,       yet  much     unhappily.

    ’Twere    good      she  were       spoken   with,       for   she  may strew

    Dangerous    conjectures   in    ill-breeding   minds.

    QUEEN.

    Let  her  come      in.

    [ Exit       GENTLEMAN . ]

    To   my  sick soul, as    sin’s true nature    is,

    Each       toy  seems    prologue to    some      great      amiss.

    So   full  of    artless    jealousy  is     guilt,

    It     spills       itself in    fearing   to    be   spilt.

    Enter      OPHELIA .

    OPHELIA.

    Where    is     the  beauteous     Majesty  of    Denmark?

    QUEEN.

    How now,       Ophelia?

    OPHELIA.

    [ Sings. ]

    How should    I      your true love know

    From      another  one?

    By   his   cockle    bat  and staff

    And his   sandal    shoon.

    QUEEN.

    Alas, sweet     lady, what       imports  this  song?

    OPHELIA.

    Say  you?       Nay, pray you mark.

    [ Sings. ]

    He   is     dead      and gone,     lady,

    He   is     dead      and gone,

    At    his   head      a     grass      green     turf,

    At    his   heels      a     stone.

    QUEEN.

    Nay, but  Ophelia—

    OPHELIA.

    Pray you mark.

    [ Sings. ]

    White     his   shroud   as    the  mountain      snow.

    Enter      KING .

    QUEEN.

    Alas, look here,      my  lord!

    OPHELIA.

    [ Sings. ]

    Larded    all    with sweet     flowers;

    Which    bewept   to    the  grave      did  go

    With       true-love       showers.

    KING.

    How do   you, pretty     lady?

    OPHELIA.

    Well,       God      dild       you!      They     say the owl was       a    baker’s   daughter.     Lord,     we know

    what       we   are, but  know      not  what       we   may be.  God be   at       your table!

    KING.

    Conceit  upon      her  father.

    OPHELIA.

    Pray you, let’s have       no   words     of    this; but  when      they ask  you       what       it     means,   say you   this:

    [ Sings. ]

    Tomorrow     is     Saint      Valentine’s    day,

    All   in    the  morning betime,

    And I      a     maid      at    your window,

    To   be   your Valentine.

    Then      up   he   rose and donn’d   his   clothes,

    And dupp’d   the  chamber door,

    Let  in    the  maid,      that out  a     maid

    Never     departed more.

    KING.

    Pretty     Ophelia!

    OPHELIA.

    Indeed    la,    without  an   oath,      I’ll    make      an   end on’t.

    [ Sings. ]

    By   Gis  and by   Saint      Charity,

    Alack,     and fie   for   shame!

    Young    men will  do’t if     they come      to’t;

    By   Cock,      they are  to    blame.

    Quoth    she, before    you tumbled me,

    You promis’d me  to    wed.

    So   would     I      ha’  done,     by   yonder   sun,

    An   thou hadst      not  come      to    my  bed.

    KING.

    How long hath she  been      thus?

    OPHELIA.

    I      hope     all  will be  well.      We must     be  patient. But I     cannot   choose but weep,   to think they would     lay   him i’     th’       cold ground.  My  brother   shall know      of    it.    And so I  thank       you for   your good      counsel. Come,    my  coach!    Good     night,       ladies;    good night,   sweet     ladies;    good      night,     good       night.

    [ Exit. ]

    KING.

    Follow    her  close;     give her  good      watch,    I      pray you.

    [ Exit       HORATIO . ]

    O,    this  is     the  poison    of    deep      grief;      it     springs

    All   from       her  father’s   death.    O    Gertrude,       Gertrude,

    When     sorrows  come,     they come      not  single     spies,

    But  in    battalions.     First, her  father     slain;

    Next,      your son  gone;     and he   most      violent    author

    Of   his   own just  remove;  the  people    muddied,

    Thick      and and unwholesome       in    their thoughts and whispers

    For  good      Polonius’ death;    and we   have       done      but  greenly

    In    hugger-mugger   to    inter him. Poor       Ophelia

    Divided   from       herself    and her  fair  judgment,

    Without  the  which     we   are  pictures  or    mere      beasts.

    Last, and as    much     containing     as    all    these,

    Her  brother   is     in    secret     come      from       France,

    Feeds     on   his   wonder,  keeps     himself   in    clouds,

    And wants     not  buzzers  to    infect      his   ear

    With       pestilent speeches of    his   father’s   death,

    Wherein necessity,      of    matter    beggar’d,

    Will nothing  stick our  person    to    arraign

    In    ear  and ear. O    my  dear Gertrude,       this,

    Like to    a     murdering     piece,     in    many      places

    Gives      me  superfluous   death.

    [ A   noise      within. ]

    QUEEN.

    Alack,     what       noise      is     this?

    KING.

    Where    are  my  Switzers? Let  them      guard     the  door.

    Enter      a     GENTLEMAN .

    What      is     the  matter?

    GENTLEMAN.

    Save yourself, my  lord.

    The ocean,    overpeering   of    his   list,

    Eats not  the  flats with more      impetuous     haste Than    young       Laertes,  in    a     riotous   head,

    O’erbears      your offices.   The rabble    call  him lord,

    And, as    the  world      were       now but  to    begin,

    Antiquity forgot,    custom   not  known,

    The ratifiers   and props     of    every      word,

    They       cry   ‘Choose  we!  Laertes   shall be   king!’

    Caps,      hands,    and tongues  applaud  it     to    the  clouds,

    ‘Laertes  shall be   king,       Laertes   king.’

    QUEEN.

    How cheerfully      on   the  false trail they cry.

    O,    this  is     counter, you false Danish    dogs.

    [ A   noise      within. ]

    KING.

    The doors     are  broke.

    Enter      LAERTES,     armed; DANES     following.

    LAERTES.

    Where    is     this  king?—Sirs,   stand      you all    without.

    Danes.

    No,  let’s come      in.

    LAERTES.

    I      pray you, give me  leave.

    DANES.

    We  will, we   will.

    [ They     retire      without  the  door. ]

    LAERTES.

    I      thank     you. Keep      the  door.      O    thou vile  king,

    Give me  my  father.

    QUEEN.

    Calmly,   good      Laertes.

    LAERTES.

    That drop       of    blood     that’s      calm       proclaims      me  bastard;

    Cries       cuckold  to    my  father,    brands    the  harlot

    Even       here between the  chaste    unsmirched   brow Of  my  true       mother.

    KING.

    What      is     the  cause,    Laertes,

    That thy  rebellion looks      so    giant-like?—

    Let  him go,  Gertrude.       Do   not  fear our  person.

    There’s   such divinity   doth       hedge    a     king,

    That treason   can  but  peep      to    what       it     would,

    Acts little of    his   will.—Tell      me, Laertes,

    Why thou art   thus incens’d.—Let       him go,  Gertrude:—

    Speak,    man.

    LAERTES.

    Where    is     my  father?

    KING.

    Dead.

    QUEEN.

    But  not  by   him.

    KING.

    Let  him demand his   fill.

    LAERTES.

    How came      he   dead?     I’ll    not  be   juggled   with.

    To   hell, allegiance!     Vows,     to    the  blackest  devil!

    Conscience    and grace,     to    the  profoundest  pit!

    I      dare damnation.    To   this  point      I      stand,

    That both       the  worlds,   I      give to    negligence,

    Let  come      what       comes;   only I’ll    be   reveng’d

    Most      throughly      for   my  father.

    KING.

    Who       shall stay you?

    LAERTES.

    My  will, not  all    the  world.

    And for   my  means,   I’ll    husband them      so    well,

    They       shall go   far   with little.

    KING.

    Good      Laertes,

    If     you desire     to    know      the  certainty

    Of   your dear father’s   death,    is’t   writ in    your revenge

    That,      sweepstake,   you will  draw       both       friend     and foe,

    Winner   and loser?

    LAERTES.

    None      but  his   enemies.

    KING.

    Will you know      them      then?

    LAERTES.

    To   his   good      friends    thus wide       I’ll    ope my  arms;

    And, like  the  kind life-rendering pelican,

    Repast    them      with my  blood.

    KING.

    Why,      now you speak

    Like a     good      child       and a     true gentleman.

    That I      am  guiltless  of    your father’s   death,

    And am  most      sensibly  in    grief for   it,

    It     shall as    level to    your judgment      ’pear

    As   day  does       to    your eye.

    DANES.

    [ Within. ]       Let  her  come      in.

    LAERTES.

    How now!       What      noise      is     that?

    Re-enter OPHELIA,    fantastically   dressed  with straws    and flowers.

    O    heat,      dry  up   my  brains.    Tears      seven     times      salt,

    Burn       out  the  sense     and virtue     of    mine      eye.

    By   heaven,  thy  madness shall be   paid by   weight,

    Till   our  scale      turn the  beam.     O    rose of    May!

    Dear       maid,      kind sister,     sweet     Ophelia!

    O    heavens, is’t   possible  a     young    maid’s    wits

    Should   be   as    mortal    as    an   old  man’s     life?

    Nature    is     fine in    love, and where     ’tis   fine,

    It     sends     some      precious instance of    itself

    After       the  thing      it     loves.

    OPHELIA.

    [ Sings. ]

    They       bore       him barefac’d on   the  bier,

    Hey no   nonny,    nonny,    hey  nonny

    And on   his   grave      rain’d     many      a     tear.—

    Fare you well, my  dove!

    LAERTES.

    Hadst     thou thy  wits, and didst       persuade revenge,

    It     could      not  move      thus.

    OPHELIA.

    You must     sing      ‘Down   a-down,      and       you       call him       a-down-a.’  O,  how      the wheel becomes   it!    It     is     the       false steward  that stole       his   master’s daughter.

    LAERTES.

    This nothing’s more      than matter.

    OPHELIA.

    There’s   rosemary,    that’s    for remembrance;    pray      love,     remember.    And      there    is pansies,    that’s      for   thoughts.

    LAERTES.

    A     document     in    madness,       thoughts and remembrance fitted.

    OPHELIA.

    There’s   fennel     for   you, and columbines.   There’s   rue  for   you; and       here’s     some      for me.   We  may call  it     herb of    grace      o’       Sundays. O    you must      wear       your rue  with a difference.       There’s   a     daisy.     I      would     give you some      violets,   but       they wither’d  all when my  father     died.       They       say  he       made     a     good      end.

    [ Sings. ]

    For  bonny    sweet     Robin     is     all    my  joy.

    LAERTES.

    Thought and affliction, passion,  hell  itself

    She turns      to    favour    and to    prettiness.

    OPHELIA.

    [ Sings. ]

    And will  he   not  come      again?

    And will  he   not  come      again?

    No,  no,  he   is     dead,

    Go   to    thy  death-bed,

    He   never      will  come      again.

                         His  beard     was as    white      as    snow,

    All   flaxen     was his   poll.

    He   is     gone,     he   is     gone,

    And we   cast away      moan.

    God ha’  mercy     on   his   soul.

    And of    all    Christian souls,     I      pray God.       God b’    wi’   ye.

    [ Exit. ]

    LAERTES.

    Do   you see  this, O    God?

    KING.

    Laertes,  I      must      commune      with your grief,

    Or   you deny       me  right.      Go   but  apart,

    Make      choice    of    whom     your wisest     friends    you will,

    And they shall hear and judge     ’twixt      you and me.

    If     by   direct     or    by   collateral hand

    They       find us    touch’d,  we   will  our  kingdom give,

    Our crown,    our  life,  and all    that we   call  ours

    To   you in    satisfaction;   but  if     not,

    Be   you content  to    lend your patience to    us,

    And we   shall jointly     labour    with your soul

    To   give it     due content.

    LAERTES.

    Let  this  be   so;

    His  means    of    death,    his   obscure  burial,—

    No   trophy,   sword,    nor  hatchment    o’er his   bones,

    No   noble     rite, nor  formal    ostentation,—

    Cry  to    be   heard,    as    ’twere     from       heaven   to    earth,

    That I      must      call’t in    question.

    KING.

    So   you shall.

    And where     th’offence      is     let   the  great      axe  fall.

    I      pray you go   with me.

    [ Exeunt. ]

    SCENE    VI.   Another  room      in    the  Castle.

    Enter      HORATIO    and a     SERVANT .

    HORATIO.

    What      are  they that would     speak     with me?

    SERVANT.

    Sailors,   sir.   They       say  they have       letters     for   you.

    HORATIO.

    Let  them      come      in.

    [ Exit       SERVANT . ]

    I      do   not  know      from       what       part of    the  world

    I      should    be   greeted, if     not  from       Lord Hamlet.

    Enter      SAILORS .

    FIRST      SAILOR.

    God bless      you, sir.

    HORATIO.

    Let  him bless      thee too.

    FIRST      SAILOR.

    He   shall,     sir, and’t     please   him.      There’s a    letter    for you, sir. It   comes  from th’ambassador   that was bound    for       England; if     your name     be   Horatio,  as    I      am  let to       know      it     is.

    HORATIO.

    [ Reads. ] ‘Horatio, when      thou shalt       have       overlooked    this, give       these      fellows    some means  to    the  King.      They       have       letters     for   him. Ere  we   were       two days old  at    sea, a pirate       of    very warlike   appointment gave       us    chase.    Finding       ourselves too  slow of sail,    we put on a    compelled   valour,  and in   the grapple I     boarded       them.    On the instant   they got clear     of  our ship,     so  I     alone    became their     prisoner. They     have dealt    with me  like  thieves   of    mercy.    But       they knew      what       they did; I      am  to    do   a good   turn for       them.     Let  the  King have       the  letters     I      have       sent,       and repair     thou to me     with as    much     haste      as    thou       wouldst  fly    death.    I      have       words     to    speak     in    thine ear  will  make      thee dumb;    yet  are  they much     too  light for   the       bore       of    the  matter.

    These     good    fellows  will bring    thee      where   I     am.       Rosencrantz  and       Guildenstern hold      their course    for   England:       of    them      I      have       much     to    tell  thee.      Farewell.

    He   that thou knowest thine,

    HAMLET.’

    Come,    I      will  give you way for   these      your letters,

    And do’t the  speedier, that you may direct     me To     him from       whom     you brought  them.

    [ Exeunt. ]

    SCENE    VII.  Another  room      in    the  Castle.

    Enter      KING    and LAERTES .

    KING.

    Now       must      your conscience    my  acquittance   seal,

    And you must      put  me  in    your heart      for   friend,

    Sith you have       heard,    and with a     knowing ear,

    That he   which     hath your noble     father     slain

    Pursu’d   my  life.

    LAERTES.

    It     well appears. But  tell  me

    Why you proceeded     not  against   these      feats,

    So   crimeful  and so    capital    in    nature,

    As   by   your safety,    wisdom, all    things     else,

    You mainly    were       stirr’d     up.

    KING.

    O,    for   two special    reasons,

    Which    may to    you, perhaps, seem      much     unsinew’d,

    But  yet  to    me  they are  strong.   The Queen    his   mother

    Lives       almost    by   his   looks;     and for   myself,—

    My  virtue     or    my  plague,   be   it     either     which,—

    She’s      so    conjunctive    to    my  life   and soul,

    That,      as    the  star moves    not  but  in    his   sphere,

    I      could      not  but  by   her. The other      motive,

    Why to    a     public     count     I      might     not  go,

    Is     the  great      love the  general   gender   bear him,

    Who,      dipping  all    his   faults      in    their affection,

    Would    like  the  spring     that turneth   wood      to    stone,

    Convert  his   gyves     to    graces;   so    that my  arrows,

    Too slightly   timber’d for   so    loud a     wind,

    Would    have       reverted to    my  bow again,

    And not  where     I      had aim’d      them.

    LAERTES.

    And so    have       I      a     noble     father     lost,

    A     sister      driven     into desperate      terms,

    Whose    worth,    if     praises   may go   back       again,

    Stood     challenger     on   mount    of    all    the  age

    For  her  perfections.   But  my  revenge  will  come.

    KING.

    Break      not  your sleeps     for   that. You must      not  think

    That we   are  made     of    stuff so    flat  and dull

    That we   can  let   our  beard     be   shook     with danger,

    And think      it     pastime. You shortly    shall hear more.

    I      lov’d       your father,    and we   love ourself,

    And that, I      hope,     will  teach      you to    imagine—

    Enter      a     MESSENGER .

    How now?      What      news?

    MESSENGER.

    Letters,   my  lord, from       Hamlet.

    This to    your Majesty; this  to    the  Queen.

    KING.

    From      Hamlet!  Who       brought  them?

    MESSENGER.

    Sailors,   my  lord, they say; I      saw them      not.

    They       were       given      me  by   Claudio.  He   receiv’d  them

    Of   him that brought  them.

    KING.

    Laertes,  you shall hear them.

    Leave     us.

    [ Exit       MESSENGER . ]

    [ Reads. ] ‘High    and       mighty, you       shall     know    I     am set   naked   on your      kingdom.

    Tomorrow     shall     I     beg       leave    to  see your      kingly   eyes.      When   I     shall,     first       asking your  pardon thereunto,     recount the occasions    of  my sudden and       more      strange return.

    HAMLET.’

    What      should    this  mean?    Are  all    the  rest come      back?

    Or   is     it     some      abuse,    and no   such thing?

    LAERTES.

    Know      you the  hand?

    KING.

    ’Tis  Hamlet’s character.      ’Naked!’

    And in    a     postscript      here he   says ‘alone.’

    Can you advise    me?

    LAERTES.

    I      am  lost  in    it,    my  lord. But  let   him come,

    It     warms    the  very sickness  in    my  heart

    That I      shall live  and tell  him to    his   teeth,

    ‘Thus      diest       thou.’

    KING.

    If     it     be   so,   Laertes,—

    As   how should    it     be   so?  How otherwise?—

    Will you be   rul’d by   me?

    LAERTES.

    Ay,  my  lord;

    So   you will  not  o’errule  me  to    a     peace.

    KING.

    To   thine      own peace.    If     he   be   now return’d,

    As   checking at    his   voyage,  and that he   means

    No   more      to    undertake      it,    I      will  work       him

    To   exploit,   now ripe in    my  device,

    Under     the  which     he   shall not  choose   but  fall;

    And for   his   death     no   wind       shall breathe,

    But  even       his   mother   shall uncharge       the  practice

    And call  it     accident.

    LAERTES.

    My  lord, I      will  be   rul’d;

    The rather     if     you could      devise    it     so

    That I      might     be   the  organ.

    KING.

    It     falls right.

    You have       been      talk’d      of    since      your travel      much,

    And that in    Hamlet’s hearing,  for   a     quality

    Wherein they say  you shine.     Your       sum of    parts

    Did  not  together pluck      such envy       from       him

    As   did  that one, and that, in    my  regard,

    Of   the  unworthiest   siege.

    LAERTES.

    What      part is     that, my  lord?

    KING.

    A     very riband    in    the  cap  of    youth,

    Yet  needful   too, for   youth     no   less becomes

    The light and careless  livery      that it     wears

    Than      settled    age his   sables     and his   weeds,

    Importing      health    and graveness.     Two months  since

    Here       was a     gentleman     of    Normandy,—

    I’ve  seen myself,   and serv’d     against,  the  French,

    And they can  well on   horseback,     but  this  gallant

    Had witchcraft      in’t. He   grew       unto his   seat,

    And to    such wondrous      doing     brought  his   horse,

    As   had he   been      incorps’d and demi-natur’d

    With       the  brave      beast.     So   far   he   topp’d    my  thought

    That I      in    forgery   of    shapes   and tricks,

    Come     short      of    what       he   did.

    LAERTES.

    A     Norman  was’t?

    KING.

    A     Norman.

    LAERTES.

    Upon      my  life,  Lamond.

    KING.

    The very same.

    LAERTES.

    I      know      him well. He   is     the  brooch   indeed

    And gem of    all    the  nation.

    KING.

    He   made     confession     of    you,

    And gave       you such a     masterly report

    For  art   and exercise  in    your defence,

    And for   your rapier     most      especially,

    That he   cried       out  ’twould   be   a     sight       indeed

    If     one could      match    you. The scrimers of    their nation

    He   swore     had neither   motion,  guard,    nor  eye,

    If     you oppos’d  them.     Sir,  this  report     of    his

    Did  Hamlet   so    envenom       with his   envy

    That he   could      nothing  do   but  wish and beg

    Your       sudden   coming   o’er to    play with him.

    Now,      out  of    this,—

    LAERTES.

    What      out  of    this, my  lord?

    KING.

    Laertes,  was your father     dear to    you?

    Or   are  you like  the  painting of    a     sorrow,

    A     face without  a     heart?

    LAERTES.

    Why ask  you this?

    KING.

    Not that I      think      you did  not  love your father,

    But  that I      know      love is     begun    by   time,

    And that I      see, in    passages of    proof,

    Time       qualifies the  spark      and fire  of    it.

    There     lives within     the  very flame      of    love

    A     kind of    wick or    snuff       that will  abate     it;

    And nothing  is     at    a     like  goodness      still,

    For  goodness,     growing  to    a     pleurisy,

    Dies in    his   own too  much.     That we   would     do,

    We  should    do   when      we   would;    for   this  ‘would’   changes,

    And hath abatements   and delays    as    many

    As   there      are  tongues, are  hands,    are  accidents;

    And then this  ‘should’  is     like  a     spendthrift    sigh

    That hurts      by   easing.   But  to    the  quick      o’    th’ulcer:

    Hamlet   comes    back:      what       would     you undertake

    To   show      yourself  your father’s   son  in    deed,

    More      than in    words?

    LAERTES.

    To   cut  his   throat     i’     th’   church.

    KING.

    No   place,     indeed,   should    murder   sanctuarize;

    Revenge should    have       no   bounds.  But  good      Laertes,

    Will you do   this, keep       close      within     your chamber.

    Hamlet   return’d  shall know      you are  come      home:

    We’ll       put  on   those      shall praise     your excellence,

    And set   a     double   varnish   on   the  fame

    The Frenchman    gave       you, bring      you in    fine together

    And wager     on   your heads.    He,  being     remiss,

    Most      generous,      and free from       all    contriving,

    Will not  peruse    the  foils; so    that with ease,

    Or   with a     little shuffling, you may choose

    A     sword     unbated, and in    a     pass of    practice,

    Requite  him for   your father.

    LAERTES.

    I      will  do’t.

    And for   that purpose  I’ll    anoint    my  sword.

    I      bought   an   unction  of    a     mountebank

    So   mortal    that, but  dip  a     knife       in    it,

    Where    it     draws     blood     no   cataplasm     so    rare,

    Collected       from       all    simples   that have       virtue

    Under     the  moon,    can  save the  thing      from       death

    This is     but  scratch’d withal.    I’ll    touch     my  point

    With       this  contagion,     that if     I      gall  him slightly,

    It     may be   death.

    KING.

    Let’s further    think      of    this,

    Weigh    what       convenience  both       of    time and means

    May fit    us    to    our  shape.    If     this  should    fail,

    And that our  drift look through  our  bad performance.

    ’Twere    better     not  assay’d.  Therefore      this  project

    Should   have       a     back       or    second,  that might     hold

    If     this  did  blast       in    proof.     Soft, let   me  see.

    We’ll       make      a     solemn   wager     on   your cunnings,—

    I      ha’t! When     in    your motion   you are  hot  and dry,

    As   make      your bouts     more      violent    to    that end,

    And that he   calls for   drink,      I’ll    have       prepar’d him A     chalice       for   the  nonce;    whereon but  sipping,

    If     he   by   chance   escape   your venom’d stuck,

    Our purpose  may hold there.

    Enter      QUEEN .

    How now,       sweet     Queen?

    QUEEN.

    One woe doth       tread      upon      another’s heel,

    So   fast  they follow.    Your       sister’s    drown’d, Laertes.

    LAERTES.

    Drown’d! O,    where?

    QUEEN.

    There     is     a     willow     grows     aslant     a     brook,

    That shows     his   hoary     leaves     in    the  glassy     stream.

    There     with fantastic garlands did  she  make

    Of   crow-flowers, nettles,   daisies,   and long purples,

    That liberal     shepherds     give a     grosser   name,

    But  our  cold maids     do   dead      men’s     fingers    call  them.

    There     on   the  pendant boughs   her  coronet  weeds

    Clamb’ring    to    hang,     an   envious  sliver      broke,

    When     down      her  weedy    trophies  and herself

    Fell  in    the  weeping brook.    Her  clothes   spread    wide,

    And mermaid-like, awhile    they bore       her  up,

    Which    time she  chaunted       snatches of    old  tunes,

    As   one incapable      of    her  own distress,

    Or   like  a     creature native     and indued

    Unto       that element. But  long it     could      not  be

    Till   that her  garments,      heavy     with their drink,

    Pull’d      the  poor       wretch    from       her  melodious     lay

    To   muddy   death.

    LAERTES.

    Alas, then she  is     drown’d?

    QUEEN.

    Drown’d, drown’d.

    LAERTES.

    Too much     of    water      hast thou,      poor       Ophelia, And therefore I       forbid     my  tears.      But  yet

    It     is     our  trick;       nature    her  custom   holds,

    Let  shame    say  what       it     will. When     these      are  gone,

    The woman   will  be   out. Adieu,    my  lord,

    I      have       a     speech   of    fire, that fain would     blaze,

    But  that this  folly douts     it.

    [ Exit. ]

    KING.

    Let’s follow,    Gertrude;

    How much     I      had to    do   to    calm       his   rage!

    Now       fear I      this  will  give it     start again;

    Therefore      let’s follow.

    [ Exeunt. ]

    ACT V

    SCENE    I.     A     churchyard.

    Enter      two CLOWNS     with spades,   &c.

    FIRST      CLOWN.

    Is     she to  be  buried   in   Christian      burial,   when    she wilfully    seeks    her own salvation?

    SECOND CLOWN.

    I      tell  thee she  is,    and therefore make      her  grave      straight.  The       crowner  hath sat   on her,   and finds       it     Christian burial.

    FIRST      CLOWN.

    How can  that be,  unless    she  drowned herself    in    her  own defence?

    SECOND CLOWN.

    Why,      ’tis   found     so.

    FIRST      CLOWN.

    It     must     be  se  offendendo, it   cannot  be  else.      For here lies the point:    if    I     drown myself      wittingly, it     argues       an   act:  and an   act  hath three      branches.      It     is     to    act,       to do,     and to    perform: argal,      she  drowned herself    wittingly.

    SECOND CLOWN.

    Nay, but  hear you, goodman      delver,—

    FIRST      CLOWN.

    Give me  leave.     Here       lies  the  water;     good.     Here       stands       the  man;      good.     If     the  man go  to  this       water    and       drown   himself, it   is,  will he  nill he, he  goes,—mark you that. But  if     the  water      come      to    him and drown    him, he       drowns   not  himself.  Argal, he that is     not  guilty      of    his   own       death     shortens not  his   own life.

    SECOND CLOWN.

    But  is     this  law?

    FIRST      CLOWN.

    Ay,  marry,    is’t,  crowner’s      quest      law.

    SECOND CLOWN.

    Will you ha’  the  truth       on’t?       If     this  had not  been      a       gentlewoman,      she  should    have been     buried    out  o’       Christian burial.

    FIRST      CLOWN.

    Why,      there    thou     say’st.   And      the more    pity       that       great    folk       should  have countenance     in   this       world      to  drown   or  hang     themselves  more    than     their even Christian.    Come,   my spade.  There    is   no ancient gentlemen     but gardeners, ditchers,    and grave-makers:      they hold       up   Adam’s   profession.

    SECOND CLOWN.

    Was he   a     gentleman?

    FIRST      CLOWN.

    He   was the  first that ever bore       arms.

    SECOND CLOWN.

    Why,      he   had none.

    FIRST      CLOWN.

    What,     art a    heathen?     How     dost      thou     understand  the  Scripture?    The       Scripture says     Adam     digg’d.    Could       he   dig  without  arms?     I’ll    put  another  question to    thee.

    If     thou answerest      me  not  to    the  purpose, confess   thyself—

    SECOND CLOWN.

    Go   to.

    FIRST      CLOWN.

    What      is   he  that      builds   stronger       than     either    the mason,   the shipwright,   or  the carpenter?

    SECOND CLOWN.

    The gallows-maker;     for   that frame     outlives  a     thousand       tenants.

    FIRST      CLOWN.

    I      like  thy  wit   well in    good      faith,      the  gallows   does       well.       But  how does       it     well?       It does    well      to  those    that       do ill.  Now,     thou     dost      ill   to  say the gallows is   built stronger than     the church; argal,    the gallows may      do well to  thee.     To’t       again, come.

    SECOND CLOWN.

    Who       builds     stronger than a     mason,   a     shipwright,    or    a       carpenter?

    FIRST      CLOWN.

    Ay,  tell  me  that, and unyoke.

    SECOND CLOWN.

    Marry,    now I      can  tell.

    FIRST      CLOWN.

    To’t.

    SECOND CLOWN.

    Mass,     I      cannot   tell.

    Enter      HAMLET      and HORATIO ,   at    a     distance.

    FIRST      CLOWN.

    Cudgel   thy  brains     no   more      about     it,    for   your dull ass  will       not  mend     his   pace       with beating; and       when    you       are  asked    this       question      next,     say ‘a   grave-maker’.     The houses    he   makes    last  till   doomsday.    Go,  get  thee to       Yaughan;       fetch      me  a     stoup     of liquor.

    [ Exit       SECOND      CLOWN . ]

    [ Digs     and sings. ]

    In    youth     when      I      did  love, did  love,

    Methought    it     was very sweet;

    To   contract, O,    the  time for,  a,    my  behove,

    O    methought    there      was nothing  meet.

    HAMLET.

    Has this  fellow     no   feeling    of    his   business, that he   sings      at       grave-making?

    HORATIO.

    Custom  hath made     it     in    him a     property of    easiness.

    HAMLET.

    ’Tis  e’en so;   the  hand      of    little employment  hath the  daintier       sense.

    FIRST      CLOWN.

    [ Sings. ]

    But  age with his   stealing  steps

    Hath       claw’d    me  in    his   clutch,

    And hath shipp’d   me  into the  land,

    As   if     I      had never      been      such.

    [ Throws up   a     skull. ]

    HAMLET.

    That skull had a     tongue   in    it,    and could      sing once.      How the       knave     jowls      it     to    th’

    ground,  as    if     ’twere     Cain’s     jawbone, that did  the  first murder!       This might     be   the pate of  a    politician     which   this       ass  now      o’er-offices, one       that      would   circumvent God,       might     it     not?

    HORATIO.

    It     might,    my  lord.

    HAMLET.

    Or   of  a    courtier,       which   could    say ‘Good   morrow,       sweet     lord!     How     dost      thou, good   lord?’      This might       be   my  lord such-a-one,  that praised   my  lord such-a-one’s horse      when      he   meant    to    beg it,    might     it     not?

    HORATIO.

    Ay,  my  lord.

    HAMLET.

    Why,      e’en      so: and       now      my Lady     Worm’s;       chapless, and       knocked       about   the mazard  with a     sexton’s       spade.    Here’s    fine revolution,     an   we   had the  trick to    see’t.

    Did  these      bones     cost no   more      the  breeding but  to    play at       loggets   with ’em?       Mine ache     to    think      on’t.

    FIRST      CLOWN.

    [ Sings. ]

    A     pickaxe   and a     spade,    a     spade,

    For  and a     shrouding-sheet;

    O,    a     pit   of    clay for   to    be   made

    For  such a     guest      is     meet.

    [ Throws up   another  skull. ]

    HAMLET.

    There’s   another.       Why      may      not that      be  the skull      of    a    lawyer? Where  be  his quiddits  now,     his quillets, his cases,     his tenures, and       his tricks?   Why      does     he suffer       this       rude     knave   now      to  knock   him       about   the  sconce  with      a    dirty      shovel, and  will not tell him       of    his action   of  battery? Hum.    This      fellow   might   be  in’s time a    great    buyer    of  land,     with      his statutes,      his   recognizances,    his fines,    his double    vouchers,      his       recoveries.     Is     this  the  fine of    his   fines,      and the  recovery       of his      recoveries,     to    have       his   fine pate full  of    fine dirt?       Will his   vouchers vouch     him no   more      of    his   purchases,       and double   ones       too, than the  length    and breadth  of    a pair of  indentures?  The       very      conveyances of  his lands    will  scarcely lie  in   this box;       and must      the  inheritor himself       have       no   more,     ha?

    HORATIO.

    Not a     jot   more,     my  lord.

    HAMLET.

    Is     not  parchment    made     of    sheep-skins?

    HORATIO.

    Ay,  my  lord, and of    calf-skins      too.

    HAMLET.

    They       are  sheep     and calves     which     seek out  assurance      in       that. I      will  speak     to    this fellow.—Whose     grave’s   this, sir?

    FIRST      CLOWN.

    Mine,      sir.

    [ Sings. ]

    O,    a     pit   of    clay for   to    be   made

    For  such a     guest      is     meet.

    HAMLET.

    I      think      it     be   thine      indeed,   for   thou liest in’t.

    FIRST      CLOWN.

    You lie    out  on’t, sir,   and therefore ’tis   not  yours.

    For  my  part, I      do   not  lie    in’t, yet  it     is     mine.

    HAMLET.

    Thou      dost      lie  in’t,       to  be  in’t and       say it   is   thine.     ’Tis for the dead,    not for the quick;     therefore thou liest.

    FIRST      CLOWN.

    ’Tis  a     quick      lie,   sir;   ’t     will  away      again      from       me  to       you.

    HAMLET.

    What      man dost thou dig  it     for?

    FIRST      CLOWN.

    For  no   man,      sir.

    HAMLET.

    What      woman   then?

    FIRST      CLOWN.

    For  none      neither.

    HAMLET.

    Who       is     to    be   buried    in’t?

    FIRST      CLOWN.

    One that was a     woman,  sir;   but, rest her  soul, she’s      dead.

    HAMLET.

    How absolute      the knave   is!  We must     speak    by  the card,       or  equivocation       will undo      us.   By   the  Lord,       Horatio,  these      three      years      I      have       taken      note of       it,    the  age is grown so    picked    that the  toe  of    the  peasant       comes    so    near the  heel of    the  courtier he     galls his   kibe.—How long hast thou been      a     grave-maker?

    FIRST      CLOWN.

    Of   all    the  days i’     th’   year,       I      came      to’t  that day  that our       last  King Hamlet   o’ercame Fortinbras.

    HAMLET.

    How long is     that since?

    FIRST      CLOWN.

    Cannot   you       tell that?     Every    fool       can       tell that.     It     was       the very      day       that      young Hamlet     was       born,—he      that is     mad,      and sent into England.

    HAMLET.

    Ay,  marry,    why was he   sent into England?

    FIRST      CLOWN.

    Why,      because he   was mad;      he   shall recover   his   wits there;       or    if     he   do   not, it’s   no great matter    there.

    HAMLET.

    Why?

    FIRST      CLOWN.

    ’Twill      not  be   seen in    him there;     there      the  men are  as    mad       as    he.

    HAMLET.

    How came      he   mad?

    FIRST      CLOWN.

    Very strangely,      they say.

    HAMLET.

    How strangely?

    FIRST      CLOWN.

    Faith,      e’en with losing     his   wits.

    HAMLET.

    Upon      what       ground?

    FIRST      CLOWN.

    Why,      here in    Denmark.      I      have       been      sexton    here,       man and boy, thirty      years.

    HAMLET.

    How long will  a     man lie    i’     th’earth  ere  he   rot?

    FIRST      CLOWN.

    Faith,      if    he  be  not rotten   before   he  die,—as we have     many      pocky   corses nowadays that will  scarce    hold the  laying       in,—he   will  last  you some      eight      year or    nine year.       A       tanner    will  last  you nine year.

    HAMLET.

    Why he   more      than another?

    FIRST      CLOWN.

    Why,      sir,   his   hide is     so    tann’d    with his   trade      that he   will       keep       out  water      a     great while.   And your water      is     a       sore decayer  of    your whoreson      dead      body.      Here’s    a skull now;       this  skull hath lain  in    the  earth      three-and-twenty years.

    HAMLET.

    Whose    was it?

    FIRST      CLOWN.

    A     whoreson,     mad fellow’s   it     was. Whose    do   you think      it       was?

    HAMLET.

    Nay, I      know      not.

    FIRST      CLOWN.

    A     pestilence      on   him for   a     mad rogue!    A     pour’d    a       flagon    of    Rhenish  on   my  head once.    This same      skull,       sir,   was Yorick’s  skull,      the  King’s     jester.

    HAMLET.

    This?

    FIRST      CLOWN.

    E’en that.

    HAMLET.

    Let  me  see. [ Takes   the  skull. ]     Alas, poor       Yorick.    I      knew       him, Horatio,  a     fellow     of infinite       jest, of    most      excellent       fancy.     He   hath borne     me  on   his   back       a     thousand times;     and now,       how abhorred in    my  imagination   it     is!    My       gorge     rises at    it.    Here hung     those      lips  that I      have       kiss’d      I      know      not  how oft.  Where    be   your gibes      now?

    your gambols?      your songs?    your flashes    of    merriment,    that were       wont      to    set   the table on a    roar?     Not       one       now,       to  mock    your      own      grinning?     Quite    chop-fallen?

    Now       get you       to  my lady’s    chamber,     and       tell her,       let  her paint     an  inch      thick,    to this   favour   she must      come.   Make    her laugh    at  that.—Prythee,   Horatio, tell  me one thing.

    HORATIO.

    What’s    that, my  lord?

    HAMLET.

    Dost thou think      Alexander      looked    o’    this  fashion   i’     th’earth?

    HORATIO.

    E’en so.

    HAMLET.

    And smelt      so?  Pah!

    [ Throws down      the  skull. ]

    HORATIO.

    E’en so,   my  lord.

    HAMLET.

    To   what       base uses we   may return,    Horatio!  Why may not       imagination   trace      the noble       dust of    Alexander      till   he       find it     stopping a     bung-hole?

    HORATIO.

    ’Twere    to    consider too  curiously to    consider so.

    HAMLET.

    No,  faith,     not a    jot. But to  follow   him       thither  with      modesty enough,       and likelihood     to    lead it;    as    thus.       Alexander      died,       Alexander      was buried,   Alexander returneth       into      dust;     the dust      is   earth;    of  earth    we   make    loam;    and       why      of  that loam     whereto  he       was converted      might     they not  stop a     beer-barrel?

    Imperious      Caesar,   dead      and turn’d     to    clay,

    Might     stop a     hole to    keep       the  wind       away.

    O,    that that earth      which     kept the  world      in    awe

    Should   patch     a     wall t’expel    the  winter’s  flaw.

    But  soft! but  soft! aside!     Here       comes    the  King.

    Enter      PRIESTS,      &C,        in    procession;    the  corpse    of    OPHELIA,       LAERTES       and MOURNERS   following; KING,    QUEEN,        their Trains,    &c.

    The Queen,   the  courtiers. Who       is     that they follow?

    And with such maimed  rites?      This doth       betoken The  corse      they       follow     did  with desperate      hand

    Fordo     it     own life.  ’Twas      of    some      estate.

    Couch    we   awhile    and mark.

    [ Retiring with HORATIO . ]

    LAERTES.

    What      ceremony      else?

    HAMLET.

    That is     Laertes,  a     very noble     youth.    Mark.

    LAERTES.

    What      ceremony      else?

    PRIEST.

    Her  obsequies      have       been      as    far   enlarg’d

    As   we   have       warranties.    Her  death     was doubtful;

    And but  that great      command      o’ersways      the  order,

    She should    in    ground   unsanctified   have       lodg’d

    Till   the  last  trumpet. For  charitable      prayers,

    Shards,   flints,      and pebbles  should    be   thrown   on   her.

    Yet  here she  is     allowed  her  virgin      rites,

    Her  maiden   strewments,   and the  bringing home

    Of   bell  and burial.

    LAERTES.

    Must      there      no   more      be   done?

    PRIEST.

    No   more      be   done.

    We  should    profane  the  service    of    the  dead

    To   sing sage requiem and such rest to    her

    As   to    peace-parted souls.

    LAERTES.

    Lay  her  i’     th’earth,

    And from       her  fair  and unpolluted    flesh

    May violets    spring.    I      tell  thee,      churlish  priest,

    A     minist’ring     angel      shall my  sister      be

    When     thou liest howling.

    HAMLET.

    What,     the  fair  Ophelia?

    QUEEN.

    [ Scattering    flowers. ] Sweets   to    the  sweet.    Farewell.

    I      hop’d     thou shouldst have       been      my  Hamlet’s wife;

    I      thought  thy  bride-bed      to    have       deck’d,   sweet     maid,

    And not  have       strew’d   thy  grave.

    LAERTES.

    O,    treble     woe

    Fall  ten  times      treble     on   that cursed    head

    Whose    wicked    deed      thy  most      ingenious      sense

    Depriv’d thee of.   Hold       off   the  earth      a     while,

    Till   I      have       caught   her  once       more      in    mine      arms.

    [ Leaps   into the  grave. ]

    Now       pile  your dust upon      the  quick      and dead,

    Till   of    this  flat  a     mountain      you have       made,

    To   o’ertop   old  Pelion     or    the  skyish     head

    Of   blue Olympus.

    HAMLET.

    [ Advancing. ]

    What      is     he   whose    grief

    Bears      such an   emphasis?     whose    phrase    of    sorrow

    Conjures the  wand’ring      stars,      and makes    them      stand

    Like wonder-wounded hearers? This is     I,

    Hamlet   the  Dane.

    [ Leaps   into the  grave. ]

    LAERTES.

    [ Grappling    with him. ]      The devil       take thy  soul!

    HAMLET.

    Thou      pray’st    not  well.

    I      prythee  take thy  fingers    from       my  throat;

    For  though   I      am  not  splenative      and rash,

    Yet  have       I      in    me  something     dangerous,

    Which    let   thy  wiseness fear. Away      thy  hand!

    KING.

    Pluck      them      asunder.

    QUEEN.

    Hamlet!  Hamlet!

    All.

    Gentlemen!

    HORATIO.

    Good      my  lord, be   quiet.

    [ The      ATTENDANTS     part them,     and they come      out  of    the       grave. ]

    HAMLET.

    Why,      I      will  fight with him upon      this  theme

    Until my  eyelids    will  no   longer    wag.

    QUEEN.

    O    my  son, what       theme?

    HAMLET.

    I      lov’d       Ophelia; forty thousand       brothers

    Could     not, with all    their quantity of    love,

    Make      up   my  sum.       What      wilt  thou do   for   her?

    KING.

    O,    he   is     mad,      Laertes.

    QUEEN.

    For  love of    God forbear   him!

    HAMLET.

    ’Swounds,      show      me  what       thou’lt    do:

    Woul’t    weep?    woul’t     fight?      woul’t     fast? woul’t     tear thyself?

    Woul’t    drink      up   eisel?      eat  a     crocodile?

    I’ll    do’t. Dost thou come      here to    whine?

    To   outface   me  with leaping   in    her  grave?

    Be   buried    quick      with her, and so    will  I.

    And if     thou prate      of    mountains,    let   them      throw

    Millions  of    acres      on   us,   till   our  ground,

    Singeing his   pate against   the  burning  zone,

    Make      Ossa       like  a     wart.       Nay, an   thou’lt    mouth,

    I’ll    rant as    well as    thou.

    QUEEN.

    This is     mere      madness:

    And thus awhile    the  fit    will  work       on   him;

    Anon,     as    patient   as    the  female    dove,

    When     that her  golden   couplets are  disclos’d,

    His  silence    will  sit    drooping.

    HAMLET.

    Hear       you, sir;

    What      is     the  reason    that you use  me  thus?

    I      lov’d       you ever.       But  it     is     no   matter.

    Let  Hercules himself   do   what       he   may,

    The cat  will  mew,      and dog will  have       his   day.

    [ Exit. ]

    KING.

    I      pray thee,      good      Horatio,  wait upon      him.

    [ Exit       HORATIO . ]

    [ To Laertes]

    Strengthen    your patience in    our  last  night’s    speech;

    We’ll       put  the  matter    to    the  present   push.—

    Good      Gertrude,       set   some      watch     over your son.

    This grave      shall have       a     living      monument.

    An   hour       of    quiet      shortly    shall we   see;

    Till   then in    patience our  proceeding    be.

    [ Exeunt. ]

    SCENE    II.     A     hall  in    the  Castle.

    Enter      HAMLET      and HORATIO .

    HAMLET.

    So   much     for   this, sir.   Now       let   me  see  the  other;

    You do   remember     all    the  circumstance?

    HORATIO.

    Remember    it,    my  lord!

    HAMLET.

    Sir,  in    my  heart      there      was a     kind of    fighting

    That would     not  let   me  sleep.     Methought    I      lay

    Worse    than the  mutinies in    the  bilboes.  Rashly,

    And prais’d    be   rashness for   it,—let    us    know,

    Our indiscretion   sometime      serves     us    well,

    When     our  deep      plots       do   pall; and that should    teach      us

    There’s   a     divinity   that shapes   our  ends,

    Rough-hew   them      how we   will.

    HORATIO.

    That is     most      certain.

    HAMLET.

    Up   from       my  cabin,

    My  sea-gown      scarf’d    about     me, in    the  dark

    Grop’d    I      to    find out  them;     had my  desire,

    Finger’d  their packet,   and in    fine, withdrew

    To   mine      own room      again,     making   so    bold,

    My  fears       forgetting      manners, to    unseal

    Their      grand     commission;  where     I      found,    Horatio,

    Oh  royal       knavery! an   exact      command,

    Larded    with many      several   sorts       of    reasons,

    Importing      Denmark’s     health,    and England’s      too,

    With       ho!  such bugs       and goblins   in    my  life,

    That on   the  supervise,      no   leisure    bated,

    No,  not  to    stay the  grinding of    the  axe,

    My  head      should    be   struck     off.

    HORATIO.

    Is’t   possible?

    HAMLET.

    Here’s    the  commission,  read it     at    more      leisure.

    But  wilt  thou hear me  how I      did  proceed?

    HORATIO.

    I      beseech you.

    HAMLET.

    Being     thus benetted round     with villanies,—

    Or   I      could      make      a     prologue to    my  brains,

    They       had begun    the  play,—I   sat   me  down,

    Devis’d   a     new commission,  wrote     it     fair:

    I      once       did  hold it,    as    our  statists   do,

    A     baseness to    write       fair, and labour’d much

    How to    forget     that learning; but, sir,   now

    It     did  me  yeoman’s      service.   Wilt thou know The      effect      of       what       I      wrote?

    HORATIO.

    Ay,  good      my  lord.

    HAMLET.

    An   earnest   conjuration    from       the  King,

    As   England  was his   faithful   tributary,

    As   love between them      like  the  palm      might     flourish,

    As   peace     should    still  her  wheaten garland  wear

    And stand      a     comma   ’tween    their amities,

    And many      such-like ‘as’es      of    great      charge,

    That on   the  view and know      of    these      contents,

    Without  debatement  further,   more      or    less,

    He   should    the  bearers   put  to    sudden   death,

    Not shriving-time allow’d.

    HORATIO.

    How was this  seal’d?

    HAMLET.

    Why,      even       in    that was heaven   ordinant.

    I      had my  father’s   signet     in    my  purse,

    Which    was the  model    of    that Danish    seal:

    Folded    the  writ up   in    the  form       of    the  other,

    Subscrib’d     it:    gave’t     th’impression; plac’d     it     safely,

    The changeling    never      known.   Now,      the  next day

    Was our  sea-fight,      and what       to    this  was sequent

    Thou      know’st  already.

    HORATIO.

    So   Guildenstern  and Rosencrantz  go   to’t.

    HAMLET.

    Why,      man,      they did  make      love to    this  employment.

    They       are  not  near my  conscience;   their defeat

    Does      by   their own insinuation    grow.

    ’Tis  dangerous     when      the  baser      nature    comes

    Between the  pass and fell   incensed points

    Of   mighty   opposites.

    HORATIO.

    Why,      what       a     king is     this!

    HAMLET.

    Does      it     not, thinks’t   thee,      stand      me  now upon,—

    He   that hath kill’d my  king,       and whor’d    my  mother,

    Popp’d   in    between th’election     and my  hopes,

    Thrown   out  his   angle      for   my  proper    life,

    And with such cozenage—is’t      not  perfect   conscience

    To   quit him with this  arm?       And is’t   not  to    be   damn’d

    To   let   this  canker    of    our  nature    come

    In    further    evil?

    HORATIO.

    It     must      be   shortly    known    to    him from       England

    What      is     the  issue      of    the  business there.

    HAMLET.

    It     will  be   short.     The interim   is     mine;

    And a     man’s     life’s no   more      than to    say  ‘One’.

    But  I      am  very sorry,      good      Horatio,

    That to    Laertes   I      forgot     myself;

    For  by   the  image     of    my  cause     I      see

    The portraiture     of    his.  I’ll    court      his   favours.

    But  sure the  bravery   of    his   grief did  put  me

    Into a     tow’ring  passion.

    HORATIO.

    Peace,    who comes    here?

    Enter      OSRIC .

    OSRIC.

    Your       lordship  is     right       welcome back       to    Denmark.

    HAMLET.

    I      humbly   thank     you, sir.   Dost know      this  waterfly?

    HORATIO.

    No,  my  good      lord.

    HAMLET.

    Thy  state       is     the  more      gracious; for   ’tis   a     vice to    know       him. He   hath much     land, and fertile;   let  a    beast    be  lord       of  beasts,  and       his crib       shall     stand    at  the king’s mess;   ’tis   a     chough;  but, as    I      say, spacious in    the       possession    of    dirt.

    OSRIC.

    Sweet     lord, if     your lordship  were       at    leisure,   I      should       impart    a     thing      to    you from his  Majesty.

    HAMLET.

    I      will  receive   it     with all    diligence of    spirit.      Put  your bonnet       to    his   right       use; ’tis for     the  head.

    OSRIC.

    I      thank     your lordship, ’tis   very hot.

    HAMLET.

    No,  believe   me, ’tis   very cold,       the  wind       is     northerly.

    OSRIC.

    It     is     indifferent     cold,       my  lord, indeed.

    HAMLET.

    Methinks it     is     very sultry      and hot  for   my  complexion.

    OSRIC.

    Exceedingly,  my lord;      it   is   very      sultry,—as   ’twere—I      cannot   tell how.     But,      my lord,       his   Majesty  bade      me       signify    to    you that he   has  laid  a     great      wager     on   your head.      Sir,  this  is     the  matter,—

    HAMLET.

    I      beseech you, remember,—

    [HAMLET      moves    him to    put  on   his   hat. ]

    OSRIC.

    Nay, in    good      faith;      for   mine      ease,      in    good      faith.       Sir,  here is     newly     come      to    court Laertes; believe   me, an       absolute gentleman,    full  of    most      excellent differences,    of very soft society   and great      showing. Indeed,   to    speak     feelingly       of    him, he   is     the card  or    calendar of    gentry;   for   you shall       find in    him the  continent      of    what       part a gentleman       would     see.

    HAMLET.

    Sir,  his definement  suffers  no perdition      in   you,      though I      know,   to  divide   him inventorially would   dizzy     th’arithmetic  of  memory,      and       yet but yaw      neither, in respect   of    his   quick      sail. But, in    the  verity      of    extolment,     I       take him to    be   a     soul of    great    article   and       his infusion  of  such     dearth  and       rareness       as, to  make    true diction    of  him,      his semblable    is   his mirror   and       who else      would   trace     him       his umbrage,       nothing more.

    OSRIC.

    Your       lordship  speaks    most      infallibly of    him.

    HAMLET.

    The concernancy, sir?  Why do   we   wrap       the  gentleman     in    our       more      rawer      breath?

    OSRIC.

    Sir?

    HORATIO.

    Is’t   not  possible  to    understand    in    another  tongue?  You will  do’t,       sir,   really.

    HAMLET.

    What      imports  the  nomination   of    this  gentleman?

    OSRIC.

    Of   Laertes?

    HORATIO.

    His  purse      is     empty    already,  all’s golden   words     are  spent.

    HAMLET.

    Of   him, sir.

    OSRIC.

    I      know      you are  not  ignorant,—

    HAMLET.

    I      would     you did, sir;   yet  in    faith if     you did, it     would     not       much     approve  me. Well, sir?

    OSRIC.

    You are  not  ignorant of    what       excellence     Laertes   is,—

    HAMLET.

    I      dare      not confess that,     lest I     should  compare      with him       in   excellence;   but to know a     man well were       to       know      himself.

    OSRIC.

    I      mean,   sir, for his weapon;      but in   the imputation   laid       on him,      by  them    in   his meed      he’s unfellowed.

    HAMLET.

    What’s    his   weapon?

    OSRIC.

    Rapier    and dagger.

    HAMLET.

    That’s     two of    his   weapons.       But  well.

    OSRIC.

    The King,     sir, hath     wager’d with      him       six  Barbary horses,   against the which   he has  imponed,       as    I      take it,       six   French    rapiers    and poniards, with their assigns,  as girdle, hangers, and       so. Three    of  the carriages,     in   faith,     are very dear      to  fancy, very   responsive     to    the  hilts, most       delicate  carriages,      and of    very liberal     conceit.

    HAMLET.

    What      call  you the  carriages?

    HORATIO.

    I      knew      you must      be   edified    by   the  margin   ere  you had       done.

    OSRIC.

    The carriages,      sir,   are  the  hangers.

    HAMLET.

    The phrase    would     be   more      german  to    the  matter    if     we       could      carry       cannon   by   our sides.       I      would     it       might     be   hangers  till   then.      But  on.  Six   Barbary  horses       against six     French    swords,   their assigns,  and three      liberal       conceited      carriages:      that’s      the French     bet  against   the       Danish.   Why is     this  all    imponed,       as    you call  it?

    OSRIC.

    The King,      sir,   hath laid  that in    a     dozen     passes    between you       and him, he   shall not exceed    you       three    hits.      He hath laid       on twelve   for nine.     And      it   would   come    to immediate trial if     your lordship  would     vouchsafe      the  answer.

    HAMLET.

    How if     I      answer   no?

    OSRIC.

    I      mean,     my  lord, the  opposition     of    your person    in    trial.

    HAMLET.

    Sir,  I      will  walk here in    the  hall. If     it     please    his   Majesty, it       is     the  breathing      time of day     with me. Let  the  foils be       brought, the  gentleman     willing,   and the  King hold his  purpose, I       will  win  for   him if     I      can; if     not, I      will  gain nothing  but       my  shame and    the  odd hits.

    OSRIC.

    Shall       I      re-deliver      you e’en so?

    HAMLET.

    To   this  effect,     sir;   after what       flourish   your nature    will.

    OSRIC.

    I      commend      my  duty to    your lordship.

    HAMLET.

    Yours,     yours.

    [ Exit       OSRIC . ]

    He   does       well to    commend      it     himself,  there      are  no       tongues  else for’s turn.

    HORATIO.

    This lapwing  runs away      with the  shell on   his   head.

    HAMLET.

    He   did  comply   with his   dug before    he   suck’d    it.    Thus       has       he,—and many      more of  the  same      bevy       that I      know       the  drossy    age dotes      on,—      only got  the  tune of    the time       and outward habit      of    encounter;     a     kind of    yeasty       collection,     which     carries them  through  and through  the  most       fanned   and winnowed     opinions; and do   but blow them      to       their trial, the  bubbles  are  out,

    Enter      a     LORD .

    LORD.

    My  lord, his   Majesty  commended  him to    you by   young    Osric,       who brings     back to   him that you attend    him in    the  hall. He       sends     to    know      if     your pleasure hold to play    with Laertes       or    that you will  take longer    time.

    HAMLET.

    I      am constant      to  my purposes,     they      follow   the King’s     pleasure.      If    his fitness speaks,     mine      is     ready.       Now       or    whensoever,  provided I      be   so    able as    now.

    LORD.

    The King and Queen    and all    are  coming   down.

    HAMLET.

    In    happy     time.

    LORD.

    The Queen  desires  you       to  use some    gentle   entertainment      to  Laertes before   you fall to    play.

    HAMLET.

    She well instructs me.

    [ Exit       LORD . ]

    HORATIO.

    You will  lose this  wager,    my  lord.

    HAMLET.

    I      do   not  think      so.   Since      he   went       into France,   I      have       been      in    continual practice. I shall     win at  the odds.    But thou wouldst not think     how      ill   all’s       here      about   my heart:     but  it     is     no   matter.

    HORATIO.

    Nay, good      my  lord.

    HAMLET.

    It     is     but  foolery;   but  it     is     such a     kind of    gain-giving   as       would     perhaps  trouble   a woman.

    HORATIO.

    If     your mind      dislike     anything, obey       it.    I      will  forestall  their       repair     hither,    and say you   are  not  fit.

    HAMLET.

    Not a     whit,       we   defy augury.   There’s   a     special    providence       in    the  fall   of    a     sparrow.

    If     it     be   now,       ’tis   not  to    come;     if     it     be   not  to       come,     it     will  be   now;       if     it     be   not  now, yet it     will       come.     The readiness       is     all.   Since      no   man has  aught       of    what       he   leaves, what   is’t   to    leave      betimes?

    Enter      KING,    QUEEN,  LAERTES, LORDS,   OSRIC    and ATTENDANTS      with foils &c.

    KING.

    Come,    Hamlet,  come,     and take this  hand      from       me.

    [ The      KING    puts LAERTES’S   hand      into HAMLET’S . ]

    HAMLET.

    Give me  your pardon,  sir.   I      have       done      you wrong;

    But  pardon’t as    you are  a     gentleman.

    This presence knows,    and you must      needs     have       heard,

    How I      am  punish’d with sore distraction.

    What      I      have       done

    That might     your nature,   honour,  and exception

    Roughly  awake,    I      here proclaim was madness.

    Was’t      Hamlet   wrong’d  Laertes?  Never     Hamlet.

    If     Hamlet   from       himself   be   ta’en      away,

    And when      he’s not  himself   does       wrong    Laertes,

    Then      Hamlet   does       it     not, Hamlet   denies    it.

    Who       does       it,    then?      His  madness.       If’t   be   so, Hamlet       is     of    the  faction    that is     wrong’d;

    His  madness is     poor       Hamlet’s enemy.

    Sir,  in    this  audience,

    Let  my  disclaiming    from       a     purpos’d evil

    Free me  so    far   in    your most      generous       thoughts

    That I      have       shot my  arrow     o’er the  house

    And hurt my  brother.

    LAERTES.

    I      am  satisfied  in    nature,

    Whose    motive    in    this  case should    stir  me  most

    To   my  revenge. But  in    my  terms     of    honour

    I      stand      aloof,      and will  no   reconcilement

    Till   by   some      elder      masters  of    known    honour

    I      have       a     voice      and precedent      of    peace

    To   keep       my  name     ungor’d. But  till   that time

    I      do   receive   your offer’d    love like  love,

    And will  not  wrong    it.

    HAMLET.

    I      embrace it     freely,

    And will  this  brother’s wager     frankly    play.—

    Give us    the  foils; come      on.

    LAERTES.

    Come,    one for   me.

    HAMLET.

    I’ll    be   your foil,  Laertes;  in    mine      ignorance

    Your       skill shall like  a     star i’     th’   darkest   night,

    Stick fiery off   indeed.

    LAERTES.

    You mock      me, sir.

    HAMLET.

    No,  by   this  hand.

    KING.

    Give them      the  foils, young    Osric.     Cousin    Hamlet,

    You know      the  wager?

    HAMLET.

    Very well, my  lord.

    Your       Grace     has  laid  the  odds       o’    the  weaker   side.

    KING.

    I      do   not  fear it.    I      have       seen you both;

    But  since      he   is     better’d, we   have       therefore odds.

    LAERTES.

    This is     too  heavy.    Let  me  see  another.

    HAMLET.

    This likes me  well. These     foils have       all    a     length?

    [ They     prepare  to    play. ]

    OSRIC.

    Ay,  my  good      lord.

    KING.

    Set  me  the  stoups    of    wine upon      that table.

    If     Hamlet   give the  first or    second   hit,

    Or   quit in    answer   of    the  third       exchange,

    Let  all    the  battlements   their ordnance       fire;

    The King shall drink      to    Hamlet’s better     breath,

    And in    the  cup an   union     shall he   throw

    Richer     than that which     four successive     kings

    In    Denmark’s     crown     have       worn.      Give me  the  cups;

    And let   the  kettle      to    the  trumpet  speak,

    The trumpet  to    the  cannoneer     without,

    The cannons to    the  heavens, the  heavens to    earth,

    ‘Now      the  King drinks     to    Hamlet.’ Come,    begin.

    And you, the  judges,   bear a     wary       eye.

    HAMLET.

    Come     on,  sir.

    LAERTES.

    Come,    my  lord.

    [ They     play. ]

    HAMLET.

    One.

    LAERTES.

    No.

    HAMLET.

    Judgment.

    OSRIC.

    A     hit,  a     very palpable hit.

    LAERTES.

    Well;       again.

    KING.

    Stay,       give me  drink.      Hamlet,  this  pearl      is     thine;

    Here’s    to    thy  health.

    [ Trumpets     sound,    and cannon   shot off   within. ]

    Give him the  cup.

    HAMLET.

    I’ll    play this  bout       first; set   it     by   awhile.

    [ They     play. ]

    Come.    Another  hit;  what       say  you?

    LAERTES.

    A     touch,    a     touch,    I      do   confess.

    KING.

    Our son  shall win.

    QUEEN.

    He’s fat,  and scant      of    breath.

    Here,      Hamlet,  take my  napkin,   rub  thy  brows.

    The Queen    carouses to    thy  fortune,  Hamlet.

    HAMLET.

    Good      madam.

    KING.

    Gertrude,       do   not  drink.

    QUEEN.

    I      will, my  lord; I      pray you pardon   me.

    KING.

    [ Aside. ] It     is     the  poison’d cup; it     is     too  late.

    HAMLET.

    I      dare not  drink      yet,  madam.  By   and by.

    QUEEN.

    Come,    let   me  wipe       thy  face.

    LAERTES.

    My  lord, I’ll    hit   him now.

    KING.

    I      do   not  think’t.

    LAERTES.

    [ Aside. ] And yet  ’tis   almost    ’gainst    my  conscience.

    HAMLET.

    Come     for   the  third,      Laertes.  You do   but  dally.

    I      pray you pass with your best violence.

    I      am  afeard    you make      a     wanton   of    me.

    LAERTES.

    Say  you so?  Come     on.

    [ They     play. ]

    OSRIC.

    Nothing  neither   way.

    LAERTES.

    Have      at    you now.

    [LAERTES      wounds  HAMLET;     then,      in    scuffling, they change       rapiers,   and HAMLET

    wounds  LAERTES . ]

    KING.

    Part them;     they are  incens’d.

    HAMLET.

    Nay, come      again!

    [ The      QUEEN        falls. ]

    OSRIC.

    Look       to    the  Queen    there,     ho!

    HORATIO.

    They       bleed      on   both       sides.      How is     it,    my  lord?

    OSRIC.

    How is’t,  Laertes?

    LAERTES.

    Why,      as    a     woodcock      to    my  own springe,  Osric.

    I      am  justly      kill’d with mine      own treachery.

    HAMLET.

    How does       the  Queen?

    KING.

    She swoons   to    see  them      bleed.

    QUEEN.

    No,  no,  the  drink,      the  drink!     O    my  dear Hamlet!

    The drink,      the  drink!     I      am  poison’d.

    [ Dies. ]

    HAMLET.

    O    villany!   Ho!  Let  the  door       be   lock’d:

    Treachery!     Seek       it     out.

    [LAERTES      falls. ]

    LAERTES.

    It     is     here,      Hamlet.  Hamlet,  thou art   slain.

    No   medicine in    the  world      can  do   thee good.

    In    thee there      is     not  half an   hour       of    life;

    The treacherous   instrument    is     in    thy  hand,

    Unbated and envenom’d.   The foul practice

    Hath       turn’d     itself on   me. Lo,   here I      lie,

    Never     to    rise  again.     Thy  mother’s poison’d.

    I      can  no   more.     The King,      the  King’s     to    blame.

    HAMLET.

    The point      envenom’d    too!

    Then,      venom,   to    thy  work.

    [ Stabs    the  KING . ]

    OSRIC     and LORDS.

    Treason! treason!

    KING.

    O    yet  defend   me, friends.   I      am  but  hurt.

    HAMLET.

    Here,      thou incestuous,    murderous,    damned Dane,

    Drink      off   this  potion.   Is     thy  union     here?

    Follow    my  mother.

    [KING     dies. ]

    LAERTES.

    He   is     justly      serv’d.

    It     is     a     poison    temper’d by   himself.

    Exchange      forgiveness    with me, noble     Hamlet.

    Mine      and my  father’s   death     come      not  upon      thee,

    Nor thine      on   me.

    [ Dies. ]

    HAMLET.

    Heaven  make      thee free of    it!    I      follow     thee.

    I      am  dead,      Horatio.  Wretched      Queen,   adieu.

    You that look pale and tremble  at    this  chance,

    That are  but  mutes     or    audience to    this  act,

    Had I      but  time,—as       this  fell   sergeant, death,

    Is     strict       in    his   arrest,—O,     I      could      tell  you,—

    But  let   it     be.  Horatio,  I      am  dead,

    Thou      liv’st;      report     me  and my  cause     aright

    To   the  unsatisfied.

    HORATIO.

    Never     believe   it.

    I      am  more      an   antique  Roman   than a     Dane.

    Here’s    yet  some      liquor     left.

    HAMLET.

    As   th’art      a     man,

    Give me  the  cup. Let  go;  by   Heaven,  I’ll    have’t.

    O    good      Horatio,  what       a     wounded       name,

    Things    standing thus unknown,      shall live  behind   me.

    If     thou didst       ever hold me  in    thy  heart,

    Absent   thee from       felicity    awhile,

    And in    this  harsh      world      draw       thy  breath    in    pain,

    To   tell  my  story.

    [ March  afar off,  and shot within. ]

    What      warlike   noise      is     this?

    OSRIC.

    Young    Fortinbras,     with conquest come      from       Poland,

    To   the  ambassadors of    England  gives

    This warlike   volley.

    HAMLET.

    O,    I      die,  Horatio.

    The potent    poison    quite      o’er-crows     my  spirit:

    I      cannot   live  to    hear the  news      from       England,

    But  I      do   prophesy       th’election     lights

    On  Fortinbras.     He   has  my  dying      voice.

    So   tell  him, with the  occurrents     more      and less,

    Which    have       solicited. The rest is     silence.

    [ Dies. ]

    HORATIO.

    Now       cracks     a     noble     heart.     Good      night,     sweet       prince,

    And flights     of    angels    sing thee to    thy  rest.

    Why does       the  drum      come      hither?

    [ March  within. ]

    Enter      FORTINBRAS,      THE ENGLISH AMBASSADORS   and others.

    FORTINBRAS.

    Where    is     this  sight?

    HORATIO.

    What      is     it     you would     see?

    If     aught     of    woe or    wonder,  cease     your search.

    FORTINBRAS.

    This quarry    cries on   havoc.    O    proud     death,

    What      feast       is     toward   in    thine      eternal   cell,

    That thou so    many      princes   at    a     shot

    So   bloodily  hast struck?

    FIRST      AMBASSADOR.

    The sight       is     dismal;

    And our  affairs     from       England  come      too  late.

    The ears are  senseless that should    give us    hearing,

    To   tell  him his   commandment     is     fulfill’d,

    That Rosencrantz  and Guildenstern  are  dead.

    Where    should    we   have       our  thanks?

    HORATIO.

    Not from       his   mouth,

    Had it     th’ability of    life   to    thank     you.

    He   never      gave       commandment     for   their death.

    But  since,     so    jump      upon      this  bloody    question,

    You from       the  Polack    wars,      and you from       England

    Are  here arriv’d,    give order      that these      bodies

    High       on   a     stage      be   placed    to    the  view,

    And let   me  speak     to    th’   yet  unknowing    world

    How these      things     came      about.    So   shall you hear

    Of   carnal,    bloody    and unnatural      acts,

    Of   accidental     judgments,    casual    slaughters,

    Of   deaths    put  on   by   cunning  and forc’d     cause,

    And, in    this  upshot,   purposes mistook

    Fall’n      on   the  inventors’      heads.    All   this  can  I

    Truly       deliver.

    FORTINBRAS.

    Let  us    haste      to    hear it,

    And call  the  noblest   to    the  audience.

    For  me, with sorrow    I      embrace my  fortune.

    I      have       some      rights     of    memory in    this  kingdom,

    Which    now to    claim      my  vantage  doth       invite      me.

    HORATIO.

    Of   that I      shall have       also cause     to    speak,

    And from       his   mouth    whose    voice      will  draw       on   more.

    But  let   this  same      be   presently perform’d,

    Even       while      men’s     minds     are  wild, lest  more      mischance

    On  plots       and errors     happen.

    FORTINBRAS.

    Let  four captains

    Bear Hamlet   like  a     soldier    to    the  stage,

    For  he   was likely,      had he   been      put  on,

    To   have       prov’d    most      royally;   and for   his   passage,

    The soldiers’  music     and the  rites of    war

    Speak     loudly     for   him.

    Take       up   the  bodies.   Such       a     sight       as    this

    Becomes the  field,       but  here shows     much     amiss.

    Go,  bid  the  soldiers  shoot.

    [ A   dead      march. ]

    [ Exeunt, bearing  off   the  bodies,   after which     a     peal of    ordnance       is     shot off. ]

  • William Shakespeare《THE TRAGEDY  OF   ROMEO  AND JULIET》

    Contents
    THE PROLOGUE.
    ACT I
    Scene     I. A  public     place.
    Scene     II. A Street.

    Scene     III. Room in    Capulet’s House.

    Scene     IV.   A     Street.

    Scene     V.   A     Hall in    Capulet’s House.

    ACT II

    CHORUS.

    Scene     I. An open      place      adjoining       Capulet’s Garden.

    Scene     II. Capulet’s   Garden.

    Scene     III. Friar   Lawrence’s    Cell.

    Scene     IV.   A     Street.

    Scene     V.   Capulet’s Garden.

    Scene     VI.   Friar Lawrence’s    Cell.

    ACT III

    Scene     I. A  public     Place.

    Scene     II. A Room     in    Capulet’s House.

    Scene     III. Friar   Lawrence’s    cell.

    Scene     IV.   A     Room     in    Capulet’s House.

    Scene     V.   An   open      Gallery    to    Juliet’s    Chamber,       overlooking   the  Garden.

    ACT IV

    Scene     I. Friar     Lawrence’s    Cell.

    Scene     II. Hall     in    Capulet’s House.

    Scene     III. Juliet’s       Chamber.

    Scene     IV.   Hall in    Capulet’s House.

    Scene     V.   Juliet’s    Chamber;      Juliet      on   the  bed.

    ACT V

    Scene     I. Mantua.      A     Street.

    Scene     II. Friar    Lawrence’s    Cell.

    Scene     III. A churchyard;   in    it     a     Monument    belonging      to       the  Capulets.

    Dramatis Personæ

    ESCALUS,      Prince     of    Verona.

    MERCUTIO,    kinsman to    the  Prince,    and friend     to    Romeo.

    PARIS,    a     young    Nobleman,    kinsman to    the  Prince.

    Page      to    Paris.

    MONTAGUE,  head      of    a     Veronese       family     at    feud with the       Capulets.

    LADY      MONTAGUE,  wife to    Montague.

    ROMEO, son  to    Montague.

    BENVOLIO,    nephew  to    Montague,    and friend     to    Romeo.

    ABRAM,  servant   to    Montague.

    BALTHASAR,  servant   to    Romeo.

    CAPULET,      head      of    a     Veronese       family     at    feud with the       Montagues.

    LADY      CAPULET,      wife to    Capulet.

    JULIET,    daughter to    Capulet.

    TYBALT,  nephew  to    Lady       Capulet.

    CAPULET’S    COUSIN, an   old  man.

    NURSE    to    Juliet.

    PETER,    servant   to    Juliet’s    Nurse.

    SAMPSON,    servant   to    Capulet.

    GREGORY,     servant   to    Capulet.

    Servants.

    FRIAR     LAWRENCE,   a     Franciscan.

    FRIAR     JOHN,    of    the  same      Order.

    An   Apothecary.

    CHORUS.

    Three     Musicians.

    An   Officer.

    Citizens  of    Verona;  several   Men and Women, relations to    both       houses;  Maskers, Guards,  Watchmen    and Attendants.

    SCENE.   During    the  greater   part of    the  Play in Verona;      once,       in    the  Fifth Act, at    Mantua.

    THE PROLOGUE

    Enter      CHORUS .

    CHORUS.

    Two households,   both       alike in    dignity,

    In    fair  Verona,  where     we   lay   our  scene,

    From      ancient   grudge   break      to    new mutiny,

    Where    civil blood     makes    civil hands     unclean.

    From      forth       the  fatal loins of    these      two foes A     pair of    star-cross’d   lovers     take their life; Whose    misadventur’d      piteous       overthrows

    Doth       with their death     bury their parents’  strife.

    The fearful    passage  of    their death-mark’d love, And       the       continuance  of    their parents’  rage, Which,  but  their children’s       end, nought   could      remove, Is      now the  two hours’     traffic       of    our  stage; The      which,    if     you with patient   ears attend,

    What      here shall miss,      our  toil  shall strive      to    mend.

    [ Exit. ]

    ACT I

    SCENE    I.     A     public     place.

    Enter      SAMPSON   and GREGORY   armed    with swords   and       bucklers.

    SAMPSON.

    Gregory, on   my  word,      we’ll not  carry       coals.

    GREGORY.

    No,  for   then we   should    be   colliers.

    SAMPSON.

    I      mean,     if     we   be   in    choler,    we’ll draw.

    GREGORY.

    Ay,  while      you live, draw       your neck out  o’    the  collar.

    SAMPSON.

    I      strike      quickly,   being     moved.

    GREGORY.

    But  thou art   not  quickly   moved    to    strike.

    SAMPSON.

    A     dog of    the  house     of    Montague     moves    me.

    GREGORY.

    To   move      is     to    stir;  and to    be   valiant    is     to    stand:       therefore,      if     thou art   moved,   thou runn’st  away.

    SAMPSON.

    A     dog of    that house     shall move      me  to    stand.

    I      will  take the  wall of    any  man or    maid      of    Montague’s.

    GREGORY.

    That shows     thee a     weak      slave,      for   the  weakest  goes       to       the  wall.

    SAMPSON.

    True,      and therefore women,  being     the  weaker   vessels,   are  ever       thrust     to    the  wall: therefore       I      will  push       Montague’s       men from       the  wall, and thrust     his   maids     to    the

    wall.

    GREGORY.

    The quarrel   is     between our  masters  and us    their men.

    SAMPSON.

    ’Tis  all    one, I      will  show      myself    a     tyrant:    when      I      have       fought    with the  men I      will be    civil with the  maids,    I      will       cut  off   their heads.

    GREGORY.

    The heads     of    the  maids?

    SAMPSON.

    Ay,  the  heads     of    the  maids,    or    their maidenheads; take it     in       what       sense     thou wilt.

    GREGORY.

    They       must      take it     in    sense     that feel  it.

    SAMPSON.

    Me  they shall feel  while      I      am  able to    stand:     and ’tis   known    I       am  a     pretty     piece      of flesh.

    GREGORY.

    ’Tis  well      thou     art not fish;      if    thou     hadst,   thou     hadst      been     poor     John.    Draw     thy tool;       here comes       of    the  house     of    Montagues.

    Enter      ABRAM       and BALTHASAR .

    SAMPSON.

    My  naked     weapon  is     out: quarrel,  I      will  back       thee.

    GREGORY.

    How?      Turn thy  back       and run?

    SAMPSON.

    Fear me  not.

    GREGORY.

    No,  marry;    I      fear thee!

    SAMPSON.

    Let  us    take the  law  of    our  sides;      let   them      begin.

    GREGORY.

    I      will  frown     as    I      pass by,   and let   them      take it     as    they       list.

    SAMPSON.

    Nay, as    they dare.      I      will  bite my  thumb    at    them,     which       is     disgrace to    them      if     they bear       it.

    ABRAM.

    Do   you bite your thumb    at    us,   sir?

    SAMPSON.

    I      do   bite my  thumb,   sir.

    ABRAM.

    Do   you bite your thumb    at    us,   sir?

    SAMPSON.

    Is     the  law  of    our  side if     I      say  ay?

    GREGORY.

    No.

    SAMPSON.

    No   sir,   I      do   not  bite my  thumb    at    you, sir;   but  I      bite my       thumb,   sir.

    GREGORY.

    Do   you quarrel,  sir?

    ABRAM.

    Quarrel,  sir?  No,  sir.

    SAMPSON.

    But  if     you do,  sir,   am  for   you. I      serve      as    good      a     man       as    you.

    ABRAM.

    No   better.

    SAMPSON.

    Well,       sir.

    Enter      BENVOLIO .

    GREGORY.

    Say  better;    here comes    one of    my  master’s kinsmen.

    SAMPSON.

    Yes, better,    sir.

    ABRAM.

    You lie.

    SAMPSON.

    Draw,     if     you be   men.      Gregory, remember     thy  washing blow.

    [ They     fight. ]

    BENVOLIO.

    Part, fools!      put  up   your swords,   you know      not  what       you do.

    [ Beats    down      their swords. ]

    Enter      TYBALT .

    TYBALT.

    What,     art   thou drawn     among   these      heartless hinds?

    Turn thee Benvolio, look upon      thy  death.

    BENVOLIO.

    I      do   but  keep       the  peace,    put  up   thy  sword,

    Or   manage  it     to    part these      men with me.

    TYBALT.

    What,     drawn,    and talk  of    peace?   I      hate the  word As  I      hate       hell, all    Montagues,   and thee:

    Have      at    thee,      coward.

    [ They     fight. ]

    Enter      three      or    four CITIZENS     with clubs.

    FIRST      CITIZEN.

    Clubs,     bills and partisans!      Strike!     Beat them      down!

    Down     with the  Capulets! Down     with the  Montagues!

    Enter      CAPULET     in    his   gown,     and LADY    CAPULET .

    CAPULET.

    What      noise      is     this? Give me  my  long sword,    ho!

    LADY      CAPULET.

    A     crutch,    a     crutch!   Why call  you for   a     sword?

    CAPULET.

    My  sword,    I      say! Old  Montague     is     come,

    And flourishes      his   blade      in    spite       of    me.

    Enter      MONTAGUE       and his   LADY    MONTAGUE .

    MONTAGUE.

    Thou      villain     Capulet! Hold       me  not, let   me  go.

    LADY      MONTAGUE.

    Thou      shalt       not  stir  one foot to    seek a     foe.

    Enter      PRINCE ESCALUS,      with ATTENDANTS .

    PRINCE.

    Rebellious     subjects, enemies to    peace,

    Profaners       of    this  neighbour-stained      steel,—

    Will they not  hear?      What,     ho!  You men,      you beasts, That       quench   the  fire  of    your pernicious     rage With      purple       fountains issuing   from       your veins, On pain of    torture,   from       those      bloody    hands Throw  your mistemper’d  weapons to    the       ground And   hear the  sentence of    your moved    prince.

    Three     civil brawls,   bred       of    an   airy  word,

    By   thee,      old  Capulet, and Montague,

    Have      thrice     disturb’d the  quiet      of    our  streets, And   made       Verona’s ancient   citizens

    Cast by   their grave      beseeming    ornaments,

    To   wield      old  partisans,      in    hands     as    old,

    Canker’d with peace,    to    part your canker’d hate.

    If     ever you disturb   our  streets    again,

    Your       lives shall pay  the  forfeit     of    the  peace.

    For  this  time all    the  rest depart    away:

    You, Capulet, shall go   along     with me,

    And Montague,    come      you this  afternoon,

    To   know      our  farther    pleasure in    this  case,

    To   old  Free-town,    our  common judgement-place.

    Once      more,     on   pain of    death,    all    men depart.

    [ Exeunt  PRINCE       and ATTENDANTS;     CAPULET,      LADY       CAPULET,      TYBALT,  CITIZENS       and Servants. ]

    MONTAGUE.

    Who       set   this  ancient   quarrel   new abroach?

    Speak,    nephew, were       you by   when      it     began?

    BENVOLIO.

    Here       were       the  servants of    your adversary

    And yours,     close      fighting  ere  I      did  approach.

    I      drew       to    part them,     in    the  instant    came

    The fiery Tybalt,    with his   sword     prepar’d, Which,   as    he   breath’d       defiance to    my  ears,

    He   swung    about     his   head,      and cut  the  winds, Who    nothing       hurt withal,    hiss’d     him in    scorn.

    While     we   were       interchanging thrusts    and blows Came   more       and more,     and fought    on   part and part, Till  the  Prince       came,     who parted    either     part.

    LADY      MONTAGUE.

    O    where     is     Romeo,  saw you him today?

    Right      glad I      am  he   was not  at    this  fray.

    BENVOLIO.

    Madam,  an   hour       before    the  worshipp’d    sun

    Peer’d    forth       the  golden   window  of    the  east, A    troubled mind       drave      me  to    walk abroad,

    Where    underneath   the  grove     of    sycamore

    That westward       rooteth   from       this  city  side,

    So   early       walking  did  I      see  your son.

    Towards him I      made,     but  he   was ware       of    me,

    And stole       into the  covert     of    the  wood.

    I,     measuring     his   affections      by   my  own,

    Which    then most      sought   where     most      might     not  be       found, Being  one too  many      by   my  weary     self,

    Pursu’d   my  humour, not  pursuing his,

    And gladly     shunn’d  who gladly     fled from       me.

    MONTAGUE.

    Many      a     morning hath he   there      been      seen,

    With       tears       augmenting  the  fresh       morning’s      dew, Adding       to    clouds    more      clouds    with his   deep      sighs; But       all       so    soon       as    the  all-cheering   sun

    Should   in    the  farthest  east begin     to    draw

    The shady     curtains  from       Aurora’s bed,

    Away      from       light steals     home     my  heavy     son,

    And private    in    his   chamber pens       himself,

    Shuts      up   his   windows, locks      fair  daylight  out And  makes       himself   an   artificial  night.

    Black      and portentous    must      this  humour  prove, Unless good       counsel  may the  cause     remove.

    BENVOLIO.

    My  noble     uncle,     do   you know      the  cause?

    MONTAGUE.

    I      neither   know      it     nor  can  learn      of    him.

    BENVOLIO.

    Have      you importun’d    him by   any  means?

    MONTAGUE.

    Both       by   myself    and many      other      friends;

    But  he,  his   own affections’     counsellor,

    Is     to    himself—I      will  not  say  how true—

    But  to    himself   so    secret     and so    close,

    So   far   from       sounding       and discovery,

    As   is     the  bud bit   with an   envious  worm

    Ere  he   can  spread    his   sweet     leaves     to    the  air, Or     dedicate       his   beauty    to    the  sun.

    Could     we   but  learn      from       whence  his   sorrows  grow, We       would     as    willingly  give cure as    know.

    Enter      ROMEO .

    BENVOLIO.

    See, where     he   comes.   So   please    you step aside; I’ll know      his       grievance      or    be   much     denied.

    MONTAGUE.

    I      would     thou wert so    happy     by   thy  stay

    To   hear true shrift.      Come,    madam,  let’s away,

    [ Exeunt  MONTAGUE       and LADY    MONTAGUE . ]

    BENVOLIO.

    Good      morrow, cousin.

    ROMEO.

    Is     the  day  so    young?

    BENVOLIO.

    But  new struck     nine.

    ROMEO.

    Ay   me, sad  hours     seem      long.

    Was that my  father     that went       hence     so    fast?

    BENVOLIO.

    It     was. What      sadness  lengthens      Romeo’s hours?

    ROMEO.

    Not having    that which,    having,   makes    them      short.

    BENVOLIO.

    In    love?

    ROMEO.

    Out.

    BENVOLIO.

    Of   love?

    ROMEO.

    Out of    her  favour    where     I      am  in    love.

    BENVOLIO.

    Alas that love so    gentle    in    his   view,

    Should   be   so    tyrannous      and rough     in    proof.

    ROMEO.

    Alas that love, whose    view is     muffled  still, Should,   without  eyes,       see  pathways       to    his   will!

    Where    shall we   dine?      O    me! What      fray was here?

    Yet  tell  me  not, for   I      have       heard     it     all.

    Here’s    much     to    do   with hate,      but  more      with love: Why,       then,      O    brawling love!       O    loving     hate!

    O    anything, of    nothing  first create!

    O    heavy     lightness!      serious   vanity!

    Misshapen     chaos     of    well-seeming forms!

    Feather   of    lead,       bright     smoke,   cold fire, sick health!

    Still-waking   sleep,     that is     not  what       it     is!

    This love feel  I,     that feel  no   love in    this.

    Dost thou not  laugh?

    BENVOLIO.

    No   coz, I      rather     weep.

    ROMEO.

    Good      heart,     at    what?

    BENVOLIO.

    At    thy  good      heart’s    oppression.

    ROMEO.

    Why such is     love’s     transgression.

    Griefs     of    mine      own lie    heavy     in    my  breast,

    Which    thou wilt  propagate     to    have       it     prest

    With       more      of    thine.     This love that thou hast shown Doth   add       more      grief to    too  much     of    mine      own.

    Love       is     a     smoke    made     with the  fume      of    sighs; Being       purg’d,   a     fire  sparkling in    lovers’    eyes; Being    vex’d,     a       sea  nourish’d with lovers’    tears: What    is     it     else?       A       madness most      discreet,

    A     choking  gall, and a     preserving     sweet.

    Farewell, my  coz.

    [ Going. ]

    BENVOLIO.

    Soft! I      will  go   along:

    And if     you leave      me  so,   you do   me  wrong.

    ROMEO.

    Tut! I      have       lost  myself;   I      am  not  here.

    This is     not  Romeo,  he’s some      other      where.

    BENVOLIO.

    Tell  me  in    sadness  who is     that you love?

    ROMEO.

    What,     shall I      groan     and tell  thee?

    BENVOLIO.

    Groan!    Why,      no;  but  sadly      tell  me  who.

    ROMEO.

    Bid  a     sick man in    sadness  make      his   will,

    A     word      ill     urg’d      to    one that is     so    ill.

    In    sadness, cousin,   I      do   love a     woman.

    BENVOLIO.

    I      aim’d      so    near when      I      suppos’d you lov’d.

    ROMEO.

    A     right       good      markman,      and she’s      fair  I      love.

    BENVOLIO.

    A     right       fair  mark,      fair  coz, is     soonest  hit.

    ROMEO.

    Well,       in    that hit   you miss:      she’ll      not  be   hit With  Cupid’s       arrow,     she  hath Dian’s     wit;

    And in    strong    proof      of    chastity  well arm’d, From   love’s     weak       childish  bow she  lives uncharm’d.

    She will  not  stay the  siege      of    loving     terms Nor      bide       th’encounter  of    assailing eyes,

    Nor ope her  lap  to    saint-seducing     gold:

    O    she’s      rich in    beauty,   only poor

    That when      she  dies, with beauty    dies her  store.

    BENVOLIO.

    Then      she  hath sworn     that she  will  still  live  chaste?

    ROMEO.

    She hath,      and in    that sparing   makes    huge      waste; For       beauty    starv’d    with her  severity,

    Cuts beauty    off   from       all    posterity.

    She is     too  fair, too  wise;       wisely     too  fair, To    merit      bliss by       making   me  despair.

    She hath forsworn to    love, and in    that vow

    Do   I      live  dead,      that live  to    tell  it     now.

    BENVOLIO.

    Be   rul’d by   me, forget     to    think      of    her.

    ROMEO.

    O    teach      me  how I      should    forget     to    think.

    BENVOLIO.

    By   giving     liberty     unto thine      eyes;

    Examine other      beauties.

    ROMEO.

    ’Tis  the  way

    To   call  hers,       exquisite, in    question more.

    These     happy     masks     that kiss  fair  ladies’    brows, Being  black,       puts us    in    mind      they hide the  fair; He   that is     strucken blind       cannot   forget

    The precious treasure  of    his   eyesight lost.

    Show      me  a     mistress  that is     passing  fair, What      doth       her       beauty    serve      but  as    a     note

    Where    I      may read who pass’d    that passing  fair?

    Farewell, thou canst      not  teach      me  to    forget.

    BENVOLIO.

    I’ll    pay  that doctrine, or    else die  in    debt.

    [ Exeunt. ]

    SCENE    II.     A     Street.

    Enter      CAPULET,     PARIS    and SERVANT .

    CAPULET.

    But  Montague     is     bound    as    well as    I,

    In    penalty   alike;      and ’tis   not  hard,      I      think, For       men so       old  as    we   to    keep       the  peace.

    PARIS.

    Of   honourable   reckoning      are  you both,

    And pity ’tis   you liv’d at    odds       so    long.

    But  now my  lord, what       say  you to    my  suit?

    CAPULET.

    But  saying    o’er what       I      have       said before.

    My  child       is     yet  a     stranger in    the  world,

    She hath not  seen the  change   of    fourteen years; Let       two more       summers wither     in    their pride

    Ere  we   may think      her  ripe to    be   a     bride.

    PARIS.

    Younger than she  are  happy     mothers made.

    CAPULET.

    And too  soon       marr’d    are  those      so    early       made.

    The earth      hath swallowed     all    my  hopes     but  she, She  is     the       hopeful  lady of    my  earth:

    But  woo her, gentle    Paris,      get  her  heart,

    My  will  to    her  consent  is     but  a     part;

    And she  agree,     within     her  scope     of    choice

    Lies my  consent  and fair  according      voice.

    This night      I      hold an   old  accustom’d   feast,

    Whereto I      have       invited    many      a     guest, Such    as    I      love,       and you among   the  store,

    One more,     most      welcome,       makes    my  number  more.

    At    my  poor       house     look to    behold   this  night

    Earth-treading      stars that make      dark heaven   light: Such     comfort       as    do   lusty young    men feel

    When     well apparell’d      April       on   the  heel

    Of   limping   winter     treads,    even       such delight Among      fresh       female    buds       shall you this  night Inherit   at    my  house.    Hear       all,   all    see,

    And like  her  most      whose    merit      most      shall be: Which,     on       more      view of    many,     mine,      being     one, May stand      in       number, though   in    reckoning      none.

    Come,    go   with me. Go,  sirrah,     trudge    about

    Through fair  Verona;  find those      persons  out Whose     names    are       written   there,     [ gives    a     paper]    and to    them      say, My       house     and welcome on   their pleasure stay.

    [ Exeunt  CAPULET     and PARIS . ]

    SERVANT.

    Find them    out whose   names  are written  here!     It   is   written   that      the shoemaker should      meddle with      his yard and       the tailor     with      his last,      the fisher    with      his pencil,      and the  painter   with his   nets;       but  I      am  sent to       find those      persons  whose names are  here writ, and can  never       find what       names    the  writing    person    hath here writ. I      must       to    the  learned.  In    good      time!

    Enter      BENVOLIO and ROMEO .

    BENVOLIO.

    Tut, man,      one fire  burns     out  another’s burning, One pain is       lessen’d  by   another’s anguish;

    Turn giddy,     and be   holp by   backward      turning; One  desperate       grief cures      with another’s languish: Take      thou some      new       infection to    thy  eye,

    And the  rank poison    of    the  old  will  die.

    ROMEO.

    Your       plantain  leaf  is     excellent for   that.

    BENVOLIO.

    For  what,      I      pray thee?

    ROMEO.

    For  your broken   shin.

    BENVOLIO.

    Why,      Romeo,  art   thou mad?

    ROMEO.

    Not mad,      but  bound    more      than a     madman is:

    Shut up   in    prison,    kept without  my  food,

    Whipp’d and tormented     and—God-den,    good      fellow.

    SERVANT.

    God gi’   go-den.  I      pray,       sir,   can  you read?

    ROMEO.

    Ay,  mine      own fortune   in    my  misery.

    SERVANT.

    Perhaps  you have       learned   it     without  book.

    But  I      pray,       can  you read anything you see?

    ROMEO.

    Ay,  If     I      know      the  letters     and the  language.

    SERVANT.

    Ye   say  honestly, rest you merry!

    ROMEO.

    Stay,       fellow;    I      can  read.

    [ He reads      the  letter. ]

    Signior   Martino  and his   wife and daughters; County Anselmo and his       beauteous     sisters; The    lady widow    of    Utruvio;

    Signior   Placentio and his   lovely     nieces; Mercutio   and his   brother       Valentine;

    Mine      uncle      Capulet, his   wife, and daughters; My      fair  niece       Rosaline and Livia;

    Signior   Valentio and his   cousin    Tybalt; Lucio  and the  lively       Helena.

    A     fair  assembly.      [ Gives    back       the  paper]    Whither  should       they come?

    SERVANT.

    Up.

    ROMEO.

    Whither  to    supper?

    SERVANT.

    To   our  house.

    ROMEO.

    Whose    house?

    SERVANT.

    My  master’s.

    ROMEO.

    Indeed    I      should    have       ask’d      you that before.

    SERVANT.

    Now       I’ll    tell  you without  asking.   My  master    is     the  great       rich Capulet, and if     you be    not  of    the  house     of       Montagues,   I      pray come      and crush      a     cup of    wine.       Rest you merry.

    [ Exit. ]

    BENVOLIO.

    At    this  same      ancient   feast       of    Capulet’s

    Sups       the  fair  Rosaline whom     thou so    lov’st; With    all    the       admired beauties of    Verona.

    Go   thither    and with unattainted   eye,

    Compare her  face with some      that I      shall show, And     I      will       make      thee think      thy  swan      a     crow.

    ROMEO.

    When     the  devout   religion   of    mine      eye

    Maintains      such falsehood,     then turn tears       to    fire; And these       who,       often      drown’d, could      never      die, Transparent       heretics, be   burnt      for   liars.

    One fairer      than my  love?      The all-seeing      sun Ne’er       saw her       match    since      first the  world      begun.

    BENVOLIO.

    Tut, you saw her  fair, none      else being     by,

    Herself   pois’d     with herself    in    either     eye:

    But  in    that crystal    scales     let   there      be   weigh’d

    Your       lady’s     love against   some      other      maid That      I      will       show      you shining   at    this  feast, And      she  shall scant      show       well that now shows     best.

    ROMEO.

    I’ll    go   along,     no   such sight       to    be   shown,

    But  to    rejoice    in    splendour      of    my  own.

    [ Exeunt. ]

    SCENE    III.    Room     in    Capulet’s House.

    Enter      LADY    CAPULET      and NURSE .

    LADY      CAPULET.

    Nurse,    where’s  my  daughter?      Call her  forth       to    me.

    NURSE.

    Now,      by   my  maidenhead, at    twelve    year old,

    I      bade      her  come.     What,     lamb!     What      ladybird!

    God forbid!    Where’s  this  girl? What,     Juliet!

    Enter      JULIET .

    JULIET.

    How now,       who calls?

    NURSE.

    Your       mother.

    JULIET.

    Madam,  I      am  here.      What      is     your will?

    LADY      CAPULET.

    This is     the  matter.   Nurse,    give leave      awhile, We     must      talk       in    secret.    Nurse,    come      back       again, I   have       remember’d  me, thou’s     hear our  counsel.

    Thou      knowest my  daughter’s     of    a     pretty     age.

    NURSE.

    Faith,      I      can  tell  her  age unto an   hour.

    LADY      CAPULET.

    She’s      not  fourteen.

    NURSE.

    I’ll    lay   fourteen of    my  teeth,

    And yet,  to    my  teen be   it     spoken,  I      have       but  four, She is       not  fourteen. How long is     it     now

    To   Lammas-tide?

    LADY      CAPULET.

    A     fortnight and odd days.

    NURSE.

    Even       or    odd, of    all    days in    the  year,

    Come     Lammas Eve  at    night      shall she  be   fourteen.

    Susan     and she,—God     rest all    Christian souls!—

    Were      of    an   age. Well,       Susan     is     with God;

    She was too  good      for   me. But  as    I      said,

    On  Lammas Eve  at    night      shall she  be   fourteen; That       shall she,       marry;    I      remember     it     well.

    ’Tis  since      the  earthquake    now eleven    years; And     she  was       wean’d,—I     never      shall forget     it—, Of   all    the  days of    the       year,       upon      that day: For  I      had then laid  wormwood    to       my  dug,

    Sitting    in    the  sun  under     the  dovehouse    wall; My  lord and you       were       then at    Mantua:

    Nay, I      do   bear a     brain.     But  as    I      said,

    When     it     did  taste       the  wormwood    on   the  nipple Of my  dug       and felt  it     bitter,     pretty     fool,

    To   see  it     tetchy,    and fall   out  with the  dug!

    Shake,    quoth     the  dovehouse:   ’twas      no   need,      I      trow, To       bid  me  trudge.

    And since      that time it     is     eleven    years;

    For  then she  could      stand      alone;     nay, by   th’rood She   could       have       run  and waddled all    about;

    For  even       the  day  before    she  broke     her  brow, And      then my       husband,—God    be   with his   soul!

    A     was a     merry     man,—took   up   the  child:

    ‘Yea,’      quoth     he,  ‘dost       thou fall   upon      thy  face?

    Thou      wilt  fall   backward      when      thou hast more      wit; Wilt  thou       not, Jule?’      and, by   my  holidame,

    The pretty     wretch    left  crying,    and said ‘Ay’.

    To   see  now how a     jest  shall come      about.

    I      warrant,  and I      should    live  a     thousand       years, I    never       should    forget     it.    ‘Wilt thou not, Jule?’      quoth     he; And,       pretty     fool, it     stinted,   and said ‘Ay.’

    LADY      CAPULET.

    Enough  of    this; I      pray thee hold thy  peace.

    NURSE.

    Yes, madam,  yet  I      cannot   choose   but  laugh,

    To   think      it     should    leave      crying,    and say  ‘Ay’; And yet  I       warrant  it     had upon      it     brow

    A     bump     as    big  as    a     young    cockerel’s      stone;

    A     perilous  knock,    and it     cried       bitterly.

    ‘Yea,’      quoth     my  husband, ‘fall’st     upon      thy  face?

    Thou      wilt  fall   backward      when      thou comest   to    age; Wilt thou       not, Jule?’      it     stinted,   and said ‘Ay’.

    JULIET.

    And stint thou too, I      pray thee,      Nurse,    say  I.

    NURSE.

    Peace,    I      have       done.     God mark      thee to    his   grace Thou       wast the  prettiest babe      that e’er I      nurs’d: And    I      might       live  to    see  thee married  once,      I      have       my  wish.

    LADY      CAPULET.

    Marry,    that marry     is     the  very theme

    I      came      to    talk  of.   Tell  me, daughter Juliet, How     stands    your       disposition    to    be   married?

    JULIET.

    It     is     an   honour   that I      dream    not  of.

    NURSE.

    An   honour!  Were      not  I      thine      only nurse,

    I      would     say  thou hadst      suck’d    wisdom  from       thy  teat.

    LADY      CAPULET.

    Well,       think      of    marriage now:       younger than you, Here      in       Verona,  ladies     of    esteem,

    Are  made     already   mothers. By   my  count

    I      was your mother   much     upon      these      years

    That you are  now a     maid.      Thus,      then,      in    brief;

    The valiant    Paris       seeks      you for   his   love.

    NURSE.

    A     man,      young    lady!       Lady,      such a     man

    As   all    the  world—why   he’s a     man of    wax.

    LADY      CAPULET.

    Verona’s summer  hath not  such a     flower.

    NURSE.

    Nay, he’s a     flower,    in    faith a     very flower.

    LADY      CAPULET.

    What      say  you, can  you love the  gentleman?

    This night      you shall behold   him at    our  feast; Read     o’er the       volume   of    young    Paris’      face,

    And find delight   writ there      with beauty’s pen.

    Examine every      married  lineament,

    And see  how one another  lends      content;

    And what       obscur’d in    this  fair  volume   lies, Find written   in    the       margent of    his   eyes.

    This precious book      of    love, this  unbound lover, To beautify  him, only       lacks       a     cover:

    The fish  lives in    the  sea; and ’tis   much     pride For fair  without  the       fair  within     to    hide.

    That book      in    many’s   eyes doth       share      the  glory, That     in       gold clasps     locks      in    the  golden   story; So shall you share       all    that he   doth       possess, By    having    him, making   yourself       no   less.

    NURSE.

    No   less, nay  bigger.   Women  grow      by   men.

    LADY      CAPULET.

    Speak     briefly,    can  you like  of    Paris’      love?

    JULIET.

    I’ll    look to    like, if     looking   liking      move:

    But  no   more      deep      will  I      endart    mine      eye

    Than      your consent  gives      strength to    make      it     fly.

    Enter      a     SERVANT .

    SERVANT.

    Madam,  the  guests    are  come,     supper    served    up,  you called,       my  young    lady asked for,      the  Nurse     cursed    in    the       pantry,   and everything     in    extremity.      I      must      hence       to wait,   I      beseech you follow     straight.

    LADY      CAPULET.

    We  follow     thee.

    [ Exit       SERVANT . ]

    Juliet,     the  County   stays.

    NURSE.

    Go,  girl, seek happy     nights     to    happy     days.

    [ Exeunt. ]

    SCENE    IV.   A     Street.

    Enter      ROMEO,      MERCUTIO,    BENVOLIO,   with five  or    six   MASKERS;      TORCHBEARERS   and others.

    ROMEO.

    What,     shall this  speech   be   spoke     for   our  excuse?

    Or   shall we   on   without  apology?

    BENVOLIO.

    The date is     out  of    such prolixity:

    We’ll       have       no   Cupid     hoodwink’d   with a     scarf, Bearing a       Tartar’s   painted  bow of    lath,

    Scaring   the  ladies     like  a     crow-keeper;

    Nor no   without-book prologue,      faintly     spoke After    the prompter,       for   our  entrance:

    But  let   them      measure us    by   what       they will,

    We’ll       measure them      a     measure, and be   gone.

    ROMEO.

    Give me  a     torch,     I      am  not  for   this  ambling; Being     but       heavy     I      will  bear the  light.

    MERCUTIO.

    Nay, gentle    Romeo,  we   must      have       you dance.

    ROMEO.

    Not I,     believe   me, you have       dancing  shoes,

    With       nimble    soles,      I      have       a     soul of    lead So   stakes       me  to    the  ground   I      cannot   move.

    MERCUTIO.

    You are  a     lover,      borrow   Cupid’s   wings,

    And soar with them      above     a     common bound.

    ROMEO.

    I      am  too  sore enpierced      with his   shaft

    To   soar with his   light feathers, and so    bound, I  cannot   bound    a       pitch      above     dull woe.

    Under     love’s     heavy     burden   do   I      sink.

    MERCUTIO.

    And, to    sink in    it,    should    you burden   love; Too great       oppression    for   a     tender    thing.

    ROMEO.

    Is     love a     tender    thing?     It     is     too  rough,

    Too rude,      too  boisterous;    and it     pricks     like  thorn.

    MERCUTIO.

    If     love be   rough     with you, be   rough     with love; Prick      love for       pricking, and you beat love down.

    Give me  a     case to    put  my  visage    in:   [ Putting on   a     mask. ]

    A     visor       for   a     visor.      What      care I

    What      curious   eye  doth       quote     deformities?

    Here       are  the  beetle-brows shall blush      for   me.

    BENVOLIO.

    Come,    knock     and enter;     and no   sooner    in

    But  every      man betake    him to    his   legs.

    ROMEO.

    A     torch      for   me: let   wantons, light of    heart, Tickle   the  senseless       rushes    with their heels; For       I      am  proverb’d      with a       grandsire       phrase, I’ll      be   a     candle-holder      and look on,

    The game     was ne’er      so    fair, and I      am  done.

    MERCUTIO.

    Tut, dun’s      the  mouse,   the  constable’s    own word: If   thou art   dun,       we’ll draw       thee from       the  mire

    Or   save your reverence      love, wherein  thou stickest Up     to    the  ears.       Come,    we   burn       daylight, ho.

    ROMEO.

    Nay, that’s      not  so.

    MERCUTIO.

    I      mean     sir,   in    delay

    We  waste     our  lights      in    vain, light lights      by   day.

    Take       our  good      meaning, for   our  judgment      sits Five  times       in    that ere  once       in    our  five  wits.

    ROMEO.

    And we   mean     well in    going     to    this  mask;

    But  ’tis   no   wit   to    go.

    MERCUTIO.

    Why,      may one ask?

    ROMEO.

    I      dreamt   a     dream    tonight.

    MERCUTIO.

    And so    did  I.

    ROMEO.

    Well what       was yours?

    MERCUTIO.

    That dreamers       often      lie.

    ROMEO.

    In    bed asleep,   while      they do   dream    things     true.

    MERCUTIO.

    O,    then,      I      see  Queen    Mab hath been      with you.

    She is     the  fairies’    midwife, and she  comes

    In    shape     no   bigger    than an   agate-stone

    On  the  fore-finger    of    an   alderman,

    Drawn    with a     team      of    little atomies

    Over       men’s     noses     as    they lie    asleep:

    Her  waggon-spokes   made     of    long spinners’ legs; The cover,     of       the  wings     of    grasshoppers;

    Her  traces,    of    the  smallest  spider’s  web;

    The collars,   of    the  moonshine’s  watery    beams; Her    whip       of       cricket’s  bone;     the  lash, of    film; Her waggoner,     a     small       grey-coated  gnat,

    Not half so    big  as    a     round     little worm

    Prick’d    from       the  lazy finger     of    a     maid:

    Her  chariot   is     an   empty    hazelnut,

    Made     by   the  joiner     squirrel   or    old  grub,

    Time       out  o’    mind      the  fairies’    coachmakers.

    And in    this  state       she  gallops   night      by   night Through       lovers’    brains,    and then they dream    of    love; O’er       courtiers’       knees,    that dream    on   curtsies  straight; O’er lawyers’  fingers,       who straight  dream    on   fees; O’er       ladies’    lips, who straight       on   kisses     dream, Which oft   the  angry     Mab with blisters       plagues, Because  their breaths   with sweetmeats   tainted   are: Sometime      she  gallops   o’er a     courtier’s nose, And      then dreams       he   of    smelling out  a     suit;

    And sometime      comes    she  with a     tithe-pig’s     tail, Tickling   a       parson’s nose       as    a     lies  asleep,

    Then      dreams   he   of    another  benefice:

    Sometime      she  driveth   o’er a     soldier’s  neck, And      then dreams       he   of    cutting   foreign   throats, Of     breaches,      ambuscados,       Spanish  blades,

    Of   healths   five  fathom   deep;      and then anon

    Drums    in    his   ear, at    which     he   starts      and wakes; And,       being     thus frighted, swears    a     prayer    or    two, And sleeps       again.     This is     that very Mab

    That plats       the  manes    of    horses    in    the  night; And     bakes       the  elf-locks in    foul sluttish   hairs, Which,  once       untangled,       much     misfortune     bodes: This    is     the  hag, when      maids       lie    on   their backs, That    presses   them,     and learns     them       first to    bear, Making them      women   of    good      carriage:

    This is     she,—

    ROMEO.

    Peace,    peace,    Mercutio,       peace,

    Thou      talk’st     of    nothing.

    MERCUTIO.

    True,      I      talk  of    dreams,

    Which    are  the  children  of    an   idle  brain,

    Begot     of    nothing  but  vain fantasy,

    Which    is     as    thin of    substance      as    the  air,

    And more      inconstant     than the  wind,      who wooes Even   now the       frozen    bosom    of    the  north,

    And, being     anger’d,  puffs       away      from       thence, Turning    his       side to    the  dew-dropping      south.

    BENVOLIO.

    This wind       you talk  of    blows     us    from       ourselves: Supper is       done,     and we   shall come      too  late.

    ROMEO.

    I      fear too  early:      for   my  mind      misgives

    Some     consequence yet  hanging in    the  stars,

    Shall       bitterly   begin     his   fearful    date

    With       this  night’s    revels;    and expire     the  term Of  a     despised       life,  clos’d     in    my  breast

    By   some      vile  forfeit     of    untimely death.

    But  he   that hath the  steerage of    my  course

    Direct     my  suit. On,  lusty gentlemen!

    BENVOLIO.

    Strike,     drum.

    [ Exeunt. ]

    SCENE    V.    A     Hall in    Capulet’s House.

    Musicians      waiting.  Enter      SERVANTS .

    FIRST      SERVANT.

    Where’s  Potpan,  that he   helps      not  to    take away?

    He   shift a     trencher! He   scrape    a     trencher!

    SECOND SERVANT.

    When     good      manners shall lie    all    in    one or    two men’s       hands,    and they unwash’d too,       ’tis   a     foul thing.

    FIRST      SERVANT.

    Away      with      the join-stools,  remove the court-cupboard, look to  the plate.    Good thou,  save me  a     piece      of       marchpane;   and as    thou loves      me, let   the  porter     let   in

    Susan     Grindstone    and Nell. Antony   and Potpan!

    SECOND SERVANT.

    Ay,  boy, ready.

    FIRST      SERVANT.

    You are  looked    for   and called     for,  asked     for   and sought   for,       in    the  great      chamber.

    SECOND SERVANT.

    We  cannot   be   here and there      too. Cheerly,  boys.      Be   brisk       awhile,   and the  longer liver    take all.

    [ Exeunt. ]

    Enter      CAPULET,    &c.  with the  Guests    and Gentlewomen to    the       Maskers.

    CAPULET.

    Welcome,      gentlemen,    ladies     that have       their toes Unplagu’d       with corns      will  have       a     bout       with you.

    Ah   my  mistresses,     which     of    you all

    Will now deny       to    dance?   She that makes    dainty, She    I’ll       swear     hath corns.     Am  I      come      near ye    now?

    Welcome,      gentlemen!    I      have       seen the  day

    That I      have       worn      a     visor,      and could      tell

    A     whispering    tale in    a     fair  lady’s     ear,

    Such       as    would     please;   ’tis   gone,     ’tis   gone,     ’tis   gone, You are  welcome,       gentlemen!    Come,    musicians,     play.

    A     hall, a     hall, give room!     And foot it,    girls.

    [ Music   plays,     and they dance. ]

    More      light,      you knaves;   and turn the  tables     up, And  quench       the  fire, the  room      is     grown    too  hot.

    Ah   sirrah,     this  unlook’d-for  sport      comes    well.

    Nay sit,   nay  sit,   good      cousin    Capulet,

    For  you and I      are  past our  dancing  days;

    How long is’t   now since      last  yourself  and I Were    in    a     mask?

    CAPULET’S    COUSIN.

    By’r Lady,      thirty      years.

    CAPULET.

    What,     man,      ’tis   not  so    much,     ’tis   not  so    much:

    ’Tis  since      the  nuptial   of    Lucentio, Come    Pentecost      as       quickly   as    it     will,

    Some     five  and twenty    years;     and then we   mask’d.

    CAPULET’S    COUSIN.

    ’Tis  more,     ’tis   more,     his   son  is     elder,      sir; His    son  is    thirty.

    CAPULET.

    Will you tell  me  that?

    His  son  was but  a     ward       two years      ago.

    ROMEO.

    What      lady is     that, which     doth       enrich     the  hand Of  yonder       knight?

    SERVANT.

    I      know      not, sir.

    ROMEO.

    O,    she  doth       teach      the  torches   to    burn       bright!

    It     seems    she  hangs     upon      the  cheek     of    night

    As   a     rich jewel      in    an   Ethiop’s  ear;

    Beauty    too  rich for   use, for   earth      too  dear!

    So   shows     a     snowy    dove       trooping with crows

    As   yonder   lady o’er her  fellows    shows.

    The measure done,     I’ll    watch     her  place      of    stand, And       touching hers,       make      blessed   my  rude hand.

    Did  my  heart      love till   now?      Forswear it,    sight!

    For  I      ne’er      saw true beauty    till   this  night.

    TYBALT.

    This by   his   voice,     should    be   a     Montague.

    Fetch      me  my  rapier,    boy. What,     dares      the  slave Come       hither,    cover’d   with an   antic       face,

    To   fleer and scorn      at    our  solemnity?

    Now       by   the  stock      and honour   of    my  kin,

    To   strike      him dead      I      hold it     not  a     sin.

    CAPULET.

    Why how now,       kinsman!

    Wherefore     storm     you so?

    TYBALT.

    Uncle,     this  is     a     Montague,    our  foe;

    A     villain     that is     hither     come      in    spite,

    To   scorn      at    our  solemnity      this  night.

    CAPULET.

    Young    Romeo,  is     it?

    TYBALT.

    ’Tis  he,  that villain     Romeo.

    CAPULET.

    Content  thee,      gentle    coz, let   him alone,

    A     bears      him like  a     portly     gentleman;

    And, to    say  truth,      Verona   brags      of    him

    To   be   a     virtuous  and well-govern’d youth.

    I      would     not  for   the  wealth    of    all    the  town

    Here       in    my  house     do   him disparagement.

    Therefore      be   patient,  take no   note of    him,

    It     is     my  will; the  which     if     thou respect,

    Show      a     fair  presence and put  off   these      frowns, An     ill-beseeming    semblance     for   a     feast.

    TYBALT.

    It     fits   when      such a     villain     is     a     guest:

    I’ll    not  endure   him.

    CAPULET.

    He   shall be   endur’d.

    What,     goodman      boy! I      say  he   shall,      go   to;

    Am  I      the  master    here,      or    you?       Go   to.

    You’ll      not  endure   him! God shall mend     my  soul, You’ll     make       a     mutiny   among   my  guests!

    You will  set   cock-a-hoop, you’ll      be   the  man!

    TYBALT.

    Why,      uncle,     ’tis   a     shame.

    CAPULET.

    Go   to,   go   to!

    You are  a     saucy     boy. Is’t   so,   indeed?

    This trick may chance   to    scathe    you, I      know      what.

    You must      contrary me! Marry,    ’tis   time.

    Well said, my  hearts!—You are  a     princox;  go: Be     quiet,     or—More       light,      more      light!—For     shame!

    I’ll    make      you quiet.     What,     cheerly,  my  hearts.

    TYBALT.

    Patience perforce with wilful      choler     meeting Makes     my  flesh       tremble  in    their different greeting.

    I      will  withdraw:      but  this  intrusion shall,

    Now       seeming sweet,    convert   to    bitter      gall.

    [ Exit. ]

    ROMEO.

    [ To Juliet. ]    If     I      profane  with my  unworthiest   hand This      holy       shrine,    the  gentle    sin   is     this,

    My  lips, two blushing pilgrims, ready      stand To smooth  that rough       touch     with a     tender    kiss.

    JULIET.

    Good      pilgrim,   you do   wrong    your hand      too  much, Which       mannerly devotion shows     in    this;

    For  saints     have       hands     that pilgrims’ hands     do   touch, And       palm      to    palm      is     holy palmers’ kiss.

    ROMEO.

    Have      not  saints     lips, and holy palmers  too?

    JULIET.

    Ay,  pilgrim,   lips  that they must      use  in    prayer.

    ROMEO.

    O,    then,      dear saint,      let   lips  do   what       hands     do: They pray,       grant      thou,      lest  faith turn to    despair.

    JULIET.

    Saints     do   not  move,     though   grant      for   prayers’  sake.

    ROMEO.

    Then      move      not  while      my  prayer’s  effect      I      take.

    Thus       from       my  lips, by   thine      my  sin   is     purg’d.

    [ Kissing her. ]

    JULIET.

    Then      have       my  lips  the  sin   that they have       took.

    ROMEO.

    Sin  from       my  lips? O    trespass  sweetly   urg’d!

    Give me  my  sin   again.

    JULIET.

    You kiss  by   the  book.

    NURSE.

    Madam,  your mother   craves    a     word      with you.

    ROMEO.

    What      is     her  mother?

    NURSE.

    Marry,    bachelor,

    Her  mother   is     the  lady of    the  house,

    And a     good      lady, and a     wise and virtuous.

    I      nurs’d     her  daughter that you talk’d      withal.

    I      tell  you, he   that can  lay   hold of    her

    Shall       have       the  chinks.

    ROMEO.

    Is     she  a     Capulet?

    O    dear account! My  life   is     my  foe’s       debt.

    BENVOLIO.

    Away,     be   gone;     the  sport      is     at    the  best.

    ROMEO.

    Ay,  so    I      fear; the  more      is     my  unrest.

    CAPULET.

    Nay, gentlemen,    prepare  not  to    be   gone,

    We  have       a     trifling    foolish    banquet towards.

    Is     it     e’en so?  Why then,      I      thank     you all;

    I      thank     you, honest    gentlemen;    good      night.

    More      torches   here!      Come     on   then,      let’s to    bed.

    Ah,  sirrah,     by   my  fay,  it     waxes     late,

    I’ll    to    my  rest.

    [ Exeunt  all    but  JULIET and NURSE . ]

    JULIET.

    Come     hither,    Nurse.    What      is     yond      gentleman?

    NURSE.

    The son  and heir of    old  Tiberio.

    JULIET.

    What’s    he   that now is     going     out  of    door?

    NURSE.

    Marry,    that I      think      be   young    Petruchio.

    JULIET.

    What’s    he   that follows   here,      that would     not  dance?

    NURSE.

    I      know      not.

    JULIET.

    Go   ask  his   name.     If     he   be   married,

    My  grave      is     like  to    be   my  wedding bed.

    NURSE.

    His  name     is     Romeo,  and a     Montague,

    The only son  of    your great      enemy.

    JULIET.

    My  only love sprung   from       my  only hate!

    Too early       seen unknown,      and known    too  late!

    Prodigious     birth       of    love it     is     to    me,

    That I      must      love a     loathed  enemy.

    NURSE.

    What’s    this? What’s    this?

    JULIET.

    A     rhyme    I      learn’d    even       now

    Of   one I      danc’d    withal.

    [ One      calls within,    ‘Juliet’. ]

    NURSE.

    Anon,     anon!

    Come     let’s away,     the  strangers all    are  gone.

    [ Exeunt. ]

    ACT II

    Enter      CHORUS .

    CHORUS.

    Now       old  desire     doth       in    his   deathbed      lie,

    And young    affection gapes     to    be   his   heir;

    That fair  for   which     love groan’d  for   and would     die, With tender       Juliet      match’d, is     now not  fair.

    Now       Romeo   is     belov’d,  and loves      again,

    Alike       bewitched     by   the  charm    of    looks;

    But  to    his   foe  suppos’d he   must      complain,

    And she  steal love’s     sweet     bait from       fearful    hooks: Being  held       a     foe, he   may not  have       access

    To   breathe  such vows      as    lovers     use  to    swear; And     she  as       much     in    love, her  means    much     less To    meet      her  new       beloved  anywhere.

    But  passion  lends      them      power,    time means,   to    meet, Tempering     extremities    with extreme  sweet.

    [ Exit. ]

    SCENE    I.     An   open      place      adjoining       Capulet’s Garden.

    Enter      ROMEO .

    ROMEO.

    Can I      go   forward  when      my  heart      is     here?

    Turn back,      dull earth,     and find thy  centre    out.

    [ He climbs    the  wall and leaps      down      within     it. ]

    Enter      BENVOLIO and MERCUTIO .

    BENVOLIO.

    Romeo!  My  cousin    Romeo!  Romeo!

    MERCUTIO.

    He   is     wise,

    And on   my  life   hath stol’n      him home     to    bed.

    BENVOLIO.

    He   ran  this  way, and leap’d     this  orchard  wall: Call, good      Mercutio.

    MERCUTIO.

    Nay, I’ll    conjure   too.

    Romeo!  Humours!      Madman!      Passion! Lover!

    Appear   thou in    the  likeness  of    a     sigh,

    Speak     but  one rhyme,    and I      am  satisfied;

    Cry  but  ‘Ah  me!’ Pronounce    but  Love       and dove; Speak   to    my       gossip    Venus     one fair  word,

    One nickname      for   her  purblind son  and heir, Young    Abraham       Cupid,    he   that shot so    trim

    When     King Cophetua      lov’d       the  beggar-maid.

    He   heareth  not, he   stirreth   not, he   moveth  not; The  ape is    dead,       and I      must      conjure   him.

    I      conjure   thee by   Rosaline’s      bright     eyes,

    By   her  high forehead and her  scarlet    lip,

    By   her  fine foot, straight  leg,  and quivering       thigh, And     the       demesnes      that there      adjacent lie,

    That in    thy  likeness  thou appear   to    us.

    BENVOLIO.

    An   if     he   hear thee,      thou wilt  anger     him.

    MERCUTIO.

    This cannot   anger     him. ’Twould  anger     him

    To   raise a     spirit       in    his   mistress’ circle,

    Of   some      strange   nature,   letting    it     there      stand Till she  had       laid  it,    and conjur’d  it     down; That    were       some      spite.       My  invocation

    Is     fair  and honest,   and, in    his   mistress’ name, I   conjure   only but       to    raise up   him.

    BENVOLIO.

    Come,    he   hath hid  himself   among   these      trees To  be       consorted      with the  humorous     night.

    Blind      is     his   love, and best befits      the  dark.

    MERCUTIO.

    If     love be   blind,      love cannot   hit   the  mark.

    Now       will  he   sit    under     a     medlar   tree,

    And wish his   mistress  were       that kind of    fruit As   maids     call       medlars  when      they laugh     alone.

    O    Romeo,  that she  were,      O    that she  were

    An   open-arse     and thou a     poperin  pear!

    Romeo,  good      night.     I’ll    to    my  truckle-bed.

    This field-bed       is     too  cold for   me  to    sleep.

    Come,    shall we   go?

    BENVOLIO.

    Go   then;      for   ’tis   in    vain

    To   seek him here that means    not  to    be   found.

    [ Exeunt. ]

    SCENE    II.     Capulet’s Garden.

    Enter      ROMEO .

    ROMEO.

    He   jests at    scars      that never      felt  a     wound.

    JULIET    appears  above     at    a     window.

    But  soft, what       light through  yonder   window  breaks?

    It     is     the  east, and Juliet      is     the  sun!

    Arise       fair  sun  and kill   the  envious  moon,

    Who       is     already   sick and pale with grief,

    That thou her  maid      art   far   more      fair  than she.

    Be   not  her  maid      since      she  is     envious;

    Her  vestal     livery      is     but  sick and green,

    And none      but  fools       do   wear       it;    cast it     off.

    It     is     my  lady, O    it     is     my  love!

    O,    that she  knew      she  were!

    She speaks,   yet  she  says nothing. What      of    that?

    Her  eye  discourses,    I      will  answer   it.

    I      am  too  bold,      ’tis   not  to    me  she  speaks.

    Two of    the  fairest     stars in    all    the  heaven, Having     some       business, do   entreat   her  eyes

    To   twinkle   in    their spheres  till   they return.

    What      if     her  eyes were       there,     they in    her  head?

    The brightness     of    her  cheek     would     shame    those      stars, As       daylight  doth       a     lamp;      her  eyes in    heaven Would       through  the  airy  region    stream    so    bright That    birds       would     sing and think      it     were       not  night.

    See  how she  leans      her  cheek     upon      her  hand.

    O    that I      were       a     glove      upon      that hand,

    That I      might     touch     that cheek.

    JULIET.

    Ay   me.

    ROMEO.

    She speaks.

    O    speak     again      bright     angel,     for   thou art

    As   glorious  to    this  night,     being     o’er my  head, As is     a       winged   messenger    of    heaven

    Unto       the  white-upturned    wondering     eyes

    Of   mortals   that fall   back       to    gaze       on   him

    When     he   bestrides the  lazy-puffing  clouds

    And sails upon      the  bosom    of    the  air.

    JULIET.

    O    Romeo,  Romeo,  wherefore      art   thou Romeo?

    Deny      thy  father     and refuse     thy  name.

    Or   if     thou wilt  not, be   but  sworn     my  love,

    And I’ll    no   longer    be   a     Capulet.

    ROMEO.

    [ Aside. ] Shall       I      hear more,     or    shall I      speak     at    this?

    JULIET.

    ’Tis  but  thy  name     that is     my  enemy;

    Thou      art   thyself,   though   not  a     Montague.

    What’s    Montague?    It     is     nor  hand      nor  foot,

    Nor arm, nor  face, nor  any  other      part

    Belonging      to    a     man.      O    be   some      other      name.

    What’s    in    a     name?    That which     we   call  a     rose By   any       other      name     would     smell      as    sweet;

    So   Romeo   would,    were       he   not  Romeo   call’d,

    Retain    that dear perfection      which     he   owes

    Without  that title. Romeo,  doff thy  name, And     for   thy  name,       which     is     no   part of    thee, Take      all    myself.

    ROMEO.

    I      take thee at    thy  word.

    Call me  but  love, and I’ll    be   new baptis’d; Henceforth    I      never       will  be   Romeo.

    JULIET.

    What      man art   thou that, thus bescreen’d    in    night So  stumblest       on   my  counsel?

    ROMEO.

    By   a     name

    I      know      not  how to    tell  thee who I      am:

    My  name,     dear saint,      is     hateful   to    myself,

    Because it     is     an   enemy    to    thee.

    Had I      it     written,   I      would     tear the  word.

    JULIET.

    My  ears have       yet  not  drunk     a     hundred words

    Of   thy  tongue’s utterance,      yet  I      know      the  sound.

    Art   thou not  Romeo,  and a     Montague?

    ROMEO.

    Neither,  fair  maid,      if     either     thee dislike.

    JULIET.

    How cam’st    thou hither,    tell  me, and wherefore?

    The orchard  walls       are  high and hard to    climb, And     the  place       death,    considering   who thou art, If      any  of    my  kinsmen find       thee here.

    ROMEO.

    With       love’s     light wings     did  I      o’erperch       these      walls, For       stony      limits      cannot   hold love out,

    And what       love can  do,  that dares      love attempt: Therefore       thy       kinsmen are  no   stop to    me.

    JULIET.

    If     they do   see  thee,      they will  murder   thee.

    ROMEO.

    Alack,     there      lies  more      peril in    thine      eye Than twenty    of       their swords.   Look       thou but  sweet, And     I      am  proof       against   their enmity.

    JULIET.

    I      would     not  for   the  world      they saw thee here.

    ROMEO.

    I      have       night’s    cloak      to    hide me  from       their eyes, And       but  thou love me, let   them      find me  here.

    My  life   were       better     ended    by   their hate

    Than      death     prorogued,    wanting  of    thy  love.

    JULIET.

    By   whose    direction found’st  thou out  this  place?

    ROMEO.

    By   love, that first did  prompt   me  to    enquire; He    lent me  counsel,       and I      lent him eyes.

    I      am  no   pilot;      yet  wert thou as    far

    As   that vast shore      wash’d   with the  farthest  sea, I       should       adventure      for   such merchandise.

    JULIET.

    Thou      knowest the  mask      of    night      is     on   my  face, Else       would     a     maiden   blush      bepaint  my  cheek

    For  that which     thou hast heard     me  speak     tonight.

    Fain would     I      dwell      on   form,      fain, fain deny What     I      have       spoke;    but  farewell  compliment.

    Dost thou love me? I      know      thou wilt  say  Ay, And  I      will  take thy       word.      Yet, if     thou swear’st, Thou      mayst     prove     false.       At    lovers’    perjuries, They      say  Jove laughs.   O    gentle       Romeo,

    If     thou dost love, pronounce    it     faithfully.

    Or   if     thou thinkest  I      am  too  quickly   won,

    I’ll    frown     and be   perverse, and say  thee nay, So   thou wilt  woo.       But  else, not  for   the  world.

    In    truth,      fair  Montague,    I      am  too  fond;

    And therefore thou mayst     think      my  ’haviour  light: But trust me,       gentleman,    I’ll    prove     more      true Than      those      that have       more      cunning  to    be   strange.

    I      should    have       been      more      strange,  I      must      confess, But  that thou overheard’st, ere  I      was ’ware, My       true-love       passion;  therefore pardon   me,

    And not  impute   this  yielding  to    light love, Which   the  dark night       hath so    discovered.

    ROMEO.

    Lady,      by   yonder   blessed   moon     I      vow,

    That tips  with silver      all    these      fruit-tree tops,—

    JULIET.

    O    swear     not  by   the  moon,    th’inconstant moon, That    monthly       changes in    her  circled    orb,

    Lest that thy  love prove     likewise  variable.

    ROMEO.

    What      shall I      swear     by?

    JULIET.

    Do   not  swear     at    all.

    Or   if     thou wilt, swear     by   thy  gracious self, Which     is     the  god       of    my  idolatry,

    And I’ll    believe   thee.

    ROMEO.

    If     my  heart’s    dear love,—

    JULIET.

    Well,       do   not  swear.    Although I      joy   in    thee, I     have       no       joy   of    this  contract tonight;

    It     is     too  rash,       too  unadvis’d,      too  sudden,

    Too like  the  lightning,       which     doth       cease     to    be Ere    one       can  say  It     lightens. Sweet,    good      night.

    This bud of    love, by   summer’s      ripening breath, May   prove     a       beauteous     flower     when      next we   meet.

    Good      night,     good      night.     As   sweet     repose    and rest Come     to    thy  heart      as    that within     my  breast.

    ROMEO.

    O    wilt  thou leave      me  so    unsatisfied?

    JULIET.

    What      satisfaction    canst      thou have       tonight?

    ROMEO.

    Th’exchange  of    thy  love’s     faithful   vow for   mine.

    JULIET.

    I      gave       thee mine      before    thou didst       request   it; And    yet  I       would     it     were       to    give again.

    ROMEO.

    Would’st thou withdraw it?    For  what       purpose, love?

    JULIET.

    But  to    be   frank      and give it     thee again.

    And yet  I      wish but  for   the  thing      I      have;

    My  bounty   is     as    boundless     as    the  sea,

    My  love as    deep;      the  more      I      give to    thee,

    The more      I      have,      for   both       are  infinite.

    I      hear some      noise      within.    Dear       love, adieu.

    [ Nurse   calls within. ]

    Anon,     good      Nurse!—Sweet     Montague     be   true.

    Stay but  a     little,       I      will  come      again.

    [ Exit. ]

    ROMEO.

    O    blessed,  blessed   night.     I      am  afeard,

    Being     in    night,     all    this  is     but  a     dream,

    Too flattering sweet     to    be   substantial.

    Enter      JULIET above.

    JULIET.

    Three     words,    dear Romeo,  and good      night      indeed.

    If     that thy  bent of    love be   honourable,

    Thy  purpose  marriage,       send       me  word      tomorrow, By one that       I’ll    procure  to    come      to    thee,

    Where    and what       time thou wilt  perform  the  rite, And all    my       fortunes at    thy  foot I’ll    lay

    And follow     thee my  lord throughout    the  world.

    NURSE.

    [ Within. ]       Madam.

    JULIET.

    I      come,     anon.—  But  if     thou meanest not  well,

    I      do   beseech thee,—

    NURSE.

    [ Within. ]       Madam.

    JULIET.

    By   and by   I      come—

    To   cease     thy  strife       and leave      me  to    my  grief.

    Tomorrow     will  I      send.

    ROMEO.

    So   thrive     my  soul,—

    JULIET.

    A     thousand       times      good      night.

    [ Exit. ]

    ROMEO.

    A     thousand       times      the  worse,    to    want       thy  light.

    Love       goes       toward   love as    schoolboys    from       their books, But  love from       love, towards  school    with heavy     looks.

    [ Retiring slowly. ]

    Re-enter JULIET, above.

    JULIET.

    Hist! Romeo,  hist! O    for   a     falconer’s      voice To lure this  tassel-gentle    back       again.

    Bondage is     hoarse    and may not  speak     aloud,

    Else would     I      tear the  cave where     Echo       lies, And make      her       airy  tongue   more      hoarse    than mine With     repetition      of       my  Romeo’s name.

    ROMEO.

    It     is     my  soul that calls upon      my  name.

    How silver-sweet   sound     lovers’    tongues  by   night, Like      softest       music     to    attending      ears.

    JULIET.

    Romeo.

    ROMEO.

    My  nyas?

    JULIET.

    What      o’clock   tomorrow

    Shall       I      send       to    thee?

    ROMEO.

    By   the  hour       of    nine.

    JULIET.

    I      will  not  fail.  ’Tis  twenty    years      till   then.

    I      have       forgot     why I      did  call  thee back.

    ROMEO.

    Let  me  stand      here till   thou remember     it.

    JULIET.

    I      shall forget,    to    have       thee still  stand      there, Remembering       how I      love thy  company.

    ROMEO.

    And I’ll    still  stay, to    have       thee still  forget, Forgetting any  other       home     but  this.

    JULIET.

    ’Tis  almost    morning; I      would     have       thee gone, And     yet  no       farther    than a     wanton’s bird,

    That lets  it     hop a     little from       her  hand,

    Like a     poor       prisoner  in    his   twisted   gyves,

    And with a     silk  thread    plucks    it     back       again, So loving-jealous       of    his   liberty.

    ROMEO.

    I      would     I      were       thy  bird.

    JULIET.

    Sweet,    so    would     I:

    Yet  I      should    kill   thee with much     cherishing.

    Good      night,     good      night.     Parting   is     such sweet     sorrow That I      shall say  good      night      till   it     be   morrow.

    [ Exit. ]

    ROMEO.

    Sleep      dwell      upon      thine      eyes,      peace     in    thy  breast.

    Would    I      were       sleep      and peace,    so    sweet     to    rest.

    The grey-ey’d      morn      smiles     on   the  frowning night, Chequering       the  eastern   clouds    with streaks   of    light; And       darkness       fleckled  like  a     drunkard reels From     forth       day’s      pathway,       made     by   Titan’s    wheels Hence will  I      to    my  ghostly   Sire’s       cell,

    His  help to    crave      and my  dear hap to    tell.

    [ Exit. ]

    SCENE    III.    Friar Lawrence’s    Cell.

    Enter      FRIAR    LAWRENCE   with a     basket.

    FRIAR     LAWRENCE.

    Now,      ere  the  sun  advance his   burning  eye,

    The day  to    cheer,     and night’s    dank       dew to    dry, I       must       upfill       this  osier       cage       of    ours

    With       baleful    weeds    and precious-juiced    flowers.

    The earth      that’s      nature’s  mother,  is     her  tomb; What   is     her       burying  grave,     that is     her  womb: And    from       her  womb       children  of    divers     kind

    We  sucking  on   her  natural   bosom    find.

    Many      for   many      virtues    excellent,

    None      but  for   some,     and yet  all    different.

    O,    mickle    is     the  powerful grace      that lies

    In    plants,    herbs,     stones,   and their true qualities.

    For  naught   so    vile  that on   the  earth      doth       live But   to    the       earth      some      special    good      doth       give; Nor aught     so       good      but, strain’d   from       that fair  use, Revolts   from       true       birth,      stumbling      on   abuse.

    Virtue     itself turns      vice being     misapplied,

    And vice sometime’s    by   action     dignified.

    Enter      ROMEO .

    Within    the  infant     rind of    this  weak      flower

    Poison    hath residence,      and medicine power:

    For  this, being     smelt,     with that part cheers    each       part; Being       tasted,    slays       all    senses    with the  heart.

    Two such opposed kings      encamp  them      still

    In    man as    well as    herbs,—grace and rude will; And where     the       worser    is     predominant,

    Full  soon       the  canker    death     eats up   that plant.

    ROMEO.

    Good      morrow, father.

    FRIAR     LAWRENCE.

    Benedicite!

    What      early       tongue   so    sweet     saluteth  me?

    Young    son, it     argues    a     distemper’d   head

    So   soon       to    bid  good      morrow  to    thy  bed.

    Care keeps     his   watch     in    every      old  man’s     eye, And where       care lodges    sleep      will  never      lie; But    where     unbruised       youth     with unstuff’d brain Doth     couch     his   limbs,     there       golden   sleep      doth       reign.

    Therefore      thy  earliness doth       me  assure

    Thou      art   uprous’d with some      distemperature; Or      if     not  so,       then here I      hit   it     right,

    Our Romeo   hath not  been      in    bed tonight.

    ROMEO.

    That last  is     true; the  sweeter  rest was mine.

    FRIAR     LAWRENCE.

    God pardon   sin.  Wast      thou with Rosaline?

    ROMEO.

    With       Rosaline, my  ghostly   father?    No.

    I      have       forgot     that name,     and that name’s   woe.

    FRIAR     LAWRENCE.

    That’s     my  good      son. But  where     hast thou been      then?

    ROMEO.

    I’ll    tell  thee ere  thou ask  it     me  again.

    I      have       been      feasting  with mine      enemy,

    Where    on   a     sudden   one hath wounded       me

    That’s     by   me  wounded.      Both       our  remedies

    Within    thy  help and holy physic    lies.

    I      bear no   hatred,   blessed   man;      for   lo,

    My  intercession   likewise  steads    my  foe.

    FRIAR     LAWRENCE.

    Be   plain,      good      son, and homely   in    thy  drift; Riddling       confession     finds       but  riddling  shrift.

    ROMEO.

    Then      plainly    know      my  heart’s    dear love is     set On    the  fair       daughter of    rich Capulet.

    As   mine      on   hers,       so    hers is     set   on   mine;

    And all    combin’d,      save what       thou must      combine

    By   holy marriage.       When,    and where,    and how We  met, we       woo’d,    and made     exchange      of    vow, I’ll   tell  thee as    we       pass;      but  this  I      pray, That      thou consent  to    marry     us       today.

    FRIAR     LAWRENCE.

    Holy Saint      Francis!  What      a     change   is     here!

    Is     Rosaline, that thou didst       love so    dear,

    So   soon       forsaken?       Young    men’s     love then lies Not   truly in       their hearts,    but  in    their eyes.

    Jesu Maria,     what       a     deal of    brine

    Hath       wash’d   thy  sallow     cheeks    for   Rosaline!

    How much     salt  water      thrown   away      in    waste,

    To   season   love, that of    it     doth       not  taste.

    The sun  not  yet  thy  sighs      from       heaven   clears, Thy     old       groans    yet  ring in    mine      ancient   ears.

    Lo   here upon      thy  cheek     the  stain       doth       sit

    Of   an   old  tear that is     not  wash’d   off   yet.

    If     ere  thou wast thyself,   and these      woes      thine, Thou    and       these      woes      were       all    for   Rosaline,

    And art   thou chang’d? Pronounce    this  sentence then, Women may fall,       when      there’s    no   strength in    men.

    ROMEO.

    Thou      chidd’st  me  oft   for   loving     Rosaline.

    FRIAR     LAWRENCE.

    For  doting,   not  for   loving,    pupil      mine.

    ROMEO.

    And bad’st     me  bury love.

    FRIAR     LAWRENCE.

    Not in    a     grave

    To   lay   one in,   another  out  to    have.

    ROMEO.

    I      pray thee chide      me  not, her  I      love now

    Doth       grace      for   grace      and love for   love allow.

    The other      did  not  so.

    FRIAR     LAWRENCE.

    O,    she  knew      well

    Thy  love did  read by   rote, that could      not  spell.

    But  come      young    waverer, come      go   with me,

    In    one respect   I’ll    thy  assistant be;

    For  this  alliance  may so    happy     prove,

    To   turn your households’   rancour  to    pure love.

    ROMEO.

    O    let   us    hence;    I      stand      on   sudden   haste.

    FRIAR     LAWRENCE.

    Wisely    and slow;      they stumble  that run  fast.

    [ Exeunt. ]

    SCENE    IV.   A     Street.

    Enter      BENVOLIO and MERCUTIO .

    MERCUTIO.

    Where    the  devil       should    this  Romeo   be?  Came     he   not       home     tonight?

    BENVOLIO.

    Not to    his   father’s;  I      spoke     with his   man.

    MERCUTIO.

    Why,      that same      pale hard-hearted wench,   that Rosaline, torments       him so    that he will    sure run  mad.

    BENVOLIO.

    Tybalt,    the  kinsman to    old  Capulet, hath sent a     letter      to    his       father’s   house.

    MERCUTIO.

    A     challenge,     on   my  life.

    BENVOLIO.

    Romeo   will  answer   it.

    MERCUTIO.

    Any man that can  write       may answer   a     letter.

    BENVOLIO.

    Nay, he   will  answer   the  letter’s    master,   how he   dares,     being       dared.

    MERCUTIO.

    Alas poor       Romeo,  he   is     already   dead,      stabbed  with a       white      wench’s  black      eye;

    run  through  the  ear  with a     love song,      the  very pin  of    his   heart       cleft with the  blind bow-boy’s   butt-shaft.     And is     he   a     man       to    encounter     Tybalt?

    BENVOLIO.

    Why,      what       is     Tybalt?

    MERCUTIO.

    More      than     Prince   of  cats.     O,  he’s      the courageous captain   of  compliments.      He fights      as    you sing prick-song,       keeps     time,      distance, and proportion.    He   rests his minim      rest, one,      two,      and       the third     in   your      bosom: the very butcher of  a    silk button,   a     duellist,  a     duellist;  a       gentleman     of    the  very first house,    of    the  first and second       cause.    Ah,  the  immortal passado, the  punto     reverso,  the  hay.

    BENVOLIO.

    The what?

    MERCUTIO.

    The pox  of    such antic       lisping,   affecting phantasies;    these      new       tuners    of    accent.

    By   Jesu,       a     very good      blade,     a     very tall  man,      a     very       good      whore.    Why,      is     not  this a      lamentable    thing,       grandsire,      that we   should    be   thus afflicted  with these       strange flies,  these      fashion-mongers, these      pardon-me’s, who       stand      so    much     on   the  new form       that they cannot   sit       at    ease on   the  old  bench?   O    their bones,    their bones!

    Enter      ROMEO .

    BENVOLIO.

    Here       comes    Romeo,  here comes    Romeo!

    MERCUTIO.

    Without  his   roe, like  a     dried      herring.  O    flesh,      flesh,      how       art   thou fishified! Now is    he  for the numbers      that      Petrarch flowed  in.  Laura,   to  his lady,     was       but a kitchen   wench,—marry,  she had       a    better   love      to  berhyme her:       Dido     a    dowdy; Cleopatra       a     gypsy;       Helen     and Hero       hildings  and harlots;   Thisbe    a     grey eye       or    so, but    not to  the purpose.      Signior  Romeo, bonjour!       There’s a    French  salutation    to your French    slop. You gave       us    the  counterfeit    fairly       last  night.

    ROMEO.

    Good      morrow  to    you both.      What      counterfeit    did  I      give       you?

    MERCUTIO.

    The slip  sir,   the  slip; can  you not  conceive?

    ROMEO.

    Pardon,  good      Mercutio,       my  business was great,     and in    such       a     case as    mine      a     man

    may strain      courtesy.

    MERCUTIO.

    That’s     as  much    as  to  say,       such     a    case      as  yours      constrains    a    man      to  bow      in   the hams.

    ROMEO.

    Meaning,       to    curtsy.

    MERCUTIO.

    Thou      hast most      kindly     hit   it.

    ROMEO.

    A     most      courteous      exposition.

    MERCUTIO.

    Nay, I      am  the  very pink of    courtesy.

    ROMEO.

    Pink for   flower.

    MERCUTIO.

    Right.

    ROMEO.

    Why,      then is     my  pump     well flowered.

    MERCUTIO.

    Sure wit,  follow     me  this  jest  now,       till   thou hast worn      out  thy       pump,    that when      the single      sole of    it     is     worn,      the       jest  may remain   after the  wearing, solely     singular.

    ROMEO.

    O    single-soled  jest, solely     singular  for   the  singleness!

    MERCUTIO.

    Come     between us,   good      Benvolio; my  wits faint.

    ROMEO.

    Swits      and spurs,     swits       and spurs;     or    I’ll    cry   a     match.

    MERCUTIO.

    Nay, if     thy  wits run  the  wild-goose    chase,    I      am  done.     For       thou hast more      of    the wild-goose     in   one       of  thy wits,       than     I     am sure,     I     have     in   my whole   five.      Was I with    you there      for   the  goose?

    ROMEO.

    Thou      wast never      with me  for   anything, when      thou wast not  there       for   the  goose.

    MERCUTIO.

    I      will  bite thee by   the  ear  for   that jest.

    ROMEO.

    Nay, good      goose,    bite not.

    MERCUTIO.

    Thy  wit   is     a     very bitter      sweeting,       it     is     a     most       sharp      sauce.

    ROMEO.

    And is     it     not  then well served    in    to    a     sweet     goose?

    MERCUTIO.

    O    here’s     a     wit   of    cheveril, that stretches from       an   inch       narrow   to    an   ell    broad.

    ROMEO.

    I      stretch    it     out  for   that word      broad,    which     added    to       the  goose,    proves    thee far   and wide a     broad     goose.

    MERCUTIO.

    Why,      is     not  this  better     now than groaning for   love?      Now       art   thou sociable, now art   thou Romeo;  not  art   thou what       thou       art,  by   art   as    well as    by   nature.   For  this drivelling love is       like  a     great      natural,  that runs lolling     up   and down      to       hide his bauble     in    a     hole.

    BENVOLIO.

    Stop there,     stop there.

    MERCUTIO.

    Thou      desirest  me  to    stop in    my  tale against   the  hair.

    BENVOLIO.

    Thou      wouldst  else have       made     thy  tale large.

    MERCUTIO.

    O,    thou     art deceived;     I     would   have     made    it   short,     for I     was       come    to  the whole depth of    my  tale,       and meant    indeed    to    occupy   the  argument      no   longer.

    Enter      NURSE and PETER .

    ROMEO.

    Here’s    goodly    gear!

    A     sail, a     sail!

    MERCUTIO.

    Two,       two; a     shirt and a     smock.

    NURSE.

    Peter!

    PETER.

    Anon.

    NURSE.

    My  fan, Peter.

    MERCUTIO.

    Good      Peter,     to    hide her  face; for   her  fan’s the  fairer      face.

    NURSE.

    God ye    good      morrow, gentlemen.

    MERCUTIO.

    God ye    good-den,     fair  gentlewoman.

    NURSE.

    Is     it     good-den?

    MERCUTIO.

    ’Tis  no less,      I     tell ye; for the bawdy  hand     of  the dial       is   now      upon    the prick     of noon.

    NURSE.

    Out upon      you! What      a     man are  you?

    ROMEO.

    One,       gentlewoman,      that God hath made     for   himself   to    mar.

    NURSE.

    By   my  troth,      it     is     well said; for   himself   to    mar, quoth     a?       Gentlemen,   can  any  of you    tell  me  where     I      may find the       young    Romeo?

    ROMEO.

    I      can  tell  you: but  young    Romeo   will  be   older      when      you       have       found     him than he was    when      you sought   him. I       am  the  youngest of    that name,     for   fault of    a     worse.

    NURSE.

    You say  well.

    MERCUTIO.

    Yea, is     the  worst      well?       Very well took,      i’faith;     wisely,       wisely.

    NURSE.

    If     you be   he,  sir,   I      desire     some      confidence    with you.

    BENVOLIO.

    She will  endite    him to    some      supper.

    MERCUTIO.

    A     bawd,     a     bawd,     a     bawd!     So   ho!

    ROMEO.

    What      hast thou found?

    MERCUTIO.

    No   hare,      sir;   unless    a     hare,      sir,   in    a     lenten    pie,  that       is     something     stale and hoar ere it     be   spent.

    [ Sings. ]

    An   old  hare hoar,

    And an   old  hare hoar,

    Is     very good      meat      in    Lent;

    But  a     hare that is     hoar

    Is     too  much     for   a     score

    When     it     hoars      ere  it     be   spent.

    Romeo,  will  you come      to    your father’s? We’ll       to    dinner       thither.

    ROMEO.

    I      will  follow     you.

    MERCUTIO.

    Farewell, ancient   lady; farewell, lady, lady, lady.

    [ Exeunt  MERCUTIO and BENVOLIO . ]

    NURSE.

    I      pray you, sir,   what       saucy     merchant      was this  that was so       full  of    his   ropery?

    ROMEO.

    A     gentleman,  Nurse,   that      loves     to  hear      himself talk,       and       will speak    more    in   a minute      than he   will       stand      to    in    a     month.

    NURSE.

    And a     speak     anything against   me, I’ll    take him down,     and a       were       lustier     than he is,      and       twenty  such     Jacks.    And if    I     cannot, I’ll  find       those    that      shall.     Scurvy knave!    I     am none     of  his flirt-gills;      I     am none     of  his   skains-mates.—And   thou must    stand      by   too  and suffer       every      knave     to    use  me  at    his   pleasure!

    PETER.

    I      saw no   man use  you at    his   pleasure; if     I      had, my  weapon       should    quickly   have

    been      out. I      warrant  you, I      dare draw       as    soon       as       another  man,      if     I      see  occasion in a  good      quarrel,  and       the  law  on   my  side.

    NURSE.

    Now,      afore      God,       I      am  so    vexed     that every      part       about     me  quivers.  Scurvy    knave.

    Pray you, sir,   a     word:      and as    I      told you, my  young    lady bid       me  enquire  you out; what       she  bade      me  say, I      will  keep       to    myself.   But  first let   me  tell  ye,   if     ye    should lead    her       in    a     fool’s      paradise, as    they say, it     were       a     very       gross      kind of    behaviour, as they      say;       for the gentlewoman is   young.  And      therefore,     if    you       should  deal double   with her, truly it     were       an   ill     thing      to    be       offered   to    any  gentlewoman,      and very weak      dealing.

    ROMEO.

    Nurse,    commend      me  to    thy  lady and mistress. I      protest   unto       thee,—

    NURSE.

    Good      heart,     and i’faith      I      will  tell  her  as    much.     Lord,       Lord,      she  will  be   a     joyful woman.

    ROMEO.

    What      wilt  thou tell  her, Nurse?    Thou      dost not  mark      me.

    NURSE.

    I      will  tell  her, sir,   that you do   protest,  which,    as    I      take it,       is     a     gentlemanlike      offer.

    ROMEO.

    Bid  her  devise

    Some     means    to    come      to    shrift      this  afternoon, And     there       she  shall at    Friar Lawrence’      cell Be    shriv’d    and married. Here       is     for   thy  pains.

    NURSE.

    No   truly,      sir;   not  a     penny.

    ROMEO.

    Go   to;   I      say  you shall.

    NURSE.

    This afternoon,     sir?  Well,       she  shall be   there.

    ROMEO.

    And stay, good      Nurse,    behind   the  abbey     wall.

    Within    this  hour       my  man shall be   with thee, And       bring      thee       cords      made     like  a     tackled   stair,

    Which    to    the  high topgallant     of    my  joy Must be   my  convoy       in    the  secret     night.

    Farewell, be   trusty,     and I’ll    quit thy  pains; Farewell;     commend       me  to    thy  mistress.

    NURSE.

    Now       God in    heaven   bless      thee.      Hark       you, sir.

    ROMEO.

    What      say’st      thou,      my  dear Nurse?

    NURSE.

    Is     your man secret?   Did  you ne’er      hear say, Two may keep       counsel, putting   one away?

    ROMEO.

    I      warrant  thee my  man’s     as    true as    steel.

    NURSE.

    Well,       sir, my mistress is   the sweetest      lady.     Lord,     Lord!      When   ’twas     a    little prating thing,—O,    there    is   a     nobleman    in   town,    one       Paris,    that      would   fain       lay knife       aboard;  but  she, good      soul, had as    lief   see  a       toad,      a     very toad,      as    see  him. I anger   her  sometimes,       and tell  her  that Paris       is     the  properer man,      but  I’ll       warrant you,  when      I      say  so,   she  looks      as    pale as    any       clout      in    the  versal     world.     Doth       not rosemary and       Romeo   begin     both       with a     letter?

    ROMEO.

    Ay,  Nurse;    what       of    that?      Both       with an   R.

    NURSE.

    Ah,  mocker!  That’s     the  dog’s      name.     R     is     for   the—no, I       know      it     begins    with some other    letter,     and she  hath the       prettiest sententious   of    it,    of    you and rosemary,      that it       would     do   you good      to    hear it.

    ROMEO.

    Commend     me  to    thy  lady.

    NURSE.

    Ay,  a     thousand       times.     Peter!

    [ Exit       ROMEO . ]

    PETER.

    Anon.

    NURSE.

    Before    and apace.

    [ Exeunt. ]

    SCENE    V.    Capulet’s Garden.

    Enter      JULIET .

    JULIET.

    The clock      struck     nine when      I      did  send       the  Nurse, In half       an   hour       she  promised       to    return.

    Perchance     she  cannot   meet      him. That’s     not  so.

    O,    she  is     lame.      Love’s     heralds   should    be   thoughts, Which       ten  times      faster      glides     than the  sun’s      beams, Driving       back       shadows over lowering hills:

    Therefore      do   nimble-pinion’d   doves     draw       love, And       therefore hath the  wind-swift     Cupid     wings.

    Now       is     the  sun  upon      the  highmost       hill

    Of   this  day’s      journey,  and from       nine till   twelve Is three      long       hours,     yet  she  is     not  come.

    Had she  affections      and warm      youthful blood, She’d  be   as    swift       in    motion   as    a     ball;

    My  words     would     bandy     her  to    my  sweet     love,

    And his   to    me.

    But  old  folks,      many      feign      as    they were       dead; Unwieldy,       slow,      heavy     and pale as    lead.

    Enter      NURSE and PETER .

    O    God,       she  comes.   O    honey     Nurse,    what       news?

    Hast thou met with him?       Send      thy  man away.

    NURSE.

    Peter,     stay at    the  gate.

    [ Exit       PETER . ]

    JULIET.

    Now,      good      sweet     Nurse,—O     Lord,      why look’st    thou sad?

    Though  news      be   sad, yet  tell  them      merrily;

    If     good,     thou sham’st  the  music     of    sweet     news By  playing       it     to    me  with so    sour a     face.

    NURSE.

    I      am  aweary,  give me  leave      awhile;

    Fie,  how my  bones     ache!      What      a     jaunt      have       I      had!

    JULIET.

    I      would     thou hadst      my  bones,    and I      thy  news: Nay       come,     I      pray thee speak;    good,     good      Nurse,    speak.

    NURSE.

    Jesu,       what     haste?   Can      you       not stay      a    while?   Do   you       not see that      I     am out of breath?

    JULIET.

    How art   thou out  of    breath,   when      thou hast breath To      say  to       me  that thou art   out  of    breath?

    The excuse    that thou dost make      in    this  delay Is   longer    than the       tale thou dost excuse.

    Is     thy  news      good      or    bad?       Answer   to    that;

    Say  either,    and I’ll    stay the  circumstance.

    Let  me  be   satisfied, is’t   good      or    bad?

    NURSE.

    Well,       you       have     made    a    simple  choice;  you       know      not how      to  choose a    man.

    Romeo?  No,  not  he.  Though  his   face be   better     than any  man’s,       yet  his   leg  excels all men’s,    and for   a     hand      and a     foot,       and a     body,      though   they be   not  to    be   talked on,      yet       they are  past compare.       He   is     not  the  flower     of    courtesy,       but  I’ll    warrant him   as    gentle    as    a     lamb.      Go   thy ways,       wench,   serve      God.       What,     have       you dined at  home?

    JULIET.

    No,  no.  But  all    this  did  I      know      before.

    What      says he   of    our  marriage?      What      of    that?

    NURSE.

    Lord,      how my  head      aches!    What      a     head      have       I!

    It     beats      as    it     would     fall   in    twenty    pieces.

    My  back       o’    t’other    side,—O my  back,      my  back!

    Beshrew your heart      for   sending  me  about

    To   catch      my  death     with jauncing up   and down.

    JULIET.

    I’faith,     I      am  sorry       that thou art   not  well.

    Sweet,    sweet,    sweet     Nurse,    tell  me, what       says my  love?

    NURSE.

    Your       love says like  an   honest    gentleman,

    And a     courteous,     and a     kind,       and a     handsome, And    I       warrant  a     virtuous,—Where is     your mother?

    JULIET.

    Where    is     my  mother? Why,      she  is     within.

    Where    should    she  be?  How oddly      thou repliest.

    ‘Your      love says, like  an   honest    gentleman,

    ‘Where   is     your mother?’

    NURSE.

    O    God’s     lady dear,

    Are  you so    hot? Marry,    come      up,  I      trow.

    Is     this  the  poultice  for   my  aching    bones?

    Henceforward       do   your messages      yourself.

    JULIET.

    Here’s    such a     coil. Come,    what       says Romeo?

    NURSE.

    Have      you got  leave      to    go   to    shrift      today?

    JULIET.

    I      have.

    NURSE.

    Then      hie  you hence     to    Friar Lawrence’      cell; There      stays       a     husband to    make      you a     wife.

    Now       comes    the  wanton   blood     up   in    your cheeks, They’ll       be   in    scarlet    straight  at    any  news.

    Hie  you to    church.   I      must      another  way,

    To   fetch      a     ladder    by   the  which     your love

    Must      climb      a     bird’s      nest soon       when      it     is     dark.

    I      am  the  drudge,  and toil  in    your delight;

    But  you shall bear the  burden   soon       at    night.

    Go.  I’ll    to    dinner;   hie  you to    the  cell.

    JULIET.

    Hie  to    high fortune!  Honest   Nurse,    farewell.

    [ Exeunt. ]

    SCENE    VI.   Friar Lawrence’s    Cell.

    Enter      FRIAR    LAWRENCE   and ROMEO .

    FRIAR     LAWRENCE.

    So   smile      the  heavens upon      this  holy act

    That after-hours    with sorrow    chide      us    not.

    ROMEO.

    Amen,    amen,     but  come      what       sorrow    can,

    It     cannot   countervail    the  exchange      of    joy

    That one short      minute   gives      me  in    her  sight.

    Do   thou but  close      our  hands     with holy words, Then   love-devouring      death     do   what       he   dare,

    It     is     enough  I      may but  call  her  mine.

    FRIAR     LAWRENCE.

    These     violent    delights  have       violent    ends,

    And in    their triumph  die;  like  fire  and powder, Which     as    they kiss       consume.      The sweetest honey Is loathsome     in    his   own       deliciousness,

    And in    the  taste       confounds     the  appetite.

    Therefore      love moderately:   long love doth       so; Too   swift arrives       as    tardy      as    too  slow.

    Enter      JULIET .

    Here       comes    the  lady. O,    so    light a     foot

    Will ne’er      wear       out  the  everlasting    flint.

    A     lover       may bestride  the  gossamers

    That idles in    the  wanton   summer  air

    And yet  not  fall;  so    light is     vanity.

    JULIET.

    Good      even       to    my  ghostly   confessor.

    FRIAR     LAWRENCE.

    Romeo   shall thank     thee,      daughter,      for   us    both.

    JULIET.

    As   much     to    him, else is     his   thanks    too  much.

    ROMEO.

    Ah,  Juliet,     if     the  measure of    thy  joy Be     heap’d    like  mine,       and that thy  skill be   more To blazon    it,    then sweeten with thy       breath

    This neighbour     air,  and let   rich music’s   tongue Unfold      the       imagin’d happiness      that both

    Receive  in    either     by   this  dear encounter.

    JULIET.

    Conceit  more      rich in    matter    than in    words,

    Brags      of    his   substance,     not  of    ornament.

    They       are  but  beggars  that can  count     their worth; But      my  true       love is     grown    to    such excess,

    I      cannot   sum up   sum of    half my  wealth.

    FRIAR     LAWRENCE.

    Come,    come      with me, and we   will  make      short      work, For,       by   your leaves,    you shall not  stay alone Till holy church       incorporate   two in    one.

    [ Exeunt. ]

    ACT III

    SCENE    I.     A     public     Place.

    Enter      MERCUTIO,  BENVOLIO,    PAGE     and SERVANTS .

    BENVOLIO.

    I      pray thee,      good      Mercutio,       let’s retire:

    The day  is     hot, the  Capulets abroad,

    And if     we   meet,     we   shall not  scape     a     brawl, For      now       these      hot  days,      is     the  mad blood     stirring.

    MERCUTIO.

    Thou      art   like  one of    these      fellows    that, when      he   enters       the  confines of    a     tavern, claps  me  his   sword     upon      the       table,      and says ‘God       send       me  no   need      of    thee!’       and by    the  operation      of    the  second   cup draws     him on       the  drawer,   when      indeed    there is   no   need.

    BENVOLIO.

    Am  I      like  such a     fellow?

    MERCUTIO.

    Come,    come,   thou     art as  hot a    Jack      in   thy mood   as    any       in   Italy;     and       as  soon moved to    be   moody,       and as    soon       moody   to    be   moved.

    BENVOLIO.

    And what       to?

    MERCUTIO.

    Nay, an   there      were       two such,      we   should    have       none       shortly,   for   one would     kill   the other.      Thou?     Why,      thou       wilt  quarrel   with a     man that hath a     hair more      or    a     hair less in    his   beard     than thou hast. Thou      wilt  quarrel   with a     man       for   cracking nuts, having   no   other      reason    but  because thou       hast hazel      eyes.      What      eye  but  such an eye    would     spy       out  such a     quarrel?  Thy  head      is     as    full  of    quarrels  as       an   egg is     full of      meat,    and       yet thy head     hath     been      beaten  as  addle    as  an  egg       for quarrelling.

    Thou      hast      quarrelled    with      a    man      for coughing     in    the street,   because       he  hath wakened     thy  dog that hath       lain  asleep    in    the  sun. Didst      thou not  fall   out  with a tailor       for   wearing  his   new doublet  before    Easter?   with another  for       tying      his   new

    shoes     with an   old  riband?   And yet  thou wilt  tutor       me  from       quarrelling!

    BENVOLIO.

    And I      were       so    apt  to    quarrel   as    thou art,  any  man should       buy the  fee  simple    of my     life   for   an   hour       and a       quarter.

    MERCUTIO.

    The fee  simple!   O    simple!

    Enter      TYBALT       and others.

    BENVOLIO.

    By   my  head,      here comes    the  Capulets.

    MERCUTIO.

    By   my  heel,       I      care not.

    TYBALT.

    Follow    me  close,     for   I      will  speak     to    them.

    Gentlemen,   good-den:     a     word      with one of    you.

    MERCUTIO.

    And but  one word      with one of    us?  Couple   it     with something;       make      it     a     word      and a      blow.

    TYBALT.

    You shall find me  apt  enough  to    that, sir,   and you will  give me       occasion.

    MERCUTIO.

    Could     you not  take some      occasion without  giving?

    TYBALT.

    Mercutio,       thou consortest     with Romeo.

    MERCUTIO.

    Consort? What,   dost      thou     make    us  minstrels?    And      thou make    minstrels      of  us, look to    hear nothing  but  discords.       Here’s    my  fiddlestick,     here’s     that shall make you      dance.       Zounds,  consort!

    BENVOLIO.

    We  talk  here in    the  public     haunt     of    men.

    Either     withdraw unto some      private    place,

    And reason    coldly     of    your grievances,

    Or   else depart;   here all    eyes gaze       on   us.

    MERCUTIO.

    Men’s     eyes were       made     to    look,       and let   them      gaze.

    I      will  not  budge    for   no   man’s     pleasure, I.

    Enter      ROMEO .

    TYBALT.

    Well,       peace     be   with you, sir,   here comes    my  man.

    MERCUTIO.

    But  I’ll    be   hanged,  sir,   if     he   wear       your livery.

    Marry,    go   before    to    field,       he’ll be   your follower; Your worship       in    that sense     may call  him man.

    TYBALT.

    Romeo,  the  love I      bear thee can  afford

    No   better     term       than this: Thou      art   a     villain.

    ROMEO.

    Tybalt,    the  reason    that I      have       to    love thee Doth      much       excuse    the  appertaining  rage

    To   such a     greeting. Villain     am  I      none;

    Therefore      farewell; I      see  thou know’st  me  not.

    TYBALT.

    Boy, this  shall not  excuse    the  injuries

    That thou hast done      me, therefore turn and draw.

    ROMEO.

    I      do   protest   I      never      injur’d    thee,

    But  love thee better     than thou canst      devise Till      thou shalt       know      the  reason    of    my  love.

    And so    good      Capulet, which     name     I      tender

    As   dearly     as    mine      own,       be   satisfied.

    MERCUTIO.

    O    calm,      dishonourable,     vile  submission!

    [ Draws. ] Alla stoccata carries    it     away.

    Tybalt,    you rat-catcher,   will  you walk?

    TYBALT.

    What      wouldst  thou have       with me?

    MERCUTIO.

    Good      King of    Cats,       nothing  but  one of    your nine lives;       that I       mean     to    make      bold

    withal,    and, as    you shall use  me  hereafter,      dry-beat the  rest of       the  eight.     Will you pluck      your sword     out  of    his   pilcher       by   the  ears?      Make      haste,     lest  mine      be   about your       ears ere  it     be   out.

    TYBALT.

    [ Drawing. ]    I      am  for   you.

    ROMEO.

    Gentle    Mercutio,       put  thy  rapier     up.

    MERCUTIO.

    Come,    sir,   your passado.

    [ They     fight. ]

    ROMEO.

    Draw,     Benvolio; beat down      their weapons.

    Gentlemen,   for   shame,   forbear   this  outrage, Tybalt,    Mercutio,       the  Prince     expressly hath Forbid    this  bandying       in    Verona       streets.

    Hold,      Tybalt!    Good      Mercutio!

    [ Exeunt  TYBALT       with his   Partizans. ]

    MERCUTIO.

    I      am  hurt.

    A     plague    o’    both       your houses.  I      am  sped.

    Is     he   gone,     and hath nothing?

    BENVOLIO.

    What,     art   thou hurt?

    MERCUTIO.

    Ay,  ay,   a     scratch,  a     scratch.  Marry,    ’tis   enough.

    Where    is     my  page?     Go   villain,    fetch      a     surgeon.

    [ Exit       PAGE . ]

    ROMEO.

    Courage, man;      the  hurt cannot   be   much.

    MERCUTIO.

    No,  ’tis not so  deep     as  a    well,      nor so  wide     as  a    church    door,    but ’tis enough,

    ’twill serve.    Ask       for me tomorrow,    and       you       shall     find me a    grave    man.     I     am peppered,     I      warrant,  for       this  world.     A     plague    o’    both       your houses.  Zounds,  a       dog,

    a     rat,  a     mouse,   a     cat,  to    scratch   a     man to    death.    A       braggart, a     rogue,    a     villain,    that fights      by  the book     of    arithmetic!—Why       the devil     came    you       between      us?  I     was hurt      under     your arm.

    ROMEO.

    I      thought  all    for   the  best.

    MERCUTIO.

    Help       me  into some      house,    Benvolio,

    Or   I      shall faint.      A     plague    o’    both       your houses.

    They       have       made     worms’   meat      of    me.

    I      have       it,    and soundly  too. Your       houses!

    [ Exeunt  MERCUTIO and BENVOLIO . ]

    ROMEO.

    This gentleman,    the  Prince’s  near ally,

    My  very friend,    hath got  his   mortal    hurt

    In    my  behalf;    my  reputation     stain’d

    With       Tybalt’s  slander,—Tybalt,   that an   hour Hath      been      my       cousin.   O    sweet     Juliet,

    Thy  beauty    hath made     me  effeminate

    And in    my  temper   soften’d  valour’s  steel.

    Re-enter BENVOLIO .

    BENVOLIO.

    O    Romeo,  Romeo,  brave      Mercutio’s     dead,

    That gallant    spirit       hath aspir’d    the  clouds, Which too  untimely here       did  scorn      the  earth.

    ROMEO.

    This day’s      black      fate on   mo  days doth       depend; This  but       begins    the  woe others    must      end.

    Re-enter TYBALT .

    BENVOLIO.

    Here       comes    the  furious    Tybalt     back       again.

    ROMEO.

    Again     in    triumph, and Mercutio slain?

    Away      to    heaven   respective      lenity,

    And fire-ey’d fury be   my  conduct  now!

    Now,      Tybalt,    take the  ‘villain’    back       again That     late thou       gav’st     me, for   Mercutio’s     soul Is     but  a     little way above       our  heads,

    Staying   for   thine      to    keep       him company.

    Either     thou or    I,     or    both,      must      go   with him.

    TYBALT.

    Thou      wretched boy, that didst       consort   him here, Shalt     with him       hence.

    ROMEO.

    This shall determine     that.

    [ They     fight; TYBALT       falls. ]

    BENVOLIO.

    Romeo,  away,     be   gone!

    The citizens   are  up,  and Tybalt     slain.

    Stand     not  amaz’d.  The Prince     will  doom     thee death If   thou art       taken.     Hence,   be   gone,     away!

    ROMEO.

    O,    I      am  fortune’s fool!

    BENVOLIO.

    Why dost thou stay?

    [ Exit       ROMEO . ]

    Enter      CITIZENS .

    FIRST      CITIZEN.

    Which    way ran  he   that kill’d Mercutio?

    Tybalt,    that murderer,      which     way ran  he?

    BENVOLIO.

    There     lies  that Tybalt.

    FIRST      CITIZEN.

    Up,  sir,   go   with me.

    I      charge    thee in    the  Prince’s  name     obey.

    Enter      PRINCE,       attended; MONTAGUE, CAPULET,      their WIVES        and others.

    PRINCE.

    Where    are  the  vile  beginners      of    this  fray?

    BENVOLIO.

    O    noble     Prince,    I      can  discover all

    The unlucky  manage  of    this  fatal brawl.

    There     lies  the  man,      slain by   young    Romeo,

    That slew thy  kinsman, brave      Mercutio.

    LADY      CAPULET.

    Tybalt,    my  cousin!   O    my  brother’s child!

    O    Prince!    O    husband!       O,    the  blood     is     spill’d Of my  dear       kinsman! Prince,    as    thou art   true, For blood     of    ours shed       blood     of    Montague.

    O    cousin,   cousin.

    PRINCE.

    Benvolio, who began    this  bloody    fray?

    BENVOLIO.

    Tybalt,    here slain,      whom     Romeo’s hand      did  slay; Romeo,  that       spoke     him fair, bid  him bethink How  nice the  quarrel   was, and       urg’d      withal

    Your       high displeasure.   All   this  uttered

    With       gentle    breath,   calm       look,       knees     humbly   bow’d Could     not  take truce      with the  unruly    spleen Of       Tybalt,    deaf       to    peace,    but  that he   tilts With piercing  steel at    bold       Mercutio’s     breast, Who,  all    as    hot, turns      deadly    point       to    point, And,     with a     martial   scorn,     with one hand       beats Cold     death     aside,     and with the  other      sends

    It     back       to    Tybalt,    whose    dexterity

    Retorts   it.    Romeo   he   cries aloud,

    ‘Hold,     friends!   Friends,  part!’      and swifter    than his   tongue, His       agile       arm beats      down      their fatal points, And    ’twixt      them       rushes;   underneath   whose    arm An   envious  thrust     from       Tybalt     hit   the  life

    Of   stout      Mercutio,       and then Tybalt     fled.

    But  by   and by   comes    back       to    Romeo,

    Who       had but  newly     entertain’d    revenge,

    And to’t  they go   like  lightning;       for,  ere  I Could   draw       to    part       them      was stout      Tybalt     slain; And      as    he   fell   did       Romeo   turn and fly.

    This is     the  truth,      or    let   Benvolio die.

    LADY      CAPULET.

    He   is     a     kinsman to    the  Montague.

    Affection makes    him false,      he   speaks    not  true.

    Some     twenty    of    them      fought    in    this  black      strife, And       all    those      twenty    could      but  kill   one life.

    I      beg for   justice,   which     thou,      Prince,    must      give; Romeo       slew Tybalt,    Romeo   must      not  live.

    PRINCE.

    Romeo   slew him, he   slew Mercutio.

    Who       now the  price       of    his   dear blood     doth       owe?

    MONTAGUE.

    Not Romeo,  Prince,    he   was Mercutio’s     friend; His      fault       concludes      but  what       the  law  should    end, The life   of       Tybalt.

    PRINCE.

    And for   that offence

    Immediately  we   do   exile him hence.

    I      have       an   interest   in    your hate’s     proceeding, My     blood       for   your rude brawls    doth       lie    a-bleeding.

    But  I’ll    amerce   you with so    strong    a     fine

    That you shall all    repent    the  loss of    mine.

    I      will  be   deaf to    pleading and excuses;

    Nor tears       nor  prayers   shall purchase out  abuses.

    Therefore      use  none.     Let  Romeo   hence     in    haste, Else,       when      he   is     found,    that hour       is     his   last.

    Bear hence     this  body,      and attend    our  will.

    Mercy     but  murders, pardoning     those      that kill.

    [ Exeunt. ]

    SCENE    II.     A     Room     in    Capulet’s House.

    Enter      JULIET .

    JULIET.

    Gallop    apace,    you fiery-footed   steeds,

    Towards Phoebus’ lodging.  Such       a     waggoner

    As   Phaeton would     whip       you to    the  west And bring      in       cloudy    night      immediately.

    Spread   thy  close      curtain,   love-performing   night, That     runaway’s       eyes may wink,      and Romeo

    Leap       to    these      arms,      untalk’d  of    and unseen.

    Lovers    can  see  to    do   their amorous rites

    By   their own beauties: or,   if     love be   blind, It   best agrees    with night.       Come,    civil night, Thou    sober-suited matron,  all    in    black,

    And learn      me  how to    lose a     winning  match,

    Play’d     for   a     pair of    stainless maidenhoods.

    Hood      my  unmann’d     blood,    bating    in    my  cheeks, With  thy       black      mantle,   till   strange   love, grow      bold, Think    true love       acted      simple    modesty.

    Come,    night,     come      Romeo;  come,     thou day  in    night; For       thou wilt  lie    upon      the  wings     of    night

    Whiter    than new snow      upon      a     raven’s   back.

    Come     gentle    night,     come      loving     black-brow’d night, Give       me  my  Romeo,  and when      I      shall die,

    Take       him and cut  him out  in    little stars,

    And he   will  make      the  face of    heaven   so    fine That all    the       world      will  be   in    love with night, And     pay  no   worship  to       the  garish     sun.

    O,    I      have       bought   the  mansion of    a     love,

    But  not  possess’d      it;    and though   I      am  sold, Not yet  enjoy’d.       So   tedious   is     this  day

    As   is     the  night      before    some      festival

    To   an   impatient      child       that hath new robes

    And may not  wear       them.     O,    here comes    my  Nurse, And    she       brings     news,     and every      tongue   that speaks But     Romeo’s       name     speaks    heavenly eloquence.

    Enter      NURSE,       with cords.

    Now,      Nurse,    what       news?     What      hast thou there?

    The cords      that Romeo   bid  thee fetch?

    NURSE.

    Ay,  ay,   the  cords.

    [ Throws them      down. ]

    JULIET.

    Ay   me, what       news?     Why dost thou wring      thy  hands?

    NURSE.

    Ah,  well-a-day,   he’s dead,      he’s dead,      he’s dead!

    We  are  undone, lady, we   are  undone.

    Alack      the  day, he’s gone,     he’s kill’d,      he’s dead.

    JULIET.

    Can heaven   be   so    envious?

    NURSE.

    Romeo   can,

    Though  heaven   cannot.   O    Romeo,  Romeo.

    Who       ever would     have       thought  it?    Romeo!

    JULIET.

    What      devil       art   thou,      that dost torment  me  thus?

    This torture    should    be   roar’d     in    dismal    hell.

    Hath       Romeo   slain himself?  Say  thou but  Ay,

    And that bare vowel     I      shall poison    more

    Than      the  death-darting      eye  of    cockatrice.

    I      am  not  I      if     there      be   such an   I;

    Or   those      eyes shut that make      thee answer   Ay.

    If     he   be   slain,      say  Ay;  or    if     not, No.

    Brief sounds   determine     of    my  weal or    woe.

    NURSE.

    I      saw the  wound,   I      saw it     with mine      eyes,

    God save the  mark!—here  on   his   manly     breast.

    A     piteous   corse,     a     bloody    piteous   corse;

    Pale,       pale as    ashes,     all    bedaub’d       in    blood, All       in       gore-blood.   I      swounded     at    the  sight.

    JULIET.

    O,    break,     my  heart.     Poor       bankrout,      break      at    once.

    To   prison,    eyes;      ne’er      look on   liberty.

    Vile earth      to    earth      resign;    end motion   here, And      thou and       Romeo   press      one heavy     bier.

    NURSE.

    O    Tybalt,    Tybalt,    the  best friend     I      had.

    O    courteous      Tybalt,    honest    gentleman!

    That ever I      should    live  to    see  thee dead.

    JULIET.

    What      storm     is     this  that blows     so    contrary?

    Is     Romeo   slaughter’d    and is     Tybalt     dead?

    My  dearest   cousin,   and my  dearer    lord?

    Then      dreadful trumpet  sound     the  general   doom, For      who is       living,     if     those      two are  gone?

    NURSE.

    Tybalt     is     gone,     and Romeo   banished,

    Romeo   that kill’d him, he   is     banished.

    JULIET.

    O    God!       Did  Romeo’s hand      shed       Tybalt’s  blood?

    NURSE.

    It     did, it     did; alas the  day, it     did.

    JULIET.

    O    serpent   heart,     hid  with a     flowering face!

    Did  ever dragon   keep       so    fair  a     cave?

    Beautiful tyrant,    fiend      angelical,

    Dove-feather’d     raven,     wolvish-ravening  lamb!

    Despised substance      of    divinest  show!

    Just opposite to    what       thou justly      seem’st,

    A     damned saint,      an   honourable   villain!

    O    nature,   what       hadst      thou to    do   in    hell

    When     thou didst       bower     the  spirit       of    a     fiend In   mortal       paradise of    such sweet     flesh?

    Was ever book      containing     such vile  matter

    So   fairly       bound?   O,    that deceit     should    dwell In  such a       gorgeous       palace.

    NURSE.

    There’s   no   trust,

    No   faith,      no   honesty  in    men.      All   perjur’d,

    All   forsworn, all    naught,  all    dissemblers.

    Ah,  where’s  my  man?      Give me  some      aqua      vitae.

    These     griefs,     these      woes,     these      sorrows  make      me  old.

    Shame    come      to    Romeo.

    JULIET.

    Blister’d  be   thy  tongue

    For  such a     wish!      He   was not  born       to    shame.

    Upon      his   brow      shame    is     asham’d to    sit;

    For  ’tis   a     throne    where     honour   may be   crown’d Sole  monarch       of    the  universal earth.

    O,    what       a     beast      was I      to    chide      at    him!

    NURSE.

    Will you speak     well of    him that kill’d your cousin?

    JULIET.

    Shall       I      speak     ill     of    him that is     my  husband?

    Ah,  poor       my  lord, what       tongue   shall smooth  thy  name, When  I       thy  three-hours’  wife have       mangled it?

    But  wherefore,     villain,    didst       thou kill   my  cousin?

    That villain     cousin    would     have       kill’d my  husband.

    Back,      foolish    tears,      back       to    your native     spring, Your       tributary drops     belong   to    woe,

    Which    you mistaking      offer       up   to    joy.

    My  husband lives,       that Tybalt     would     have       slain, And       Tybalt’s  dead,      that would     have       slain my  husband.

    All   this  is     comfort; wherefore      weep      I      then?

    Some     word      there      was, worser    than Tybalt’s  death, That       murder’d me. I      would     forget     it     fain,

    But  O,    it     presses   to    my  memory

    Like damned guilty      deeds     to    sinners’  minds.

    Tybalt     is     dead,      and Romeo   banished.

    That ‘banished,’     that one word      ‘banished,’

    Hath       slain ten  thousand       Tybalts.  Tybalt’s  death Was     woe       enough, if     it     had ended    there.

    Or   if     sour woe delights  in    fellowship,

    And needly    will  be   rank’d     with other      griefs, Why    follow’d  not,       when      she  said Tybalt’s  dead, Thy      father     or    thy  mother,       nay  or    both,

    Which    modern  lamentation   might     have       mov’d?

    But  with a     rear-ward      following Tybalt’s  death,

    ‘Romeo  is     banished’—to       speak     that word

    Is     father,    mother,  Tybalt,    Romeo,  Juliet,

    All   slain,      all    dead.      Romeo   is     banished,

    There     is     no   end, no   limit,       measure, bound,

    In    that word’s    death,    no   words     can  that woe sound.

    Where    is     my  father     and my  mother,  Nurse?

    NURSE.

    Weeping and wailing   over Tybalt’s  corse.

    Will you go   to    them?     I      will  bring      you thither.

    JULIET.

    Wash      they his   wounds  with tears.      Mine      shall be   spent, When       theirs      are  dry, for   Romeo’s banishment.

    Take       up   those      cords.     Poor       ropes,     you are  beguil’d, Both       you and I;     for   Romeo   is     exil’d.

    He   made     you for   a     highway to    my  bed,

    But  I,     a     maid,      die  maiden-widowed.

    Come     cords,     come      Nurse,    I’ll    to    my  wedding bed, And       death,    not  Romeo,  take my  maidenhead.

    NURSE.

    Hie  to    your chamber. I’ll    find Romeo

    To   comfort  you. I      wot well where     he   is.

    Hark       ye,   your Romeo   will  be   here at    night.

    I’ll    to    him, he   is     hid  at    Lawrence’      cell.

    JULIET.

    O    find him, give this  ring to    my  true knight, And    bid  him come       to    take his   last  farewell.

    [ Exeunt. ]

    SCENE    III.    Friar Lawrence’s    cell.

    Enter      FRIAR    LAWRENCE .

    FRIAR     LAWRENCE.

    Romeo,  come      forth;      come      forth,      thou fearful    man.

    Affliction is     enanmour’d  of    thy  parts

    And thou art   wedded  to    calamity.

    Enter      ROMEO .

    ROMEO.

    Father,    what       news?     What      is     the  Prince’s  doom?

    What      sorrow    craves    acquaintance at    my  hand,

    That I      yet  know      not?

    FRIAR     LAWRENCE.

    Too familiar

    Is     my  dear son  with such sour company.

    I      bring      thee tidings    of    the  Prince’s  doom.

    ROMEO.

    What      less than doomsday     is     the  Prince’s  doom?

    FRIAR     LAWRENCE.

    A     gentler   judgment      vanish’d from       his   lips,

    Not body’s    death,    but  body’s    banishment.

    ROMEO.

    Ha,  banishment? Be   merciful, say  death;

    For  exile hath more      terror      in    his   look,

    Much     more      than death.    Do   not  say  banishment.

    FRIAR     LAWRENCE.

    Hence    from       Verona   art   thou banished.

    Be   patient,  for   the  world      is     broad     and wide.

    ROMEO.

    There     is     no   world      without  Verona   walls,

    But  purgatory,     torture,   hell  itself.

    Hence    banished is     banish’d from       the  world,

    And world’s   exile is     death.    Then      banished

    Is     death     misterm’d.     Calling    death     banished, Thou     cutt’st       my  head      off   with a     golden   axe, And smilest   upon      the       stroke     that murders me.

    FRIAR     LAWRENCE.

    O    deadly    sin,  O    rude unthankfulness!

    Thy  fault our  law  calls death,    but  the  kind Prince, Taking thy  part, hath       brush’d   aside      the  law, And turn’d     that black      word       death     to    banishment.

    This is     dear mercy,    and thou see’st     it     not.

    ROMEO.

    ’Tis  torture,   and not  mercy.    Heaven  is     here Where   Juliet      lives,       and every      cat  and dog,

    And little mouse,   every      unworthy       thing,

    Live here in    heaven   and may look on   her, But  Romeo   may not.       More      validity,

    More      honourable   state,      more      courtship lives In    carrion   flies       than Romeo.  They       may seize On the  white      wonder   of    dear       Juliet’s    hand,

    And steal immortal blessing  from       her  lips,

    Who,      even       in    pure and vestal     modesty

    Still  blush,     as    thinking  their own kisses     sin.

    But  Romeo   may not, he   is     banished.

    This may flies do,  when      I      from       this  must      fly.

    They       are  free men but  I      am  banished.

    And say’st      thou yet  that exile is     not  death?

    Hadst     thou no   poison    mix’d,     no   sharp-ground       knife, No       sudden   mean     of    death,    though   ne’er      so    mean, But       banished to    kill   me? Banished?

    O    Friar,       the  damned use  that word      in    hell.

    Howlings attends   it.    How hast thou the  heart, Being   a     divine,    a       ghostly   confessor,

    A     sin-absolver, and my  friend     profess’d,

    To   mangle   me  with that word      banished?

    FRIAR     LAWRENCE.

    Thou      fond mad man,      hear me  speak     a     little,

    ROMEO.

    O,    thou wilt  speak     again      of    banishment.

    FRIAR     LAWRENCE.

    I’ll    give thee armour   to    keep       off   that word, Adversity’s  sweet       milk, philosophy,

    To   comfort  thee,      though   thou art   banished.

    ROMEO.

    Yet  banished?      Hang      up   philosophy.

    Unless    philosophy    can  make      a     Juliet,

    Displant  a     town,      reverse   a     Prince’s  doom,

    It     helps      not, it     prevails  not, talk  no   more.

    FRIAR     LAWRENCE.

    O,    then I      see  that mad men have       no   ears.

    ROMEO.

    How should    they,       when      that wise men have       no   eyes?

    FRIAR     LAWRENCE.

    Let  me  dispute   with thee of    thy  estate.

    ROMEO.

    Thou      canst      not  speak     of    that thou dost not  feel.

    Wert       thou as    young    as    I,     Juliet      thy  love,

    An   hour       but  married, Tybalt     murdered,

    Doting    like  me, and like  me  banished,

    Then      mightst  thou speak,    then mightst  thou tear thy  hair, And fall       upon      the  ground   as    I      do   now,

    Taking    the  measure of    an   unmade grave.

    [ Knocking     within. ]

    FRIAR     LAWRENCE.

    Arise;      one knocks.   Good      Romeo,  hide thyself.

    ROMEO.

    Not I,     unless    the  breath    of    heartsick groans Mist-like   infold       me  from       the  search    of    eyes.

    [ Knocking. ]

    FRIAR     LAWRENCE.

    Hark,      how they knock!—Who’s     there?—Romeo,   arise, Thou     wilt       be   taken.—Stay  awhile.—Stand     up.

    [ Knocking. ]

    Run to    my  study.—By-and-by.—God’s will,

    What      simpleness    is     this.—I   come,     I      come.

    [ Knocking. ]

    Who       knocks    so    hard?      Whence  come      you, what’s    your will?

    NURSE.

    [ Within. ]       Let  me  come      in,   and you shall know      my  errand.

    I      come      from       Lady       Juliet.

    FRIAR     LAWRENCE.

    Welcome       then.

    Enter      NURSE .

    NURSE.

    O    holy Friar,       O,    tell  me, holy Friar,

    Where    is     my  lady’s     lord, where’s  Romeo?

    FRIAR     LAWRENCE.

    There     on   the  ground,  with his   own tears       made     drunk.

    NURSE.

    O,    he   is     even       in    my  mistress’ case.

    Just in    her  case!      O    woeful    sympathy!

    Piteous   predicament. Even       so    lies  she,

    Blubbering    and weeping, weeping and blubbering.

    Stand     up,  stand      up;  stand,     and you be   a     man.

    For  Juliet’s    sake,      for   her  sake,      rise  and stand.

    Why should    you fall   into so    deep      an   O?

    ROMEO.

    Nurse.

    NURSE.

    Ah   sir,   ah   sir,   death’s   the  end of    all.

    ROMEO.

    Spakest  thou of    Juliet?     How is     it     with her?

    Doth       not  she  think      me  an   old  murderer,

    Now       I      have       stain’d    the  childhood      of    our  joy With       blood     remov’d  but  little from       her  own?

    Where    is     she? And how doth       she? And what       says My  conceal’d       lady to    our  cancell’d love?

    NURSE.

    O,    she  says nothing, sir,   but  weeps    and weeps; And    now falls on       her  bed, and then starts      up, And  Tybalt     calls,       and then on       Romeo   cries,

    And then down      falls again.

    ROMEO.

    As   if     that name,

    Shot from       the  deadly    level of    a     gun,

    Did  murder   her, as    that name’s   cursed    hand

    Murder’d her  kinsman. O,    tell  me, Friar,       tell  me, In     what       vile       part of    this  anatomy

    Doth       my  name     lodge?    Tell  me, that I      may sack

    The hateful   mansion.

    [ Drawing      his   sword. ]

    FRIAR     LAWRENCE.

    Hold       thy  desperate      hand.

    Art   thou a     man?      Thy  form       cries out  thou art.

    Thy  tears       are  womanish,     thy  wild acts denote The    unreasonable       fury of    a     beast.

    Unseemly      woman   in    a     seeming man,

    And ill-beseeming beast      in    seeming both!

    Thou      hast amaz’d   me. By   my  holy order,

    I      thought  thy  disposition    better     temper’d.

    Hast thou slain Tybalt?   Wilt thou slay thyself?

    And slay thy  lady, that in    thy  life   lives,

    By   doing     damned hate upon      thyself?

    Why rail’st      thou on   thy  birth,      the  heaven   and earth?

    Since      birth,      and heaven   and earth,     all    three      do   meet In       thee at    once;      which     thou at    once       wouldst  lose.

    Fie,  fie,   thou sham’st  thy  shape,    thy  love, thy  wit, Which,     like  a       usurer,    abound’st      in    all,

    And usest      none      in    that true use  indeed

    Which    should    bedeck   thy  shape,    thy  love, thy  wit.

    Thy  noble     shape     is     but  a     form       of    wax,

    Digressing     from       the  valour     of    a     man;

    Thy  dear love sworn     but  hollow    perjury,

    Killing     that love which     thou hast vow’d     to    cherish; Thy   wit,  that       ornament      to    shape     and love,

    Misshapen     in    the  conduct  of    them      both,

    Like powder   in    a     skilless    soldier’s  flask,

    Is     set   afire by   thine      own ignorance,

    And thou dismember’d with thine      own defence.

    What,     rouse      thee,      man.      Thy  Juliet      is     alive, For whose       dear sake thou wast but  lately      dead.

    There     art   thou happy.    Tybalt     would     kill   thee, But thou slew’st       Tybalt;    there      art   thou happy.

    The law  that threaten’d     death     becomes thy  friend, And    turns       it     to    exile;      there      art   thou happy.

    A     pack       of    blessings light upon      thy  back;

    Happiness     courts     thee in    her  best array;

    But  like  a     misshaped     and sullen     wench, Thou  putt’st    up   thy       Fortune  and thy  love.

    Take       heed,      take heed,      for   such die  miserable.

    Go,  get  thee to    thy  love as    was decreed,

    Ascend   her  chamber, hence     and comfort  her.

    But  look thou stay not  till   the  watch     be   set, For   then thou canst       not  pass to    Mantua;

    Where    thou shalt       live  till   we   can  find a     time To   blaze      your       marriage,       reconcile your friends, Beg   pardon   of    the  Prince,       and call  thee back With      twenty    hundred thousand       times       more      joy Than thou went’st   forth       in    lamentation.

    Go   before,   Nurse.    Commend     me  to    thy  lady,

    And bid  her  hasten    all    the  house     to    bed,

    Which    heavy     sorrow    makes    them      apt  unto.

    Romeo   is     coming.

    NURSE.

    O    Lord,      I      could      have       stay’d     here all    the  night To  hear       good      counsel. O,    what       learning  is!

    My  lord, I’ll    tell  my  lady you will  come.

    ROMEO.

    Do   so,   and bid  my  sweet     prepare  to    chide.

    NURSE.

    Here       sir,   a     ring she  bid  me  give you, sir.

    Hie  you, make      haste,     for   it     grows     very late.

    [ Exit. ]

    ROMEO.

    How well my  comfort  is     reviv’d    by   this.

    FRIAR     LAWRENCE.

    Go   hence,    good      night,     and here stands    all    your state: Either       be   gone      before    the  watch     be   set,

    Or   by   the  break      of    day  disguis’d from       hence.

    Sojourn  in    Mantua. I’ll    find out  your man,

    And he   shall signify    from       time to    time

    Every      good      hap to    you that chances  here.

    Give me  thy  hand;     ’tis   late; farewell; good      night.

    ROMEO.

    But  that a     joy   past joy   calls out  on   me,

    It     were       a     grief so    brief to    part with thee.

    Farewell.

    [ Exeunt. ]

    SCENE    IV.   A     Room     in    Capulet’s House.

    Enter      CAPULET,     LADY      CAPULET      and PARIS .

    CAPULET.

    Things    have       fallen      out, sir,   so    unluckily

    That we   have       had no   time to    move      our  daughter.

    Look       you, she  lov’d       her  kinsman Tybalt     dearly, And    so    did I.       Well,       we   were       born       to    die.

    ’Tis  very late; she’ll      not  come      down      tonight.

    I      promise  you, but  for   your company,

    I      would     have       been      abed      an   hour       ago.

    PARIS.

    These     times      of    woe afford     no   tune to    woo.

    Madam,  good      night.     Commend     me  to    your daughter.

    LADY      CAPULET.

    I      will, and know      her  mind      early       tomorrow;

    Tonight  she’s      mew’d    up   to    her  heaviness.

    CAPULET.

    Sir   Paris,      I      will  make      a     desperate      tender

    Of   my  child’s    love. I      think      she  will  be   rul’d In    all    respects       by   me; nay  more,     I      doubt     it     not.

    Wife,      go   you to    her  ere  you go   to    bed,

    Acquaint her  here of    my  son  Paris’      love,

    And bid  her, mark      you me, on   Wednesday   next, But, soft, what       day  is     this?

    PARIS.

    Monday, my  lord.

    CAPULET.

    Monday! Ha,  ha!  Well,       Wednesday   is     too  soon, A   Thursday let       it     be;  a     Thursday,      tell  her,

    She shall be   married  to    this  noble     earl.

    Will you be   ready?    Do   you like  this  haste?

    We’ll       keep       no   great      ado,—a  friend     or    two,

    For, hark you, Tybalt     being     slain so    late,

    It     may be   thought  we   held him carelessly,

    Being     our  kinsman, if     we   revel       much.

    Therefore      we’ll have       some      half a     dozen     friends, And   there       an   end. But  what       say  you to    Thursday?

    PARIS.

    My  lord, I      would     that Thursday were       tomorrow.

    CAPULET.

    Well,       get  you gone.     A     Thursday be   it     then.

    Go   you to    Juliet      ere  you go   to    bed,

    Prepare  her, wife, against   this  wedding day.

    Farewell, my  lord.—Light   to    my  chamber, ho!

    Afore      me, it     is     so    very very late that we

    May call  it     early       by   and by.   Good      night.

    [ Exeunt. ]

    SCENE    V.    An   open      Gallery    to    Juliet’s    Chamber, overlooking       the  Garden.

    Enter      ROMEO      and JULIET .

    JULIET.

    Wilt thou be   gone?     It     is     not  yet  near day.

    It     was the  nightingale,   and not  the  lark,

    That pierc’d    the  fearful    hollow    of    thine      ear; Nightly    she  sings       on   yond      pomegranate tree.

    Believe   me, love, it     was the  nightingale.

    ROMEO.

    It     was the  lark, the  herald    of    the  morn,

    No   nightingale.   Look,      love, what       envious  streaks Do     lace the       severing clouds    in    yonder   east.

    Night’s   candles  are  burnt      out, and jocund    day Stands    tiptoe       on   the  misty      mountain      tops.

    I      must      be   gone      and live, or    stay and die.

    JULIET.

    Yond      light is     not  daylight, I      know      it,    I.

    It     is     some      meteor   that the  sun  exhales

    To   be   to    thee this  night      a     torchbearer

    And light thee on   thy  way to    Mantua.

    Therefore      stay yet,  thou need’st   not  to    be   gone.

    ROMEO.

    Let  me  be   ta’en,      let   me  be   put  to    death,

    I      am  content, so    thou wilt  have       it     so.

    I’ll    say  yon grey is     not  the  morning’s      eye,

    ’Tis  but  the  pale reflex      of    Cynthia’s brow.

    Nor that is     not  the  lark  whose    notes      do   beat The vaulty       heaven   so    high above     our  heads.

    I      have       more      care to    stay than will  to    go.

    Come,    death,    and welcome.       Juliet      wills it     so.

    How is’t,  my  soul?      Let’s talk. It     is     not  day.

    JULIET.

    It     is,    it     is!    Hie  hence,    be   gone,     away.

    It     is     the  lark  that sings      so    out  of    tune,

    Straining harsh      discords and unpleasing    sharps.

    Some     say  the  lark  makes    sweet     division;

    This doth       not  so,   for   she  divideth  us.

    Some     say  the  lark  and loathed  toad change   eyes.

    O,    now I      would     they had chang’d  voices     too, Since      arm from       arm that voice      doth       us    affray, Hunting     thee hence     with       hunt’s-up      to    the  day.

    O    now be   gone,     more      light and light it     grows.

    ROMEO.

    More      light and light,      more      dark and dark our  woes.

    Enter      NURSE .

    NURSE.

    Madam.

    JULIET.

    Nurse?

    NURSE.

    Your       lady mother   is     coming   to    your chamber.

    The day  is     broke,     be   wary,      look about.

    [ Exit. ]

    JULIET.

    Then,      window, let   day  in,   and let   life   out.

    ROMEO.

    Farewell, farewell, one kiss, and I’ll    descend.

    [ Descends. ]

    JULIET.

    Art   thou gone      so?  Love,      lord, ay    husband, friend, I   must      hear       from       thee every      day  in    the  hour, For in    a     minute   there       are  many      days.

    O,    by   this  count     I      shall be   much     in    years

    Ere  I      again      behold   my  Romeo.

    ROMEO.

    Farewell!

    I      will  omit no   opportunity

    That may convey   my  greetings,      love, to    thee.

    JULIET.

    O    thinkest  thou we   shall ever meet      again?

    ROMEO.

    I      doubt     it     not, and all    these      woes      shall serve For sweet       discourses     in    our  time to    come.

    JULIET.

    O    God!       I      have       an   ill-divining     soul!

    Methinks I      see  thee,      now thou art   so    low,

    As   one dead      in    the  bottom   of    a     tomb.

    Either     my  eyesight fails, or    thou look’st    pale.

    ROMEO.

    And trust me, love, in    my  eye  so    do   you.

    Dry  sorrow    drinks     our  blood.    Adieu,    adieu.

    [ Exit       below. ]

    JULIET.

    O    Fortune, Fortune! All   men call  thee fickle,

    If     thou art   fickle,     what       dost thou with him That is     renown’d       for   faith?      Be   fickle,     Fortune; For   then,      I      hope      thou       wilt  not  keep       him long But send       him back.

    LADY      CAPULET.

    [ Within. ]       Ho,  daughter,      are  you up?

    JULIET.

    Who       is’t   that calls?      Is     it     my  lady mother?

    Is     she  not  down      so    late, or    up   so    early?

    What      unaccustom’d cause     procures her  hither?

    Enter      LADY    CAPULET .

    LADY      CAPULET.

    Why,      how now,       Juliet?

    JULIET.

    Madam,  I      am  not  well.

    LADY      CAPULET.

    Evermore       weeping for   your cousin’s  death?

    What,     wilt  thou wash      him from       his   grave      with tears?

    And if     thou couldst,  thou couldst   not  make      him live.

    Therefore      have       done:     some      grief shows     much     of    love, But  much     of    grief shows     still  some      want       of    wit.

    JULIET.

    Yet  let   me  weep      for   such a     feeling    loss.

    LADY      CAPULET.

    So   shall you feel  the  loss, but  not  the  friend Which  you weep      for.

    JULIET.

    Feeling   so    the  loss,

    I      cannot   choose   but  ever weep      the  friend.

    LADY      CAPULET.

    Well,       girl, thou weep’st  not  so    much     for   his   death As that the       villain     lives which     slaughter’d    him.

    JULIET.

    What      villain,    madam?

    LADY      CAPULET.

    That same      villain     Romeo.

    JULIET.

    Villain     and he   be   many      miles      asunder.

    God pardon   him. I      do,  with all    my  heart.

    And yet  no   man like  he   doth       grieve     my  heart.

    LADY      CAPULET.

    That is     because the  traitor     murderer       lives.

    JULIET.

    Ay   madam,  from       the  reach      of    these      my  hands.

    Would    none      but  I      might     venge     my  cousin’s  death.

    LADY      CAPULET.

    We  will  have       vengeance    for   it,    fear thou not.

    Then      weep      no   more.     I’ll    send       to    one in    Mantua, Where    that same      banish’d runagate doth       live, Shall give him such       an   unaccustom’d dram

    That he   shall soon       keep       Tybalt     company:

    And then I      hope      thou wilt  be   satisfied.

    JULIET.

    Indeed    I      never      shall be   satisfied

    With       Romeo   till   I      behold   him—dead—

    Is     my  poor       heart      so    for   a     kinsman vex’d.

    Madam,  if     you could      find out  but  a     man

    To   bear a     poison,   I      would     temper   it,

    That Romeo   should    upon      receipt    thereof,

    Soon      sleep      in    quiet.     O,    how my  heart      abhors To      hear       him nam’d,    and cannot   come      to    him,

    To   wreak     the  love I      bore       my  cousin

    Upon      his   body      that hath slaughter’d    him.

    LADY      CAPULET.

    Find thou the  means,   and I’ll    find such a     man.

    But  now I’ll    tell  thee joyful      tidings,   girl.

    JULIET.

    And joy   comes    well in    such a     needy     time.

    What      are  they,       I      beseech your ladyship?

    LADY      CAPULET.

    Well,       well, thou hast a     careful    father,    child; One      who to    put       thee from       thy  heaviness,

    Hath       sorted    out  a     sudden   day  of    joy,

    That thou expects   not, nor  I      look’d     not  for.

    JULIET.

    Madam,  in    happy     time,      what       day  is     that?

    LADY      CAPULET.

    Marry,    my  child,      early       next Thursday morn

    The gallant,   young,    and noble     gentleman,

    The County   Paris,      at    Saint      Peter’s    Church,

    Shall       happily   make      thee there      a     joyful      bride.

    JULIET.

    Now       by   Saint      Peter’s    Church,  and Peter      too, He   shall not       make      me  there      a     joyful      bride.

    I      wonder   at    this  haste,     that I      must      wed

    Ere  he   that should    be   husband comes    to    woo.

    I      pray you tell  my  lord and father,    madam,

    I      will  not  marry     yet;  and when      I      do,  I      swear It   shall be       Romeo,  whom     you know      I      hate,

    Rather    than Paris.      These     are  news      indeed.

    LADY      CAPULET.

    Here       comes    your father,    tell  him so    yourself, And see  how he       will  take it     at    your hands.

    Enter      CAPULET     and NURSE .

    CAPULET.

    When     the  sun  sets, the  air   doth       drizzle    dew; But for   the       sunset    of    my  brother’s son

    It     rains       downright.

    How now?      A     conduit,  girl? What,     still  in    tears?

    Evermore       showering?    In    one little body

    Thou      counterfeits   a     bark,       a     sea, a     wind.

    For  still  thy  eyes,      which     I      may call  the  sea, Do   ebb and flow       with tears;      the  bark thy  body      is, Sailing in    this  salt  flood,       the  winds,    thy  sighs, Who     raging    with thy  tears       and they       with them,

    Without  a     sudden   calm       will  overset Thy    tempest-tossed   body.       How now,       wife?

    Have      you deliver’d to    her  our  decree?

    LADY      CAPULET.

    Ay,  sir;   but  she  will  none,     she  gives      you thanks.

    I      would     the  fool were       married  to    her  grave.

    CAPULET.

    Soft. Take       me  with you, take me  with you, wife.

    How,      will  she  none?     Doth       she  not  give us    thanks?

    Is     she  not  proud?   Doth       she  not  count     her  blest, Unworthy       as    she  is,    that we   have       wrought

    So   worthy    a     gentleman     to    be   her  bridegroom?

    JULIET.

    Not proud     you have,      but  thankful  that you have.

    Proud     can  I      never      be   of    what       I      hate;

    But  thankful  even       for   hate that is     meant    love.

    CAPULET.

    How now,       how now,       chopp’d  logic?     What      is     this?

    Proud,    and, I      thank     you, and I      thank     you not; And yet  not       proud.    Mistress  minion   you,

    Thank     me  no   thankings,     nor  proud     me  no   prouds, But    fettle       your fine joints      ’gainst    Thursday next To   go   with Paris       to       Saint      Peter’s    Church,

    Or   I      will  drag thee on   a     hurdle    thither.

    Out, you green-sickness     carrion!  Out, you baggage!

    You tallow-face!

    LADY      CAPULET.

    Fie,  fie!  What,     are  you mad?

    JULIET.

    Good      father,    I      beseech you on   my  knees,

    Hear       me  with patience but  to    speak     a     word.

    CAPULET.

    Hang      thee young    baggage,       disobedient   wretch!

    I      tell  thee what,—get    thee to    church    a     Thursday, Or  never       after look me  in    the  face.

    Speak     not, reply       not, do   not  answer   me.

    My  fingers    itch. Wife,      we   scarce    thought  us    blest That      God       had lent us    but  this  only child;

    But  now I      see  this  one is     one too  much,

    And that we   have       a     curse      in    having    her.

    Out on   her, hilding.

    NURSE.

    God in    heaven   bless      her.

    You are  to    blame,    my  lord, to    rate her  so.

    CAPULET.

    And why, my  lady wisdom? Hold       your tongue,

    Good      prudence;      smatter  with your gossips,  go.

    NURSE.

    I      speak     no   treason.

    CAPULET.

    O    God ye    good-en!

    NURSE.

    May not  one speak?

    CAPULET.

    Peace,    you mumbling     fool!

    Utter      your gravity    o’er a     gossip’s  bowl,

    For  here we   need      it     not.

    LADY      CAPULET.

    You are  too  hot.

    CAPULET.

    God’s     bread,    it     makes    me  mad!

    Day, night,     hour,      ride, time,      work,      play,

    Alone,    in    company,      still  my  care hath been

    To   have       her  match’d, and having    now provided A     gentleman       of    noble     parentage,

    Of   fair  demesnes,     youthful, and nobly      allied, Stuff’d, as    they say,       with honourable   parts, Proportion’d       as    one’s      thought       would     wish a     man, And       then to    have       a     wretched       puling    fool,

    A     whining  mammet,      in    her  fortune’s tender,

    To   answer,  ‘I’ll   not  wed,       I      cannot   love,

    I      am  too  young,    I      pray you pardon   me.’

    But, and you will  not  wed,       I’ll    pardon   you.

    Graze     where     you will, you shall not  house     with me.

    Look       to’t, think      on’t, I      do   not  use  to    jest.

    Thursday is     near;      lay   hand      on   heart,     advise.

    And you be   mine,      I’ll    give you to    my  friend; And    you be   not,       hang,     beg, starve,    die  in    the  streets, For     by   my  soul, I’ll       ne’er      acknowledge thee, Nor       what       is     mine      shall       never      do   thee good.

    Trust      to’t, bethink   you, I’ll    not  be   forsworn.

    [ Exit. ]

    JULIET.

    Is     there      no   pity sitting     in    the  clouds,

    That sees into the  bottom   of    my  grief?

    O    sweet     my  mother,  cast me  not  away,

    Delay      this  marriage for   a     month,   a     week,

    Or,  if     you do   not, make      the  bridal     bed

    In    that dim monument    where     Tybalt     lies.

    LADY      CAPULET.

    Talk not  to    me, for   I’ll    not  speak     a     word.

    Do   as    thou wilt, for   I      have       done      with thee.

    [ Exit. ]

    JULIET.

    O    God!       O    Nurse,    how shall this  be   prevented?

    My  husband is     on   earth,     my  faith in    heaven.

    How shall that faith return     again      to    earth, Unless  that husband send       it     me  from       heaven

    By   leaving   earth?     Comfort  me, counsel  me.

    Alack,     alack,     that heaven   should    practise  stratagems Upon  so       soft a     subject   as    myself.

    What      say’st      thou?     Hast thou not  a     word      of    joy?

    Some     comfort, Nurse.

    NURSE.

    Faith,      here it     is.

    Romeo   is     banished;      and all    the  world      to    nothing That  he       dares      ne’er      come      back       to    challenge      you.

    Or   if     he   do,  it     needs     must      be   by   stealth.

    Then,      since      the  case so    stands    as    now it     doth, I    think       it     best you married  with the  County.

    O,    he’s a     lovely     gentleman.

    Romeo’s a     dishclout to    him. An   eagle,     madam, Hath not  so       green,    so    quick,     so    fair  an   eye As    Paris       hath.       Beshrew my  very heart,

    I      think      you are  happy     in    this  second   match, For     it       excels     your first: or    if     it     did  not, Your first is     dead,      or       ’twere     as    good      he   were, As living      here and you no   use       of    him.

    JULIET.

    Speakest thou from       thy  heart?

    NURSE.

    And from       my  soul too,

    Or   else beshrew them      both.

    JULIET.

    Amen.

    NURSE.

    What?

    JULIET.

    Well,       thou hast comforted     me  marvellous    much.

    Go   in,   and tell  my  lady I      am  gone,

    Having   displeas’d      my  father,    to    Lawrence’      cell, To    make       confession     and to    be   absolv’d.

    NURSE.

    Marry,    I      will; and this  is     wisely     done.

    [ Exit. ]

    JULIET.

    Ancient  damnation!   O    most      wicked    fiend!

    Is     it     more      sin   to    wish me  thus forsworn,

    Or   to    dispraise my  lord with that same      tongue Which       she  hath       prais’d    him with above     compare So   many      thousand       times?    Go,  counsellor.

    Thou      and my  bosom    henceforth    shall be   twain.

    I’ll    to    the  Friar to    know      his   remedy.

    If     all    else fail,  myself    have       power     to    die.

    [ Exit. ]

    ACT IV

    SCENE    I.     Friar Lawrence’s    Cell.

    Enter      FRIAR    LAWRENCE   and PARIS .

    FRIAR     LAWRENCE.

    On  Thursday,      sir?  The time is     very short.

    PARIS.

    My  father     Capulet  will  have       it     so;

    And I      am  nothing  slow to    slack       his   haste.

    FRIAR     LAWRENCE.

    You say  you do   not  know      the  lady’s     mind.

    Uneven  is     the  course;   I      like  it     not.

    PARIS.

    Immoderately she  weeps    for   Tybalt’s  death,

    And therefore have       I      little talk’d      of    love; For Venus     smiles       not  in    a     house     of    tears.

    Now,      sir,   her  father     counts    it     dangerous

    That she  do   give her  sorrow    so    much     sway;

    And in    his   wisdom, hastes    our  marriage,

    To   stop the  inundation    of    her  tears,

    Which,    too  much     minded  by   herself    alone,

    May be   put  from       her  by   society.

    Now       do   you know      the  reason    of    this  haste.

    FRIAR     LAWRENCE.

    [ Aside. ] I      would     I      knew      not  why it     should    be   slow’d.—

    Look,      sir,   here comes    the  lady toward   my  cell.

    Enter      JULIET .

    PARIS.

    Happily  met, my  lady and my  wife!

    JULIET.

    That may be,  sir,   when      I      may be   a     wife.

    PARIS.

    That may be,  must      be,  love, on   Thursday next.

    JULIET.

    What      must      be   shall be.

    FRIAR     LAWRENCE.

    That’s     a     certain    text.

    PARIS.

    Come     you to    make      confession     to    this  father?

    JULIET.

    To   answer   that, I      should    confess   to    you.

    PARIS.

    Do   not  deny       to    him that you love me.

    JULIET.

    I      will  confess   to    you that I      love him.

    PARIS.

    So   will  ye,   I      am  sure,       that you love me.

    JULIET.

    If     I      do   so,   it     will  be   of    more      price,

    Being     spoke     behind   your back       than to    your face.

    PARIS.

    Poor       soul, thy  face is     much     abus’d    with tears.

    JULIET.

    The tears       have       got  small      victory    by   that;

    For  it     was bad enough  before    their spite.

    PARIS.

    Thou      wrong’st it     more      than tears       with that report.

    JULIET.

    That is     no   slander,  sir,   which     is     a     truth,

    And what       I      spake,    I      spake     it     to    my  face.

    PARIS.

    Thy  face is     mine,      and thou hast slander’d it.

    JULIET.

    It     may be   so,   for   it     is     not  mine      own.

    Are  you at    leisure,   holy father,    now,

    Or   shall I      come      to    you at    evening  mass?

    FRIAR     LAWRENCE.

    My  leisure    serves     me, pensive  daughter,      now.—

    My  lord, we   must      entreat   the  time alone.

    PARIS.

    God shield     I      should    disturb   devotion!—

    Juliet,     on   Thursday early       will  I      rouse      ye,

    Till   then,      adieu;     and keep       this  holy kiss.

    [ Exit. ]

    JULIET.

    O    shut the  door,      and when      thou hast done      so, Come       weep      with me, past hope,     past cure,       past help!

    FRIAR     LAWRENCE.

    O    Juliet,     I      already   know      thy  grief;

    It     strains    me  past the  compass of    my  wits.

    I      hear thou must,      and nothing  may prorogue       it, On      Thursday       next be   married  to    this  County.

    JULIET.

    Tell  me  not, Friar,       that thou hear’st    of    this, Unless    thou tell  me       how I      may prevent  it.

    If     in    thy  wisdom, thou canst      give no   help,

    Do   thou but  call  my  resolution      wise,

    And with this  knife       I’ll    help it     presently.

    God join’d      my  heart      and Romeo’s, thou our  hands; And    ere  this       hand,     by   thee to    Romeo’s seal’d, Shall   be   the  label       to       another  deed,

    Or   my  true heart      with treacherous   revolt

    Turn to    another, this  shall slay them      both.

    Therefore,      out  of    thy  long-experienc’d  time, Give      me  some       present   counsel, or    behold

    ’Twixt     my  extremes and me  this  bloody    knife Shall      play the       empire,   arbitrating     that

    Which    the  commission   of    thy  years      and art

    Could     to    no   issue      of    true honour   bring.

    Be   not  so    long to    speak.    I      long to    die,

    If     what       thou speak’st  speak     not  of    remedy.

    FRIAR     LAWRENCE.

    Hold,      daughter.      I      do   spy  a     kind of    hope,

    Which    craves    as    desperate      an   execution

    As   that is     desperate      which     we   would     prevent.

    If,    rather     than to    marry     County   Paris

    Thou      hast the  strength of    will  to    slay thyself, Then  is     it     likely       thou wilt  undertake

    A     thing      like  death     to    chide      away      this  shame, That       cop’st     with death     himself   to    scape     from       it.

    And if     thou dar’st,     I’ll    give thee remedy.

    JULIET.

    O,    bid  me  leap,       rather     than marry     Paris,

    From      off   the  battlements   of    yonder   tower,

    Or   walk in    thievish  ways,      or    bid  me  lurk

    Where    serpents are. Chain     me  with roaring   bears; Or hide me       nightly    in    a     charnel-house,

    O’er-cover’d  quite      with dead      men’s     rattling   bones, With       reeky      shanks    and yellow    chapless skulls.

    Or   bid  me  go   into a     new-made    grave,

    And hide me  with a     dead      man in    his   shroud;

    Things    that, to    hear them      told, have       made     me  tremble, And  I       will  do   it     without  fear or    doubt,

    To   live  an   unstain’d wife to    my  sweet     love.

    FRIAR     LAWRENCE.

    Hold       then.      Go   home,    be   merry,    give consent

    To   marry     Paris.      Wednesday   is     tomorrow;

    Tomorrow     night      look that thou lie    alone,

    Let  not  thy  Nurse     lie    with thee in    thy  chamber.

    Take       thou this  vial, being     then in    bed,

    And this  distilled  liquor     drink      thou off,

    When     presently through  all    thy  veins      shall run A      cold and       drowsy   humour; for   no   pulse

    Shall       keep       his   native     progress, but  surcease.

    No   warmth,  no   breath    shall testify     thou livest,

    The roses      in    thy  lips  and cheeks    shall fade To   paly ashes;     thy       eyes’      windows fall,

    Like death     when      he   shuts      up   the  day  of    life.

    Each       part depriv’d  of    supple    government,

    Shall       stiff  and stark       and cold appear   like  death.

    And in    this  borrow’d likeness  of    shrunk    death Thou    shalt       continue two and forty hours,

    And then awake    as    from       a     pleasant sleep.

    Now       when      the  bridegroom   in    the  morning comes To       rouse      thee from       thy  bed, there      art   thou dead.

    Then      as    the  manner  of    our  country  is,

    In    thy  best robes,     uncover’d,     on   the  bier,

    Thou      shalt       be   borne     to    that same      ancient   vault Where       all    the  kindred   of    the  Capulets lie.

    In    the  meantime,     against   thou shalt       awake,

    Shall       Romeo   by   my  letters     know      our  drift,

    And hither     shall he   come,     and he   and I

    Will watch     thy  waking,  and that very night

    Shall       Romeo   bear thee hence     to    Mantua.

    And this  shall free thee from       this  present   shame, If no   inconstant       toy  nor  womanish     fear

    Abate     thy  valour     in    the  acting     it.

    JULIET.

    Give me, give me! O    tell  not  me  of    fear!

    FRIAR     LAWRENCE.

    Hold;      get  you gone,     be   strong    and prosperous In this  resolve.       I’ll    send       a     friar with speed To Mantua, with my  letters     to       thy  lord.

    JULIET.

    Love       give me  strength, and strength shall help afford.

    Farewell, dear father.

    [ Exeunt. ]

    SCENE    II.     Hall in    Capulet’s House.

    Enter      CAPULET,     LADY      CAPULET,      NURSE   and SERVANTS .

    CAPULET.

    So   many      guests    invite      as    here are  writ.

    [ Exit       FIRST    SERVANT . ]

    Sirrah,    go   hire me  twenty    cunning  cooks.

    SECOND SERVANT.

    You shall have       none      ill,    sir;   for   I’ll    try   if     they can  lick  their       fingers.

    CAPULET.

    How canst      thou try   them      so?

    SECOND SERVANT.

    Marry,    sir, ’tis an  ill   cook     that      cannot  lick his own      fingers;   therefore     he  that cannot  lick  his   fingers    goes       not       with me.

    CAPULET.

    Go,  begone.

    [ Exit       SECOND      SERVANT . ]

    We  shall be   much     unfurnish’d    for   this  time.

    What,     is     my  daughter gone      to    Friar Lawrence?

    NURSE.

    Ay,  forsooth.

    CAPULET.

    Well,       he   may chance   to    do   some      good      on   her.

    A     peevish  self-will’d      harlotry  it     is.

    Enter      JULIET .

    NURSE.

    See  where     she  comes    from       shrift      with merry     look.

    CAPULET.

    How now,       my  headstrong.   Where    have       you been      gadding?

    JULIET.

    Where    I      have       learnt     me  to    repent    the  sin

    Of   disobedient   opposition

    To   you and your behests; and am  enjoin’d

    By   holy Lawrence       to    fall   prostrate here,

    To   beg your pardon.  Pardon,  I      beseech you.

    Henceforward       I      am  ever rul’d by   you.

    CAPULET.

    Send      for   the  County,  go   tell  him of    this.

    I’ll    have       this  knot knit up   tomorrow      morning.

    JULIET.

    I      met the  youthful lord at    Lawrence’      cell,

    And gave       him what       becomed       love I      might,

    Not stepping o’er the  bounds   of    modesty.

    CAPULET.

    Why,      I      am  glad on’t. This is     well. Stand     up.

    This is     as’t  should    be.  Let  me  see  the  County.

    Ay,  marry.    Go,  I      say, and fetch      him hither.

    Now       afore      God,       this  reverend holy Friar,

    All   our  whole     city  is     much     bound    to    him.

    JULIET.

    Nurse,    will  you go   with me  into my  closet,

    To   help me  sort such needful   ornaments

    As   you think      fit    to    furnish    me  tomorrow?

    LADY      CAPULET.

    No,  not  till   Thursday.      There     is     time enough.

    CAPULET.

    Go,  Nurse,    go   with her. We’ll       to    church    tomorrow.

    [ Exeunt  JULIET and NURSE . ]

    LADY      CAPULET.

    We  shall be   short      in    our  provision,

    ’Tis  now near night.

    CAPULET.

    Tush,      I      will  stir  about,

    And all    things     shall be   well, I      warrant  thee,      wife.

    Go   thou to    Juliet,     help to    deck       up   her.

    I’ll    not  to    bed tonight,  let   me  alone.

    I’ll    play the  housewife      for   this  once.—What, ho!—

    They       are  all    forth:      well, I      will  walk myself To       County   Paris,       to    prepare  him up

    Against   tomorrow.     My  heart      is     wondrous      light Since     this       same      wayward girl  is     so    reclaim’d.

    [ Exeunt. ]

    SCENE    III.    Juliet’s    Chamber.

    Enter      JULIET and NURSE .

    JULIET.

    Ay,  those      attires     are  best.       But, gentle    Nurse, I   pray thee leave       me  to    myself    tonight;

    For  I      have       need      of    many      orisons

    To   move      the  heavens to    smile      upon      my  state, Which,  well       thou know’st,  is     cross      and full  of    sin.

    Enter      LADY    CAPULET .

    LADY      CAPULET.

    What,     are  you busy,      ho?  Need      you my  help?

    JULIET.

    No,  madam;  we   have       cull’d      such necessaries

    As   are  behoveful      for   our  state       tomorrow.

    So   please    you, let   me  now be   left  alone,

    And let   the  nurse      this  night      sit    up   with you, For  I      am  sure       you have       your hands     full  all

    In    this  so    sudden   business.

    LADY      CAPULET.

    Good      night.

    Get  thee to    bed and rest, for   thou hast need.

    [ Exeunt  LADY    CAPULET      and NURSE . ]

    JULIET.

    Farewell. God knows    when      we   shall meet      again.

    I      have       a     faint cold fear thrills      through  my  veins That       almost    freezes   up   the  heat of    life.

    I’ll    call  them      back       again      to    comfort  me.

    Nurse!—What      should    she  do   here?

    My  dismal    scene     I      needs     must      act  alone.

    Come,    vial.

    What      if     this  mixture   do   not  work       at    all?

    Shall       I      be   married  then tomorrow      morning?

    No,  No!  This shall forbid     it.    Lie   thou there.

    [ Laying  down      her  dagger. ]

    What      if     it     be   a     poison,   which     the  Friar

    Subtly     hath minister’d      to    have       me  dead,

    Lest in    this  marriage he   should    be   dishonour’d, Because   he       married  me  before    to    Romeo?

    I      fear it     is.    And yet  methinks it     should    not, For  he   hath still       been      tried a     holy man.

    How if,    when      I      am  laid  into the  tomb,

    I      wake      before    the  time that Romeo

    Come     to    redeem  me? There’s   a     fearful    point!

    Shall       I      not  then be   stifled     in    the  vault,

    To   whose    foul mouth    no   healthsome   air   breathes in, And   there       die  strangled       ere  my  Romeo   comes?

    Or,  if     I      live, is     it     not  very like,

    The horrible  conceit   of    death     and night,

    Together with the  terror      of    the  place,

    As   in    a     vault,      an   ancient   receptacle,

    Where    for   this  many      hundred years      the  bones Of all    my       buried    ancestors      are  pack’d,

    Where    bloody    Tybalt,    yet  but  green     in    earth, Lies      festering       in    his   shroud;   where,    as    they say, At    some      hours     in       the  night      spirits     resort—

    Alack,     alack,     is     it     not  like  that I,

    So   early       waking,  what       with loathsome     smells, And    shrieks       like  mandrakes    torn out  of    the  earth, That     living      mortals,       hearing  them,     run  mad.

    O,    if     I      wake,     shall I      not  be   distraught,

    Environed      with all    these      hideous  fears,

    And madly     play with my  forefathers’    joints?

    And pluck      the  mangled Tybalt     from       his   shroud?

    And, in    this  rage,      with some      great      kinsman’s      bone, As with       a     club,       dash       out  my  desperate      brains?

    O    look,       methinks I      see  my  cousin’s  ghost

    Seeking  out  Romeo   that did  spit  his   body

    Upon      a     rapier’s   point.     Stay,       Tybalt,    stay!

    Romeo,  Romeo,  Romeo,  here’s     drink!     I      drink      to    thee.

    [ Throws herself    on   the  bed. ]

    SCENE    IV.   Hall in    Capulet’s House.

    Enter      LADY    CAPULET      and NURSE .

    LADY      CAPULET.

    Hold,      take these      keys and fetch      more      spices,    Nurse.

    NURSE.

    They       call  for   dates      and quinces  in    the  pastry.

    Enter      CAPULET .

    CAPULET.

    Come,    stir,  stir,  stir! The second   cock hath crow’d, The    curfew    bell       hath rung,      ’tis   three      o’clock.

    Look       to    the  bak’d      meats,    good      Angelica;

    Spare     not  for   cost.

    NURSE.

    Go,  you cot-quean,    go,

    Get  you to    bed; faith,      you’ll      be   sick tomorrow For this  night’s       watching.

    CAPULET.

    No,  not  a     whit.       What!     I      have       watch’d  ere  now All   night       for   lesser     cause,    and ne’er      been      sick.

    LADY      CAPULET.

    Ay,  you have       been      a     mouse-hunt  in    your time; But I      will       watch     you from       such watching now.

    [ Exeunt  LADY    CAPULET      and NURSE . ]

    CAPULET.

    A     jealous-hood, a     jealous-hood!

    Enter      SERVANTS, with spits,      logs and baskets.

    Now,      fellow,    what’s    there?

    FIRST      SERVANT.

    Things    for   the  cook,      sir;   but  I      know      not  what.

    CAPULET.

    Make      haste,     make      haste.

    [ Exit       FIRST    SERVANT . ]

    —Sirrah, fetch      drier logs.

    Call Peter,     he   will  show      thee where     they are.

    SECOND SERVANT.

    I      have       a     head,      sir,   that will  find out  logs And never       trouble   Peter      for   the  matter.

    [ Exit. ]

    CAPULET.

    Mass      and well said; a     merry     whoreson,     ha.

    Thou      shalt       be   loggerhead.—Good     faith,      ’tis   day.

    The County   will  be   here with music     straight, For   so    he   said he       would.    I      hear him near.

    [ Play      music. ]

    Nurse!    Wife!      What,     ho!  What,     Nurse,    I      say!

    Re-enter NURSE .

    Go   waken    Juliet,     go   and trim her  up.

    I’ll    go   and chat with Paris.      Hie, make      haste, Make   haste;     the       bridegroom   he   is     come      already.

    Make      haste      I      say.

    [ Exeunt. ]

    SCENE    V.    Juliet’s    Chamber;      Juliet      on   the  bed.

    Enter      NURSE .

    NURSE.

    Mistress! What,     mistress! Juliet!     Fast, I      warrant  her, she.

    Why,      lamb,      why, lady, fie,   you slug-abed!

    Why,      love, I      say! Madam! Sweetheart!   Why,      bride!

    What,     not  a     word?     You take your pennyworths now.

    Sleep      for   a     week;     for   the  next night,     I      warrant, The       County   Paris       hath set   up   his   rest

    That you shall rest but  little.       God forgive    me!

    Marry     and amen.     How sound     is     she  asleep!

    I      needs     must      wake      her. Madam,  madam,  madam!

    Ay,  let   the  County   take you in    your bed, He’ll       fright      you up,       i’faith.     Will it     not  be?

    What,     dress’d,  and in    your clothes,  and down      again?

    I      must      needs     wake      you. Lady!      Lady!      Lady!

    Alas, alas! Help,      help!      My  lady’s     dead!

    O,    well-a-day    that ever I      was born.

    Some     aqua      vitae,      ho!  My  lord! My  lady!

    Enter      LADY    CAPULET .

    LADY      CAPULET.

    What      noise      is     here?

    NURSE.

    O    lamentable    day!

    LADY      CAPULET.

    What      is     the  matter?

    NURSE.

    Look,      look!       O    heavy     day!

    LADY      CAPULET.

    O    me, O    me! My  child,      my  only life.

    Revive,   look up,  or    I      will  die  with thee.

    Help,      help!      Call help.

    Enter      CAPULET .

    CAPULET.

    For  shame,   bring      Juliet      forth,      her  lord is     come.

    NURSE.

    She’s      dead,      deceas’d, she’s      dead;      alack      the  day!

    LADY      CAPULET.

    Alack      the  day, she’s      dead,      she’s      dead,      she’s      dead!

    CAPULET.

    Ha!  Let  me  see  her. Out alas! She’s      cold,

    Her  blood     is     settled    and her  joints      are  stiff.

    Life  and these      lips  have       long been      separated.

    Death     lies  on   her  like  an   untimely frost

    Upon      the  sweetest flower     of    all    the  field.

    NURSE.

    O    lamentable    day!

    LADY      CAPULET.

    O    woful      time!

    CAPULET.

    Death,    that hath ta’en      her  hence     to    make      me  wail, Ties up       my  tongue   and will  not  let   me  speak.

    Enter      FRIAR    LAWRENCE   and PARIS   with Musicians.

    FRIAR     LAWRENCE.

    Come,    is     the  bride      ready      to    go   to    church?

    CAPULET.

    Ready     to    go,  but  never      to    return.

    O    son, the  night      before    thy  wedding day

    Hath       death     lain  with thy  bride.     There     she  lies, Flower     as       she  was, deflowered    by   him.

    Death     is     my  son-in-law,   death     is     my  heir;

    My  daughter he   hath wedded. I      will  die.

    And leave      him all;   life,  living,     all    is     death’s.

    PARIS.

    Have      I      thought  long to    see  this  morning’s      face, And       doth       it     give me  such a     sight       as    this?

    LADY      CAPULET.

    Accurs’d, unhappy, wretched,      hateful   day.

    Most      miserable      hour       that e’er time saw

    In    lasting    labour    of    his   pilgrimage.

    But  one, poor       one, one poor       and loving     child, But one thing       to    rejoice    and solace    in,

    And cruel       death     hath catch’d   it     from       my  sight.

    NURSE.

    O    woe!       O    woeful,   woeful,   woeful    day.

    Most      lamentable    day, most      woeful    day

    That ever,       ever,       I      did  yet  behold!

    O    day, O    day, O    day, O    hateful   day.

    Never     was seen so    black      a     day  as    this.

    O    woeful    day, O    woeful    day.

    PARIS.

    Beguil’d, divorced, wronged,       spited,    slain.

    Most      detestable     death,    by   thee beguil’d,

    By   cruel,      cruel       thee quite      overthrown.

    O    love!       O    life!  Not life,  but  love in    death!

    CAPULET.

    Despis’d, distressed,     hated,    martyr’d, kill’d.

    Uncomfortable     time,      why cam’st    thou now

    To   murder,  murder   our  solemnity?

    O    child!      O    child!      My  soul, and not  my  child, Dead    art   thou.       Alack,     my  child       is     dead,

    And with my  child       my  joys are  buried.

    FRIAR     LAWRENCE.

    Peace,    ho,  for   shame.   Confusion’s   cure lives not In     these       confusions.    Heaven  and yourself

    Had part in    this  fair  maid,      now heaven   hath all, And   all    the       better     is     it     for   the  maid.

    Your       part in    her  you could      not  keep       from       death, But       heaven   keeps     his   part in    eternal   life.

    The most      you sought   was her  promotion,

    For  ’twas      your heaven   she  should    be   advanc’d, And       weep       ye    now,       seeing    she  is     advanc’d

    Above    the  clouds,   as    high as    heaven   itself?

    O,    in    this  love, you love your child       so    ill That    you run  mad,       seeing    that she  is     well.

    She’s      not  well married  that lives married  long, But she’s      best       married  that dies married  young.

    Dry  up   your tears,      and stick your rosemary

    On  this  fair  corse,     and, as    the  custom   is,

    And in    her  best array      bear her  to    church;

    For  though   fond nature    bids us    all    lament,

    Yet  nature’s  tears       are  reason’s merriment.

    CAPULET.

    All   things     that we   ordained festival

    Turn from       their office      to    black      funeral:

    Our instruments   to    melancholy   bells,

    Our wedding cheer      to    a     sad  burial     feast;

    Our solemn   hymns    to    sullen     dirges     change; Our  bridal       flowers   serve      for   a     buried    corse, And     all    things       change   them      to    the  contrary.

    FRIAR     LAWRENCE.

    Sir,  go   you in,   and, madam,  go   with him,

    And go,  Sir   Paris,      everyone prepare

    To   follow     this  fair  corse      unto her  grave.

    The heavens do   lower      upon      you for   some      ill; Move  them       no   more      by   crossing their high will.

    [ Exeunt  CAPULET,     LADY      CAPULET,      PARIS    and FRIAR . ]

    FIRST      MUSICIAN.

    Faith,      we   may put  up   our  pipes      and be   gone.

    NURSE.

    Honest   good      fellows,   ah,  put  up,  put  up,

    For  well you know      this  is     a     pitiful     case.

    FIRST      MUSICIAN.

    Ay,  by   my  troth,      the  case may be   amended.

    [ Exit       NURSE . ]

    Enter      PETER .

    PETER.

    Musicians,     O,    musicians,     ‘Heart’s  ease,’     ‘Heart’s  ease’,     O,       and you will  have       me live,  play ‘Heart’s  ease.’

    FIRST      MUSICIAN.

    Why ‘Heart’s  ease’?

    PETER.

    O    musicians,    because       my heart    itself     plays     ‘My       heart      is   full’.      O   play      me some merry dump     to       comfort  me.

    FIRST      MUSICIAN.

    Not a     dump     we,  ’tis   no   time to    play now.

    PETER.

    You will  not  then?

    FIRST      MUSICIAN.

    No.

    PETER.

    I      will  then give it     you soundly.

    FIRST      MUSICIAN.

    What      will  you give us?

    PETER.

    No   money,   on   my  faith,      but  the  gleek!     I      will  give you the       minstrel.

    FIRST      MUSICIAN.

    Then      will  I      give you the  serving-creature.

    PETER.

    Then      will I     lay the serving-creature’s      dagger  on your      pate.      I     will carry     no crotchets.      I’ll    re    you, I’ll    fa    you.       Do   you note me?

    FIRST      MUSICIAN.

    And you re    us    and fa    us,   you note us.

    SECOND MUSICIAN.

    Pray you put  up   your dagger,  and put  out  your wit.

    PETER.

    Then      have       at    you with my  wit.  I      will  dry-beat you with an       iron wit,  and put  up my     iron dagger.  Answer   me  like  men.

    ‘When    griping   griefs      the  heart      doth       wound,

    And doleful    dumps    the  mind      oppress,

    Then      music     with her  silver      sound’—

    Why ‘silver     sound’?  Why ‘music    with her  silver      sound’?  What       say  you, Simon Catling?

    FIRST      MUSICIAN.

    Marry,    sir,   because silver      hath a     sweet     sound.

    PETER.

    Prates.    What      say  you, Hugh      Rebeck?

    SECOND MUSICIAN.

    I      say  ‘silver     sound’    because musicians      sound     for   silver.

    PETER.

    Prates     too! What      say  you, James     Soundpost?

    THIRD     MUSICIAN.

    Faith,      I      know      not  what       to    say.

    PETER.

    O,    I      cry   you mercy,    you are  the  singer.    I      will  say  for   you.       It     is     ‘music    with her silver sound’    because musicians      have       no   gold for   sounding.

    ‘Then      music     with her  silver      sound

    With       speedy   help doth       lend redress.’

    [ Exit. ]

    FIRST      MUSICIAN.

    What      a     pestilent knave     is     this  same!

    SECOND MUSICIAN.

    Hang      him, Jack. Come,    we’ll in    here,      tarry for   the  mourners,       and stay dinner.

    [ Exeunt. ]

    ACT V

    SCENE    I.     Mantua. A     Street.

    Enter      ROMEO .

    ROMEO.

    If     I      may trust the  flattering eye  of    sleep, My       dreams   presage       some      joyful      news      at    hand.

    My  bosom’s lord sits  lightly     in    his   throne; And   all    this  day  an       unaccustom’d spirit

    Lifts me  above     the  ground   with cheerful  thoughts.

    I      dreamt   my  lady came      and found     me  dead,—

    Strange  dream,   that gives      a     dead      man leave      to    think!—

    And breath’d such life   with kisses     in    my  lips, That I      reviv’d,   and       was an   emperor.

    Ah   me, how sweet     is     love itself possess’d,

    When     but  love’s     shadows are  so    rich in    joy.

    Enter      BALTHASAR .

    News      from       Verona!  How now,       Balthasar?

    Dost thou not  bring      me  letters     from       the  Friar?

    How doth       my  lady?      Is     my  father     well?

    How fares       my  Juliet?     That I      ask  again;

    For  nothing  can  be   ill     if     she  be   well.

    BALTHASAR.

    Then      she  is     well, and nothing  can  be   ill.

    Her  body      sleeps     in    Capel’s   monument,

    And her  immortal part with angels    lives.

    I      saw her  laid  low  in    her  kindred’s vault,

    And presently took post to    tell  it     you.

    O    pardon   me  for   bringing these      ill     news,

    Since      you did  leave      it     for   my  office,     sir.

    ROMEO.

    Is     it     even       so?  Then      I      defy you, stars!

    Thou      know’st  my  lodging.  Get  me  ink   and paper, And    hire       post-horses.  I      will  hence     tonight.

    BALTHASAR.

    I      do   beseech you sir,   have       patience.

    Your       looks      are  pale and wild, and do   import Some misadventure.

    ROMEO.

    Tush,      thou art   deceiv’d.

    Leave     me, and do   the  thing      I      bid  thee do.

    Hast thou no   letters     to    me  from       the  Friar?

    BALTHASAR.

    No,  my  good      lord.

    ROMEO.

    No   matter.   Get  thee gone,

    And hire those      horses.   I’ll    be   with thee straight.

    [ Exit       BALTHASAR . ]

    Well,       Juliet,     I      will  lie    with thee tonight.

    Let’s see  for   means.   O    mischief thou art   swift To  enter      in    the       thoughts of    desperate      men.

    I      do   remember     an   apothecary,—

    And hereabouts    he   dwells,—which     late I      noted In tatter’d       weeds,    with overwhelming      brows, Culling       of    simples,       meagre  were       his   looks,

    Sharp     misery    had worn      him to    the  bones;

    And in    his   needy     shop       a     tortoise  hung,

    An   alligator  stuff’d,    and other      skins

    Of   ill-shaped      fishes;     and about     his   shelves A beggarly account       of    empty    boxes,

    Green     earthen  pots,       bladders, and musty     seeds, Remnants   of       packthread,   and old  cakes      of    roses Were    thinly      scatter’d,       to    make      up   a     show.

    Noting    this  penury,   to    myself    I      said,

    And if     a     man did  need      a     poison    now,

    Whose    sale is     present   death     in    Mantua,

    Here       lives a     caitiff      wretch    would     sell  it     him.

    O,    this  same      thought  did  but  forerun   my  need, And      this  same       needy     man must      sell  it     me.

    As   I      remember,    this  should    be   the  house.

    Being     holiday,  the  beggar’s shop       is     shut.

    What,     ho!  Apothecary!

    Enter      APOTHECARY .

    APOTHECARY.

    Who       calls so    loud?

    ROMEO.

    Come     hither,    man.      I      see  that thou art   poor.

    Hold,      there      is     forty ducats.   Let  me  have

    A     dram      of    poison,   such soon-speeding     gear

    As   will  disperse itself through  all    the  veins, That     the  life-weary       taker      may fall   dead,

    And that the  trunk      may be   discharg’d     of    breath As       violently       as    hasty      powder   fir’d

    Doth       hurry      from       the  fatal cannon’s womb.

    APOTHECARY.

    Such       mortal    drugs     I      have,      but  Mantua’s law

    Is     death     to    any  he   that utters     them.

    ROMEO.

    Art   thou so    bare and full  of    wretchedness,

    And fear’st     to    die? Famine   is     in    thy  cheeks, Need and       oppression    starveth  in    thine      eyes, Contempt    and beggary       hangs     upon      thy  back.

    The world      is     not  thy  friend,    nor  the  world’s   law; The  world       affords    no   law  to    make      thee rich; Then      be   not  poor,       but  break      it     and take this.

    APOTHECARY.

    My  poverty,  but  not  my  will  consents.

    ROMEO.

    I      pay  thy  poverty,  and not  thy  will.

    APOTHECARY.

    Put  this  in    any  liquid      thing      you will

    And drink      it     off;  and, if     you had the  strength

    Of   twenty    men,      it     would     despatch you straight.

    ROMEO.

    There     is     thy  gold,      worse     poison    to    men’s     souls, Doing       more      murder   in    this  loathsome     world

    Than      these      poor       compounds   that thou mayst     not  sell.

    I      sell  thee poison,   thou hast sold me  none.

    Farewell, buy food,      and get  thyself    in    flesh.

    Come,    cordial    and not  poison,   go   with me

    To   Juliet’s    grave,     for   there      must      I      use  thee.

    [ Exeunt. ]

    SCENE    II.     Friar Lawrence’s    Cell.

    Enter      FRIAR    JOHN .

    FRIAR     JOHN.

    Holy Franciscan     Friar!      Brother,  ho!

    Enter      FRIAR    LAWRENCE .

    FRIAR     LAWRENCE.

    This same      should    be   the  voice      of    Friar John.

    Welcome       from       Mantua. What      says Romeo?

    Or,  if     his   mind      be   writ, give me  his   letter.

    FRIAR     JOHN.

    Going     to    find a     barefoot brother   out,

    One of    our  order,     to    associate me,

    Here       in    this  city  visiting   the  sick,

    And finding   him, the  searchers       of    the  town, Suspecting  that we       both       were       in    a     house

    Where    the  infectious      pestilence      did  reign,

    Seal’d     up   the  doors,     and would     not  let   us    forth, So that my       speed     to    Mantua  there      was stay’d.

    FRIAR     LAWRENCE.

    Who       bare my  letter      then to    Romeo?

    FRIAR     JOHN.

    I      could      not  send       it,—here it     is     again,—

    Nor get  a     messenger    to    bring      it     thee,

    So   fearful    were       they of    infection.

    FRIAR     LAWRENCE.

    Unhappy fortune!  By   my  brotherhood,

    The letter      was not  nice, but  full  of    charge, Of     dear import,   and       the  neglecting     it

    May do   much     danger.  Friar John,      go   hence,

    Get  me  an   iron crow       and bring      it     straight

    Unto       my  cell.

    FRIAR     JOHN.

    Brother,  I’ll    go   and bring      it     thee.

    [ Exit. ]

    FRIAR     LAWRENCE.

    Now       must      I      to    the  monument    alone.

    Within    this  three      hours     will  fair  Juliet      wake.

    She will  beshrew me  much     that Romeo

    Hath       had no   notice     of    these      accidents;

    But  I      will  write       again      to    Mantua,

    And keep       her  at    my  cell  till   Romeo   come.

    Poor       living      corse,     clos’d     in    a     dead      man’s     tomb.

    [ Exit. ]

    SCENE    III.    A     churchyard;   in    it     a     Monument belonging  to       the  Capulets.

    Enter      PARIS, and his   PAGE   bearing  flowers   and a     torch.

    PARIS.

    Give me  thy  torch,     boy. Hence    and stand      aloof.

    Yet  put  it     out, for   I      would     not  be   seen.

    Under     yond      yew tree lay   thee all    along,

    Holding  thy  ear  close      to    the  hollow    ground; So    shall no   foot       upon      the  churchyard    tread, Being   loose,     unfirm,   with       digging  up   of    graves, But    thou shalt       hear it.    Whistle   then       to    me, As    signal     that thou hear’st    something     approach.

    Give me  those      flowers.  Do   as    I      bid  thee,      go.

    PAGE.

    [ Aside. ] I      am  almost    afraid     to    stand      alone Here     in    the       churchyard;   yet  I      will  adventure.

    [ Retires. ]

    PARIS.

    Sweet     flower,    with flowers   thy  bridal     bed I      strew.

    O    woe,       thy  canopy   is     dust and stones,

    Which    with sweet     water      nightly    I      will  dew,

    Or   wanting  that, with tears       distill’d   by   moans.

    The obsequies      that I      for   thee will  keep,

    Nightly   shall be   to    strew      thy  grave      and weep.

    [ The      PAGE   whistles. ]

    The boy gives      warning  something     doth       approach.

    What      cursed    foot wanders this  way tonight,

    To   cross      my  obsequies      and true love’s     rite?

    What,     with a     torch!     Muffle    me, night,     awhile.

    [ Retires. ]

    Enter      ROMEO      and BALTHASAR       with a     torch,     mattock,       &c.

    ROMEO.

    Give me  that mattock  and the  wrenching     iron.

    Hold,      take this  letter;     early       in    the  morning See  thou deliver       it     to    my  lord and father.

    Give me  the  light;      upon      thy  life   I      charge    thee, Whate’er       thou hear’st    or    seest,     stand      all    aloof And      do   not       interrupt me  in    my  course.

    Why I      descend into this  bed of    death

    Is     partly     to    behold   my  lady’s     face,

    But  chiefly    to    take thence    from       her  dead      finger A  precious       ring, a     ring that I      must      use

    In    dear employment. Therefore      hence,    be   gone.

    But  if     thou jealous   dost return     to    pry

    In    what       I      further    shall intend    to    do,

    By   heaven   I      will  tear thee joint by   joint,

    And strew      this  hungry   churchyard    with thy  limbs.

    The time and my  intents    are  savage-wild;

    More      fierce      and more      inexorable     far

    Than      empty    tigers      or    the  roaring   sea.

    BALTHASAR.

    I      will  be   gone,     sir,   and not  trouble   you.

    ROMEO.

    So   shalt       thou show      me  friendship.     Take       thou that.

    Live, and be   prosperous,   and farewell, good      fellow.

    BALTHASAR.

    For  all    this  same,     I’ll    hide me  hereabout.

    His  looks      I      fear, and his   intents    I      doubt.

    [ Retires]

    ROMEO.

    Thou      detestable     maw,      thou womb     of    death,

    Gorg’d    with the  dearest   morsel    of    the  earth, Thus    I      enforce       thy  rotten     jaws to    open,

    [ Breaking      open      the  door       of    the  monument. ]

    And in    despite,  I’ll    cram      thee with more      food.

    PARIS.

    This is     that banish’d haughty Montague

    That murder’d my  love’s     cousin,—with which     grief, It    is    supposed,       the  fair  creature died,—

    And here is     come      to    do   some      villanous shame To      the  dead       bodies.   I      will  apprehend    him.

    [ Advances. ]

    Stop thy  unhallow’d    toil, vile  Montague.

    Can vengeance    be   pursu’d   further    than death?

    Condemned  villain,    I      do   apprehend    thee.

    Obey,     and go   with me, for   thou must      die.

    ROMEO.

    I      must      indeed;   and therefore came      I      hither.

    Good      gentle    youth,    tempt     not  a     desperate      man.

    Fly   hence     and leave      me. Think      upon      these      gone; Let       them      affright   thee.      I      beseech thee,      youth, Put      not       another  sin   upon      my  head

    By   urging    me  to    fury. O    be   gone.

    By   heaven   I      love thee better     than myself; For     I      come       hither     arm’d     against   myself.

    Stay not, be   gone,     live, and hereafter say, A     madman’s     mercy       bid  thee run  away.

    PARIS.

    I      do   defy thy  conjuration,

    And apprehend    thee for   a     felon      here.

    ROMEO.

    Wilt thou provoke  me? Then      have       at    thee,      boy!

    [ They     fight. ]

    PAGE.

    O    lord, they fight!      I      will  go   call  the  watch.

    [ Exit. ]

    PARIS.

    O,    I      am  slain!      [ Falls. ]   If     thou be   merciful, Open      the       tomb,     lay   me  with Juliet.

    [ Dies. ]

    ROMEO.

    In    faith,      I      will. Let  me  peruse    this  face.

    Mercutio’s     kinsman, noble     County   Paris!

    What      said my  man,      when      my  betossed soul

    Did  not  attend    him as    we   rode?      I      think

    He   told me  Paris       should    have       married  Juliet.

    Said he   not  so?  Or   did  I      dream    it     so?

    Or   am  I      mad,      hearing  him talk  of    Juliet,

    To   think      it     was so?  O,    give me  thy  hand,

    One writ with me  in    sour misfortune’s  book.

    I’ll    bury thee in    a     triumphant    grave.

    A     grave?    O    no,  a     lantern,  slaught’red    youth, For      here lies       Juliet,     and her  beauty    makes

    This vault       a     feasting  presence full  of    light.

    Death,    lie    thou there,     by   a     dead      man interr’d.

    [ Laying  PARIS   in    the  monument. ]

    How oft   when      men are  at    the  point      of    death

    Have      they been      merry!    Which    their keepers  call A      lightning       before    death.    O,    how may I

    Call this  a     lightning?      O    my  love, my  wife,

    Death     that hath suck’d    the  honey     of    thy  breath, Hath  had no       power     yet  upon      thy  beauty.

    Thou      art   not  conquer’d.     Beauty’s ensign    yet Is      crimson  in       thy  lips  and in    thy  cheeks,

    And death’s   pale flag is     not  advanced      there.

    Tybalt,    liest thou there      in    thy  bloody    sheet?

    O,    what       more      favour    can  I      do   to    thee

    Than      with that hand      that cut  thy  youth     in    twain To sunder       his   that was thine      enemy?

    Forgive   me, cousin.   Ah,  dear Juliet,

    Why art   thou yet  so    fair? Shall       I      believe

    That unsubstantial death     is     amorous;

    And that the  lean abhorred monster keeps

    Thee       here in    dark to    be   his   paramour?

    For  fear of    that I      still  will  stay with thee, And       never      from       this  palace    of    dim night

    Depart    again.     Here,      here will  I      remain

    With       worms    that are  thy  chambermaids.     O,    here Will I      set       up   my  everlasting    rest;

    And shake     the  yoke       of    inauspicious  stars

    From      this  world-wearied      flesh.      Eyes,      look your last.

    Arms,     take your last  embrace!       And, lips, O    you The  doors     of       breath,   seal with a     righteous       kiss A      dateless  bargain  to       engrossing    death.

    Come,    bitter      conduct, come,     unsavoury     guide.

    Thou      desperate      pilot,      now at    once       run  on

    The dashing  rocks      thy  sea-sick weary     bark.

    Here’s    to    my  love!       [ Drinks. ]       O    true apothecary!

    Thy  drugs     are  quick.     Thus       with a     kiss  I      die.

    [ Dies. ]

    Enter,     at    the  other      end of    the  Churchyard, FRIAR LAWRENCE,        with a     lantern, crow, and spade.

    FRIAR     LAWRENCE.

    Saint      Francis   be   my  speed.    How oft   tonight

    Have      my  old  feet stumbled       at    graves?   Who’s     there?

    Who       is     it     that consorts, so    late, the  dead?

    BALTHASAR.

    Here’s    one, a     friend,    and one that knows    you well.

    FRIAR     LAWRENCE.

    Bliss be   upon      you. Tell  me, good      my  friend, What  torch      is       yond      that vainly     lends      his   light To   grubs     and eyeless       skulls?    As   I      discern,

    It     burneth  in    the  Capels’   monument.

    BALTHASAR.

    It     doth       so,   holy sir,   and there’s    my  master, One   that you love.

    FRIAR     LAWRENCE.

    Who       is     it?

    BALTHASAR.

    Romeo.

    FRIAR     LAWRENCE.

    How long hath he   been      there?

    BALTHASAR.

    Full  half an   hour.

    FRIAR     LAWRENCE.

    Go   with me  to    the  vault.

    BALTHASAR.

    I      dare not, sir;

    My  master    knows    not  but  I      am  gone      hence,

    And fearfully  did  menace  me  with death

    If     I      did  stay to    look on   his   intents.

    FRIAR     LAWRENCE.

    Stay then,      I’ll    go   alone.     Fear comes    upon      me.

    O,    much     I      fear some      ill     unlucky  thing.

    BALTHASAR.

    As   I      did  sleep      under     this  yew tree here,

    I      dreamt   my  master    and another  fought,

    And that my  master    slew him.

    FRIAR     LAWRENCE.

    Romeo!  [ Advances. ]

    Alack,     alack,     what       blood     is     this  which     stains The       stony      entrance of    this  sepulchre?

    What      mean     these      masterless     and gory swords

    To   lie    discolour’d    by   this  place      of    peace?

    [ Enters   the  monument. ]

    Romeo!  O,    pale!       Who       else?       What,     Paris       too?

    And steep’d   in    blood?    Ah   what       an   unkind    hour Is    guilty       of    this  lamentable    chance?

    The lady stirs.

    [JULIET   wakes     and stirs. ]

    JULIET.

    O    comfortable   Friar,       where     is     my  lord?

    I      do   remember     well where     I      should    be,

    And there      I      am. Where    is     my  Romeo?

    [ Noise   within. ]

    FRIAR     LAWRENCE.

    I      hear some      noise.     Lady,      come      from       that nest Of       death,    contagion,     and unnatural      sleep.

    A     greater   power     than we   can  contradict

    Hath       thwarted our  intents.   Come,    come      away.

    Thy  husband in    thy  bosom    there      lies  dead;

    And Paris       too. Come,    I’ll    dispose  of    thee

    Among   a     sisterhood     of    holy nuns.

    Stay not  to    question, for   the  watch     is     coming.

    Come,    go,  good      Juliet.     I      dare no   longer    stay.

    JULIET.

    Go,  get  thee hence,    for   I      will  not  away.

    [ Exit       FRIAR    LAWRENCE . ]

    What’s    here?      A     cup clos’d     in    my  true love’s     hand?

    Poison,   I      see, hath been      his   timeless  end.

    O    churl.      Drink      all,   and left  no   friendly   drop To  help me after?       I      will  kiss  thy  lips.

    Haply     some      poison    yet  doth       hang      on   them,

    To   make      me  die  with a     restorative.

    [ Kisses   him. ]

    Thy  lips  are  warm!

    FIRST      WATCH.

    [ Within. ]       Lead,      boy. Which    way?

    JULIET.

    Yea, noise?    Then      I’ll    be   brief.      O    happy     dagger.

    [ Snatching    ROMEO’S    dagger. ]

    This is     thy  sheath.   [ stabs    herself]   There     rest, and let   me  die.

    [ Falls     on   ROMEO’S    body      and dies. ]

    Enter      WATCH       with the  PAGE   of    Paris.

    PAGE.

    This is     the  place.     There,     where     the  torch      doth       burn.

    FIRST      WATCH.

    The ground   is     bloody.   Search    about     the  churchyard.

    Go,  some      of    you, whoe’er  you find attach.

    [ Exeunt  some      of    the  WATCH . ]

    Pitiful     sight!      Here       lies  the  County   slain,

    And Juliet      bleeding, warm,     and newly     dead,

    Who       here hath lain  this  two days buried.

    Go   tell  the  Prince;    run  to    the  Capulets.

    Raise      up   the  Montagues,   some      others    search.

    [ Exeunt  others    of    the  WATCH . ]

    We  see  the  ground   whereon these      woes      do   lie, But    the  true       ground   of    all    these      piteous   woes We cannot   without       circumstance descry.

    Re-enter some      of    the  WATCH       with BALTHASAR .

    SECOND WATCH.

    Here’s    Romeo’s man.      We  found     him in    the  churchyard.

    FIRST      WATCH.

    Hold       him in    safety     till   the  Prince     come      hither.

    Re-enter others    of    the  WATCH       with FRIAR    LAWRENCE .

    THIRD     WATCH.

    Here       is     a     Friar that trembles, sighs,     and weeps.

    We  took this  mattock  and this  spade     from       him As    he   was       coming   from       this  churchyard    side.

    FIRST      WATCH.

    A     great      suspicion.      Stay the  Friar too.

    Enter      the  PRINCE       and ATTENDANTS .

    PRINCE.

    What      misadventure is     so    early       up,

    That calls our  person    from       our  morning’s      rest?

    Enter      CAPULET,     LADY      CAPULET      and others.

    CAPULET.

    What      should    it     be   that they so    shriek     abroad?

    LADY      CAPULET.

    O    the  people    in    the  street     cry   Romeo,

    Some     Juliet,     and some      Paris,      and all    run

    With       open      outcry    toward   our  monument.

    PRINCE.

    What      fear is     this  which     startles   in    our  ears?

    FIRST      WATCH.

    Sovereign,     here lies  the  County   Paris       slain, And      Romeo  dead,       and Juliet,     dead      before,

    Warm     and new kill’d.

    PRINCE.

    Search,   seek,      and know      how this  foul murder   comes.

    FIRST      WATCH.

    Here       is     a     Friar,       and slaughter’d    Romeo’s man, With       instruments   upon      them      fit    to    open

    These     dead      men’s     tombs.

    CAPULET.

    O    heaven!  O    wife, look how our  daughter bleeds!

    This dagger   hath mista’en, for   lo,   his   house

    Is     empty    on   the  back       of    Montague, And     it     mis-sheathed       in    my  daughter’s     bosom.

    LADY      CAPULET.

    O    me! This sight       of    death     is     as    a     bell

    That warns     my  old  age to    a     sepulchre.

    Enter      MONTAGUE       and others.

    PRINCE.

    Come,    Montague,    for   thou art   early       up,

    To   see  thy  son  and heir more      early       down.

    MONTAGUE.

    Alas, my  liege,      my  wife is     dead      tonight.

    Grief       of    my  son’s      exile hath stopp’d   her  breath.

    What      further    woe conspires       against   mine      age?

    PRINCE.

    Look,      and thou shalt       see.

    MONTAGUE.

    O    thou untaught!      What      manners is     in    this,

    To   press      before    thy  father     to    a     grave?

    PRINCE.

    Seal up   the  mouth    of    outrage  for   a     while,

    Till   we   can  clear       these      ambiguities,

    And know      their spring,    their head,      their true descent, And then will  I       be   general   of    your woes,

    And lead you even       to    death.    Meantime      forbear, And  let       mischance     be   slave      to    patience.

    Bring      forth       the  parties    of    suspicion.

    FRIAR     LAWRENCE.

    I      am  the  greatest, able to    do   least,

    Yet  most      suspected,     as    the  time and place

    Doth       make      against   me, of    this  direful    murder.

    And here I      stand,     both       to    impeach and purge Myself       condemned   and myself    excus’d.

    PRINCE.

    Then      say  at    once       what       thou dost know      in    this.

    FRIAR     LAWRENCE.

    I      will  be   brief,      for   my  short      date of    breath Is not  so    long       as    is     a     tedious   tale.

    Romeo,  there      dead,      was husband to    that Juliet, And      she, there       dead,      that Romeo’s faithful   wife.

    I      married  them;     and their stol’n      marriage day Was Tybalt’s       doomsday,    whose    untimely death Banish’d      the  new-made       bridegroom   from       this  city; For  whom,    and not  for   Tybalt,       Juliet      pin’d.

    You, to    remove   that siege      of    grief from       her, Betroth’d,      and       would     have       married  her  perforce To    County   Paris.      Then       comes    she  to    me,

    And with wild looks,     bid  me  devise    some      means To      rid   her       from       this  second   marriage,

    Or   in    my  cell  there      would     she  kill   herself.

    Then      gave       I      her, so    tutored   by   my  art,

    A     sleeping potion,   which     so    took effect

    As   I      intended,       for   it     wrought on   her

    The form       of    death.    Meantime      I      writ to    Romeo That   he       should    hither     come      as    this  dire night To  help to    take her       from       her  borrow’d grave, Being  the  time the  potion’s  force       should    cease.

    But  he   which     bore       my  letter,     Friar John,

    Was stay’d     by   accident; and yesternight

    Return’d my  letter      back.      Then      all    alone

    At    the  prefixed  hour       of    her  waking

    Came     I      to    take her  from       her  kindred’s vault, Meaning      to       keep       her  closely    at    my  cell

    Till   I      conveniently  could      send       to    Romeo.

    But  when      I      came,     some      minute   ere  the  time

    Of   her  awaking, here untimely lay

    The noble     Paris       and true Romeo   dead.

    She wakes;    and I      entreated      her  come      forth

    And bear this  work       of    heaven   with patience.

    But  then a     noise      did  scare      me  from       the  tomb; And     she,       too  desperate,     would     not  go   with me, But,  as    it     seems,       did  violence on   herself.

    All   this  I      know;     and to    the  marriage

    Her  Nurse     is     privy.      And if     ought     in    this

    Miscarried     by   my  fault,      let   my  old  life Be     sacrific’d, some       hour       before    his   time,

    Unto       the  rigour     of    severest  law.

    PRINCE.

    We  still  have       known    thee for   a     holy man.

    Where’s  Romeo’s man?      What      can  he   say  to    this?

    BALTHASAR.

    I      brought  my  master    news      of    Juliet’s    death, And     then in       post he   came      from       Mantua

    To   this  same      place,     to    this  same      monument.

    This letter      he   early       bid  me  give his   father, And    threaten’d       me  with death,    going     in    the  vault, If   I      departed not, and       left  him there.

    PRINCE.

    Give me  the  letter,     I      will  look on   it.

    Where    is     the  County’s Page      that rais’d      the  watch?

    Sirrah,    what       made     your master    in    this  place?

    PAGE.

    He   came      with flowers   to    strew      his   lady’s     grave, And     bid       me  stand      aloof,      and so    I      did.

    Anon      comes    one with light to    ope the  tomb,

    And by   and by   my  master    drew       on   him,

    And then I      ran  away      to    call  the  watch.

    PRINCE.

    This letter      doth       make      good      the  Friar’s     words, Their       course    of    love, the  tidings    of    her  death.

    And here he   writes     that he   did  buy a     poison Of      a     poor       ’pothecary,    and therewithal

    Came     to    this  vault       to    die,  and lie    with Juliet.

    Where    be   these      enemies?       Capulet, Montague,

    See  what       a     scourge  is     laid  upon      your hate,

    That heaven   finds       means    to    kill   your joys with love!

    And I,     for   winking  at    your discords too,

    Have      lost  a     brace      of    kinsmen. All   are  punish’d.

    CAPULET.

    O    brother   Montague,    give me  thy  hand.

    This is     my  daughter’s     jointure, for   no   more Can      I      demand.

    MONTAGUE.

    But  I      can  give thee more,

    For  I      will  raise her  statue     in    pure gold,

    That whiles     Verona   by   that name     is     known,

    There     shall no   figure     at    such rate be   set

    As   that of    true and faithful   Juliet.

    CAPULET.

    As   rich shall Romeo’s by   his   lady’s     lie,

    Poor       sacrifices of    our  enmity.

    PRINCE.

    A     glooming      peace     this  morning with it     brings; The    sun  for       sorrow    will  not  show      his   head.

    Go   hence,    to    have       more      talk  of    these      sad  things.

    Some     shall be   pardon’d,      and some      punished,

    For  never      was a     story       of    more      woe

    Than      this  of    Juliet      and her  Romeo.

    [ Exeunt. ]

    THE TRAGEDY OF ROMEO AND JULIET

    Contents
    Dramatis Personæ
    SCENE. During the greater part of the Play in Verona; once, in the Fifth Act, at Mantua.
    THE PROLOGUE
    ACT I SCENE I. A public place.

    SCENE II. A Street.

    SCENE III. Room in Capulet’s House.

    SCENE IV. A Street.

    SCENE V. A Hall in Capulet’s House.

    ACT II SCENE I. An open place adjoining Capulet’s Garden.

    SCENE II. Capulet’s Garden.

    SCENE III. Friar Lawrence’s Cell.

    SCENE IV. A Street.

    SCENE V. Capulet’s Garden.

    SCENE VI. Friar Lawrence’s Cell.

    ACT III SCENE I. A public Place.

    SCENE II. A Room in Capulet’s House.
    SCENE III. Friar Lawrence’s cell.

    SCENE IV. A Room in Capulet’s House.

    SCENE V. An open Gallery to Juliet’s Chamber, overlooking the Garden.

    ACT IV SCENE I. Friar Lawrence’s Cell.

    SCENE II. Hall in Capulet’s House.

    SCENE III. Juliet’s Chamber.

    SCENE IV. Hall in Capulet’s House.

    SCENE V. Juliet’s Chamber; Juliet on the bed.

    ACT V SCENE I. Mantua. A Street.

    SCENE II. Friar Lawrence’s Cell.

    SCENE III. A churchyard; in it a Monument belonging to the Capulets.

  • Charles Darwin《On the Origin of Species》

    On the Origin of Species:BY MEANS OF NATURAL SELECTION, OR THE
    PRESERVATION OF FAVOURED RACES IN THE STRUGGLE FOR LIFE.
    By Charles Darwin, M.A., Fellow Of The Royal, Geological, Linnæan, Etc., Societies;
    Author Of ‘Journal Of Researches During H.M.S. Beagle’s Voyage
    Round The World.’
    LONDON: JOHN MURRAY, ALBEMARLE STREET. 1859.

    Contents
    INTRODUCTION.
    VARIATION UNDER DOMESTICATION.
    VARIATION UNDER NATURE.
    STRUGGLE FOR EXISTENCE.

    NATURAL SELECTION.

    LAWS OF VARIATION.

    DIFFICULTIES ON THEORY.

    INSTINCT.

    HYBRIDISM.

    ON THE IMPERFECTION OF THE GEOLOGICAL RECORD.

    ON THE GEOLOGICAL SUCCESSION OF ORGANIC BEINGS.

    GEOGRAPHICAL DISTRIBUTION.

    GEOGRAPHICAL DISTRIBUTION—continued.

    MUTUAL AFFINITIES OF ORGANIC BEINGS: MORPHOLOGY:

    RECAPITULATION AND CONCLUSION.
    INDEX

    DETEAILED CONTENTS. ON THE ORIGIN OF SPECIES.

    INTRODUCTION.
    CHAPTER I. VARIATION UNDER DOMESTICATION.
    Causes of Variability.
    Effects of Habit.
    Correlation of Growth.
    Inheritance.
    Character of Domestic Varieties.
    Difficulty of distinguishing between Varieties and Species.
    Origin of Domestic Varieties from one or more Species.
    Domestic Pigeons, their Differences and Origin.
    Principle of Selection anciently followed, its Effects.
    Methodical and Unconscious Selection.
    Unknown Origin of our Domestic Productions.
    Circumstances favourable to Man’s power of Selection.
    CHAPTER 2. VARIATION UNDER NATURE.
    Variability.
    Individual Differences.
    Doubtful species.
    Wide ranging, much diffused, and common species vary most.
    Species of the larger genera in any country vary more than the
    species of the smaller genera.
    Many of the species of the larger genera resemble varieties in being
    very closely, but unequally, related to each other, and in having
    restricted ranges.

    CHAPTER 3. STRUGGLE FOR EXISTENCE.

    Bears on natural selection.
    The term used in a wide sense.
    Geometrical powers of increase.
    Rapid increase of naturalised animals and plants.
    Nature of the checks to increase.
    Competition universal.
    Effects of climate.
    Protection from the number of individuals.
    Complex relations of all animals and plants throughout nature.
    Struggle for life most severe between individuals and varieties of
    the same species; often severe between species of the same genus.
    The relation of organism to organism the most important of all
    relations.

    CHAPTER 4. NATURAL SELECTION.

    Natural Selection: its power compared with man’s selection, its power
    on characters of trifling importance, its power at all ages and on
    both sexes.
    Sexual Selection.
    On the generality of intercrosses between individuals of the same
    species.
    Circumstances favourable and unfavourable to Natural Selection,
    namely, intercrossing, isolation, number of individuals.
    Slow action.
    Extinction caused by Natural Selection.
    Divergence of Character, related to the diversity of inhabitants of
    any small area, and to naturalisation.
    Action of Natural Selection, through Divergence of Character and
    Extinction, on the descendants from a common parent.
    Explains the Grouping of all organic beings.

    CHAPTER 5. LAWS OF VARIATION.

    Effects of external conditions.
    Use and disuse, combined with natural selection; organs of flight and
    of vision.
    Acclimatisation.
    Correlation of growth.
    Compensation and economy of growth.
    False correlations.
    Multiple, rudimentary, and lowly organised structures variable.
    Parts developed in an unusual manner are highly variable: specific
    characters more variable than generic: secondary sexual characters
    variable.
    Species of the same genus vary in an analogous manner.
    Reversions to long-lost characters.
    Summary.

    CHAPTER 6. DIFFICULTIES ON THEORY.

    Difficulties on the theory of descent with modification.
    Transitions.
    Absence or rarity of transitional varieties.
    Transitions in habits of life.
    Diversified habits in the same species.
    Species with habits widely different from those of their allies.
    Organs of extreme perfection.
    Means of transition.
    Cases of difficulty.
    Natura non facit saltum.
    Organs of small importance.
    Organs not in all cases absolutely perfect.
    The law of Unity of Type and of the Conditions of Existence embraced
    by the theory of Natural Selection.

    CHAPTER 7. INSTINCT.

    Instincts comparable with habits, but different in their origin.
    Instincts graduated.
    Aphides and ants.
    Instincts variable.
    Domestic instincts, their origin.
    Natural instincts of the cuckoo, ostrich, and parasitic bees.
    Slave-making ants.
    Hive-bee, its cell-making instinct.
    Difficulties on the theory of the Natural Selection of instincts.
    Neuter or sterile insects.
    Summary.

    CHAPTER 8. HYBRIDISM.

    Distinction between the sterility of first crosses and of hybrids.
    Sterility various in degree, not universal, affected by close
    interbreeding, removed by domestication.
    Laws governing the sterility of hybrids.
    Sterility not a special endowment, but incidental on other
    differences.
    Causes of the sterility of first crosses and of hybrids.
    Parallelism between the effects of changed conditions of life and
    crossing.
    Fertility of varieties when crossed and of their mongrel offspring
    not universal.
    Hybrids and mongrels compared independently of their fertility.
    Summary.

    CHAPTER 9. ON THE IMPERFECTION OF THE GEOLOGICAL RECORD.

    On the absence of intermediate varieties at the present day.
    On the nature of extinct intermediate varieties; on their number.
    On the vast lapse of time, as inferred from the rate of deposition
    and of denudation.
    On the poorness of our palæontological collections.
    On the intermittence of geological formations.
    On the absence of intermediate varieties in any one formation.
    On the sudden appearance of groups of species.
    On their sudden appearance in the lowest known fossiliferous strata.

    CHAPTER 10. ON THE GEOLOGICAL SUCCESSION OF ORGANIC BEINGS.

    On the slow and successive appearance of new species.
    On their different rates of change.
    Species once lost do not reappear.
    Groups of species follow the same general rules in their appearance
    and disappearance as do single species.
    On Extinction.
    On simultaneous changes in the forms of life throughout the world.
    On the affinities of extinct species to each other and to living
    species.
    On the state of development of ancient forms.
    On the succession of the same types within the same areas.
    Summary of preceding and present chapters.

    CHAPTER 11. GEOGRAPHICAL DISTRIBUTION.

    Present distribution cannot be accounted for by differences in
    physical conditions.
    Importance of barriers.
    Affinity of the productions of the same continent.
    Centres of creation.
    Means of dispersal, by changes of climate and of the level of the
    land, and by occasional means.
    Dispersal during the Glacial period co-extensive with the world.

    CHAPTER 12. GEOGRAPHICAL DISTRIBUTION—continued.

    Distribution of fresh-water productions.
    On the inhabitants of oceanic islands.
    Absence of Batrachians and of terrestrial Mammals.
    On the relation of the inhabitants of islands to those of the nearest
    mainland.
    On colonisation from the nearest source with subsequent modification.
    Summary of the last and present chapters.

    CHAPTER 13. MUTUAL AFFINITIES OF ORGANIC BEINGS: MORPHOLOGY:
    EMBRYOLOGY: RUDIMENTARY ORGANS.

    CLASSIFICATION, groups subordinate to groups.
    Natural system.
    Rules and difficulties in classification, explained on the theory of
    descent with modification.
    Classification of varieties.
    Descent always used in classification.
    Analogical or adaptive characters.
    Affinities, general, complex and radiating.
    Extinction separates and defines groups.
    MORPHOLOGY, between members of the same class, between parts of the
    same individual.
    EMBRYOLOGY, laws of, explained by variations not supervening at an
    early age, and being inherited at a corresponding age.
    RUDIMENTARY ORGANS; their origin explained.
    Summary.

    CHAPTER 14. RECAPITULATION AND CONCLUSION.
    Recapitulation of the difficulties on the theory of Natural
    Selection.
    Recapitulation of the general and special circumstances in its
    favour.
    Causes of the general belief in the immutability of species.
    How far the theory of natural selection may be extended.
    Effects of its adoption on the study of Natural history.
    Concluding remarks.

    INTRODUCTION.

    When on board H.M.S. ‘Beagle,’ as naturalist, I was much struck with certain facts in the distribution of the inhabitants of South America,
    and in the geological relations of the present to the past inhabitants
    of that continent. These facts seemed to me to throw some light on the
    origin of species—that mystery of mysteries, as it has been called by
    one of our greatest philosophers. On my return home, it occurred to me,
    in 1837, that something might perhaps be made out on this question by
    patiently accumulating and reflecting on all sorts of facts which could
    possibly have any bearing on it. After five years’ work I allowed
    myself to speculate on the subject, and drew up some short notes; these
    I enlarged in 1844 into a sketch of the conclusions, which then seemed
    to me probable: from that period to the present day I have steadily
    pursued the same object. I hope that I may be excused for entering on
    these personal details, as I give them to show that I have not been
    hasty in coming to a decision.

    My work is now nearly finished; but as it will take me two or three
    more years to complete it, and as my health is far from strong, I have
    been urged to publish this Abstract. I have more especially been
    induced to do this, as Mr. Wallace, who is now studying the
    natural history of the Malay archipelago, has arrived at almost exactly
    the same general conclusions that I have on the origin of species. Last
    year he sent to me a memoir on this subject, with a request that I
    would forward it to Sir Charles Lyell, who sent it to the Linnean
    Society, and it is published in the third volume of the Journal of that
    Society. Sir C. Lyell and Dr. Hooker, who both knew of my work—the
    latter having read my sketch of 1844—honoured me by thinking it
    advisable to publish, with Mr. Wallace’s excellent memoir, some brief
    extracts from my manuscripts.

    This Abstract, which I now publish, must necessarily be imperfect. I
    cannot here give references and authorities for my several statements;
    and I must trust to the reader reposing some confidence in my accuracy.
    No doubt errors will have crept in, though I hope I have always been
    cautious in trusting to good authorities alone. I can here give only
    the general conclusions at which I have arrived, with a few facts in
    illustration, but which, I hope, in most cases will suffice. No one can
    feel more sensible than I do of the necessity of hereafter publishing
    in detail all the facts, with references, on which my conclusions have
    been grounded; and I hope in a future work to do this. For I am well
    aware that scarcely a single point is discussed in this volume on which
    facts cannot be adduced, often apparently leading to conclusions
    directly opposite to those at which I have arrived. A fair result can
    be obtained only by fully stating and balancing the facts and arguments
    on both sides of each question; and this cannot possibly be here done.

    I much regret that want of space prevents my having the satisfaction of
    acknowledging the generous assistance which I have received from very
    many naturalists, some of them personally unknown to me. I cannot,
    however,
    let this opportunity pass without expressing my deep obligations to Dr.
    Hooker, who for the last fifteen years has aided me in every possible
    way by his large stores of knowledge and his excellent judgment.

    In considering the Origin of Species, it is quite conceivable that a
    naturalist, reflecting on the mutual affinities of organic beings, on
    their embryological relations, their geographical distribution,
    geological succession, and other such facts, might come to the
    conclusion that each species had not been independently created, but
    had descended, like varieties, from other species. Nevertheless, such a
    conclusion, even if well founded, would be unsatisfactory, until it
    could be shown how the innumerable species inhabiting this world have
    been modified, so as to acquire that perfection of structure and
    coadaptation which most justly excites our admiration. Naturalists
    continually refer to external conditions, such as climate, food, etc.,
    as the only possible cause of variation. In one very limited sense, as
    we shall hereafter see, this may be true; but it is preposterous to
    attribute to mere external conditions, the structure, for instance, of
    the woodpecker, with its feet, tail, beak, and tongue, so admirably
    adapted to catch insects under the bark of trees. In the case of the
    misseltoe, which draws its nourishment from certain trees, which has
    seeds that must be transported by certain birds, and which has flowers
    with separate sexes absolutely requiring the agency of certain insects
    to bring pollen from one flower to the other, it is equally
    preposterous to account for the structure of this parasite, with its
    relations to several distinct organic beings, by the effects of
    external conditions, or of habit, or of the volition of the plant
    itself.

    The author of the ‘Vestiges of Creation’ would, I presume, say that,
    after a certain unknown number of
    generations, some bird had given birth to a woodpecker, and some plant
    to the misseltoe, and that these had been produced perfect as we now
    see them; but this assumption seems to me to be no explanation, for it
    leaves the case of the coadaptations of organic beings to each other
    and to their physical conditions of life, untouched and unexplained.

    It is, therefore, of the highest importance to gain a clear insight
    into the means of modification and coadaptation. At the commencement of
    my observations it seemed to me probable that a careful study of
    domesticated animals and of cultivated plants would offer the best
    chance of making out this obscure problem. Nor have I been
    disappointed; in this and in all other perplexing cases I have
    invariably found that our knowledge, imperfect though it be, of
    variation under domestication, afforded the best and safest clue. I may
    venture to express my conviction of the high value of such studies,
    although they have been very commonly neglected by naturalists.

    From these considerations, I shall devote the first chapter of this
    Abstract to Variation under Domestication. We shall thus see that a
    large amount of hereditary modification is at least possible, and, what
    is equally or more important, we shall see how great is the power of
    man in accumulating by his Selection successive slight variations. I
    will then pass on to the variability of species in a state of nature;
    but I shall, unfortunately, be compelled to treat this subject far too
    briefly, as it can be treated properly only by giving long catalogues
    of facts. We shall, however, be enabled to discuss what circumstances
    are most favourable to variation. In the next chapter the Struggle for
    Existence amongst all organic beings throughout the world, which
    inevitably follows from their high geometrical powers of
    increase, will be treated of. This is the doctrine of Malthus, applied
    to the whole animal and vegetable kingdoms. As many more individuals of
    each species are born than can possibly survive; and as, consequently,
    there is a frequently recurring struggle for existence, it follows that
    any being, if it vary however slightly in any manner profitable to
    itself, under the complex and sometimes varying conditions of life,
    will have a better chance of surviving, and thus be naturally selected. From the strong principle of inheritance, any selected
    variety will tend to propagate its new and modified form.

    This fundamental subject of Natural Selection will be treated at some
    length in the fourth chapter; and we shall then see how Natural
    Selection almost inevitably causes much Extinction of the less improved
    forms of life and induces what I have called Divergence of Character.
    In the next chapter I shall discuss the complex and little known laws
    of variation and of correlation of growth. In the four succeeding
    chapters, the most apparent and gravest difficulties on the theory will
    be given: namely, first, the difficulties of transitions, or in
    understanding how a simple being or a simple organ can be changed and
    perfected into a highly developed being or elaborately constructed
    organ; secondly the subject of Instinct, or the mental powers of
    animals, thirdly, Hybridism, or the infertility of species and the
    fertility of varieties when intercrossed; and fourthly, the
    imperfection of the Geological Record. In the next chapter I shall
    consider the geological succession of organic beings throughout time;
    in the eleventh and twelfth, their geographical distribution throughout
    space; in the thirteenth, their classification or mutual affinities,
    both when mature and in an embryonic condition. In the last chapter I
    shall give a
    brief recapitulation of the whole work, and a few concluding remarks.

    No one ought to feel surprise at much remaining as yet unexplained in
    regard to the origin of species and varieties, if he makes due
    allowance for our profound ignorance in regard to the mutual relations
    of all the beings which live around us. Who can explain why one species
    ranges widely and is very numerous, and why another allied species has
    a narrow range and is rare? Yet these relations are of the highest
    importance, for they determine the present welfare, and, as I believe,
    the future success and modification of every inhabitant of this world.
    Still less do we know of the mutual relations of the innumerable
    inhabitants of the world during the many past geological epochs in its
    history. Although much remains obscure, and will long remain obscure, I
    can entertain no doubt, after the most deliberate study and
    dispassionate judgment of which I am capable, that the view which most
    naturalists entertain, and which I formerly entertained—namely, that
    each species has been independently created—is erroneous. I am fully
    convinced that species are not immutable; but that those belonging to
    what are called the same genera are lineal descendants of some other
    and generally extinct species, in the same manner as the acknowledged
    varieties of any one species are the descendants of that species.
    Furthermore, I am convinced that Natural Selection has been the main
    but not exclusive means of modification.

    CHAPTER I.
    VARIATION UNDER DOMESTICATION.

    Causes of Variability. Effects of Habit. Correlation of Growth.
    Inheritance. Character of Domestic Varieties. Difficulty of
    distinguishing between Varieties and Species. Origin of Domestic
    Varieties from one or more Species. Domestic Pigeons, their Differences
    and Origin. Principle of Selection anciently followed, its Effects.
    Methodical and Unconscious Selection. Unknown Origin of our Domestic
    Productions. Circumstances favourable to Man’s power of Selection.

    When we look to the individuals of the same variety or sub-variety of
    our older cultivated plants and animals, one of the first points which
    strikes us, is, that they generally differ much more from each other,
    than do the individuals of any one species or variety in a state of
    nature. When we reflect on the vast diversity of the plants and animals
    which have been cultivated, and which have varied during all ages under
    the most different climates and treatment, I think we are driven to
    conclude that this greater variability is simply due to our domestic
    productions having been raised under conditions of life not so uniform
    as, and somewhat different from, those to which the parent-species have
    been exposed under nature. There is, also, I think, some probability in
    the view propounded by Andrew Knight, that this variability may be
    partly connected with excess of food. It seems pretty clear that
    organic beings must be exposed during several generations to the new
    conditions of life to cause any appreciable amount of variation; and
    that when the organisation has once begun to vary, it generally
    continues to vary for many generations.
    No case is on record of a variable being ceasing to be variable under
    cultivation. Our oldest cultivated plants, such as wheat, still often
    yield new varieties: our oldest domesticated animals are still capable
    of rapid improvement or modification.

    It has been disputed at what period of life the causes of variability,
    whatever they may be, generally act; whether during the early or late
    period of development of the embryo, or at the instant of conception.
    Geoffroy St. Hilaire’s experiments show that unnatural treatment of the
    embryo causes monstrosities; and monstrosities cannot be separated by
    any clear line of distinction from mere variations. But I am strongly
    inclined to suspect that the most frequent cause of variability may be
    attributed to the male and female reproductive elements having been
    affected prior to the act of conception. Several reasons make me
    believe in this; but the chief one is the remarkable effect which
    confinement or cultivation has on the functions of the reproductive
    system; this system appearing to be far more susceptible than any other
    part of the organisation, to the action of any change in the conditions
    of life. Nothing is more easy than to tame an animal, and few things
    more difficult than to get it to breed freely under confinement, even
    in the many cases when the male and female unite. How many animals
    there are which will not breed, though living long under not very close
    confinement in their native country! This is generally attributed to
    vitiated instincts; but how many cultivated plants display the utmost
    vigour, and yet rarely or never seed! In some few such cases it has
    been found out that very trifling changes, such as a little more or
    less water at some particular period of growth, will determine whether
    or not the plant sets a seed. I cannot here enter on the copious
    details which I have collected on
    this curious subject; but to show how singular the laws are which
    determine the reproduction of animals under confinement, I may just
    mention that carnivorous animals, even from the tropics, breed in this
    country pretty freely under confinement, with the exception of the
    plantigrades or bear family; whereas, carnivorous birds, with the
    rarest exceptions, hardly ever lay fertile eggs. Many exotic plants
    have pollen utterly worthless, in the same exact condition as in the
    most sterile hybrids. When, on the one hand, we see domesticated
    animals and plants, though often weak and sickly, yet breeding quite
    freely under confinement; and when, on the other hand, we see
    individuals, though taken young from a state of nature, perfectly
    tamed, long-lived, and healthy (of which I could give numerous
    instances), yet having their reproductive system so seriously affected
    by unperceived causes as to fail in acting, we need not be surprised at
    this system, when it does act under confinement, acting not quite
    regularly, and producing offspring not perfectly like their parents or
    variable.

    Sterility has been said to be the bane of horticulture; but on this
    view we owe variability to the same cause which produces sterility; and
    variability is the source of all the choicest productions of the
    garden. I may add, that as some organisms will breed most freely under
    the most unnatural conditions (for instance, the rabbit and ferret kept
    in hutches), showing that their reproductive system has not been thus
    affected; so will some animals and plants withstand domestication or
    cultivation, and vary very slightly—perhaps hardly more than in a state
    of nature.

    A long list could easily be given of “sporting plants;” by this term
    gardeners mean a single bud or offset, which suddenly assumes a new and
    sometimes very different character from that of the rest of the plant.
    Such buds can be propagated by grafting, etc., and sometimes by seed.
    These “sports” are extremely rare under nature, but far from rare under
    cultivation; and in this case we see that the treatment of the parent
    has affected a bud or offset, and not the ovules or pollen. But it is
    the opinion of most physiologists that there is no essential difference
    between a bud and an ovule in their earliest stages of formation; so
    that, in fact, “sports” support my view, that variability may be
    largely attributed to the ovules or pollen, or to both, having been
    affected by the treatment of the parent prior to the act of conception.
    These cases anyhow show that variation is not necessarily connected, as
    some authors have supposed, with the act of generation.

    Seedlings from the same fruit, and the young of the same litter,
    sometimes differ considerably from each other, though both the young
    and the parents, as Müller has remarked, have apparently been exposed
    to exactly the same conditions of life; and this shows how unimportant
    the direct effects of the conditions of life are in comparison with the
    laws of reproduction, and of growth, and of inheritance; for had the
    action of the conditions been direct, if any of the young had varied,
    all would probably have varied in the same manner. To judge how much,
    in the case of any variation, we should attribute to the direct action
    of heat, moisture, light, food, etc., is most difficult: my impression
    is, that with animals such agencies have produced very little direct
    effect, though apparently more in the case of plants. Under this point
    of view, Mr. Buckman’s recent experiments on plants seem extremely
    valuable. When all or nearly all the individuals exposed to certain
    conditions are affected in the same way, the change at first appears to
    be directly due to such conditions; but in some cases it can be shown
    that quite opposite conditions produce
    similar changes of structure. Nevertheless some slight amount of change
    may, I think, be attributed to the direct action of the conditions of
    life—as, in some cases, increased size from amount of food, colour from
    particular kinds of food and from light, and perhaps the thickness of
    fur from climate.

    Habit also has a decided influence, as in the period of flowering with
    plants when transported from one climate to another. In animals it has
    a more marked effect; for instance, I find in the domestic duck that
    the bones of the wing weigh less and the bones of the leg more, in
    proportion to the whole skeleton, than do the same bones in the
    wild-duck; and I presume that this change may be safely attributed to
    the domestic duck flying much less, and walking more, than its wild
    parent. The great and inherited development of the udders in cows and
    goats in countries where they are habitually milked, in comparison with
    the state of these organs in other countries, is another instance of
    the effect of use. Not a single domestic animal can be named which has
    not in some country drooping ears; and the view suggested by some
    authors, that the drooping is due to the disuse of the muscles of the
    ear, from the animals not being much alarmed by danger, seems probable.

    There are many laws regulating variation, some few of which can be
    dimly seen, and will be hereafter briefly mentioned. I will here only
    allude to what may be called correlation of growth. Any change in the
    embryo or larva will almost certainly entail changes in the mature
    animal. In monstrosities, the correlations between quite distinct parts
    are very curious; and many instances are given in Isidore Geoffroy St.
    Hilaire’s great work on this subject. Breeders believe that long limbs
    are almost always accompanied by an elongated head. Some instances of
    correlation are quite whimsical; thus
    cats with blue eyes are invariably deaf; colour and constitutional
    peculiarities go together, of which many remarkable cases could be
    given amongst animals and plants. From the facts collected by
    Heusinger, it appears that white sheep and pigs are differently
    affected from coloured individuals by certain vegetable poisons.
    Hairless dogs have imperfect teeth; long-haired and coarse-haired
    animals are apt to have, as is asserted, long or many horns; pigeons
    with feathered feet have skin between their outer toes; pigeons with
    short beaks have small feet, and those with long beaks large feet.
    Hence, if man goes on selecting, and thus augmenting, any peculiarity,
    he will almost certainly unconsciously modify other parts of the
    structure, owing to the mysterious laws of the correlation of growth.

    The result of the various, quite unknown, or dimly seen laws of
    variation is infinitely complex and diversified. It is well worth while
    carefully to study the several treatises published on some of our old
    cultivated plants, as on the hyacinth, potato, even the dahlia, etc.;
    and it is really surprising to note the endless points in structure and
    constitution in which the varieties and sub-varieties differ slightly
    from each other. The whole organisation seems to have become plastic,
    and tends to depart in some small degree from that of the parental
    type.

    Any variation which is not inherited is unimportant for us. But the
    number and diversity of inheritable deviations of structure, both those
    of slight and those of considerable physiological importance, is
    endless. Dr. Prosper Lucas’s treatise, in two large volumes, is the
    fullest and the best on this subject. No breeder doubts how strong is
    the tendency to inheritance: like produces like is his fundamental
    belief: doubts have been thrown on this principle by theoretical
    writers alone. When a
    deviation appears not unfrequently, and we see it in the father and
    child, we cannot tell whether it may not be due to the same original
    cause acting on both; but when amongst individuals, apparently exposed
    to the same conditions, any very rare deviation, due to some
    extraordinary combination of circumstances, appears in the parent—say,
    once amongst several million individuals—and it reappears in the child,
    the mere doctrine of chances almost compels us to attribute its
    reappearance to inheritance. Every one must have heard of cases of
    albinism, prickly skin, hairy bodies, etc., appearing in several
    members of the same family. If strange and rare deviations of structure
    are truly inherited, less strange and commoner deviations may be freely
    admitted to be inheritable. Perhaps the correct way of viewing the
    whole subject, would be, to look at the inheritance of every character
    whatever as the rule, and non-inheritance as the anomaly.

    The laws governing inheritance are quite unknown; no one can say why
    the same peculiarity in different individuals of the same species, and
    in individuals of different species, is sometimes inherited and
    sometimes not so; why the child often reverts in certain characters to
    its grandfather or grandmother or other much more remote ancestor; why
    a peculiarity is often transmitted from one sex to both sexes or to one
    sex alone, more commonly but not exclusively to the like sex. It is a
    fact of some little importance to us, that peculiarities appearing in
    the males of our domestic breeds are often transmitted either
    exclusively, or in a much greater degree, to males alone. A much more
    important rule, which I think may be trusted, is that, at whatever
    period of life a peculiarity first appears, it tends to appear in the
    offspring at a corresponding age, though sometimes earlier. In many
    cases this could
    not be otherwise: thus the inherited peculiarities in the horns of
    cattle could appear only in the offspring when nearly mature;
    peculiarities in the silkworm are known to appear at the corresponding
    caterpillar or cocoon stage. But hereditary diseases and some other
    facts make me believe that the rule has a wider extension, and that
    when there is no apparent reason why a peculiarity should appear at any
    particular age, yet that it does tend to appear in the offspring at the
    same period at which it first appeared in the parent. I believe this
    rule to be of the highest importance in explaining the laws of
    embryology. These remarks are of course confined to the first
    appearance of the peculiarity, and not to its primary cause, which
    may have acted on the ovules or male element; in nearly the same manner
    as in the crossed offspring from a short-horned cow by a long-horned
    bull, the greater length of horn, though appearing late in life, is
    clearly due to the male element.

    Having alluded to the subject of reversion, I may here refer to a
    statement often made by naturalists—namely, that our domestic
    varieties, when run wild, gradually but certainly revert in character
    to their aboriginal stocks. Hence it has been argued that no deductions
    can be drawn from domestic races to species in a state of nature. I
    have in vain endeavoured to discover on what decisive facts the above
    statement has so often and so boldly been made. There would be great
    difficulty in proving its truth: we may safely conclude that very many
    of the most strongly-marked domestic varieties could not possibly live
    in a wild state. In many cases we do not know what the aboriginal stock
    was, and so could not tell whether or not nearly perfect reversion had
    ensued. It would be quite necessary, in order to prevent the effects of
    intercrossing, that only a
    single variety should be turned loose in its new home. Nevertheless, as
    our varieties certainly do occasionally revert in some of their
    characters to ancestral forms, it seems to me not improbable, that if
    we could succeed in naturalising, or were to cultivate, during many
    generations, the several races, for instance, of the cabbage, in very
    poor soil (in which case, however, some effect would have to be
    attributed to the direct action of the poor soil), that they would to a
    large extent, or even wholly, revert to the wild aboriginal stock.
    Whether or not the experiment would succeed, is not of great importance
    for our line of argument; for by the experiment itself the conditions
    of life are changed. If it could be shown that our domestic varieties
    manifested a strong tendency to reversion,—that is, to lose their
    acquired characters, whilst kept under unchanged conditions, and whilst
    kept in a considerable body, so that free intercrossing might check, by
    blending together, any slight deviations of structure, in such case, I
    grant that we could deduce nothing from domestic varieties in regard to
    species. But there is not a shadow of evidence in favour of this view:
    to assert that we could not breed our cart and race-horses, long and
    short-horned cattle, and poultry of various breeds, and esculent
    vegetables, for an almost infinite number of generations, would be
    opposed to all experience. I may add, that when under nature the
    conditions of life do change, variations and reversions of character
    probably do occur; but natural selection, as will hereafter be
    explained, will determine how far the new characters thus arising shall
    be preserved.

    When we look to the hereditary varieties or races of our domestic
    animals and plants, and compare them with species closely allied
    together, we generally perceive in each domestic race, as already
    remarked, less uniformity of character than in true species. Domestic
    races of
    the same species, also, often have a somewhat monstrous character; by
    which I mean, that, although differing from each other, and from the
    other species of the same genus, in several trifling respects, they
    often differ in an extreme degree in some one part, both when compared
    one with another, and more especially when compared with all the
    species in nature to which they are nearest allied. With these
    exceptions (and with that of the perfect fertility of varieties when
    crossed,—a subject hereafter to be discussed), domestic races of the
    same species differ from each other in the same manner as, only in most
    cases in a lesser degree than, do closely-allied species of the same
    genus in a state of nature. I think this must be admitted, when we find
    that there are hardly any domestic races, either amongst animals or
    plants, which have not been ranked by some competent judges as mere
    varieties, and by other competent judges as the descendants of
    aboriginally distinct species. If any marked distinction existed
    between domestic races and species, this source of doubt could not so
    perpetually recur. It has often been stated that domestic races do not
    differ from each other in characters of generic value. I think it could
    be shown that this statement is hardly correct; but naturalists differ
    most widely in determining what characters are of generic value; all
    such valuations being at present empirical. Moreover, on the view of
    the origin of genera which I shall presently give, we have no right to
    expect often to meet with generic differences in our domesticated
    productions.

    When we attempt to estimate the amount of structural difference between
    the domestic races of the same species, we are soon involved in doubt,
    from not knowing whether they have descended from one or several
    parent-species. This point, if it could be cleared up, would be
    interesting; if, for instance, it could be shown that the greyhound,
    bloodhound, terrier, spaniel, and bull-dog, which we all know propagate
    their kind so truly, were the offspring of any single species, then
    such facts would have great weight in making us doubt about the
    immutability of the many very closely allied and natural species—for
    instance, of the many foxes—inhabiting different quarters of the world.
    I do not believe, as we shall presently see, that all our dogs have
    descended from any one wild species; but, in the case of some other
    domestic races, there is presumptive, or even strong, evidence in
    favour of this view.

    It has often been assumed that man has chosen for domestication animals
    and plants having an extraordinary inherent tendency to vary, and
    likewise to withstand diverse climates. I do not dispute that these
    capacities have added largely to the value of most of our domesticated
    productions; but how could a savage possibly know, when he first tamed
    an animal, whether it would vary in succeeding generations, and whether
    it would endure other climates? Has the little variability of the ass
    or guinea-fowl, or the small power of endurance of warmth by the
    rein-deer, or of cold by the common camel, prevented their
    domestication? I cannot doubt that if other animals and plants, equal
    in number to our domesticated productions, and belonging to equally
    diverse classes and countries, were taken from a state of nature, and
    could be made to breed for an equal number of generations under
    domestication, they would vary on an average as largely as the parent
    species of our existing domesticated productions have varied.

    In the case of most of our anciently domesticated animals and plants, I
    do not think it is possible to come to any definite conclusion, whether
    they have descended from one or several species. The argument mainly
    relied on by those who believe in the multiple origin
    of our domestic animals is, that we find in the most ancient records,
    more especially on the monuments of Egypt, much diversity in the
    breeds; and that some of the breeds closely resemble, perhaps are
    identical with, those still existing. Even if this latter fact were
    found more strictly and generally true than seems to me to be the case,
    what does it show, but that some of our breeds originated there, four
    or five thousand years ago? But Mr. Horner’s researches have rendered
    it in some degree probable that man sufficiently civilized to have
    manufactured pottery existed in the valley of the Nile thirteen or
    fourteen thousand years ago; and who will pretend to say how long
    before these ancient periods, savages, like those of Tierra del Fuego
    or Australia, who possess a semi-domestic dog, may not have existed in
    Egypt?

    The whole subject must, I think, remain vague; nevertheless, I may,
    without here entering on any details, state that, from geographical and
    other considerations, I think it highly probable that our domestic dogs
    have descended from several wild species. In regard to sheep and goats
    I can form no opinion. I should think, from facts communicated to me by
    Mr. Blyth, on the habits, voice, and constitution, etc., of the humped
    Indian cattle, that these had descended from a different aboriginal
    stock from our European cattle; and several competent judges believe
    that these latter have had more than one wild parent. With respect to
    horses, from reasons which I cannot give here, I am doubtfully inclined
    to believe, in opposition to several authors, that all the races have
    descended from one wild stock. Mr. Blyth, whose opinion, from his large
    and varied stores of knowledge, I should value more than that of almost
    any one, thinks that all the breeds of poultry have proceeded from the
    common wild
    Indian fowl (Gallus bankiva). In regard to ducks and rabbits, the
    breeds of which differ considerably from each other in structure, I do
    not doubt that they all have descended from the common wild duck and
    rabbit.

    The doctrine of the origin of our several domestic races from several
    aboriginal stocks, has been carried to an absurd extreme by some
    authors. They believe that every race which breeds true, let the
    distinctive characters be ever so slight, has had its wild prototype.
    At this rate there must have existed at least a score of species of
    wild cattle, as many sheep, and several goats in Europe alone, and
    several even within Great Britain. One author believes that there
    formerly existed in Great Britain eleven wild species of sheep peculiar
    to it! When we bear in mind that Britain has now hardly one peculiar
    mammal, and France but few distinct from those of Germany and
    conversely, and so with Hungary, Spain, etc., but that each of these
    kingdoms possesses several peculiar breeds of cattle, sheep, etc., we
    must admit that many domestic breeds have originated in Europe; for
    whence could they have been derived, as these several countries do not
    possess a number of peculiar species as distinct parent-stocks? So it
    is in India. Even in the case of the domestic dogs of the whole world,
    which I fully admit have probably descended from several wild species,
    I cannot doubt that there has been an immense amount of inherited
    variation. Who can believe that animals closely resembling the Italian
    greyhound, the bloodhound, the bull-dog, or Blenheim spaniel, etc.—so
    unlike all wild Canidæ—ever existed freely in a state of nature? It has
    often been loosely said that all our races of dogs have been produced
    by the crossing of a few aboriginal species; but by crossing we can get
    only forms in some degree intermediate between their parents; and if we
    account for our several domestic races by this process, we must admit
    the former existence of the most extreme forms, as the Italian
    greyhound, bloodhound, bull-dog, etc., in the wild state. Moreover, the
    possibility of making distinct races by crossing has been greatly
    exaggerated. There can be no doubt that a race may be modified by
    occasional crosses, if aided by the careful selection of those
    individual mongrels, which present any desired character; but that a
    race could be obtained nearly intermediate between two extremely
    different races or species, I can hardly believe. Sir J. Sebright
    expressly experimentised for this object, and failed. The offspring
    from the first cross between two pure breeds is tolerably and sometimes
    (as I have found with pigeons) extremely uniform, and everything seems
    simple enough; but when these mongrels are crossed one with another for
    several generations, hardly two of them will be alike, and then the
    extreme difficulty, or rather utter hopelessness, of the task becomes
    apparent. Certainly, a breed intermediate between two very distinct
    breeds could not be got without extreme care and long-continued
    selection; nor can I find a single case on record of a permanent race
    having been thus formed.

    On the Breeds of the Domestic Pigeon.—Believing that it is always
    best to study some special group, I have, after deliberation, taken up
    domestic pigeons. I have kept every breed which I could purchase or
    obtain, and have been most kindly favoured with skins from several
    quarters of the world, more especially by the Honourable W. Elliot from
    India, and by the Honourable C. Murray from Persia. Many treatises in
    different languages have been published on pigeons, and some of them
    are very important, as being of considerable antiquity. I have
    associated with several eminent fanciers, and have been permitted to
    join two
    of the London Pigeon Clubs. The diversity of the breeds is something
    astonishing. Compare the English carrier and the short-faced tumbler,
    and see the wonderful difference in their beaks, entailing
    corresponding differences in their skulls. The carrier, more especially
    the male bird, is also remarkable from the wonderful development of the
    carunculated skin about the head, and this is accompanied by greatly
    elongated eyelids, very large external orifices to the nostrils, and a
    wide gape of mouth. The short-faced tumbler has a beak in outline
    almost like that of a finch; and the common tumbler has the singular
    and strictly inherited habit of flying at a great height in a compact
    flock, and tumbling in the air head over heels. The runt is a bird of
    great size, with long, massive beak and large feet; some of the
    sub-breeds of runts have very long necks, others very long wings and
    tails, others singularly short tails. The barb is allied to the
    carrier, but, instead of a very long beak, has a very short and very
    broad one. The pouter has a much elongated body, wings, and legs; and
    its enormously developed crop, which it glories in inflating, may well
    excite astonishment and even laughter. The turbit has a very short and
    conical beak, with a line of reversed feathers down the breast; and it
    has the habit of continually expanding slightly the upper part of the
    oesophagus. The Jacobin has the feathers so much reversed along the
    back of the neck that they form a hood, and it has, proportionally to
    its size, much elongated wing and tail feathers. The trumpeter and
    laugher, as their names express, utter a very different coo from the
    other breeds. The fantail has thirty or even forty tail-feathers,
    instead of twelve or fourteen, the normal number in all members of the
    great pigeon family; and these feathers are kept expanded, and are
    carried so erect that in good birds the head and tail
    touch; the oil-gland is quite aborted. Several other less distinct
    breeds might have been specified.

    In the skeletons of the several breeds, the development of the bones of
    the face in length and breadth and curvature differs enormously. The
    shape, as well as the breadth and length of the ramus of the lower jaw,
    varies in a highly remarkable manner. The number of the caudal and
    sacral vertebræ vary; as does the number of the ribs, together with
    their relative breadth and the presence of processes. The size and
    shape of the apertures in the sternum are highly variable; so is the
    degree of divergence and relative size of the two arms of the furcula.
    The proportional width of the gape of mouth, the proportional length of
    the eyelids, of the orifice of the nostrils, of the tongue (not always
    in strict correlation with the length of beak), the size of the crop
    and of the upper part of the oesophagus; the development and abortion
    of the oil-gland; the number of the primary wing and caudal feathers;
    the relative length of wing and tail to each other and to the body; the
    relative length of leg and of the feet; the number of scutellæ on the
    toes, the development of skin between the toes, are all points of
    structure which are variable. The period at which the perfect plumage
    is acquired varies, as does the state of the down with which the
    nestling birds are clothed when hatched. The shape and size of the eggs
    vary. The manner of flight differs remarkably; as does in some breeds
    the voice and disposition. Lastly, in certain breeds, the males and
    females have come to differ to a slight degree from each other.

    Altogether at least a score of pigeons might be chosen, which if shown
    to an ornithologist, and he were told that they were wild birds, would
    certainly, I think, be ranked by him as well-defined species. Moreover,
    I do not believe that any ornithologist would place touch; the
    oil-gland is quite aborted. Several other less distinct breeds might
    have been specified.
    the English carrier, the short-faced tumbler, the runt, the barb,
    pouter, and fantail in the same genus; more especially as in each of
    these breeds several truly-inherited sub-breeds, or species as he might
    have called them, could be shown him.

    Great as the differences are between the breeds of pigeons, I am fully
    convinced that the common opinion of naturalists is correct, namely,
    that all have descended from the rock-pigeon (Columba livia), including
    under this term several geographical races or sub-species, which differ
    from each other in the most trifling respects. As several of the
    reasons which have led me to this belief are in some degree applicable
    in other cases, I will here briefly give them. If the several breeds
    are not varieties, and have not proceeded from the rock-pigeon, they
    must have descended from at least seven or eight aboriginal stocks; for
    it is impossible to make the present domestic breeds by the crossing of
    any lesser number: how, for instance, could a pouter be produced by
    crossing two breeds unless one of the parent-stocks possessed the
    characteristic enormous crop? The supposed aboriginal stocks must all
    have been rock-pigeons, that is, not breeding or willingly perching on
    trees. But besides C. livia, with its geographical sub-species, only
    two or three other species of rock-pigeons are known; and these have
    not any of the characters of the domestic breeds. Hence the supposed
    aboriginal stocks must either still exist in the countries where they
    were originally domesticated, and yet be unknown to ornithologists; and
    this, considering their size, habits, and remarkable characters, seems
    very improbable; or they must have become extinct in the wild state.
    But birds breeding on precipices, and good fliers, are unlikely to be
    exterminated; and the common rock-pigeon, which has the same habits
    with the domestic breeds, has not been exterminated
    even on several of the smaller British islets, or on the shores of the
    Mediterranean. Hence the supposed extermination of so many species
    having similar habits with the rock-pigeon seems to me a very rash
    assumption. Moreover, the several above-named domesticated breeds have
    been transported to all parts of the world, and, therefore, some of
    them must have been carried back again into their native country; but
    not one has ever become wild or feral, though the dovecot-pigeon, which
    is the rock-pigeon in a very slightly altered state, has become feral
    in several places. Again, all recent experience shows that it is most
    difficult to get any wild animal to breed freely under domestication;
    yet on the hypothesis of the multiple origin of our pigeons, it must be
    assumed that at least seven or eight species were so thoroughly
    domesticated in ancient times by half-civilized man, as to be quite
    prolific under confinement.

    An argument, as it seems to me, of great weight, and applicable in
    several other cases, is, that the above-specified breeds, though
    agreeing generally in constitution, habits, voice, colouring, and in
    most parts of their structure, with the wild rock-pigeon, yet are
    certainly highly abnormal in other parts of their structure: we may
    look in vain throughout the whole great family of Columbidæ for a beak
    like that of the English carrier, or that of the short-faced tumbler,
    or barb; for reversed feathers like those of the jacobin; for a crop
    like that of the pouter; for tail-feathers like those of the fantail.
    Hence it must be assumed not only that half-civilized man succeeded in
    thoroughly domesticating several species, but that he intentionally or
    by chance picked out extraordinarily abnormal species; and further,
    that these very species have since all become extinct or unknown. So
    many strange contingencies seem to me improbable in the highest degree.

    Some facts in regard to the colouring of pigeons well deserve
    consideration. The rock-pigeon is of a slaty-blue, and has a white rump
    (the Indian sub-species, C. intermedia of Strickland, having it
    bluish); the tail has a terminal dark bar, with the bases of the outer
    feathers externally edged with white; the wings have two black bars;
    some semi-domestic breeds and some apparently truly wild breeds have,
    besides the two black bars, the wings chequered with black. These
    several marks do not occur together in any other species of the whole
    family. Now, in every one of the domestic breeds, taking thoroughly
    well-bred birds, all the above marks, even to the white edging of the
    outer tail-feathers, sometimes concur perfectly developed. Moreover,
    when two birds belonging to two distinct breeds are crossed, neither of
    which is blue or has any of the above-specified marks, the mongrel
    offspring are very apt suddenly to acquire these characters; for
    instance, I crossed some uniformly white fantails with some uniformly
    black barbs, and they produced mottled brown and black birds; these I
    again crossed together, and one grandchild of the pure white fantail
    and pure black barb was of as beautiful a blue colour, with the white
    rump, double black wing-bar, and barred and white-edged tail-feathers,
    as any wild rock-pigeon! We can understand these facts, on the
    well-known principle of reversion to ancestral characters, if all the
    domestic breeds have descended from the rock-pigeon. But if we deny
    this, we must make one of the two following highly improbable
    suppositions. Either, firstly, that all the several imagined aboriginal
    stocks were coloured and marked like the rock-pigeon, although no other
    existing species is thus coloured and marked, so that in each separate
    breed there might be a tendency to revert to the very same colours and
    markings. Or, secondly,
    that each breed, even the purest, has within a dozen or, at most,
    within a score of generations, been crossed by the rock-pigeon: I say
    within a dozen or twenty generations, for we know of no fact
    countenancing the belief that the child ever reverts to some one
    ancestor, removed by a greater number of generations. In a breed which
    has been crossed only once with some distinct breed, the tendency to
    reversion to any character derived from such cross will naturally
    become less and less, as in each succeeding generation there will be
    less of the foreign blood; but when there has been no cross with a
    distinct breed, and there is a tendency in both parents to revert to a
    character, which has been lost during some former generation, this
    tendency, for all that we can see to the contrary, may be transmitted
    undiminished for an indefinite number of generations. These two
    distinct cases are often confounded in treatises on inheritance.

    Lastly, the hybrids or mongrels from between all the domestic breeds of
    pigeons are perfectly fertile. I can state this from my own
    observations, purposely made on the most distinct breeds. Now, it is
    difficult, perhaps impossible, to bring forward one case of the hybrid
    offspring of two animals clearly distinct being themselves perfectly
    fertile. Some authors believe that long-continued domestication
    eliminates this strong tendency to sterility: from the history of the
    dog I think there is some probability in this hypothesis, if applied to
    species closely related together, though it is unsupported by a single
    experiment. But to extend the hypothesis so far as to suppose that
    species, aboriginally as distinct as carriers, tumblers, pouters, and
    fantails now are, should yield offspring perfectly fertile, inter se,
    seems to me rash in the extreme.

    From these several reasons, namely, the improbability of man having
    formerly got seven or eight supposed
    species of pigeons to breed freely under domestication; these supposed
    species being quite unknown in a wild state, and their becoming nowhere
    feral; these species having very abnormal characters in certain
    respects, as compared with all other Columbidæ, though so like in most
    other respects to the rock-pigeon; the blue colour and various marks
    occasionally appearing in all the breeds, both when kept pure and when
    crossed; the mongrel offspring being perfectly fertile;—from these
    several reasons, taken together, I can feel no doubt that all our
    domestic breeds have descended from the Columba livia with its
    geographical sub-species.

    In favour of this view, I may add, firstly, that C. livia, or the
    rock-pigeon, has been found capable of domestication in Europe and in
    India; and that it agrees in habits and in a great number of points of
    structure with all the domestic breeds. Secondly, although an English
    carrier or short-faced tumbler differs immensely in certain characters
    from the rock-pigeon, yet by comparing the several sub-breeds of these
    breeds, more especially those brought from distant countries, we can
    make an almost perfect series between the extremes of structure.
    Thirdly, those characters which are mainly distinctive of each breed,
    for instance the wattle and length of beak of the carrier, the
    shortness of that of the tumbler, and the number of tail-feathers in
    the fantail, are in each breed eminently variable; and the explanation
    of this fact will be obvious when we come to treat of selection.
    Fourthly, pigeons have been watched, and tended with the utmost care,
    and loved by many people. They have been domesticated for thousands of
    years in several quarters of the world; the earliest known record of
    pigeons is in the fifth Aegyptian dynasty, about 3000 B.C., as was
    pointed out to me by Professor Lepsius; but Mr. Birch informs me that
    pigeons are given in a bill
    of fare in the previous dynasty. In the time of the Romans, as we hear
    from Pliny, immense prices were given for pigeons; “nay, they are come
    to this pass, that they can reckon up their pedigree and race.” Pigeons
    were much valued by Akber Khan in India, about the year 1600; never
    less than 20,000 pigeons were taken with the court. “The monarchs of
    Iran and Turan sent him some very rare birds;” and, continues the
    courtly historian, “His Majesty by crossing the breeds, which method
    was never practised before, has improved them astonishingly.” About
    this same period the Dutch were as eager about pigeons as were the old
    Romans. The paramount importance of these considerations in explaining
    the immense amount of variation which pigeons have undergone, will be
    obvious when we treat of Selection. We shall then, also, see how it is
    that the breeds so often have a somewhat monstrous character. It is
    also a most favourable circumstance for the production of distinct
    breeds, that male and female pigeons can be easily mated for life; and
    thus different breeds can be kept together in the same aviary.

    I have discussed the probable origin of domestic pigeons at some, yet
    quite insufficient, length; because when I first kept pigeons and
    watched the several kinds, knowing well how true they bred, I felt
    fully as much difficulty in believing that they could ever have
    descended from a common parent, as any naturalist could in coming to a
    similar conclusion in regard to the many species of finches, or other
    large groups of birds, in nature. One circumstance has struck me much;
    namely, that all the breeders of the various domestic animals and the
    cultivators of plants, with whom I have ever conversed, or whose
    treatises I have read, are firmly convinced that the several breeds to
    which each has attended, are descended from so many aboriginally
    distinct species.
    Ask, as I have asked, a celebrated raiser of Hereford cattle, whether
    his cattle might not have descended from long horns, and he will laugh
    you to scorn. I have never met a pigeon, or poultry, or duck, or rabbit
    fancier, who was not fully convinced that each main breed was descended
    from a distinct species. Van Mons, in his treatise on pears and apples,
    shows how utterly he disbelieves that the several sorts, for instance a
    Ribston-pippin or Codlin-apple, could ever have proceeded from the
    seeds of the same tree. Innumerable other examples could be given. The
    explanation, I think, is simple: from long-continued study they are
    strongly impressed with the differences between the several races; and
    though they well know that each race varies slightly, for they win
    their prizes by selecting such slight differences, yet they ignore all
    general arguments, and refuse to sum up in their minds slight
    differences accumulated during many successive generations. May not
    those naturalists who, knowing far less of the laws of inheritance than
    does the breeder, and knowing no more than he does of the intermediate
    links in the long lines of descent, yet admit that many of our domestic
    races have descended from the same parents—may they not learn a lesson
    of caution, when they deride the idea of species in a state of nature
    being lineal descendants of other species?

    Selection.—Let us now briefly consider the steps by which domestic
    races have been produced, either from one or from several allied
    species. Some little effect may, perhaps, be attributed to the direct
    action of the external conditions of life, and some little to habit;
    but he would be a bold man who would account by such agencies for the
    differences of a dray and race horse, a greyhound and bloodhound, a
    carrier and tumbler pigeon. One of the most remarkable features in our
    domesticated races
    is that we see in them adaptation, not indeed to the animal’s or
    plant’s own good, but to man’s use or fancy. Some variations useful to
    him have probably arisen suddenly, or by one step; many botanists, for
    instance, believe that the fuller’s teazle, with its hooks, which
    cannot be rivalled by any mechanical contrivance, is only a variety of
    the wild Dipsacus; and this amount of change may have suddenly arisen
    in a seedling. So it has probably been with the turnspit dog; and this
    is known to have been the case with the ancon sheep. But when we
    compare the dray-horse and race-horse, the dromedary and camel, the
    various breeds of sheep fitted either for cultivated land or mountain
    pasture, with the wool of one breed good for one purpose, and that of
    another breed for another purpose; when we compare the many breeds of
    dogs, each good for man in very different ways; when we compare the
    game-cock, so pertinacious in battle, with other breeds so little
    quarrelsome, with “everlasting layers” which never desire to sit, and
    with the bantam so small and elegant; when we compare the host of
    agricultural, culinary, orchard, and flower-garden races of plants,
    most useful to man at different seasons and for different purposes, or
    so beautiful in his eyes, we must, I think, look further than to mere
    variability. We cannot suppose that all the breeds were suddenly
    produced as perfect and as useful as we now see them; indeed, in
    several cases, we know that this has not been their history. The key is
    man’s power of accumulative selection: nature gives successive
    variations; man adds them up in certain directions useful to him. In
    this sense he may be said to make for himself useful breeds.

    The great power of this principle of selection is not hypothetical. It
    is certain that several of our eminent breeders have, even within a
    single lifetime, modified to
    a large extent some breeds of cattle and sheep. In order fully to
    realise what they have done, it is almost necessary to read several of
    the many treatises devoted to this subject, and to inspect the animals.
    Breeders habitually speak of an animal’s organisation as something
    quite plastic, which they can model almost as they please. If I had
    space I could quote numerous passages to this effect from highly
    competent authorities. Youatt, who was probably better acquainted with
    the works of agriculturalists than almost any other individual, and who
    was himself a very good judge of an animal, speaks of the principle of
    selection as “that which enables the agriculturist, not only to modify
    the character of his flock, but to change it altogether. It is the
    magician’s wand, by means of which he may summon into life whatever
    form and mould he pleases.” Lord Somerville, speaking of what breeders
    have done for sheep, says:—“It would seem as if they had chalked out
    upon a wall a form perfect in itself, and then had given it existence.”
    That most skilful breeder, Sir John Sebright, used to say, with respect
    to pigeons, that “he would produce any given feather in three years,
    but it would take him six years to obtain head and beak.” In Saxony the
    importance of the principle of selection in regard to merino sheep is
    so fully recognised, that men follow it as a trade: the sheep are
    placed on a table and are studied, like a picture by a connoisseur;
    this is done three times at intervals of months, and the sheep are each
    time marked and classed, so that the very best may ultimately be
    selected for breeding.

    What English breeders have actually effected is proved by the enormous
    prices given for animals with a good pedigree; and these have now been
    exported to almost every quarter of the world. The improvement is by no
    means generally due to crossing different breeds;
    all the best breeders are strongly opposed to this practice, except
    sometimes amongst closely allied sub-breeds. And when a cross has been
    made, the closest selection is far more indispensable even than in
    ordinary cases. If selection consisted merely in separating some very
    distinct variety, and breeding from it, the principle would be so
    obvious as hardly to be worth notice; but its importance consists in
    the great effect produced by the accumulation in one direction, during
    successive generations, of differences absolutely inappreciable by an
    uneducated eye—differences which I for one have vainly attempted to
    appreciate. Not one man in a thousand has accuracy of eye and judgment
    sufficient to become an eminent breeder. If gifted with these
    qualities, and he studies his subject for years, and devotes his
    lifetime to it with indomitable perseverance, he will succeed, and may
    make great improvements; if he wants any of these qualities, he will
    assuredly fail. Few would readily believe in the natural capacity and
    years of practice requisite to become even a skilful pigeon-fancier.

    The same principles are followed by horticulturists; but the variations
    are here often more abrupt. No one supposes that our choicest
    productions have been produced by a single variation from the
    aboriginal stock. We have proofs that this is not so in some cases, in
    which exact records have been kept; thus, to give a very trifling
    instance, the steadily-increasing size of the common gooseberry may be
    quoted. We see an astonishing improvement in many florists’ flowers,
    when the flowers of the present day are compared with drawings made
    only twenty or thirty years ago. When a race of plants is once pretty
    well established, the seed-raisers do not pick out the best plants, but
    merely go over their seed-beds, and pull up the “rogues,” as they call
    the plants that deviate from the proper standard. With animals this
    kind of selection is, in fact, also followed; for hardly any one is so
    careless as to allow his worst animals to breed.

    In regard to plants, there is another means of observing the
    accumulated effects of selection—namely, by comparing the diversity of
    flowers in the different varieties of the same species in the
    flower-garden; the diversity of leaves, pods, or tubers, or whatever
    part is valued, in the kitchen-garden, in comparison with the flowers
    of the same varieties; and the diversity of fruit of the same species
    in the orchard, in comparison with the leaves and flowers of the same
    set of varieties. See how different the leaves of the cabbage are, and
    how extremely alike the flowers; how unlike the flowers of the
    heartsease are, and how alike the leaves; how much the fruit of the
    different kinds of gooseberries differ in size, colour, shape, and
    hairiness, and yet the flowers present very slight differences. It is
    not that the varieties which differ largely in some one point do not
    differ at all in other points; this is hardly ever, perhaps never, the
    case. The laws of correlation of growth, the importance of which should
    never be overlooked, will ensure some differences; but, as a general
    rule, I cannot doubt that the continued selection of slight variations,
    either in the leaves, the flowers, or the fruit, will produce races
    differing from each other chiefly in these characters.

    It may be objected that the principle of selection has been reduced to
    methodical practice for scarcely more than three-quarters of a century;
    it has certainly been more attended to of late years, and many
    treatises have been published on the subject; and the result, I may
    add, has been, in a corresponding degree, rapid and important. But it
    is very far from true that the principle is a modern discovery. I could
    give several references to the full acknowledgment of the importance of
    the principle in works of high antiquity. In rude and
    barbarous periods of English history choice animals were often
    imported, and laws were passed to prevent their exportation: the
    destruction of horses under a certain size was ordered, and this may be
    compared to the “roguing” of plants by nurserymen. The principle of
    selection I find distinctly given in an ancient Chinese encyclopædia.
    Explicit rules are laid down by some of the Roman classical writers.
    From passages in Genesis, it is clear that the colour of domestic
    animals was at that early period attended to. Savages now sometimes
    cross their dogs with wild canine animals, to improve the breed, and
    they formerly did so, as is attested by passages in Pliny. The savages
    in South Africa match their draught cattle by colour, as do some of the
    Esquimaux their teams of dogs. Livingstone shows how much good domestic
    breeds are valued by the negroes of the interior of Africa who have not
    associated with Europeans. Some of these facts do not show actual
    selection, but they show that the breeding of domestic animals was
    carefully attended to in ancient times, and is now attended to by the
    lowest savages. It would, indeed, have been a strange fact, had
    attention not been paid to breeding, for the inheritance of good and
    bad qualities is so obvious.

    At the present time, eminent breeders try by methodical selection, with
    a distinct object in view, to make a new strain or sub-breed, superior
    to anything existing in the country. But, for our purpose, a kind of
    Selection, which may be called Unconscious, and which results from
    every one trying to possess and breed from the best individual animals,
    is more important. Thus, a man who intends keeping pointers naturally
    tries to get as good dogs as he can, and afterwards breeds from his own
    best dogs, but he has no wish or expectation of permanently altering
    the breed. Nevertheless I cannot
    doubt that this process, continued during centuries, would improve and
    modify any breed, in the same way as Bakewell, Collins, etc., by this
    very same process, only carried on more methodically, did greatly
    modify, even during their own lifetimes, the forms and qualities of
    their cattle. Slow and insensible changes of this kind could never be
    recognised unless actual measurements or careful drawings of the breeds
    in question had been made long ago, which might serve for comparison.
    In some cases, however, unchanged or but little changed individuals of
    the same breed may be found in less civilised districts, where the
    breed has been less improved. There is reason to believe that King
    Charles’s spaniel has been unconsciously modified to a large extent
    since the time of that monarch. Some highly competent authorities are
    convinced that the setter is directly derived from the spaniel, and has
    probably been slowly altered from it. It is known that the English
    pointer has been greatly changed within the last century, and in this
    case the change has, it is believed, been chiefly effected by crosses
    with the fox-hound; but what concerns us is, that the change has been
    effected unconsciously and gradually, and yet so effectually, that,
    though the old Spanish pointer certainly came from Spain, Mr. Borrow
    has not seen, as I am informed by him, any native dog in Spain like our
    pointer.

    By a similar process of selection, and by careful training, the whole
    body of English racehorses have come to surpass in fleetness and size
    the parent Arab stock, so that the latter, by the regulations for the
    Goodwood Races, are favoured in the weights they carry. Lord Spencer
    and others have shown how the cattle of England have increased in
    weight and in early maturity, compared with the stock formerly kept in
    this country. By comparing the accounts given in old pigeon treatises
    of carriers
    and tumblers with these breeds as now existing in Britain, India, and
    Persia, we can, I think, clearly trace the stages through which they
    have insensibly passed, and come to differ so greatly from the
    rock-pigeon.

    Youatt gives an excellent illustration of the effects of a course of
    selection, which may be considered as unconsciously followed, in so far
    that the breeders could never have expected or even have wished to have
    produced the result which ensued—namely, the production of two distinct
    strains. The two flocks of Leicester sheep kept by Mr. Buckley and Mr.
    Burgess, as Mr. Youatt remarks, “have been purely bred from the
    original stock of Mr. Bakewell for upwards of fifty years. There is not
    a suspicion existing in the mind of any one at all acquainted with the
    subject that the owner of either of them has deviated in any one
    instance from the pure blood of Mr. Bakewell’s flock, and yet the
    difference between the sheep possessed by these two gentlemen is so
    great that they have the appearance of being quite different
    varieties.”

    If there exist savages so barbarous as never to think of the inherited
    character of the offspring of their domestic animals, yet any one
    animal particularly useful to them, for any special purpose, would be
    carefully preserved during famines and other accidents, to which
    savages are so liable, and such choice animals would thus generally
    leave more offspring than the inferior ones; so that in this case there
    would be a kind of unconscious selection going on. We see the value set
    on animals even by the barbarians of Tierra del Fuego, by their killing
    and devouring their old women, in times of dearth, as of less value
    than their dogs.

    In plants the same gradual process of improvement, through the
    occasional preservation of the best individuals, whether or not
    sufficiently distinct to be ranked
    at their first appearance as distinct varieties, and whether or not two
    or more species or races have become blended together by crossing, may
    plainly be recognised in the increased size and beauty which we now see
    in the varieties of the heartsease, rose, pelargonium, dahlia, and
    other plants, when compared with the older varieties or with their
    parent-stocks. No one would ever expect to get a first-rate heartsease
    or dahlia from the seed of a wild plant. No one would expect to raise a
    first-rate melting pear from the seed of a wild pear, though he might
    succeed from a poor seedling growing wild, if it had come from a
    garden-stock. The pear, though cultivated in classical times, appears,
    from Pliny’s description, to have been a fruit of very inferior
    quality. I have seen great surprise expressed in horticultural works at
    the wonderful skill of gardeners, in having produced such splendid
    results from such poor materials; but the art, I cannot doubt, has been
    simple, and, as far as the final result is concerned, has been followed
    almost unconsciously. It has consisted in always cultivating the best
    known variety, sowing its seeds, and, when a slightly better variety
    has chanced to appear, selecting it, and so onwards. But the gardeners
    of the classical period, who cultivated the best pear they could
    procure, never thought what splendid fruit we should eat; though we owe
    our excellent fruit, in some small degree, to their having naturally
    chosen and preserved the best varieties they could anywhere find.

    A large amount of change in our cultivated plants, thus slowly and
    unconsciously accumulated, explains, as I believe, the well-known fact,
    that in a vast number of cases we cannot recognise, and therefore do
    not know, the wild parent-stocks of the plants which have been longest
    cultivated in our flower and kitchen gardens. If it has taken centuries
    or thousands of years to improve
    or modify most of our plants up to their present standard of usefulness
    to man, we can understand how it is that neither Australia, the Cape of
    Good Hope, nor any other region inhabited by quite uncivilised man, has
    afforded us a single plant worth culture. It is not that these
    countries, so rich in species, do not by a strange chance possess the
    aboriginal stocks of any useful plants, but that the native plants have
    not been improved by continued selection up to a standard of perfection
    comparable with that given to the plants in countries anciently
    civilised.

    In regard to the domestic animals kept by uncivilised man, it should
    not be overlooked that they almost always have to struggle for their
    own food, at least during certain seasons. And in two countries very
    differently circumstanced, individuals of the same species, having
    slightly different constitutions or structure, would often succeed
    better in the one country than in the other, and thus by a process of
    “natural selection,” as will hereafter be more fully explained, two
    sub-breeds might be formed. This, perhaps, partly explains what has
    been remarked by some authors, namely, that the varieties kept by
    savages have more of the character of species than the varieties kept
    in civilised countries.

    On the view here given of the all-important part which selection by man
    has played, it becomes at once obvious, how it is that our domestic
    races show adaptation in their structure or in their habits to man’s
    wants or fancies. We can, I think, further understand the frequently
    abnormal character of our domestic races, and likewise their
    differences being so great in external characters and relatively so
    slight in internal parts or organs. Man can hardly select, or only with
    much difficulty, any deviation of structure excepting such as is
    externally visible; and indeed he rarely cares for what is internal. He
    can never act by selection, excepting on variations
    which are first given to him in some slight degree by nature. No man
    would ever try to make a fantail, till he saw a pigeon with a tail
    developed in some slight degree in an unusual manner, or a pouter till
    he saw a pigeon with a crop of somewhat unusual size; and the more
    abnormal or unusual any character was when it first appeared, the more
    likely it would be to catch his attention. But to use such an
    expression as trying to make a fantail, is, I have no doubt, in most
    cases, utterly incorrect. The man who first selected a pigeon with a
    slightly larger tail, never dreamed what the descendants of that pigeon
    would become through long-continued, partly unconscious and partly
    methodical selection. Perhaps the parent bird of all fantails had only
    fourteen tail-feathers somewhat expanded, like the present Java
    fantail, or like individuals of other and distinct breeds, in which as
    many as seventeen tail-feathers have been counted. Perhaps the first
    pouter-pigeon did not inflate its crop much more than the turbit now
    does the upper part of its oesophagus,—a habit which is disregarded by
    all fanciers, as it is not one of the points of the breed.

    Nor let it be thought that some great deviation of structure would be
    necessary to catch the fancier’s eye: he perceives extremely small
    differences, and it is in human nature to value any novelty, however
    slight, in one’s own possession. Nor must the value which would
    formerly be set on any slight differences in the individuals of the
    same species, be judged of by the value which would now be set on them,
    after several breeds have once fairly been established. Many slight
    differences might, and indeed do now, arise amongst pigeons, which are
    rejected as faults or deviations from the standard of perfection of
    each breed. The common goose has not given rise to any marked
    varieties; hence the Thoulouse and the common breed, which differ only
    in colour, that
    most fleeting of characters, have lately been exhibited as distinct at
    our poultry-shows.

    I think these views further explain what has sometimes been
    noticed—namely that we know nothing about the origin or history of any
    of our domestic breeds. But, in fact, a breed, like a dialect of a
    language, can hardly be said to have had a definite origin. A man
    preserves and breeds from an individual with some slight deviation of
    structure, or takes more care than usual in matching his best animals
    and thus improves them, and the improved individuals slowly spread in
    the immediate neighbourhood. But as yet they will hardly have a
    distinct name, and from being only slightly valued, their history will
    be disregarded. When further improved by the same slow and gradual
    process, they will spread more widely, and will get recognised as
    something distinct and valuable, and will then probably first receive a
    provincial name. In semi-civilised countries, with little free
    communication, the spreading and knowledge of any new sub-breed will be
    a slow process. As soon as the points of value of the new sub-breed are
    once fully acknowledged, the principle, as I have called it, of
    unconscious selection will always tend,—perhaps more at one period than
    at another, as the breed rises or falls in fashion,—perhaps more in one
    district than in another, according to the state of civilisation of the
    inhabitants—slowly to add to the characteristic features of the breed,
    whatever they may be. But the chance will be infinitely small of any
    record having been preserved of such slow, varying, and insensible
    changes.

    I must now say a few words on the circumstances, favourable, or the
    reverse, to man’s power of selection. A high degree of variability is
    obviously favourable, as freely giving the materials for selection to
    work on; not that mere individual differences are not amply
    sufficient, with extreme care, to allow of the accumulation of a large
    amount of modification in almost any desired direction. But as
    variations manifestly useful or pleasing to man appear only
    occasionally, the chance of their appearance will be much increased by
    a large number of individuals being kept; and hence this comes to be of
    the highest importance to success. On this principle Marshall has
    remarked, with respect to the sheep of parts of Yorkshire, that “as
    they generally belong to poor people, and are mostly in small lots,
    they never can be improved.” On the other hand, nurserymen, from
    raising large stocks of the same plants, are generally far more
    successful than amateurs in getting new and valuable varieties. The
    keeping of a large number of individuals of a species in any country
    requires that the species should be placed under favourable conditions
    of life, so as to breed freely in that country. When the individuals of
    any species are scanty, all the individuals, whatever their quality may
    be, will generally be allowed to breed, and this will effectually
    prevent selection. But probably the most important point of all, is,
    that the animal or plant should be so highly useful to man, or so much
    valued by him, that the closest attention should be paid to even the
    slightest deviation in the qualities or structure of each individual.
    Unless such attention be paid nothing can be effected. I have seen it
    gravely remarked, that it was most fortunate that the strawberry began
    to vary just when gardeners began to attend closely to this plant. No
    doubt the strawberry had always varied since it was cultivated, but the
    slight varieties had been neglected. As soon, however, as gardeners
    picked out individual plants with slightly larger, earlier, or better
    fruit, and raised seedlings from them, and again picked out the best
    seedlings and bred from them, then, there appeared (aided by some
    crossing with distinct species) those many admirable varieties of the
    strawberry which have been raised during the last thirty or forty
    years.

    In the case of animals with separate sexes, facility in preventing
    crosses is an important element of success in the formation of new
    races,—at least, in a country which is already stocked with other
    races. In this respect enclosure of the land plays a part. Wandering
    savages or the inhabitants of open plains rarely possess more than one
    breed of the same species. Pigeons can be mated for life, and this is a
    great convenience to the fancier, for thus many races may be kept true,
    though mingled in the same aviary; and this circumstance must have
    largely favoured the improvement and formation of new breeds. Pigeons,
    I may add, can be propagated in great numbers and at a very quick rate,
    and inferior birds may be freely rejected, as when killed they serve
    for food. On the other hand, cats, from their nocturnal rambling
    habits, cannot be matched, and, although so much valued by women and
    children, we hardly ever see a distinct breed kept up; such breeds as
    we do sometimes see are almost always imported from some other country,
    often from islands. Although I do not doubt that some domestic animals
    vary less than others, yet the rarity or absence of distinct breeds of
    the cat, the donkey, peacock, goose, etc., may be attributed in main
    part to selection not having been brought into play: in cats, from the
    difficulty in pairing them; in donkeys, from only a few being kept by
    poor people, and little attention paid to their breeding; in peacocks,
    from not being very easily reared and a large stock not kept; in geese,
    from being valuable only for two purposes, food and feathers, and more
    especially from no pleasure having been felt in the display of distinct
    breeds.

    To sum up on the origin of our Domestic Races of animals and plants. I
    believe that the conditions of life, from their action on the
    reproductive system, are so far of the highest importance as causing
    variability. I do not believe that variability is an inherent and
    necessary contingency, under all circumstances, with all organic
    beings, as some authors have thought. The effects of variability are
    modified by various degrees of inheritance and of reversion.
    Variability is governed by many unknown laws, more especially by that
    of correlation of growth. Something may be attributed to the direct
    action of the conditions of life. Something must be attributed to use
    and disuse. The final result is thus rendered infinitely complex. In
    some cases, I do not doubt that the intercrossing of species,
    aboriginally distinct, has played an important part in the origin of
    our domestic productions. When in any country several domestic breeds
    have once been established, their occasional intercrossing, with the
    aid of selection, has, no doubt, largely aided in the formation of new
    sub-breeds; but the importance of the crossing of varieties has, I
    believe, been greatly exaggerated, both in regard to animals and to
    those plants which are propagated by seed. In plants which are
    temporarily propagated by cuttings, buds, etc., the importance of the
    crossing both of distinct species and of varieties is immense; for the
    cultivator here quite disregards the extreme variability both of
    hybrids and mongrels, and the frequent sterility of hybrids; but the
    cases of plants not propagated by seed are of little importance to us,
    for their endurance is only temporary. Over all these causes of Change
    I am convinced that the accumulative action of Selection, whether
    applied methodically and more quickly, or unconsciously and more
    slowly, but more efficiently, is by far the predominant Power.

    CHAPTER II.
    VARIATION UNDER NATURE.

    Variability. Individual differences. Doubtful species. Wide ranging,
    much diffused, and common species vary most. Species of the larger
    genera in any country vary more than the species of the smaller genera.
    Many of the species of the larger genera resemble varieties in being
    very closely, but unequally, related to each other, and in having
    restricted ranges.

    Before applying the principles arrived at in the last chapter to
    organic beings in a state of nature, we must briefly discuss whether
    these latter are subject to any variation. To treat this subject at all
    properly, a long catalogue of dry facts should be given; but these I
    shall reserve for my future work. Nor shall I here discuss the various
    definitions which have been given of the term species. No one
    definition has as yet satisfied all naturalists; yet every naturalist
    knows vaguely what he means when he speaks of a species. Generally the
    term includes the unknown element of a distinct act of creation. The
    term “variety” is almost equally difficult to define; but here
    community of descent is almost universally implied, though it can
    rarely be proved. We have also what are called monstrosities; but they
    graduate into varieties. By a monstrosity I presume is meant some
    considerable deviation of structure in one part, either injurious to or
    not useful to the species, and not generally propagated. Some authors
    use the term “variation” in a technical sense, as implying a
    modification directly due to the physical conditions of life; and
    “variations” in this sense are supposed not to be inherited: but who
    can say that the dwarfed condition of shells in the brackish waters of
    the Baltic, or dwarfed plants on Alpine summits, or the thicker fur of
    an animal from far northwards, would not in some cases be inherited for
    at least some few generations? and in this case I presume that the form
    would be called a variety.

    Again, we have many slight differences which may be called individual
    differences, such as are known frequently to appear in the offspring
    from the same parents, or which may be presumed to have thus arisen,
    from being frequently observed in the individuals of the same species
    inhabiting the same confined locality. No one supposes that all the
    individuals of the same species are cast in the very same mould. These
    individual differences are highly important for us, as they afford
    materials for natural selection to accumulate, in the same manner as
    man can accumulate in any given direction individual differences in his
    domesticated productions. These individual differences generally affect
    what naturalists consider unimportant parts; but I could show by a long
    catalogue of facts, that parts which must be called important, whether
    viewed under a physiological or classificatory point of view, sometimes
    vary in the individuals of the same species. I am convinced that the
    most experienced naturalist would be surprised at the number of the
    cases of variability, even in important parts of structure, which he
    could collect on good authority, as I have collected, during a course
    of years. It should be remembered that systematists are far from
    pleased at finding variability in important characters, and that there
    are not many men who will laboriously examine internal and important
    organs, and compare them in many specimens of the same species. I
    should never have expected that the branching of the main nerves close
    to the great central ganglion of an insect would have been variable in
    the same species; I should have expected that changes of this nature
    could have been effected only by slow degrees: yet quite recently Mr.
    Lubbock has shown a degree of variability in these main nerves in
    Coccus, which may almost be compared to the irregular branching of the
    stem of a tree. This philosophical naturalist, I may add, has also
    quite recently shown that the muscles in the larvæ of certain insects
    are very far from uniform. Authors sometimes argue in a circle when
    they state that important organs never vary; for these same authors
    practically rank that character as important (as some few naturalists
    have honestly confessed) which does not vary; and, under this point of
    view, no instance of an important part varying will ever be found: but
    under any other point of view many instances assuredly can be given.

    There is one point connected with individual differences, which seems
    to me extremely perplexing: I refer to those genera which have
    sometimes been called “protean” or “polymorphic,” in which the species
    present an inordinate amount of variation; and hardly two naturalists
    can agree which forms to rank as species and which as varieties. We may
    instance Rubus, Rosa, and Hieracium amongst plants, several genera of
    insects, and several genera of Brachiopod shells. In most polymorphic
    genera some of the species have fixed and definite characters. Genera
    which are polymorphic in one country seem to be, with some few
    exceptions, polymorphic in other countries, and likewise, judging from
    Brachiopod shells, at former periods of time. These facts seem to be
    very perplexing, for they seem to show that this kind of variability is
    independent of the conditions of life. I am inclined to suspect that we
    see in these polymorphic genera variations in points of structure which
    are of no service or disservice to the species, and which consequently
    have not been seized on and rendered definite by natural selection, as
    hereafter will be explained.

    Those forms which possess in some considerable degree the character of
    species, but which are so closely similar to some other forms, or are
    so closely linked to them by intermediate gradations, that naturalists
    do not like to rank them as distinct species, are in several respects
    the most important for us. We have every reason to believe that many of
    these doubtful and closely-allied forms have permanently retained their
    characters in their own country for a long time; for as long, as far as
    we know, as have good and true species. Practically, when a naturalist
    can unite two forms together by others having intermediate characters,
    he treats the one as a variety of the other, ranking the most common,
    but sometimes the one first described, as the species, and the other as
    the variety. But cases of great difficulty, which I will not here
    enumerate, sometimes occur in deciding whether or not to rank one form
    as a variety of another, even when they are closely connected by
    intermediate links; nor will the commonly-assumed hybrid nature of the
    intermediate links always remove the difficulty. In very many cases,
    however, one form is ranked as a variety of another, not because the
    intermediate links have actually been found, but because analogy leads
    the observer to suppose either that they do now somewhere exist, or may
    formerly have existed; and here a wide door for the entry of doubt and
    conjecture is opened.

    Hence, in determining whether a form should be ranked as a species or a
    variety, the opinion of naturalists having sound judgment and wide
    experience seems the only guide to follow. We must, however, in many
    cases, decide by a majority of naturalists, for few well-marked and
    well-known varieties can be named which have not been ranked as species
    by at least some competent judges.

    That varieties of this doubtful nature are far from uncommon cannot be
    disputed. Compare the several floras of Great Britain, of France or of
    the United States, drawn up by different botanists, and see what a
    surprising number of forms have been ranked by one botanist as good
    species, and by another as mere varieties. Mr. H. C. Watson, to whom I
    lie under deep obligation for assistance of all kinds, has marked for
    me 182 British plants, which are generally considered as varieties, but
    which have all been ranked by botanists as species; and in making this
    list he has omitted many trifling varieties, but which nevertheless
    have been ranked by some botanists as species, and he has entirely
    omitted several highly polymorphic genera. Under genera, including the
    most polymorphic forms, Mr. Babington gives 251 species, whereas Mr.
    Bentham gives only 112,—a difference of 139 doubtful forms! Amongst
    animals which unite for each birth, and which are highly locomotive,
    doubtful forms, ranked by one zoologist as a species and by another as
    a variety, can rarely be found within the same country, but are common
    in separated areas. How many of those birds and insects in North
    America and Europe, which differ very slightly from each other, have
    been ranked by one eminent naturalist as undoubted species, and by
    another as varieties, or, as they are often called, as geographical
    races! Many years ago, when comparing, and seeing others compare, the
    birds from the separate islands of the Galapagos Archipelago, both one
    with another, and with those from the American mainland, I was much
    struck how entirely vague and arbitrary is the distinction between
    species and varieties. On the islets of the little Madeira group there
    are many insects which are characterized as varieties in Mr.
    Wollaston’s admirable work, but which it cannot
    be doubted would be ranked as distinct species by many entomologists.
    Even Ireland has a few animals, now generally regarded as varieties,
    but which have been ranked as species by some zoologists. Several most
    experienced ornithologists consider our British red grouse as only a
    strongly-marked race of a Norwegian species, whereas the greater number
    rank it as an undoubted species peculiar to Great Britain. A wide
    distance between the homes of two doubtful forms leads many naturalists
    to rank both as distinct species; but what distance, it has been well
    asked, will suffice? if that between America and Europe is ample, will
    that between the Continent and the Azores, or Madeira, or the Canaries,
    or Ireland, be sufficient? It must be admitted that many forms,
    considered by highly-competent judges as varieties, have so perfectly
    the character of species that they are ranked by other highly-competent
    judges as good and true species. But to discuss whether they are
    rightly called species or varieties, before any definition of these
    terms has been generally accepted, is vainly to beat the air.

    Many of the cases of strongly-marked varieties or doubtful species well
    deserve consideration; for several interesting lines of argument, from
    geographical distribution, analogical variation, hybridism, etc., have
    been brought to bear on the attempt to determine their rank. I will
    here give only a single instance,—the well-known one of the primrose
    and cowslip, or Primula veris and elatior. These plants differ
    considerably in appearance; they have a different flavour and emit a
    different odour; they flower at slightly different periods; they grow
    in somewhat different stations; they ascend mountains to different
    heights; they have different geographical ranges; and lastly, according
    to very numerous experiments made during several years by
    that most careful observer Gärtner, they can be crossed only with much
    difficulty. We could hardly wish for better evidence of the two forms
    being specifically distinct. On the other hand, they are united by many
    intermediate links, and it is very doubtful whether these links are
    hybrids; and there is, as it seems to me, an overwhelming amount of
    experimental evidence, showing that they descend from common parents,
    and consequently must be ranked as varieties.

    Close investigation, in most cases, will bring naturalists to an
    agreement how to rank doubtful forms. Yet it must be confessed, that it
    is in the best-known countries that we find the greatest number of
    forms of doubtful value. I have been struck with the fact, that if any
    animal or plant in a state of nature be highly useful to man, or from
    any cause closely attract his attention, varieties of it will almost
    universally be found recorded. These varieties, moreover, will be often
    ranked by some authors as species. Look at the common oak, how closely
    it has been studied; yet a German author makes more than a dozen
    species out of forms, which are very generally considered as varieties;
    and in this country the highest botanical authorities and practical men
    can be quoted to show that the sessile and pedunculated oaks are either
    good and distinct species or mere varieties.

    When a young naturalist commences the study of a group of organisms
    quite unknown to him, he is at first much perplexed to determine what
    differences to consider as specific, and what as varieties; for he
    knows nothing of the amount and kind of variation to which the group is
    subject; and this shows, at least, how very generally there is some
    variation. But if he confine his attention to one class within one
    country, he will soon make up his mind how to rank most of the doubtful
    forms. His
    general tendency will be to make many species, for he will become
    impressed, just like the pigeon or poultry-fancier before alluded to,
    with the amount of difference in the forms which he is continually
    studying; and he has little general knowledge of analogical variation
    in other groups and in other countries, by which to correct his first
    impressions. As he extends the range of his observations, he will meet
    with more cases of difficulty; for he will encounter a greater number
    of closely-allied forms. But if his observations be widely extended, he
    will in the end generally be enabled to make up his own mind which to
    call varieties and which species; but he will succeed in this at the
    expense of admitting much variation,—and the truth of this admission
    will often be disputed by other naturalists. When, moreover, he comes
    to study allied forms brought from countries not now continuous, in
    which case he can hardly hope to find the intermediate links between
    his doubtful forms, he will have to trust almost entirely to analogy,
    and his difficulties will rise to a climax.

    Certainly no clear line of demarcation has as yet been drawn between
    species and sub-species—that is, the forms which in the opinion of some
    naturalists come very near to, but do not quite arrive at the rank of
    species; or, again, between sub-species and well-marked varieties, or
    between lesser varieties and individual differences. These differences
    blend into each other in an insensible series; and a series impresses
    the mind with the idea of an actual passage.

    Hence I look at individual differences, though of small interest to the
    systematist, as of high importance for us, as being the first step
    towards such slight varieties as are barely thought worth recording in
    works on natural history. And I look at varieties which are in any
    degree more distinct and permanent, as steps leading to more
    strongly marked and more permanent varieties; and at these latter, as
    leading to sub-species, and to species. The passage from one stage of
    difference to another and higher stage may be, in some cases, due
    merely to the long-continued action of different physical conditions in
    two different regions; but I have not much faith in this view; and I
    attribute the passage of a variety, from a state in which it differs
    very slightly from its parent to one in which it differs more, to the
    action of natural selection in accumulating (as will hereafter be more
    fully explained) differences of structure in certain definite
    directions. Hence I believe a well-marked variety may be justly called
    an incipient species; but whether this belief be justifiable must be
    judged of by the general weight of the several facts and views given
    throughout this work.

    It need not be supposed that all varieties or incipient species
    necessarily attain the rank of species. They may whilst in this
    incipient state become extinct, or they may endure as varieties for
    very long periods, as has been shown to be the case by Mr. Wollaston
    with the varieties of certain fossil land-shells in Madeira. If a
    variety were to flourish so as to exceed in numbers the parent species,
    it would then rank as the species, and the species as the variety; or
    it might come to supplant and exterminate the parent species; or both
    might co-exist, and both rank as independent species. But we shall
    hereafter have to return to this subject.

    From these remarks it will be seen that I look at the term species, as
    one arbitrarily given for the sake of convenience to a set of
    individuals closely resembling each other, and that it does not
    essentially differ from the term variety, which is given to less
    distinct and more fluctuating forms. The term variety, again, in
    comparison with mere individual differences, is also applied
    arbitrarily, and for mere convenience sake.

    Guided by theoretical considerations, I thought that some interesting
    results might be obtained in regard to the nature and relations of the
    species which vary most, by tabulating all the varieties in several
    well-worked floras. At first this seemed a simple task; but Mr. H. C.
    Watson, to whom I am much indebted for valuable advice and assistance
    on this subject, soon convinced me that there were many difficulties,
    as did subsequently Dr. Hooker, even in stronger terms. I shall reserve
    for my future work the discussion of these difficulties, and the tables
    themselves of the proportional numbers of the varying species. Dr.
    Hooker permits me to add, that after having carefully read my
    manuscript, and examined the tables, he thinks that the following
    statements are fairly well established. The whole subject, however,
    treated as it necessarily here is with much brevity, is rather
    perplexing, and allusions cannot be avoided to the “struggle for
    existence,” “divergence of character,” and other questions, hereafter
    to be discussed.

    Alph. De Candolle and others have shown that plants which have very
    wide ranges generally present varieties; and this might have been
    expected, as they become exposed to diverse physical conditions, and as
    they come into competition (which, as we shall hereafter see, is a far
    more important circumstance) with different sets of organic beings. But
    my tables further show that, in any limited country, the species which
    are most common, that is abound most in individuals, and the species
    which are most widely diffused within their own country (and this is a
    different consideration from wide range, and to a certain extent from
    commonness), often give rise to varieties sufficiently well-marked to
    have been recorded in botanical works. Hence it is the most
    flourishing, or, as they may be called, the dominant species,—those
    which range widely over the world, are the most diffused in their own
    country, and are the most numerous in individuals,—which oftenest
    produce well-marked varieties, or, as I consider them, incipient
    species. And this, perhaps, might have been anticipated; for, as
    varieties, in order to become in any degree permanent, necessarily have
    to struggle with the other inhabitants of the country, the species
    which are already dominant will be the most likely to yield offspring
    which, though in some slight degree modified, will still inherit those
    advantages that enabled their parents to become dominant over their
    compatriots.

    If the plants inhabiting a country and described in any Flora be
    divided into two equal masses, all those in the larger genera being
    placed on one side, and all those in the smaller genera on the other
    side, a somewhat larger number of the very common and much diffused or
    dominant species will be found on the side of the larger genera. This,
    again, might have been anticipated; for the mere fact of many species
    of the same genus inhabiting any country, shows that there is something
    in the organic or inorganic conditions of that country favourable to
    the genus; and, consequently, we might have expected to have found in
    the larger genera, or those including many species, a large
    proportional number of dominant species. But so many causes tend to
    obscure this result, that I am surprised that my tables show even a
    small majority on the side of the larger genera. I will here allude to
    only two causes of obscurity. Fresh-water and salt-loving plants have
    generally very wide ranges and are much diffused, but this seems to be
    connected with the nature of the stations inhabited by them, and has
    little or no relation to the size of the genera to which the species
    belong. Again, plants low in the scale of organisation are
    generally much more widely diffused than plants higher in the scale;
    and here again there is no close relation to the size of the genera.
    The cause of lowly-organised plants ranging widely will be discussed in
    our chapter on geographical distribution.

    From looking at species as only strongly-marked and well-defined
    varieties, I was led to anticipate that the species of the larger
    genera in each country would oftener present varieties, than the
    species of the smaller genera; for wherever many closely related
    species (i.e. species of the same genus) have been formed, many
    varieties or incipient species ought, as a general rule, to be now
    forming. Where many large trees grow, we expect to find saplings. Where
    many species of a genus have been formed through variation,
    circumstances have been favourable for variation; and hence we might
    expect that the circumstances would generally be still favourable to
    variation. On the other hand, if we look at each species as a special
    act of creation, there is no apparent reason why more varieties should
    occur in a group having many species, than in one having few.

    To test the truth of this anticipation I have arranged the plants of
    twelve countries, and the coleopterous insects of two districts, into
    two nearly equal masses, the species of the larger genera on one side,
    and those of the smaller genera on the other side, and it has
    invariably proved to be the case that a larger proportion of the
    species on the side of the larger genera present varieties, than on the
    side of the smaller genera. Moreover, the species of the large genera
    which present any varieties, invariably present a larger average number
    of varieties than do the species of the small genera. Both these
    results follow when another division is made, and when all the smallest
    genera, with from only one to four species, are absolutely excluded
    from the tables. These
    facts are of plain signification on the view that species are only
    strongly marked and permanent varieties; for wherever many species of
    the same genus have been formed, or where, if we may use the
    expression, the manufactory of species has been active, we ought
    generally to find the manufactory still in action, more especially as
    we have every reason to believe the process of manufacturing new
    species to be a slow one. And this certainly is the case, if varieties
    be looked at as incipient species; for my tables clearly show as a
    general rule that, wherever many species of a genus have been formed,
    the species of that genus present a number of varieties, that is of
    incipient species, beyond the average. It is not that all large genera
    are now varying much, and are thus increasing in the number of their
    species, or that no small genera are now varying and increasing; for if
    this had been so, it would have been fatal to my theory; inasmuch as
    geology plainly tells us that small genera have in the lapse of time
    often increased greatly in size; and that large genera have often come
    to their maxima, declined, and disappeared. All that we want to show
    is, that where many species of a genus have been formed, on an average
    many are still forming; and this holds good.

    There are other relations between the species of large genera and their
    recorded varieties which deserve notice. We have seen that there is no
    infallible criterion by which to distinguish species and well-marked
    varieties; and in those cases in which intermediate links have not been
    found between doubtful forms, naturalists are compelled to come to a
    determination by the amount of difference between them, judging by
    analogy whether or not the amount suffices to raise one or both to the
    rank of species. Hence the amount of difference is one very important
    criterion in settling whether two forms should
    be ranked as species or varieties. Now Fries has remarked in regard to
    plants, and Westwood in regard to insects, that in large genera the
    amount of difference between the species is often exceedingly small. I
    have endeavoured to test this numerically by averages, and, as far as
    my imperfect results go, they always confirm the view. I have also
    consulted some sagacious and most experienced observers, and, after
    deliberation, they concur in this view. In this respect, therefore, the
    species of the larger genera resemble varieties, more than do the
    species of the smaller genera. Or the case may be put in another way,
    and it may be said, that in the larger genera, in which a number of
    varieties or incipient species greater than the average are now
    manufacturing, many of the species already manufactured still to a
    certain extent resemble varieties, for they differ from each other by a
    less than usual amount of difference.

    Moreover, the species of the large genera are related to each other, in
    the same manner as the varieties of any one species are related to each
    other. No naturalist pretends that all the species of a genus are
    equally distinct from each other; they may generally be divided into
    sub-genera, or sections, or lesser groups. As Fries has well remarked,
    little groups of species are generally clustered like satellites around
    certain other species. And what are varieties but groups of forms,
    unequally related to each other, and clustered round certain forms—that
    is, round their parent-species? Undoubtedly there is one most important
    point of difference between varieties and species; namely, that the
    amount of difference between varieties, when compared with each other
    or with their parent-species, is much less than that between the
    species of the same genus. But when we come to discuss the principle,
    as I call it, of Divergence of Character,
    we shall see how this may be explained, and how the lesser differences
    between varieties will tend to increase into the greater differences
    between species.

    There is one other point which seems to me worth notice. Varieties
    generally have much restricted ranges: this statement is indeed
    scarcely more than a truism, for if a variety were found to have a
    wider range than that of its supposed parent-species, their
    denominations ought to be reversed. But there is also reason to
    believe, that those species which are very closely allied to other
    species, and in so far resemble varieties, often have much restricted
    ranges. For instance, Mr. H. C. Watson has marked for me in the
    well-sifted London Catalogue of plants (4th edition) 63 plants which
    are therein ranked as species, but which he considers as so closely
    allied to other species as to be of doubtful value: these 63 reputed
    species range on an average over 6.9 of the provinces into which Mr.
    Watson has divided Great Britain. Now, in this same catalogue, 53
    acknowledged varieties are recorded, and these range over 7.7
    provinces; whereas, the species to which these varieties belong range
    over 14.3 provinces. So that the acknowledged varieties have very
    nearly the same restricted average range, as have those very closely
    allied forms, marked for me by Mr. Watson as doubtful species, but
    which are almost universally ranked by British botanists as good and
    true species.

    Finally, then, varieties have the same general characters as species,
    for they cannot be distinguished from species,—except, firstly, by the
    discovery of intermediate linking forms, and the occurrence of such
    links cannot affect the actual characters of the forms which they
    connect; and except, secondly, by a certain amount of
    difference, for two forms, if differing very little, are generally
    ranked as varieties, notwithstanding that intermediate linking forms
    have not been discovered; but the amount of difference considered
    necessary to give to two forms the rank of species is quite indefinite.
    In genera having more than the average number of species in any
    country, the species of these genera have more than the average number
    of varieties. In large genera the species are apt to be closely, but
    unequally, allied together, forming little clusters round certain
    species. Species very closely allied to other species apparently have
    restricted ranges. In all these several respects the species of large
    genera present a strong analogy with varieties. And we can clearly
    understand these analogies, if species have once existed as varieties,
    and have thus originated: whereas, these analogies are utterly
    inexplicable if each species has been independently created.

    We have, also, seen that it is the most flourishing and dominant
    species of the larger genera which on an average vary most; and
    varieties, as we shall hereafter see, tend to become converted into new
    and distinct species. The larger genera thus tend to become larger; and
    throughout nature the forms of life which are now dominant tend to
    become still more dominant by leaving many modified and dominant
    descendants. But by steps hereafter to be explained, the larger genera
    also tend to break up into smaller genera. And thus, the forms of life
    throughout the universe become divided into groups subordinate to
    groups.

    CHAPTER III.
    STRUGGLE FOR EXISTENCE.

    Bears on natural selection. The term used in a wide sense. Geometrical
    powers of increase. Rapid increase of naturalised animals and plants.
    Nature of the checks to increase. Competition universal. Effects of
    climate. Protection from the number of individuals. Complex relations
    of all animals and plants throughout nature. Struggle for life most
    severe between individuals and varieties of the same species; often
    severe between species of the same genus. The relation of organism to
    organism the most important of all relations.

    Before entering on the subject of this chapter, I must make a few
    preliminary remarks, to show how the struggle for existence bears on
    Natural Selection. It has been seen in the last chapter that amongst
    organic beings in a state of nature there is some individual
    variability; indeed I am not aware that this has ever been disputed. It
    is immaterial for us whether a multitude of doubtful forms be called
    species or sub-species or varieties; what rank, for instance, the two
    or three hundred doubtful forms of British plants are entitled to hold,
    if the existence of any well-marked varieties be admitted. But the mere
    existence of individual variability and of some few well-marked
    varieties, though necessary as the foundation for the work, helps us
    but little in understanding how species arise in nature. How have all
    those exquisite adaptations of one part of the organisation to another
    part, and to the conditions of life, and of one distinct organic being
    to another being, been perfected? We see these beautiful co-adaptations
    most plainly in the woodpecker and missletoe; and only a little less
    plainly in the humblest parasite which clings
    to the hairs of a quadruped or feathers of a bird; in the structure of
    the beetle which dives through the water; in the plumed seed which is
    wafted by the gentlest breeze; in short, we see beautiful adaptations
    everywhere and in every part of the organic world.

    Again, it may be asked, how is it that varieties, which I have called
    incipient species, become ultimately converted into good and distinct
    species, which in most cases obviously differ from each other far more
    than do the varieties of the same species? How do those groups of
    species, which constitute what are called distinct genera, and which
    differ from each other more than do the species of the same genus,
    arise? All these results, as we shall more fully see in the next
    chapter, follow inevitably from the struggle for life. Owing to this
    struggle for life, any variation, however slight and from whatever
    cause proceeding, if it be in any degree profitable to an individual of
    any species, in its infinitely complex relations to other organic
    beings and to external nature, will tend to the preservation of that
    individual, and will generally be inherited by its offspring. The
    offspring, also, will thus have a better chance of surviving, for, of
    the many individuals of any species which are periodically born, but a
    small number can survive. I have called this principle, by which each
    slight variation, if useful, is preserved, by the term of Natural
    Selection, in order to mark its relation to man’s power of selection.
    We have seen that man by selection can certainly produce great results,
    and can adapt organic beings to his own uses, through the accumulation
    of slight but useful variations, given to him by the hand of Nature.
    But Natural Selection, as we shall hereafter see, is a power
    incessantly ready for action, and is as immeasurably superior to man’s
    feeble efforts, as the works of Nature are to those of Art.

    We will now discuss in a little more detail the struggle for existence.
    In my future work this subject shall be treated, as it well deserves,
    at much greater length. The elder De Candolle and Lyell have largely
    and philosophically shown that all organic beings are exposed to severe
    competition. In regard to plants, no one has treated this subject with
    more spirit and ability than W. Herbert, Dean of Manchester, evidently
    the result of his great horticultural knowledge. Nothing is easier than
    to admit in words the truth of the universal struggle for life, or more
    difficult—at least I have found it so—than constantly to bear this
    conclusion in mind. Yet unless it be thoroughly engrained in the mind,
    I am convinced that the whole economy of nature, with every fact on
    distribution, rarity, abundance, extinction, and variation, will be
    dimly seen or quite misunderstood. We behold the face of nature bright
    with gladness, we often see superabundance of food; we do not see, or
    we forget, that the birds which are idly singing round us mostly live
    on insects or seeds, and are thus constantly destroying life; or we
    forget how largely these songsters, or their eggs, or their nestlings,
    are destroyed by birds and beasts of prey; we do not always bear in
    mind, that though food may be now superabundant, it is not so at all
    seasons of each recurring year.

    I should premise that I use the term Struggle for Existence in a large
    and metaphorical sense, including dependence of one being on another,
    and including (which is more important) not only the life of the
    individual, but success in leaving progeny. Two canine animals in a
    time of dearth, may be truly said to struggle with each other which
    shall get food and live. But a plant on the edge of a desert is said to
    struggle for life against the drought, though more properly it should
    be said to be dependent on the moisture. A
    plant which annually produces a thousand seeds, of which on an average
    only one comes to maturity, may be more truly said to struggle with the
    plants of the same and other kinds which already clothe the ground. The
    missletoe is dependent on the apple and a few other trees, but can only
    in a far-fetched sense be said to struggle with these trees, for if too
    many of these parasites grow on the same tree, it will languish and
    die. But several seedling missletoes, growing close together on the
    same branch, may more truly be said to struggle with each other. As the
    missletoe is disseminated by birds, its existence depends on birds; and
    it may metaphorically be said to struggle with other fruit-bearing
    plants, in order to tempt birds to devour and thus disseminate its
    seeds rather than those of other plants. In these several senses, which
    pass into each other, I use for convenience sake the general term of
    struggle for existence.

    A struggle for existence inevitably follows from the high rate at which
    all organic beings tend to increase. Every being, which during its
    natural lifetime produces several eggs or seeds, must suffer
    destruction during some period of its life, and during some season or
    occasional year, otherwise, on the principle of geometrical increase,
    its numbers would quickly become so inordinately great that no country
    could support the product. Hence, as more individuals are produced than
    can possibly survive, there must in every case be a struggle for
    existence, either one individual with another of the same species, or
    with the individuals of distinct species, or with the physical
    conditions of life. It is the doctrine of Malthus applied with manifold
    force to the whole animal and vegetable kingdoms; for in this case
    there can be no artificial increase of food, and no prudential
    restraint from marriage. Although some species may be
    now increasing, more or less rapidly, in numbers, all cannot do so, for
    the world would not hold them.

    There is no exception to the rule that every organic being naturally
    increases at so high a rate, that if not destroyed, the earth would
    soon be covered by the progeny of a single pair. Even slow-breeding man
    has doubled in twenty-five years, and at this rate, in a few thousand
    years, there would literally not be standing room for his progeny.
    Linnæus has calculated that if an annual plant produced only two
    seeds—and there is no plant so unproductive as this—and their seedlings
    next year produced two, and so on, then in twenty years there would be
    a million plants. The elephant is reckoned to be the slowest breeder of
    all known animals, and I have taken some pains to estimate its probable
    minimum rate of natural increase: it will be under the mark to assume
    that it breeds when thirty years old, and goes on breeding till ninety
    years old, bringing forth three pair of young in this interval; if this
    be so, at the end of the fifth century there would be alive fifteen
    million elephants, descended from the first pair.

    But we have better evidence on this subject than mere theoretical
    calculations, namely, the numerous recorded cases of the astonishingly
    rapid increase of various animals in a state of nature, when
    circumstances have been favourable to them during two or three
    following seasons. Still more striking is the evidence from our
    domestic animals of many kinds which have run wild in several parts of
    the world: if the statements of the rate of increase of slow-breeding
    cattle and horses in South America, and latterly in Australia, had not
    been well authenticated, they would have been quite incredible. So it
    is with plants: cases could be given of introduced plants which have
    become common throughout whole islands in a period of less than ten
    years. Several
    of the plants now most numerous over the wide plains of La Plata,
    clothing square leagues of surface almost to the exclusion of all other
    plants, have been introduced from Europe; and there are plants which
    now range in India, as I hear from Dr. Falconer, from Cape Comorin to
    the Himalaya, which have been imported from America since its
    discovery. In such cases, and endless instances could be given, no one
    supposes that the fertility of these animals or plants has been
    suddenly and temporarily increased in any sensible degree. The obvious
    explanation is that the conditions of life have been very favourable,
    and that there has consequently been less destruction of the old and
    young, and that nearly all the young have been enabled to breed. In
    such cases the geometrical ratio of increase, the result of which never
    fails to be surprising, simply explains the extraordinarily rapid
    increase and wide diffusion of naturalised productions in their new
    homes.

    In a state of nature almost every plant produces seed, and amongst
    animals there are very few which do not annually pair. Hence we may
    confidently assert, that all plants and animals are tending to increase
    at a geometrical ratio, that all would most rapidly stock every station
    in which they could any how exist, and that the geometrical tendency to
    increase must be checked by destruction at some period of life. Our
    familiarity with the larger domestic animals tends, I think, to mislead
    us: we see no great destruction falling on them, and we forget that
    thousands are annually slaughtered for food, and that in a state of
    nature an equal number would have somehow to be disposed of.

    The only difference between organisms which annually produce eggs or
    seeds by the thousand, and those which produce extremely few, is, that
    the slow-breeders would require a few more years to people, under
    favourable
    conditions, a whole district, let it be ever so large. The condor lays
    a couple of eggs and the ostrich a score, and yet in the same country
    the condor may be the more numerous of the two: the Fulmar petrel lays
    but one egg, yet it is believed to be the most numerous bird in the
    world. One fly deposits hundreds of eggs, and another, like the
    hippobosca, a single one; but this difference does not determine how
    many individuals of the two species can be supported in a district. A
    large number of eggs is of some importance to those species, which
    depend on a rapidly fluctuating amount of food, for it allows them
    rapidly to increase in number. But the real importance of a large
    number of eggs or seeds is to make up for much destruction at some
    period of life; and this period in the great majority of cases is an
    early one. If an animal can in any way protect its own eggs or young, a
    small number may be produced, and yet the average stock be fully kept
    up; but if many eggs or young are destroyed, many must be produced, or
    the species will become extinct. It would suffice to keep up the full
    number of a tree, which lived on an average for a thousand years, if a
    single seed were produced once in a thousand years, supposing that this
    seed were never destroyed, and could be ensured to germinate in a
    fitting place. So that in all cases, the average number of any animal
    or plant depends only indirectly on the number of its eggs or seeds.

    In looking at Nature, it is most necessary to keep the foregoing
    considerations always in mind—never to forget that every single organic
    being around us may be said to be striving to the utmost to increase in
    numbers; that each lives by a struggle at some period of its life; that
    heavy destruction inevitably falls either on the young or old, during
    each generation or at recurrent intervals. Lighten any check, mitigate
    the
    destruction ever so little, and the number of the species will almost
    instantaneously increase to any amount. The face of Nature may be
    compared to a yielding surface, with ten thousand sharp wedges packed
    close together and driven inwards by incessant blows, sometimes one
    wedge being struck, and then another with greater force.

    What checks the natural tendency of each species to increase in number
    is most obscure. Look at the most vigorous species; by as much as it
    swarms in numbers, by so much will its tendency to increase be still
    further increased. We know not exactly what the checks are in even one
    single instance. Nor will this surprise any one who reflects how
    ignorant we are on this head, even in regard to mankind, so
    incomparably better known than any other animal. This subject has been
    ably treated by several authors, and I shall, in my future work,
    discuss some of the checks at considerable length, more especially in
    regard to the feral animals of South America. Here I will make only a
    few remarks, just to recall to the reader’s mind some of the chief
    points. Eggs or very young animals seem generally to suffer most, but
    this is not invariably the case. With plants there is a vast
    destruction of seeds, but, from some observations which I have made, I
    believe that it is the seedlings which suffer most from germinating in
    ground already thickly stocked with other plants. Seedlings, also, are
    destroyed in vast numbers by various enemies; for instance, on a piece
    of ground three feet long and two wide, dug and cleared, and where
    there could be no choking from other plants, I marked all the seedlings
    of our native weeds as they came up, and out of the 357 no less than
    295 were destroyed, chiefly by slugs and insects. If turf which has
    long been mown, and the case would be the same with turf closely
    browsed by quadrupeds, be let to grow,
    the more vigorous plants gradually kill the less vigorous, though fully
    grown, plants: thus out of twenty species growing on a little plot of
    turf (three feet by four) nine species perished from the other species
    being allowed to grow up freely.

    The amount of food for each species of course gives the extreme limit
    to which each can increase; but very frequently it is not the obtaining
    food, but the serving as prey to other animals, which determines the
    average numbers of a species. Thus, there seems to be little doubt that
    the stock of partridges, grouse, and hares on any large estate depends
    chiefly on the destruction of vermin. If not one head of game were shot
    during the next twenty years in England, and, at the same time, if no
    vermin were destroyed, there would, in all probability, be less game
    than at present, although hundreds of thousands of game animals are now
    annually killed. On the other hand, in some cases, as with the elephant
    and rhinoceros, none are destroyed by beasts of prey: even the tiger in
    India most rarely dares to attack a young elephant protected by its
    dam.

    Climate plays an important part in determining the average numbers of a
    species, and periodical seasons of extreme cold or drought, I believe
    to be the most effective of all checks. I estimated that the winter of
    1854-55 destroyed four-fifths of the birds in my own grounds; and this
    is a tremendous destruction, when we remember that ten per cent. is an
    extraordinarily severe mortality from epidemics with man. The action of
    climate seems at first sight to be quite independent of the struggle
    for existence; but in so far as climate chiefly acts in reducing food,
    it brings on the most severe struggle between the individuals, whether
    of the same or of distinct species, which subsist on the same kind of
    food. Even when climate, for instance extreme
    cold, acts directly, it will be the least vigorous, or those which have
    got least food through the advancing winter, which will suffer most.
    When we travel from south to north, or from a damp region to a dry, we
    invariably see some species gradually getting rarer and rarer, and
    finally disappearing; and the change of climate being conspicuous, we
    are tempted to attribute the whole effect to its direct action. But
    this is a very false view: we forget that each species, even where it
    most abounds, is constantly suffering enormous destruction at some
    period of its life, from enemies or from competitors for the same place
    and food; and if these enemies or competitors be in the least degree
    favoured by any slight change of climate, they will increase in
    numbers, and, as each area is already fully stocked with inhabitants,
    the other species will decrease. When we travel southward and see a
    species decreasing in numbers, we may feel sure that the cause lies
    quite as much in other species being favoured, as in this one being
    hurt. So it is when we travel northward, but in a somewhat lesser
    degree, for the number of species of all kinds, and therefore of
    competitors, decreases northwards; hence in going northward, or in
    ascending a mountain, we far oftener meet with stunted forms, due to
    the directly injurious action of climate, than we do in proceeding
    southwards or in descending a mountain. When we reach the Arctic
    regions, or snow-capped summits, or absolute deserts, the struggle for
    life is almost exclusively with the elements.

    That climate acts in main part indirectly by favouring other species,
    we may clearly see in the prodigious number of plants in our gardens
    which can perfectly well endure our climate, but which never become
    naturalised, for they cannot compete with our native plants, nor resist
    destruction by our native animals.

    When a species, owing to highly favourable circumstances, increases
    inordinately in numbers in a small tract, epidemics—at least, this
    seems generally to occur with our game animals—often ensue: and here we
    have a limiting check independent of the struggle for life. But even
    some of these so-called epidemics appear to be due to parasitic worms,
    which have from some cause, possibly in part through facility of
    diffusion amongst the crowded animals, been disproportionably favoured:
    and here comes in a sort of struggle between the parasite and its prey.

    On the other hand, in many cases, a large stock of individuals of the
    same species, relatively to the numbers of its enemies, is absolutely
    necessary for its preservation. Thus we can easily raise plenty of corn
    and rape-seed, etc., in our fields, because the seeds are in great
    excess compared with the number of birds which feed on them; nor can
    the birds, though having a superabundance of food at this one season,
    increase in number proportionally to the supply of seed, as their
    numbers are checked during winter: but any one who has tried, knows how
    troublesome it is to get seed from a few wheat or other such plants in
    a garden; I have in this case lost every single seed. This view of the
    necessity of a large stock of the same species for its preservation,
    explains, I believe, some singular facts in nature, such as that of
    very rare plants being sometimes extremely abundant in the few spots
    where they do occur; and that of some social plants being social, that
    is, abounding in individuals, even on the extreme confines of their
    range. For in such cases, we may believe, that a plant could exist only
    where the conditions of its life were so favourable that many could
    exist together, and thus save each other from utter destruction. I
    should add that the good effects of frequent intercrossing, and the ill
    effects
    of close interbreeding, probably come into play in some of these cases;
    but on this intricate subject I will not here enlarge.

    Many cases are on record showing how complex and unexpected are the
    checks and relations between organic beings, which have to struggle
    together in the same country. I will give only a single instance,
    which, though a simple one, has interested me. In Staffordshire, on the
    estate of a relation where I had ample means of investigation, there
    was a large and extremely barren heath, which had never been touched by
    the hand of man; but several hundred acres of exactly the same nature
    had been enclosed twenty-five years previously and planted with Scotch
    fir. The change in the native vegetation of the planted part of the
    heath was most remarkable, more than is generally seen in passing from
    one quite different soil to another: not only the proportional numbers
    of the heath-plants were wholly changed, but twelve species of plants
    (not counting grasses and carices) flourished in the plantations, which
    could not be found on the heath. The effect on the insects must have
    been still greater, for six insectivorous birds were very common in the
    plantations, which were not to be seen on the heath; and the heath was
    frequented by two or three distinct insectivorous birds. Here we see
    how potent has been the effect of the introduction of a single tree,
    nothing whatever else having been done, with the exception that the
    land had been enclosed, so that cattle could not enter. But how
    important an element enclosure is, I plainly saw near Farnham, in
    Surrey. Here there are extensive heaths, with a few clumps of old
    Scotch firs on the distant hill-tops: within the last ten years large
    spaces have been enclosed, and self-sown firs are now springing up in
    multitudes, so close together that all cannot live.
    When I ascertained that these young trees had not been sown or planted,
    I was so much surprised at their numbers that I went to several points
    of view, whence I could examine hundreds of acres of the unenclosed
    heath, and literally I could not see a single Scotch fir, except the
    old planted clumps. But on looking closely between the stems of the
    heath, I found a multitude of seedlings and little trees, which had
    been perpetually browsed down by the cattle. In one square yard, at a
    point some hundred yards distant from one of the old clumps, I counted
    thirty-two little trees; and one of them, judging from the rings of
    growth, had during twenty-six years tried to raise its head above the
    stems of the heath, and had failed. No wonder that, as soon as the land
    was enclosed, it became thickly clothed with vigorously growing young
    firs. Yet the heath was so extremely barren and so extensive that no
    one would ever have imagined that cattle would have so closely and
    effectually searched it for food.

    Here we see that cattle absolutely determine the existence of the
    Scotch fir; but in several parts of the world insects determine the
    existence of cattle. Perhaps Paraguay offers the most curious instance
    of this; for here neither cattle nor horses nor dogs have ever run
    wild, though they swarm southward and northward in a feral state; and
    Azara and Rengger have shown that this is caused by the greater number
    in Paraguay of a certain fly, which lays its eggs in the navels of
    these animals when first born. The increase of these flies, numerous as
    they are, must be habitually checked by some means, probably by birds.
    Hence, if certain insectivorous birds (whose numbers are probably
    regulated by hawks or beasts of prey) were to increase in Paraguay, the
    flies would decrease—then cattle and horses would become feral, and
    this would certainly greatly alter (as
    indeed I have observed in parts of South America) the vegetation: this
    again would largely affect the insects; and this, as we just have seen
    in Staffordshire, the insectivorous birds, and so onwards in
    ever-increasing circles of complexity. We began this series by
    insectivorous birds, and we have ended with them. Not that in nature
    the relations can ever be as simple as this. Battle within battle must
    ever be recurring with varying success; and yet in the long-run the
    forces are so nicely balanced, that the face of nature remains uniform
    for long periods of time, though assuredly the merest trifle would
    often give the victory to one organic being over another. Nevertheless
    so profound is our ignorance, and so high our presumption, that we
    marvel when we hear of the extinction of an organic being; and as we do
    not see the cause, we invoke cataclysms to desolate the world, or
    invent laws on the duration of the forms of life!

    I am tempted to give one more instance showing how plants and animals,
    most remote in the scale of nature, are bound together by a web of
    complex relations. I shall hereafter have occasion to show that the
    exotic Lobelia fulgens, in this part of England, is never visited by
    insects, and consequently, from its peculiar structure, never can set a
    seed. Many of our orchidaceous plants absolutely require the visits of
    moths to remove their pollen-masses and thus to fertilise them. I have,
    also, reason to believe that humble-bees are indispensable to the
    fertilisation of the heartsease (Viola tricolor), for other bees do not
    visit this flower. From experiments which I have tried, I have found
    that the visits of bees, if not indispensable, are at least highly
    beneficial to the fertilisation of our clovers; but humble-bees alone
    visit the common red clover (Trifolium pratense), as other bees cannot
    reach the nectar. Hence I have very little doubt, that if the whole
    genus of humble-bees became
    extinct or very rare in England, the heartsease and red clover would
    become very rare, or wholly disappear. The number of humble-bees in any
    district depends in a great degree on the number of field-mice, which
    destroy their combs and nests; and Mr. H. Newman, who has long attended
    to the habits of humble-bees, believes that “more than two thirds of
    them are thus destroyed all over England.” Now the number of mice is
    largely dependent, as every one knows, on the number of cats; and Mr.
    Newman says, “Near villages and small towns I have found the nests of
    humble-bees more numerous than elsewhere, which I attribute to the
    number of cats that destroy the mice.” Hence it is quite credible that
    the presence of a feline animal in large numbers in a district might
    determine, through the intervention first of mice and then of bees, the
    frequency of certain flowers in that district!

    In the case of every species, many different checks, acting at
    different periods of life, and during different seasons or years,
    probably come into play; some one check or some few being generally the
    most potent, but all concurring in determining the average number or
    even the existence of the species. In some cases it can be shown that
    widely-different checks act on the same species in different districts.
    When we look at the plants and bushes clothing an entangled bank, we
    are tempted to attribute their proportional numbers and kinds to what
    we call chance. But how false a view is this! Every one has heard that
    when an American forest is cut down, a very different vegetation
    springs up; but it has been observed that the trees now growing on the
    ancient Indian mounds, in the Southern United States, display the same
    beautiful diversity and proportion of kinds as in the surrounding
    virgin forests. What a struggle between the several kinds of trees
    must here have gone on during long centuries, each annually scattering
    its seeds by the thousand; what war between insect and insect—between
    insects, snails, and other animals with birds and beasts of prey—all
    striving to increase, and all feeding on each other or on the trees or
    their seeds and seedlings, or on the other plants which first clothed
    the ground and thus checked the growth of the trees! Throw up a handful
    of feathers, and all must fall to the ground according to definite
    laws; but how simple is this problem compared to the action and
    reaction of the innumerable plants and animals which have determined,
    in the course of centuries, the proportional numbers and kinds of trees
    now growing on the old Indian ruins!

    The dependency of one organic being on another, as of a parasite on its
    prey, lies generally between beings remote in the scale of nature. This
    is often the case with those which may strictly be said to struggle
    with each other for existence, as in the case of locusts and
    grass-feeding quadrupeds. But the struggle almost invariably will be
    most severe between the individuals of the same species, for they
    frequent the same districts, require the same food, and are exposed to
    the same dangers. In the case of varieties of the same species, the
    struggle will generally be almost equally severe, and we sometimes see
    the contest soon decided: for instance, if several varieties of wheat
    be sown together, and the mixed seed be resown, some of the varieties
    which best suit the soil or climate, or are naturally the most fertile,
    will beat the others and so yield more seed, and will consequently in a
    few years quite supplant the other varieties. To keep up a mixed stock
    of even such extremely close varieties as the variously coloured
    sweet-peas, they must be each year harvested separately, and the seed
    then mixed in due proportion,
    otherwise the weaker kinds will steadily decrease in numbers and
    disappear. So again with the varieties of sheep: it has been asserted
    that certain mountain-varieties will starve out other
    mountain-varieties, so that they cannot be kept together. The same
    result has followed from keeping together different varieties of the
    medicinal leech. It may even be doubted whether the varieties of any
    one of our domestic plants or animals have so exactly the same
    strength, habits, and constitution, that the original proportions of a
    mixed stock could be kept up for half a dozen generations, if they were
    allowed to struggle together, like beings in a state of nature, and if
    the seed or young were not annually sorted.

    As species of the same genus have usually, though by no means
    invariably, some similarity in habits and constitution, and always in
    structure, the struggle will generally be more severe between species
    of the same genus, when they come into competition with each other,
    than between species of distinct genera. We see this in the recent
    extension over parts of the United States of one species of swallow
    having caused the decrease of another species. The recent increase of
    the missel-thrush in parts of Scotland has caused the decrease of the
    song-thrush. How frequently we hear of one species of rat taking the
    place of another species under the most different climates! In Russia
    the small Asiatic cockroach has everywhere driven before it its great
    congener. One species of charlock will supplant another, and so in
    other cases. We can dimly see why the competition should be most severe
    between allied forms, which fill nearly the same place in the economy
    of nature; but probably in no one case could we precisely say why one
    species has been victorious over another in the great battle of life.

    A corollary of the highest importance may be deduced from the foregoing
    remarks, namely, that the structure of every organic being is related,
    in the most essential yet often hidden manner, to that of all other
    organic beings, with which it comes into competition for food or
    residence, or from which it has to escape, or on which it preys. This
    is obvious in the structure of the teeth and talons of the tiger; and
    in that of the legs and claws of the parasite which clings to the hair
    on the tiger’s body. But in the beautifully plumed seed of the
    dandelion, and in the flattened and fringed legs of the water-beetle,
    the relation seems at first confined to the elements of air and water.
    Yet the advantage of plumed seeds no doubt stands in the closest
    relation to the land being already thickly clothed by other plants; so
    that the seeds may be widely distributed and fall on unoccupied ground.
    In the water-beetle, the structure of its legs, so well adapted for
    diving, allows it to compete with other aquatic insects, to hunt for
    its own prey, and to escape serving as prey to other animals.

    The store of nutriment laid up within the seeds of many plants seems at
    first sight to have no sort of relation to other plants. But from the
    strong growth of young plants produced from such seeds (as peas and
    beans), when sown in the midst of long grass, I suspect that the chief
    use of the nutriment in the seed is to favour the growth of the young
    seedling, whilst struggling with other plants growing vigorously all
    around.

    Look at a plant in the midst of its range, why does it not double or
    quadruple its numbers? We know that it can perfectly well withstand a
    little more heat or cold, dampness or dryness, for elsewhere it ranges
    into slightly hotter or colder, damper or drier districts. In this case
    we can clearly see that if we wished in imagination to give the plant
    the power of increasing in number, we should have to give it some
    advantage over its competitors, or over the animals which preyed on it.
    On the confines of its geographical range, a change of constitution
    with respect to climate would clearly be an advantage to our plant; but
    we have reason to believe that only a few plants or animals range so
    far, that they are destroyed by the rigour of the climate alone. Not
    until we reach the extreme confines of life, in the arctic regions or
    on the borders of an utter desert, will competition cease. The land may
    be extremely cold or dry, yet there will be competition between some
    few species, or between the individuals of the same species, for the
    warmest or dampest spots.

    Hence, also, we can see that when a plant or animal is placed in a new
    country amongst new competitors, though the climate may be exactly the
    same as in its former home, yet the conditions of its life will
    generally be changed in an essential manner. If we wished to increase
    its average numbers in its new home, we should have to modify it in a
    different way to what we should have done in its native country; for we
    should have to give it some advantage over a different set of
    competitors or enemies.

    It is good thus to try in our imagination to give any form some
    advantage over another. Probably in no single instance should we know
    what to do, so as to succeed. It will convince us of our ignorance on
    the mutual relations of all organic beings; a conviction as necessary,
    as it seems to be difficult to acquire. All that we can do, is to keep
    steadily in mind that each organic being is striving to increase at a
    geometrical
    ratio; that each at some period of its life, during some season of the
    year, during each generation or at intervals, has to struggle for life,
    and to suffer great destruction. When we reflect on this struggle, we
    may console ourselves with the full belief, that the war of nature is
    not incessant, that no fear is felt, that death is generally prompt,
    and that the vigorous, the healthy, and the happy survive and multiply.

    CHAPTER IV.
    NATURAL SELECTION.

    Natural Selection: its power compared with man’s selection, its power
    on characters of trifling importance, its power at all ages and on both
    sexes. Sexual Selection. On the generality of intercrosses between
    individuals of the same species. Circumstances favourable and
    unfavourable to Natural Selection, namely, intercrossing, isolation,
    number of individuals. Slow action. Extinction caused by Natural
    Selection. Divergence of Character, related to the diversity of
    inhabitants of any small area, and to naturalisation. Action of Natural
    Selection, through Divergence of Character and Extinction, on the
    descendants from a common parent. Explains the Grouping of all organic
    beings.

    How will the struggle for existence, discussed too briefly in the last
    chapter, act in regard to variation? Can the principle of selection,
    which we have seen is so potent in the hands of man, apply in nature? I
    think we shall see that it can act most effectually. Let it be borne in
    mind in what an endless number of strange peculiarities our domestic
    productions, and, in a lesser degree, those under nature, vary; and how
    strong the hereditary tendency is. Under domestication, it may be truly
    said that the whole organisation becomes in some degree plastic. Let it
    be borne in mind how infinitely complex and close-fitting are the
    mutual relations of all organic beings to each other and to their
    physical conditions of life. Can it, then, be thought improbable,
    seeing that variations useful to man have undoubtedly occurred, that
    other variations useful in some way to each being in the great and
    complex battle of life, should sometimes occur in the course of
    thousands of generations? If such do occur, can we doubt (remembering
    that many more individuals are born than can possibly survive) that
    individuals having any advantage, however slight, over others, would
    have the best chance of surviving and of procreating their kind? On the
    other hand, we may feel sure that any variation in the least degree
    injurious would be rigidly destroyed. This preservation of favourable
    variations and the rejection of injurious variations, I call Natural
    Selection. Variations neither useful nor injurious would not be
    affected by natural selection, and would be left a fluctuating element,
    as perhaps we see in the species called polymorphic.

    We shall best understand the probable course of natural selection by
    taking the case of a country undergoing some physical change, for
    instance, of climate. The proportional numbers of its inhabitants would
    almost immediately undergo a change, and some species might become
    extinct. We may conclude, from what we have seen of the intimate and
    complex manner in which the inhabitants of each country are bound
    together, that any change in the numerical proportions of some of the
    inhabitants, independently of the change of climate itself, would most
    seriously affect many of the others. If the country were open on its
    borders, new forms would certainly immigrate, and this also would
    seriously disturb the relations of some of the former inhabitants. Let
    it be remembered how powerful the influence of a single introduced tree
    or mammal has been shown to be. But in the case of an island, or of a
    country partly surrounded by barriers, into which new and better
    adapted forms could not freely enter, we should then have places in the
    economy of nature which would assuredly be better filled up, if some of
    the original inhabitants were in some manner modified; for, had the
    area been open to immigration, these same
    places would have been seized on by intruders. In such case, every
    slight modification, which in the course of ages chanced to arise, and
    which in any way favoured the individuals of any of the species, by
    better adapting them to their altered conditions, would tend to be
    preserved; and natural selection would thus have free scope for the
    work of improvement.

    We have reason to believe, as stated in the first chapter, that a
    change in the conditions of life, by specially acting on the
    reproductive system, causes or increases variability; and in the
    foregoing case the conditions of life are supposed to have undergone a
    change, and this would manifestly be favourable to natural selection,
    by giving a better chance of profitable variations occurring; and
    unless profitable variations do occur, natural selection can do
    nothing. Not that, as I believe, any extreme amount of variability is
    necessary; as man can certainly produce great results by adding up in
    any given direction mere individual differences, so could Nature, but
    far more easily, from having incomparably longer time at her disposal.
    Nor do I believe that any great physical change, as of climate, or any
    unusual degree of isolation to check immigration, is actually necessary
    to produce new and unoccupied places for natural selection to fill up
    by modifying and improving some of the varying inhabitants. For as all
    the inhabitants of each country are struggling together with nicely
    balanced forces, extremely slight modifications in the structure or
    habits of one inhabitant would often give it an advantage over others;
    and still further modifications of the same kind would often still
    further increase the advantage. No country can be named in which all
    the native inhabitants are now so perfectly adapted to each other and
    to the physical conditions under which they live, that none of
    them could anyhow be improved; for in all countries, the natives have
    been so far conquered by naturalised productions, that they have
    allowed foreigners to take firm possession of the land. And as
    foreigners have thus everywhere beaten some of the natives, we may
    safely conclude that the natives might have been modified with
    advantage, so as to have better resisted such intruders.

    As man can produce and certainly has produced a great result by his
    methodical and unconscious means of selection, what may not nature
    effect? Man can act only on external and visible characters: nature
    cares nothing for appearances, except in so far as they may be useful
    to any being. She can act on every internal organ, on every shade of
    constitutional difference, on the whole machinery of life. Man selects
    only for his own good; Nature only for that of the being which she
    tends. Every selected character is fully exercised by her; and the
    being is placed under well-suited conditions of life. Man keeps the
    natives of many climates in the same country; he seldom exercises each
    selected character in some peculiar and fitting manner; he feeds a long
    and a short beaked pigeon on the same food; he does not exercise a
    long-backed or long-legged quadruped in any peculiar manner; he exposes
    sheep with long and short wool to the same climate. He does not allow
    the most vigorous males to struggle for the females. He does not
    rigidly destroy all inferior animals, but protects during each varying
    season, as far as lies in his power, all his productions. He often
    begins his selection by some half-monstrous form; or at least by some
    modification prominent enough to catch his eye, or to be plainly useful
    to him. Under nature, the slightest difference of structure or
    constitution may well turn the nicely-balanced scale in the
    struggle for life, and so be preserved. How fleeting are the wishes and
    efforts of man! how short his time! and consequently how poor will his
    products be, compared with those accumulated by nature during whole
    geological periods. Can we wonder, then, that nature’s productions
    should be far “truer” in character than man’s productions; that they
    should be infinitely better adapted to the most complex conditions of
    life, and should plainly bear the stamp of far higher workmanship?

    It may be said that natural selection is daily and hourly scrutinising,
    throughout the world, every variation, even the slightest; rejecting
    that which is bad, preserving and adding up all that is good; silently
    and insensibly working, whenever and wherever opportunity offers, at
    the improvement of each organic being in relation to its organic and
    inorganic conditions of life. We see nothing of these slow changes in
    progress, until the hand of time has marked the long lapse of ages, and
    then so imperfect is our view into long past geological ages, that we
    only see that the forms of life are now different from what they
    formerly were.

    Although natural selection can act only through and for the good of
    each being, yet characters and structures, which we are apt to consider
    as of very trifling importance, may thus be acted on. When we see
    leaf-eating insects green, and bark-feeders mottled-grey; the alpine
    ptarmigan white in winter, the red-grouse the colour of heather, and
    the black-grouse that of peaty earth, we must believe that these tints
    are of service to these birds and insects in preserving them from
    danger. Grouse, if not destroyed at some period of their lives, would
    increase in countless numbers; they are known to suffer largely from
    birds of prey; and hawks are guided by eyesight to their prey,—so much
    so, that on
    parts of the Continent persons are warned not to keep white pigeons, as
    being the most liable to destruction. Hence I can see no reason to
    doubt that natural selection might be most effective in giving the
    proper colour to each kind of grouse, and in keeping that colour, when
    once acquired, true and constant. Nor ought we to think that the
    occasional destruction of an animal of any particular colour would
    produce little effect: we should remember how essential it is in a
    flock of white sheep to destroy every lamb with the faintest trace of
    black. In plants the down on the fruit and the colour of the flesh are
    considered by botanists as characters of the most trifling importance:
    yet we hear from an excellent horticulturist, Downing, that in the
    United States smooth-skinned fruits suffer far more from a beetle, a
    curculio, than those with down; that purple plums suffer far more from
    a certain disease than yellow plums; whereas another disease attacks
    yellow-fleshed peaches far more than those with other coloured flesh.
    If, with all the aids of art, these slight differences make a great
    difference in cultivating the several varieties, assuredly, in a state
    of nature, where the trees would have to struggle with other trees and
    with a host of enemies, such differences would effectually settle which
    variety, whether a smooth or downy, a yellow or purple fleshed fruit,
    should succeed.

    In looking at many small points of difference between species, which,
    as far as our ignorance permits us to judge, seem to be quite
    unimportant, we must not forget that climate, food, etc., probably
    produce some slight and direct effect. It is, however, far more
    necessary to bear in mind that there are many unknown laws of
    correlation of growth, which, when one part of the organisation is
    modified through variation, and the modifications are accumulated by
    natural selection for
    the good of the being, will cause other modifications, often of the
    most unexpected nature.

    As we see that those variations which under domestication appear at any
    particular period of life, tend to reappear in the offspring at the
    same period;—for instance, in the seeds of the many varieties of our
    culinary and agricultural plants; in the caterpillar and cocoon stages
    of the varieties of the silkworm; in the eggs of poultry, and in the
    colour of the down of their chickens; in the horns of our sheep and
    cattle when nearly adult;—so in a state of nature, natural selection
    will be enabled to act on and modify organic beings at any age, by the
    accumulation of profitable variations at that age, and by their
    inheritance at a corresponding age. If it profit a plant to have its
    seeds more and more widely disseminated by the wind, I can see no
    greater difficulty in this being effected through natural selection,
    than in the cotton-planter increasing and improving by selection the
    down in the pods on his cotton-trees. Natural selection may modify and
    adapt the larva of an insect to a score of contingencies, wholly
    different from those which concern the mature insect. These
    modifications will no doubt affect, through the laws of correlation,
    the structure of the adult; and probably in the case of those insects
    which live only for a few hours, and which never feed, a large part of
    their structure is merely the correlated result of successive changes
    in the structure of their larvæ. So, conversely, modifications in the
    adult will probably often affect the structure of the larva; but in all
    cases natural selection will ensure that modifications consequent on
    other modifications at a different period of life, shall not be in the
    least degree injurious: for if they became so, they would cause the
    extinction of the species.

    Natural selection will modify the structure of the
    young in relation to the parent, and of the parent in relation to the
    young. In social animals it will adapt the structure of each individual
    for the benefit of the community; if each in consequence profits by the
    selected change. What natural selection cannot do, is to modify the
    structure of one species, without giving it any advantage, for the good
    of another species; and though statements to this effect may be found
    in works of natural history, I cannot find one case which will bear
    investigation. A structure used only once in an animal’s whole life, if
    of high importance to it, might be modified to any extent by natural
    selection; for instance, the great jaws possessed by certain insects,
    and used exclusively for opening the cocoon—or the hard tip to the beak
    of nestling birds, used for breaking the egg. It has been asserted,
    that of the best short-beaked tumbler-pigeons more perish in the egg
    than are able to get out of it; so that fanciers assist in the act of
    hatching. Now, if nature had to make the beak of a full-grown pigeon
    very short for the bird’s own advantage, the process of modification
    would be very slow, and there would be simultaneously the most rigorous
    selection of the young birds within the egg, which had the most
    powerful and hardest beaks, for all with weak beaks would inevitably
    perish: or, more delicate and more easily broken shells might be
    selected, the thickness of the shell being known to vary like every
    other structure.

    Sexual Selection.—Inasmuch as peculiarities often appear under
    domestication in one sex and become hereditarily attached to that sex,
    the same fact probably occurs under nature, and if so, natural
    selection will be able to modify one sex in its functional relations to
    the other sex, or in relation to wholly different habits of life in the
    two sexes, as is sometimes the case
    with insects. And this leads me to say a few words on what I call
    Sexual Selection. This depends, not on a struggle for existence, but on
    a struggle between the males for possession of the females; the result
    is not death to the unsuccessful competitor, but few or no offspring.
    Sexual selection is, therefore, less rigorous than natural selection.
    Generally, the most vigorous males, those which are best fitted for
    their places in nature, will leave most progeny. But in many cases,
    victory will depend not on general vigour, but on having special
    weapons, confined to the male sex. A hornless stag or spurless cock
    would have a poor chance of leaving offspring. Sexual selection by
    always allowing the victor to breed might surely give indomitable
    courage, length to the spur, and strength to the wing to strike in the
    spurred leg, as well as the brutal cock-fighter, who knows well that he
    can improve his breed by careful selection of the best cocks. How low
    in the scale of nature this law of battle descends, I know not; male
    alligators have been described as fighting, bellowing, and whirling
    round, like Indians in a war-dance, for the possession of the females;
    male salmons have been seen fighting all day long; male stag-beetles
    often bear wounds from the huge mandibles of other males. The war is,
    perhaps, severest between the males of polygamous animals, and these
    seem oftenest provided with special weapons. The males of carnivorous
    animals are already well armed; though to them and to others, special
    means of defence may be given through means of sexual selection, as the
    mane to the lion, the shoulder-pad to the boar, and the hooked jaw to
    the male salmon; for the shield may be as important for victory, as the
    sword or spear.

    Amongst birds, the contest is often of a more peaceful character. All
    those who have attended to the subject,
    believe that there is the severest rivalry between the males of many
    species to attract by singing the females. The rock-thrush of Guiana,
    birds of Paradise, and some others, congregate; and successive males
    display their gorgeous plumage and perform strange antics before the
    females, which standing by as spectators, at last choose the most
    attractive partner. Those who have closely attended to birds in
    confinement well know that they often take individual preferences and
    dislikes: thus Sir R. Heron has described how one pied peacock was
    eminently attractive to all his hen birds. It may appear childish to
    attribute any effect to such apparently weak means: I cannot here enter
    on the details necessary to support this view; but if man can in a
    short time give elegant carriage and beauty to his bantams, according
    to his standard of beauty, I can see no good reason to doubt that
    female birds, by selecting, during thousands of generations, the most
    melodious or beautiful males, according to their standard of beauty,
    might produce a marked effect. I strongly suspect that some well-known
    laws with respect to the plumage of male and female birds, in
    comparison with the plumage of the young, can be explained on the view
    of plumage having been chiefly modified by sexual selection, acting
    when the birds have come to the breeding age or during the breeding
    season; the modifications thus produced being inherited at
    corresponding ages or seasons, either by the males alone, or by the
    males and females; but I have not space here to enter on this subject.

    Thus it is, as I believe, that when the males and females of any animal
    have the same general habits of life, but differ in structure, colour,
    or ornament, such differences have been mainly caused by sexual
    selection; that is, individual males have had, in successive
    generations, some slight advantage over other
    males, in their weapons, means of defence, or charms; and have
    transmitted these advantages to their male offspring. Yet, I would not
    wish to attribute all such sexual differences to this agency: for we
    see peculiarities arising and becoming attached to the male sex in our
    domestic animals (as the wattle in male carriers, horn-like
    protuberances in the cocks of certain fowls, etc.), which we cannot
    believe to be either useful to the males in battle, or attractive to
    the females. We see analogous cases under nature, for instance, the
    tuft of hair on the breast of the turkey-cock, which can hardly be
    either useful or ornamental to this bird;—indeed, had the tuft appeared
    under domestication, it would have been called a monstrosity.

    Illustrations of the action of Natural Selection.—In order to make it
    clear how, as I believe, natural selection acts, I must beg permission
    to give one or two imaginary illustrations. Let us take the case of a
    wolf, which preys on various animals, securing some by craft, some by
    strength, and some by fleetness; and let us suppose that the fleetest
    prey, a deer for instance, had from any change in the country increased
    in numbers, or that other prey had decreased in numbers, during that
    season of the year when the wolf is hardest pressed for food. I can
    under such circumstances see no reason to doubt that the swiftest and
    slimmest wolves would have the best chance of surviving, and so be
    preserved or selected,—provided always that they retained strength to
    master their prey at this or at some other period of the year, when
    they might be compelled to prey on other animals. I can see no more
    reason to doubt this, than that man can improve the fleetness of his
    greyhounds by careful and methodical selection, or by that unconscious
    selection which results from each man trying
    to keep the best dogs without any thought of modifying the breed.

    Even without any change in the proportional numbers of the animals on
    which our wolf preyed, a cub might be born with an innate tendency to
    pursue certain kinds of prey. Nor can this be thought very improbable;
    for we often observe great differences in the natural tendencies of our
    domestic animals; one cat, for instance, taking to catch rats, another
    mice; one cat, according to Mr. St. John, bringing home winged game,
    another hares or rabbits, and another hunting on marshy ground and
    almost nightly catching woodcocks or snipes. The tendency to catch rats
    rather than mice is known to be inherited. Now, if any slight innate
    change of habit or of structure benefited an individual wolf, it would
    have the best chance of surviving and of leaving offspring. Some of its
    young would probably inherit the same habits or structure, and by the
    repetition of this process, a new variety might be formed which would
    either supplant or coexist with the parent-form of wolf. Or, again, the
    wolves inhabiting a mountainous district, and those frequenting the
    lowlands, would naturally be forced to hunt different prey; and from
    the continued preservation of the individuals best fitted for the two
    sites, two varieties might slowly be formed. These varieties would
    cross and blend where they met; but to this subject of intercrossing we
    shall soon have to return. I may add, that, according to Mr. Pierce,
    there are two varieties of the wolf inhabiting the Catskill Mountains
    in the United States, one with a light greyhound-like form, which
    pursues deer, and the other more bulky, with shorter legs, which more
    frequently attacks the shepherd’s flocks.

    Let us now take a more complex case. Certain plants excrete a sweet
    juice, apparently for the sake of eliminating something injurious from
    their sap: this is
    effected by glands at the base of the stipules in some Leguminosæ, and
    at the back of the leaf of the common laurel. This juice, though small
    in quantity, is greedily sought by insects. Let us now suppose a little
    sweet juice or nectar to be excreted by the inner bases of the petals
    of a flower. In this case insects in seeking the nectar would get
    dusted with pollen, and would certainly often transport the pollen from
    one flower to the stigma of another flower. The flowers of two distinct
    individuals of the same species would thus get crossed; and the act of
    crossing, we have good reason to believe (as will hereafter be more
    fully alluded to), would produce very vigorous seedlings, which
    consequently would have the best chance of flourishing and surviving.
    Some of these seedlings would probably inherit the nectar-excreting
    power. Those individual flowers which had the largest glands or
    nectaries, and which excreted most nectar, would be oftenest visited by
    insects, and would be oftenest crossed; and so in the long-run would
    gain the upper hand. Those flowers, also, which had their stamens and
    pistils placed, in relation to the size and habits of the particular
    insects which visited them, so as to favour in any degree the
    transportal of their pollen from flower to flower, would likewise be
    favoured or selected. We might have taken the case of insects visiting
    flowers for the sake of collecting pollen instead of nectar; and as
    pollen is formed for the sole object of fertilisation, its destruction
    appears a simple loss to the plant; yet if a little pollen were
    carried, at first occasionally and then habitually, by the
    pollen-devouring insects from flower to flower, and a cross thus
    effected, although nine-tenths of the pollen were destroyed, it might
    still be a great gain to the plant; and those individuals which
    produced more and more pollen, and had larger and larger anthers, would
    be selected.

    When our plant, by this process of the continued preservation or
    natural selection of more and more attractive flowers, had been
    rendered highly attractive to insects, they would, unintentionally on
    their part, regularly carry pollen from flower to flower; and that they
    can most effectually do this, I could easily show by many striking
    instances. I will give only one—not as a very striking case, but as
    likewise illustrating one step in the separation of the sexes of
    plants, presently to be alluded to. Some holly-trees bear only male
    flowers, which have four stamens producing rather a small quantity of
    pollen, and a rudimentary pistil; other holly-trees bear only female
    flowers; these have a full-sized pistil, and four stamens with
    shrivelled anthers, in which not a grain of pollen can be detected.
    Having found a female tree exactly sixty yards from a male tree, I put
    the stigmas of twenty flowers, taken from different branches, under the
    microscope, and on all, without exception, there were pollen-grains,
    and on some a profusion of pollen. As the wind had set for several days
    from the female to the male tree, the pollen could not thus have been
    carried. The weather had been cold and boisterous, and therefore not
    favourable to bees, nevertheless every female flower which I examined
    had been effectually fertilised by the bees, accidentally dusted with
    pollen, having flown from tree to tree in search of nectar. But to
    return to our imaginary case: as soon as the plant had been rendered so
    highly attractive to insects that pollen was regularly carried from
    flower to flower, another process might commence. No naturalist doubts
    the advantage of what has been called the “physiological division of
    labour;” hence we may believe that it would be advantageous to a plant
    to produce stamens alone in one flower or on one whole plant, and
    pistils alone in
    another flower or on another plant. In plants under culture and placed
    under new conditions of life, sometimes the male organs and sometimes
    the female organs become more or less impotent; now if we suppose this
    to occur in ever so slight a degree under nature, then as pollen is
    already carried regularly from flower to flower, and as a more complete
    separation of the sexes of our plant would be advantageous on the
    principle of the division of labour, individuals with this tendency
    more and more increased, would be continually favoured or selected,
    until at last a complete separation of the sexes would be effected.

    Let us now turn to the nectar-feeding insects in our imaginary case: we
    may suppose the plant of which we have been slowly increasing the
    nectar by continued selection, to be a common plant; and that certain
    insects depended in main part on its nectar for food. I could give many
    facts, showing how anxious bees are to save time; for instance, their
    habit of cutting holes and sucking the nectar at the bases of certain
    flowers, which they can, with a very little more trouble, enter by the
    mouth. Bearing such facts in mind, I can see no reason to doubt that an
    accidental deviation in the size and form of the body, or in the
    curvature and length of the proboscis, etc., far too slight to be
    appreciated by us, might profit a bee or other insect, so that an
    individual so characterised would be able to obtain its food more
    quickly, and so have a better chance of living and leaving descendants.
    Its descendants would probably inherit a tendency to a similar slight
    deviation of structure. The tubes of the corollas of the common red and
    incarnate clovers (Trifolium pratense and incarnatum) do not on a hasty
    glance appear to differ in length; yet the hive-bee can easily suck the
    nectar out of the incarnate clover, but not out of the common red
    clover, which is visited by humble-bees alone; so that whole fields of
    the red clover offer in vain an abundant supply of precious nectar to
    the hive-bee. Thus it might be a great advantage to the hive-bee to
    have a slightly longer or differently constructed proboscis. On the
    other hand, I have found by experiment that the fertility of clover
    greatly depends on bees visiting and moving parts of the corolla, so as
    to push the pollen on to the stigmatic surface. Hence, again, if
    humble-bees were to become rare in any country, it might be a great
    advantage to the red clover to have a shorter or more deeply divided
    tube to its corolla, so that the hive-bee could visit its flowers. Thus
    I can understand how a flower and a bee might slowly become, either
    simultaneously or one after the other, modified and adapted in the most
    perfect manner to each other, by the continued preservation of
    individuals presenting mutual and slightly favourable deviations of
    structure.

    I am well aware that this doctrine of natural selection, exemplified in
    the above imaginary instances, is open to the same objections which
    were at first urged against Sir Charles Lyell’s noble views on “the
    modern changes of the earth, as illustrative of geology;” but we now
    very seldom hear the action, for instance, of the coast-waves, called a
    trifling and insignificant cause, when applied to the excavation of
    gigantic valleys or to the formation of the longest lines of inland
    cliffs. Natural selection can act only by the preservation and
    accumulation of infinitesimally small inherited modifications, each
    profitable to the preserved being; and as modern geology has almost
    banished such views as the excavation of a great valley by a single
    diluvial wave, so will natural selection, if it be a true principle,
    banish the belief of the continued creation of new organic
    beings, or of any great and sudden modification in their structure.

    On the Intercrossing of Individuals.—I must here introduce a short
    digression. In the case of animals and plants with separated sexes, it
    is of course obvious that two individuals must always unite for each
    birth; but in the case of hermaphrodites this is far from obvious.
    Nevertheless I am strongly inclined to believe that with all
    hermaphrodites two individuals, either occasionally or habitually,
    concur for the reproduction of their kind. This view, I may add, was
    first suggested by Andrew Knight. We shall presently see its
    importance; but I must here treat the subject with extreme brevity,
    though I have the materials prepared for an ample discussion. All
    vertebrate animals, all insects, and some other large groups of
    animals, pair for each birth. Modern research has much diminished the
    number of supposed hermaphrodites, and of real hermaphrodites a large
    number pair; that is, two individuals regularly unite for reproduction,
    which is all that concerns us. But still there are many hermaphrodite
    animals which certainly do not habitually pair, and a vast majority of
    plants are hermaphrodites. What reason, it may be asked, is there for
    supposing in these cases that two individuals ever concur in
    reproduction? As it is impossible here to enter on details, I must
    trust to some general considerations alone.

    In the first place, I have collected so large a body of facts, showing,
    in accordance with the almost universal belief of breeders, that with
    animals and plants a cross between different varieties, or between
    individuals of the same variety but of another strain, gives vigour and
    fertility to the offspring; and on the other hand, that close
    interbreeding diminishes vigour and fertility; that
    these facts alone incline me to believe that it is a general law of
    nature (utterly ignorant though we be of the meaning of the law) that
    no organic being self-fertilises itself for an eternity of generations;
    but that a cross with another individual is occasionally—perhaps at
    very long intervals—indispensable.

    On the belief that this is a law of nature, we can, I think, understand
    several large classes of facts, such as the following, which on any
    other view are inexplicable. Every hybridizer knows how unfavourable
    exposure to wet is to the fertilisation of a flower, yet what a
    multitude of flowers have their anthers and stigmas fully exposed to
    the weather! but if an occasional cross be indispensable, the fullest
    freedom for the entrance of pollen from another individual will explain
    this state of exposure, more especially as the plant’s own anthers and
    pistil generally stand so close together that self-fertilisation seems
    almost inevitable. Many flowers, on the other hand, have their organs
    of fructification closely enclosed, as in the great papilionaceous or
    pea-family; but in several, perhaps in all, such flowers, there is a
    very curious adaptation between the structure of the flower and the
    manner in which bees suck the nectar; for, in doing this, they either
    push the flower’s own pollen on the stigma, or bring pollen from
    another flower. So necessary are the visits of bees to papilionaceous
    flowers, that I have found, by experiments published elsewhere, that
    their fertility is greatly diminished if these visits be prevented.
    Now, it is scarcely possible that bees should fly from flower to
    flower, and not carry pollen from one to the other, to the great good,
    as I believe, of the plant. Bees will act like a camel-hair pencil, and
    it is quite sufficient just to touch the anthers of one flower and then
    the stigma of another with the same brush to ensure fertilisation; but
    it must not be
    supposed that bees would thus produce a multitude of hybrids between
    distinct species; for if you bring on the same brush a plant’s own
    pollen and pollen from another species, the former will have such a
    prepotent effect, that it will invariably and completely destroy, as
    has been shown by Gärtner, any influence from the foreign pollen.

    When the stamens of a flower suddenly spring towards the pistil, or
    slowly move one after the other towards it, the contrivance seems
    adapted solely to ensure self-fertilisation; and no doubt it is useful
    for this end: but, the agency of insects is often required to cause the
    stamens to spring forward, as Kölreuter has shown to be the case with
    the barberry; and curiously in this very genus, which seems to have a
    special contrivance for self-fertilisation, it is well known that if
    very closely-allied forms or varieties are planted near each other, it
    is hardly possible to raise pure seedlings, so largely do they
    naturally cross. In many other cases, far from there being any aids for
    self-fertilisation, there are special contrivances, as I could show
    from the writings of C. C. Sprengel and from my own observations, which
    effectually prevent the stigma receiving pollen from its own flower:
    for instance, in Lobelia fulgens, there is a really beautiful and
    elaborate contrivance by which every one of the infinitely numerous
    pollen-granules are swept out of the conjoined anthers of each flower,
    before the stigma of that individual flower is ready to receive them;
    and as this flower is never visited, at least in my garden, by insects,
    it never sets a seed, though by placing pollen from one flower on the
    stigma of another, I raised plenty of seedlings; and whilst another
    species of Lobelia growing close by, which is visited by bees, seeds
    freely. In very many other cases, though there be no special mechanical
    contrivance to prevent the stigma of a flower receiving its own pollen,
    yet, as
    C. C. Sprengel has shown, and as I can confirm, either the anthers
    burst before the stigma is ready for fertilisation, or the stigma is
    ready before the pollen of that flower is ready, so that these plants
    have in fact separated sexes, and must habitually be crossed. How
    strange are these facts! How strange that the pollen and stigmatic
    surface of the same flower, though placed so close together, as if for
    the very purpose of self-fertilisation, should in so many cases be
    mutually useless to each other! How simply are these facts explained on
    the view of an occasional cross with a distinct individual being
    advantageous or indispensable!

    If several varieties of the cabbage, radish, onion, and of some other
    plants, be allowed to seed near each other, a large majority, as I have
    found, of the seedlings thus raised will turn out mongrels: for
    instance, I raised 233 seedling cabbages from some plants of different
    varieties growing near each other, and of these only 78 were true to
    their kind, and some even of these were not perfectly true. Yet the
    pistil of each cabbage-flower is surrounded not only by its own six
    stamens, but by those of the many other flowers on the same plant. How,
    then, comes it that such a vast number of the seedlings are
    mongrelized? I suspect that it must arise from the pollen of a distinct
    variety having a prepotent effect over a flower’s own pollen; and
    that this is part of the general law of good being derived from the
    intercrossing of distinct individuals of the same species. When
    distinct species are crossed the case is directly the reverse, for a
    plant’s own pollen is always prepotent over foreign pollen; but to this
    subject we shall return in a future chapter.

    In the case of a gigantic tree covered with innumerable flowers, it may
    be objected that pollen could seldom be carried from tree to tree, and
    at most only from flower
    to flower on the same tree, and that flowers on the same tree can be
    considered as distinct individuals only in a limited sense. I believe
    this objection to be valid, but that nature has largely provided
    against it by giving to trees a strong tendency to bear flowers with
    separated sexes. When the sexes are separated, although the male and
    female flowers may be produced on the same tree, we can see that pollen
    must be regularly carried from flower to flower; and this will give a
    better chance of pollen being occasionally carried from tree to tree.
    That trees belonging to all Orders have their sexes more often
    separated than other plants, I find to be the case in this country; and
    at my request Dr. Hooker tabulated the trees of New Zealand, and Dr.
    Asa Gray those of the United States, and the result was as I
    anticipated. On the other hand, Dr. Hooker has recently informed me
    that he finds that the rule does not hold in Australia; and I have made
    these few remarks on the sexes of trees simply to call attention to the
    subject.

    Turning for a very brief space to animals: on the land there are some
    hermaphrodites, as land-mollusca and earth-worms; but these all pair.
    As yet I have not found a single case of a terrestrial animal which
    fertilises itself. We can understand this remarkable fact, which offers
    so strong a contrast with terrestrial plants, on the view of an
    occasional cross being indispensable, by considering the medium in
    which terrestrial animals live, and the nature of the fertilising
    element; for we know of no means, analogous to the action of insects
    and of the wind in the case of plants, by which an occasional cross
    could be effected with terrestrial animals without the concurrence of
    two individuals. Of aquatic animals, there are many self-fertilising
    hermaphrodites; but here currents in the water offer an obvious means
    for an occasional cross. And, as in the case of flowers, I have as yet
    failed, after consultation with one of the highest authorities, namely,
    Professor Huxley, to discover a single case of an hermaphrodite animal
    with the organs of reproduction so perfectly enclosed within the body,
    that access from without and the occasional influence of a distinct
    individual can be shown to be physically impossible. Cirripedes long
    appeared to me to present a case of very great difficulty under this
    point of view; but I have been enabled, by a fortunate chance,
    elsewhere to prove that two individuals, though both are
    self-fertilising hermaphrodites, do sometimes cross.

    It must have struck most naturalists as a strange anomaly that, in the
    case of both animals and plants, species of the same family and even of
    the same genus, though agreeing closely with each other in almost their
    whole organisation, yet are not rarely, some of them hermaphrodites,
    and some of them unisexual. But if, in fact, all hermaphrodites do
    occasionally intercross with other individuals, the difference between
    hermaphrodites and unisexual species, as far as function is concerned,
    becomes very small.

    From these several considerations and from the many special facts which
    I have collected, but which I am not here able to give, I am strongly
    inclined to suspect that, both in the vegetable and animal kingdoms, an
    occasional intercross with a distinct individual is a law of nature. I
    am well aware that there are, on this view, many cases of difficulty,
    some of which I am trying to investigate. Finally then, we may conclude
    that in many organic beings, a cross between two individuals is an
    obvious necessity for each birth; in many others it occurs perhaps only
    at long intervals; but in none, as I suspect, can self-fertilisation go
    on for perpetuity.

    Circumstances favourable to Natural Selection.—This
    is an extremely intricate subject. A large amount of inheritable and
    diversified variability is favourable, but I believe mere individual
    differences suffice for the work. A large number of individuals, by
    giving a better chance for the appearance within any given period of
    profitable variations, will compensate for a lesser amount of
    variability in each individual, and is, I believe, an extremely
    important element of success. Though nature grants vast periods of time
    for the work of natural selection, she does not grant an indefinite
    period; for as all organic beings are striving, it may be said, to
    seize on each place in the economy of nature, if any one species does
    not become modified and improved in a corresponding degree with its
    competitors, it will soon be exterminated.

    In man’s methodical selection, a breeder selects for some definite
    object, and free intercrossing will wholly stop his work. But when many
    men, without intending to alter the breed, have a nearly common
    standard of perfection, and all try to get and breed from the best
    animals, much improvement and modification surely but slowly follow
    from this unconscious process of selection, notwithstanding a large
    amount of crossing with inferior animals. Thus it will be in nature;
    for within a confined area, with some place in its polity not so
    perfectly occupied as might be, natural selection will always tend to
    preserve all the individuals varying in the right direction, though in
    different degrees, so as better to fill up the unoccupied place. But if
    the area be large, its several districts will almost certainly present
    different conditions of life; and then if natural selection be
    modifying and improving a species in the several districts, there will
    be intercrossing with the other individuals of the same species on the
    confines of each. And in this case the effects of intercrossing can
    hardly be counterbalanced
    by natural selection always tending to modify all the individuals in
    each district in exactly the same manner to the conditions of each; for
    in a continuous area, the conditions will generally graduate away
    insensibly from one district to another. The intercrossing will most
    affect those animals which unite for each birth, which wander much, and
    which do not breed at a very quick rate. Hence in animals of this
    nature, for instance in birds, varieties will generally be confined to
    separated countries; and this I believe to be the case. In
    hermaphrodite organisms which cross only occasionally, and likewise in
    animals which unite for each birth, but which wander little and which
    can increase at a very rapid rate, a new and improved variety might be
    quickly formed on any one spot, and might there maintain itself in a
    body, so that whatever intercrossing took place would be chiefly
    between the individuals of the same new variety. A local variety when
    once thus formed might subsequently slowly spread to other districts.
    On the above principle, nurserymen always prefer getting seed from a
    large body of plants of the same variety, as the chance of
    intercrossing with other varieties is thus lessened.

    Even in the case of slow-breeding animals, which unite for each birth,
    we must not overrate the effects of intercrosses in retarding natural
    selection; for I can bring a considerable catalogue of facts, showing
    that within the same area, varieties of the same animal can long remain
    distinct, from haunting different stations, from breeding at slightly
    different seasons, or from varieties of the same kind preferring to
    pair together.

    Intercrossing plays a very important part in nature in keeping the
    individuals of the same species, or of the same variety, true and
    uniform in character. It will obviously thus act far more efficiently
    with those animals
    which unite for each birth; but I have already attempted to show that
    we have reason to believe that occasional intercrosses take place with
    all animals and with all plants. Even if these take place only at long
    intervals, I am convinced that the young thus produced will gain so
    much in vigour and fertility over the offspring from long-continued
    self-fertilisation, that they will have a better chance of surviving
    and propagating their kind; and thus, in the long run, the influence of
    intercrosses, even at rare intervals, will be great. If there exist
    organic beings which never intercross, uniformity of character can be
    retained amongst them, as long as their conditions of life remain the
    same, only through the principle of inheritance, and through natural
    selection destroying any which depart from the proper type; but if
    their conditions of life change and they undergo modification,
    uniformity of character can be given to their modified offspring,
    solely by natural selection preserving the same favourable variations.

    Isolation, also, is an important element in the process of natural
    selection. In a confined or isolated area, if not very large, the
    organic and inorganic conditions of life will generally be in a great
    degree uniform; so that natural selection will tend to modify all the
    individuals of a varying species throughout the area in the same manner
    in relation to the same conditions. Intercrosses, also, with the
    individuals of the same species, which otherwise would have inhabited
    the surrounding and differently circumstanced districts, will be
    prevented. But isolation probably acts more efficiently in checking the
    immigration of better adapted organisms, after any physical change,
    such as of climate or elevation of the land, etc.; and thus new places
    in the natural economy of the country are left open for the old
    inhabitants to struggle for, and become adapted to, through
    modifications
    in their structure and constitution. Lastly, isolation, by checking
    immigration and consequently competition, will give time for any new
    variety to be slowly improved; and this may sometimes be of importance
    in the production of new species. If, however, an isolated area be very
    small, either from being surrounded by barriers, or from having very
    peculiar physical conditions, the total number of the individuals
    supported on it will necessarily be very small; and fewness of
    individuals will greatly retard the production of new species through
    natural selection, by decreasing the chance of the appearance of
    favourable variations.

    If we turn to nature to test the truth of these remarks, and look at
    any small isolated area, such as an oceanic island, although the total
    number of the species inhabiting it, will be found to be small, as we
    shall see in our chapter on geographical distribution; yet of these
    species a very large proportion are endemic,—that is, have been
    produced there, and nowhere else. Hence an oceanic island at first
    sight seems to have been highly favourable for the production of new
    species. But we may thus greatly deceive ourselves, for to ascertain
    whether a small isolated area, or a large open area like a continent,
    has been most favourable for the production of new organic forms, we
    ought to make the comparison within equal times; and this we are
    incapable of doing.

    Although I do not doubt that isolation is of considerable importance in
    the production of new species, on the whole I am inclined to believe
    that largeness of area is of more importance, more especially in the
    production of species, which will prove capable of enduring for a long
    period, and of spreading widely. Throughout a great and open area, not
    only will there be a better chance of favourable variations arising
    from the large number of individuals of the same species
    there supported, but the conditions of life are infinitely complex from
    the large number of already existing species; and if some of these many
    species become modified and improved, others will have to be improved
    in a corresponding degree or they will be exterminated. Each new form,
    also, as soon as it has been much improved, will be able to spread over
    the open and continuous area, and will thus come into competition with
    many others. Hence more new places will be formed, and the competition
    to fill them will be more severe, on a large than on a small and
    isolated area. Moreover, great areas, though now continuous, owing to
    oscillations of level, will often have recently existed in a broken
    condition, so that the good effects of isolation will generally, to a
    certain extent, have concurred. Finally, I conclude that, although
    small isolated areas probably have been in some respects highly
    favourable for the production of new species, yet that the course of
    modification will generally have been more rapid on large areas; and
    what is more important, that the new forms produced on large areas,
    which already have been victorious over many competitors, will be those
    that will spread most widely, will give rise to most new varieties and
    species, and will thus play an important part in the changing history
    of the organic world.

    We can, perhaps, on these views, understand some facts which will be
    again alluded to in our chapter on geographical distribution; for
    instance, that the productions of the smaller continent of Australia
    have formerly yielded, and apparently are now yielding, before those of
    the larger Europæo-Asiatic area. Thus, also, it is that continental
    productions have everywhere become so largely naturalised on islands.
    On a small island, the race for life will have been less severe, and
    there will have been less modification and less extermination.
    Hence, perhaps, it comes that the flora of Madeira, according to Oswald
    Heer, resembles the extinct tertiary flora of Europe. All fresh-water
    basins, taken together, make a small area compared with that of the sea
    or of the land; and, consequently, the competition between fresh-water
    productions will have been less severe than elsewhere; new forms will
    have been more slowly formed, and old forms more slowly exterminated.
    And it is in fresh water that we find seven genera of Ganoid fishes,
    remnants of a once preponderant order: and in fresh water we find some
    of the most anomalous forms now known in the world, as the
    Ornithorhynchus and Lepidosiren, which, like fossils, connect to a
    certain extent orders now widely separated in the natural scale. These
    anomalous forms may almost be called living fossils; they have endured
    to the present day, from having inhabited a confined area, and from
    having thus been exposed to less severe competition.

    To sum up the circumstances favourable and unfavourable to natural
    selection, as far as the extreme intricacy of the subject permits. I
    conclude, looking to the future, that for terrestrial productions a
    large continental area, which will probably undergo many oscillations
    of level, and which consequently will exist for long periods in a
    broken condition, will be the most favourable for the production of
    many new forms of life, likely to endure long and to spread widely. For
    the area will first have existed as a continent, and the inhabitants,
    at this period numerous in individuals and kinds, will have been
    subjected to very severe competition. When converted by subsidence into
    large separate islands, there will still exist many individuals of the
    same species on each island: intercrossing on the confines of the range
    of each species will thus be checked: after physical changes of any
    kind, immigration will be prevented,
    so that new places in the polity of each island will have to be filled
    up by modifications of the old inhabitants; and time will be allowed
    for the varieties in each to become well modified and perfected. When,
    by renewed elevation, the islands shall be re-converted into a
    continental area, there will again be severe competition: the most
    favoured or improved varieties will be enabled to spread: there will be
    much extinction of the less improved forms, and the relative
    proportional numbers of the various inhabitants of the renewed
    continent will again be changed; and again there will be a fair field
    for natural selection to improve still further the inhabitants, and
    thus produce new species.

    That natural selection will always act with extreme slowness, I fully
    admit. Its action depends on there being places in the polity of
    nature, which can be better occupied by some of the inhabitants of the
    country undergoing modification of some kind. The existence of such
    places will often depend on physical changes, which are generally very
    slow, and on the immigration of better adapted forms having been
    checked. But the action of natural selection will probably still
    oftener depend on some of the inhabitants becoming slowly modified; the
    mutual relations of many of the other inhabitants being thus disturbed.
    Nothing can be effected, unless favourable variations occur, and
    variation itself is apparently always a very slow process. The process
    will often be greatly retarded by free intercrossing. Many will exclaim
    that these several causes are amply sufficient wholly to stop the
    action of natural selection. I do not believe so. On the other hand, I
    do believe that natural selection will always act very slowly, often
    only at long intervals of time, and generally on only a very few of the
    inhabitants of the same region at the same time. I further believe,
    that this very slow, intermittent
    action of natural selection accords perfectly well with what geology
    tells us of the rate and manner at which the inhabitants of this world
    have changed.

    Slow though the process of selection may be, if feeble man can do much
    by his powers of artificial selection, I can see no limit to the amount
    of change, to the beauty and infinite complexity of the coadaptations
    between all organic beings, one with another and with their physical
    conditions of life, which may be effected in the long course of time by
    nature’s power of selection.

    Extinction.—This subject will be more fully discussed in our chapter
    on Geology; but it must be here alluded to from being intimately
    connected with natural selection. Natural selection acts solely through
    the preservation of variations in some way advantageous, which
    consequently endure. But as from the high geometrical powers of
    increase of all organic beings, each area is already fully stocked with
    inhabitants, it follows that as each selected and favoured form
    increases in number, so will the less favoured forms decrease and
    become rare. Rarity, as geology tells us, is the precursor to
    extinction. We can, also, see that any form represented by few
    individuals will, during fluctuations in the seasons or in the number
    of its enemies, run a good chance of utter extinction. But we may go
    further than this; for as new forms are continually and slowly being
    produced, unless we believe that the number of specific forms goes on
    perpetually and almost indefinitely increasing, numbers inevitably must
    become extinct. That the number of specific forms has not indefinitely
    increased, geology shows us plainly; and indeed we can see reason why
    they should not have thus increased, for the number of places in the
    polity of nature is not indefinitely great,—not that we
    have any means of knowing that any one region has as yet got its
    maximum of species. Probably no region is as yet fully stocked, for at
    the Cape of Good Hope, where more species of plants are crowded
    together than in any other quarter of the world, some foreign plants
    have become naturalised, without causing, as far as we know, the
    extinction of any natives.

    Furthermore, the species which are most numerous in individuals will
    have the best chance of producing within any given period favourable
    variations. We have evidence of this, in the facts given in the second
    chapter, showing that it is the common species which afford the
    greatest number of recorded varieties, or incipient species. Hence,
    rare species will be less quickly modified or improved within any given
    period, and they will consequently be beaten in the race for life by
    the modified descendants of the commoner species.

    From these several considerations I think it inevitably follows, that
    as new species in the course of time are formed through natural
    selection, others will become rarer and rarer, and finally extinct. The
    forms which stand in closest competition with those undergoing
    modification and improvement, will naturally suffer most. And we have
    seen in the chapter on the Struggle for Existence that it is the most
    closely-allied forms,—varieties of the same species, and species of the
    same genus or of related genera,—which, from having nearly the same
    structure, constitution, and habits, generally come into the severest
    competition with each other. Consequently, each new variety or species,
    during the progress of its formation, will generally press hardest on
    its nearest kindred, and tend to exterminate them. We see the same
    process of extermination amongst our domesticated productions, through
    the selection of improved forms by man. Many curious
    instances could be given showing how quickly new breeds of cattle,
    sheep, and other animals, and varieties of flowers, take the place of
    older and inferior kinds. In Yorkshire, it is historically known that
    the ancient black cattle were displaced by the long-horns, and that
    these “were swept away by the short-horns” (I quote the words of an
    agricultural writer) “as if by some murderous pestilence.”

    Divergence of Character.—The principle, which I have designated by
    this term, is of high importance on my theory, and explains, as I
    believe, several important facts. In the first place, varieties, even
    strongly-marked ones, though having somewhat of the character of
    species—as is shown by the hopeless doubts in many cases how to rank
    them—yet certainly differ from each other far less than do good and
    distinct species. Nevertheless, according to my view, varieties are
    species in the process of formation, or are, as I have called them,
    incipient species. How, then, does the lesser difference between
    varieties become augmented into the greater difference between species?
    That this does habitually happen, we must infer from most of the
    innumerable species throughout nature presenting well-marked
    differences; whereas varieties, the supposed prototypes and parents of
    future well-marked species, present slight and ill-defined differences.
    Mere chance, as we may call it, might cause one variety to differ in
    some character from its parents, and the offspring of this variety
    again to differ from its parent in the very same character and in a
    greater degree; but this alone would never account for so habitual and
    large an amount of difference as that between varieties of the same
    species and species of the same genus.

    As has always been my practice, let us seek light on
    this head from our domestic productions. We shall here find something
    analogous. A fancier is struck by a pigeon having a slightly shorter
    beak; another fancier is struck by a pigeon having a rather longer
    beak; and on the acknowledged principle that “fanciers do not and will
    not admire a medium standard, but like extremes,” they both go on (as
    has actually occurred with tumbler-pigeons) choosing and breeding from
    birds with longer and longer beaks, or with shorter and shorter beaks.
    Again, we may suppose that at an early period one man preferred swifter
    horses; another stronger and more bulky horses. The early differences
    would be very slight; in the course of time, from the continued
    selection of swifter horses by some breeders, and of stronger ones by
    others, the differences would become greater, and would be noted as
    forming two sub-breeds; finally, after the lapse of centuries, the
    sub-breeds would become converted into two well-established and
    distinct breeds. As the differences slowly become greater, the inferior
    animals with intermediate characters, being neither very swift nor very
    strong, will have been neglected, and will have tended to disappear.
    Here, then, we see in man’s productions the action of what may be
    called the principle of divergence, causing differences, at first
    barely appreciable, steadily to increase, and the breeds to diverge in
    character both from each other and from their common parent.

    But how, it may be asked, can any analogous principle apply in nature?
    I believe it can and does apply most efficiently, from the simple
    circumstance that the more diversified the descendants from any one
    species become in structure, constitution, and habits, by so much will
    they be better enabled to seize on many and widely diversified places
    in the polity of nature, and so be enabled to increase in numbers.

    We can clearly see this in the case of animals with simple habits. Take
    the case of a carnivorous quadruped, of which the number that can be
    supported in any country has long ago arrived at its full average. If
    its natural powers of increase be allowed to act, it can succeed in
    increasing (the country not undergoing any change in its conditions)
    only by its varying descendants seizing on places at present occupied
    by other animals: some of them, for instance, being enabled to feed on
    new kinds of prey, either dead or alive; some inhabiting new stations,
    climbing trees, frequenting water, and some perhaps becoming less
    carnivorous. The more diversified in habits and structure the
    descendants of our carnivorous animal became, the more places they
    would be enabled to occupy. What applies to one animal will apply
    throughout all time to all animals—that is, if they vary—for otherwise
    natural selection can do nothing. So it will be with plants. It has
    been experimentally proved, that if a plot of ground be sown with one
    species of grass, and a similar plot be sown with several distinct
    genera of grasses, a greater number of plants and a greater weight of
    dry herbage can thus be raised. The same has been found to hold good
    when first one variety and then several mixed varieties of wheat have
    been sown on equal spaces of ground. Hence, if any one species of grass
    were to go on varying, and those varieties were continually selected
    which differed from each other in at all the same manner as distinct
    species and genera of grasses differ from each other, a greater number
    of individual plants of this species of grass, including its modified
    descendants, would succeed in living on the same piece of ground. And
    we well know that each species and each variety of grass is annually
    sowing almost countless seeds; and thus, as it may be said, is striving
    its utmost to increase its numbers. Consequently,
    I cannot doubt that in the course of many thousands of generations, the
    most distinct varieties of any one species of grass would always have
    the best chance of succeeding and of increasing in numbers, and thus of
    supplanting the less distinct varieties; and varieties, when rendered
    very distinct from each other, take the rank of species.

    The truth of the principle, that the greatest amount of life can be
    supported by great diversification of structure, is seen under many
    natural circumstances. In an extremely small area, especially if freely
    open to immigration, and where the contest between individual and
    individual must be severe, we always find great diversity in its
    inhabitants. For instance, I found that a piece of turf, three feet by
    four in size, which had been exposed for many years to exactly the same
    conditions, supported twenty species of plants, and these belonged to
    eighteen genera and to eight orders, which shows how much these plants
    differed from each other. So it is with the plants and insects on small
    and uniform islets; and so in small ponds of fresh water. Farmers find
    that they can raise most food by a rotation of plants belonging to the
    most different orders: nature follows what may be called a simultaneous
    rotation. Most of the animals and plants which live close round any
    small piece of ground, could live on it (supposing it not to be in any
    way peculiar in its nature), and may be said to be striving to the
    utmost to live there; but, it is seen, that where they come into the
    closest competition with each other, the advantages of diversification
    of structure, with the accompanying differences of habit and
    constitution, determine that the inhabitants, which thus jostle each
    other most closely, shall, as a general rule, belong to what we call
    different genera and orders.

    The same principle is seen in the naturalisation of
    plants through man’s agency in foreign lands. It might have been
    expected that the plants which have succeeded in becoming naturalised
    in any land would generally have been closely allied to the indigenes;
    for these are commonly looked at as specially created and adapted for
    their own country. It might, also, perhaps have been expected that
    naturalised plants would have belonged to a few groups more especially
    adapted to certain stations in their new homes. But the case is very
    different; and Alph. De Candolle has well remarked in his great and
    admirable work, that floras gain by naturalisation, proportionally with
    the number of the native genera and species, far more in new genera
    than in new species. To give a single instance: in the last edition of
    Dr. Asa Gray’s ‘Manual of the Flora of the Northern United States,’ 260
    naturalised plants are enumerated, and these belong to 162 genera. We
    thus see that these naturalised plants are of a highly diversified
    nature. They differ, moreover, to a large extent from the indigenes,
    for out of the 162 genera, no less than 100 genera are not there
    indigenous, and thus a large proportional addition is made to the
    genera of these States.

    By considering the nature of the plants or animals which have struggled
    successfully with the indigenes of any country, and have there become
    naturalised, we can gain some crude idea in what manner some of the
    natives would have had to be modified, in order to have gained an
    advantage over the other natives; and we may, I think, at least safely
    infer that diversification of structure, amounting to new generic
    differences, would have been profitable to them.

    The advantage of diversification in the inhabitants of the same region
    is, in fact, the same as that of the physiological division of labour
    in the organs of the same individual body—a subject so well elucidated
    by
    Milne Edwards. No physiologist doubts that a stomach by being adapted
    to digest vegetable matter alone, or flesh alone, draws most nutriment
    from these substances. So in the general economy of any land, the more
    widely and perfectly the animals and plants are diversified for
    different habits of life, so will a greater number of individuals be
    capable of there supporting themselves. A set of animals, with their
    organisation but little diversified, could hardly compete with a set
    more perfectly diversified in structure. It may be doubted, for
    instance, whether the Australian marsupials, which are divided into
    groups differing but little from each other, and feebly representing,
    as Mr. Waterhouse and others have remarked, our carnivorous, ruminant,
    and rodent mammals, could successfully compete with these
    well-pronounced orders. In the Australian mammals, we see the process
    of diversification in an early and incomplete stage of development.
    After the foregoing discussion, which ought to have been much
    amplified, we may, I think, assume that the modified descendants of any
    one species will succeed by so much the better as they become more
    diversified in structure, and are thus enabled to encroach on places
    occupied by other beings. Now let us see how this principle of great
    benefit being derived from divergence of character, combined with the
    principles of natural selection and of extinction, will tend to act.

    The accompanying diagram will aid us in understanding this rather
    perplexing subject. Let A to L represent the species of a genus large
    in its own country; these species are supposed to resemble each other
    in unequal degrees, as is so generally the case in nature, and as is
    represented in the diagram by the letters standing at unequal
    distances. I have said a large genus, because we have seen in the
    second chapter,
    that on an average more of the species of large genera vary than of
    small genera; and the varying species of the large genera present a
    greater number of varieties. We have, also, seen that the species,
    which are the commonest and the most widely-diffused, vary more than
    rare species with restricted ranges. Let (A) be a common,
    widely-diffused, and varying species, belonging to a genus large in its
    own country. The little fan of diverging dotted lines of unequal
    lengths proceeding from (A), may represent its varying offspring. The
    variations are supposed to be extremely slight, but of the most
    diversified nature; they are not supposed all to appear simultaneously,
    but often after long intervals of time; nor are they all supposed to
    endure for equal periods. Only those variations which are in some way
    profitable will be preserved or naturally selected. And here the
    importance of the principle of benefit being derived from divergence of
    character comes in; for this will generally lead to the most different
    or divergent variations (represented by the outer dotted lines) being
    preserved and accumulated by natural selection. When a dotted line
    reaches one of the horizontal lines, and is there marked by a small
    numbered letter, a sufficient amount of variation is supposed to have
    been accumulated to have formed a fairly well-marked variety, such as
    would be thought worthy of record in a systematic work.

    The intervals between the horizontal lines in the diagram, may
    represent each a thousand generations; but it would have been better if
    each had represented ten thousand generations. After a thousand
    generations, species (A) is supposed to have produced two fairly
    well-marked varieties, namely _a_1 and _m_1. These two varieties will
    generally continue to be exposed to the same conditions which made
    their parents variable,
    and the tendency to variability is in itself hereditary, consequently
    they will tend to vary, and generally to vary in nearly the same manner
    as their parents varied. Moreover, these two varieties, being only
    slightly modified forms, will tend to inherit those advantages which
    made their common parent (A) more numerous than most of the other
    inhabitants of the same country; they will likewise partake of those
    more general advantages which made the genus to which the
    parent-species belonged, a large genus in its own country. And these
    circumstances we know to be favourable to the production of new
    varieties.

    If, then, these two varieties be variable, the most divergent of their
    variations will generally be preserved during the next thousand
    generations. And after this interval, variety _a_1 is supposed in the
    diagram to have produced variety _a_2, which will, owing to the
    principle of divergence, differ more from (A) than did variety _a_1.
    Variety _m_1 is supposed to have produced two varieties, namely _m_2
    and _s_2, differing from each other, and more considerably from their
    common parent (A). We may continue the process by similar steps for any
    length of time; some of the varieties, after each thousand generations,
    producing only a single variety, but in a more and more modified
    condition, some producing two or three varieties, and some failing to
    produce any. Thus the varieties or modified descendants, proceeding
    from the common parent (A), will generally go on increasing in number
    and diverging in character. In the diagram the process is represented
    up to the ten-thousandth generation, and under a condensed and
    simplified form up to the fourteen-thousandth generation.

    But I must here remark that I do not suppose that the process ever goes
    on so regularly as is represented in the diagram, though in itself made
    somewhat irregular.
    I am far from thinking that the most divergent varieties will
    invariably prevail and multiply: a medium form may often long endure,
    and may or may not produce more than one modified descendant; for
    natural selection will always act according to the nature of the places
    which are either unoccupied or not perfectly occupied by other beings;
    and this will depend on infinitely complex relations. But as a general
    rule, the more diversified in structure the descendants from any one
    species can be rendered, the more places they will be enabled to seize
    on, and the more their modified progeny will be increased. In our
    diagram the line of succession is broken at regular intervals by small
    numbered letters marking the successive forms which have become
    sufficiently distinct to be recorded as varieties. But these breaks are
    imaginary, and might have been inserted anywhere, after intervals long
    enough to have allowed the accumulation of a considerable amount of
    divergent variation.

    As all the modified descendants from a common and widely-diffused
    species, belonging to a large genus, will tend to partake of the same
    advantages which made their parent successful in life, they will
    generally go on multiplying in number as well as diverging in
    character: this is represented in the diagram by the several divergent
    branches proceeding from (A). The modified offspring from the later and
    more highly improved branches in the lines of descent, will, it is
    probable, often take the place of, and so destroy, the earlier and less
    improved branches: this is represented in the diagram by some of the
    lower branches not reaching to the upper horizontal lines. In some
    cases I do not doubt that the process of modification will be confined
    to a single line of descent, and the number of the descendants will not
    be increased; although the amount
    of divergent modification may have been increased in the successive
    generations. This case would be represented in the diagram, if all the
    lines proceeding from (A) were removed, excepting that from _a_1 to
    _a_10. In the same way, for instance, the English race-horse and
    English pointer have apparently both gone on slowly diverging in
    character from their original stocks, without either having given off
    any fresh branches or races.

    After ten thousand generations, species (A) is supposed to have
    produced three forms, _a_10, _f_10, and _m_10, which, from having
    diverged in character during the successive generations, will have come
    to differ largely, but perhaps unequally, from each other and from
    their common parent. If we suppose the amount of change between each
    horizontal line in our diagram to be excessively small, these three
    forms may still be only well-marked varieties; or they may have arrived
    at the doubtful category of sub-species; but we have only to suppose
    the steps in the process of modification to be more numerous or greater
    in amount, to convert these three forms into well-defined species: thus
    the diagram illustrates the steps by which the small differences
    distinguishing varieties are increased into the larger differences
    distinguishing species. By continuing the same process for a greater
    number of generations (as shown in the diagram in a condensed and
    simplified manner), we get eight species, marked by the letters between
    _a_14 and _m_14, all descended from (A). Thus, as I believe, species
    are multiplied and genera are formed.

    In a large genus it is probable that more than one species would vary.
    In the diagram I have assumed that a second species (I) has produced,
    by analogous steps, after ten thousand generations, either two
    well-marked varieties (_w_10 and _z_10) or two species, according to
    the amount of change supposed to be represented between
    the horizontal lines. After fourteen thousand generations, six new
    species, marked by the letters _n_14 to _z_14, are supposed to have
    been produced. In each genus, the species, which are already extremely
    different in character, will generally tend to produce the greatest
    number of modified descendants; for these will have the best chance of
    filling new and widely different places in the polity of nature: hence
    in the diagram I have chosen the extreme species (A), and the nearly
    extreme species (I), as those which have largely varied, and have given
    rise to new varieties and species. The other nine species (marked by
    capital letters) of our original genus, may for a long period continue
    transmitting unaltered descendants; and this is shown in the diagram by
    the dotted lines not prolonged far upwards from want of space.

    But during the process of modification, represented in the diagram,
    another of our principles, namely that of extinction, will have played
    an important part. As in each fully stocked country natural selection
    necessarily acts by the selected form having some advantage in the
    struggle for life over other forms, there will be a constant tendency
    in the improved descendants of any one species to supplant and
    exterminate in each stage of descent their predecessors and their
    original parent. For it should be remembered that the competition will
    generally be most severe between those forms which are most nearly
    related to each other in habits, constitution, and structure. Hence all
    the intermediate forms between the earlier and later states, that is
    between the less and more improved state of a species, as well as the
    original parent-species itself, will generally tend to become extinct.
    So it probably will be with many whole collateral lines of descent,
    which will be conquered by later and improved lines of descent. If,
    however, the
    modified offspring of a species get into some distinct country, or
    become quickly adapted to some quite new station, in which child and
    parent do not come into competition, both may continue to exist.

    If then our diagram be assumed to represent a considerable amount of
    modification, species (A) and all the earlier varieties will have
    become extinct, having been replaced by eight new species (_a_14 to
    _m_14); and (I) will have been replaced by six (_n_14 to _z_14) new
    species.

    But we may go further than this. The original species of our genus were
    supposed to resemble each other in unequal degrees, as is so generally
    the case in nature; species (A) being more nearly related to B, C, and
    D, than to the other species; and species (I) more to G, H, K, L, than
    to the others. These two species (A) and (I), were also supposed to be
    very common and widely diffused species, so that they must originally
    have had some advantage over most of the other species of the genus.
    Their modified descendants, fourteen in number at the
    fourteen-thousandth generation, will probably have inherited some of
    the same advantages: they have also been modified and improved in a
    diversified manner at each stage of descent, so as to have become
    adapted to many related places in the natural economy of their country.
    It seems, therefore, to me extremely probable that they will have taken
    the places of, and thus exterminated, not only their parents (A) and
    (I), but likewise some of the original species which were most nearly
    related to their parents. Hence very few of the original species will
    have transmitted offspring to the fourteen-thousandth generation. We
    may suppose that only one (F), of the two species which were least
    closely related to the other nine original species, has transmitted
    descendants to this late stage of descent.

    The new species in our diagram descended from the original eleven
    species, will now be fifteen in number. Owing to the divergent tendency
    of natural selection, the extreme amount of difference in character
    between species _a_14 and _z_14 will be much greater than that between
    the most different of the original eleven species. The new species,
    moreover, will be allied to each other in a widely different manner. Of
    the eight descendants from (A) the three marked _a_14, _q_14, _p_14,
    will be nearly related from having recently branched off from _a_10;
    _b_14 and _f_14, from having diverged at an earlier period from a5,
    will be in some degree distinct from the three first-named species; and
    lastly, _0_14, _e_4, and _m_14, will be nearly related one to the
    other, but from having diverged at the first commencement of the
    process of modification, will be widely different from the other five
    species, and may constitute a sub-genus or even a distinct genus.

    The six descendants from (I) will form two sub-genera or even genera.
    But as the original species (I) differed largely from (A), standing
    nearly at the extreme points of the original genus, the six descendants
    from (I) will, owing to inheritance, differ considerably from the eight
    descendants from (A); the two groups, moreover, are supposed to have
    gone on diverging in different directions. The intermediate species,
    also (and this is a very important consideration), which connected the
    original species (A) and (I), have all become, excepting (F), extinct,
    and have left no descendants. Hence the six new species descended from
    (I), and the eight descended from (A), will have to be ranked as very
    distinct genera, or even as distinct sub-families.

    Thus it is, as I believe, that two or more genera are produced by
    descent, with modification, from two or more species of the same genus.
    And the two or more
    parent-species are supposed to have descended from some one species of
    an earlier genus. In our diagram, this is indicated by the broken
    lines, beneath the capital letters, converging in sub-branches
    downwards towards a single point; this point representing a single
    species, the supposed single parent of our several new sub-genera and
    genera.

    It is worth while to reflect for a moment on the character of the new
    species F14, which is supposed not to have diverged much in character,
    but to have retained the form of (F), either unaltered or altered only
    in a slight degree. In this case, its affinities to the other fourteen
    new species will be of a curious and circuitous nature. Having
    descended from a form which stood between the two parent-species (A)
    and (I), now supposed to be extinct and unknown, it will be in some
    degree intermediate in character between the two groups descended from
    these species. But as these two groups have gone on diverging in
    character from the type of their parents, the new species (F14) will
    not be directly intermediate between them, but rather between types of
    the two groups; and every naturalist will be able to bring some such
    case before his mind.

    In the diagram, each horizontal line has hitherto been supposed to
    represent a thousand generations, but each may represent a million or
    hundred million generations, and likewise a section of the successive
    strata of the earth’s crust including extinct remains. We shall, when
    we come to our chapter on Geology, have to refer again to this subject,
    and I think we shall then see that the diagram throws light on the
    affinities of extinct beings, which, though generally belonging to the
    same orders, or families, or genera, with those now living, yet are
    often, in some degree, intermediate in character between existing
    groups; and we can understand this fact, for
    the extinct species lived at very ancient epochs when the branching
    lines of descent had diverged less.

    I see no reason to limit the process of modification, as now explained,
    to the formation of genera alone. If, in our diagram, we suppose the
    amount of change represented by each successive group of diverging
    dotted lines to be very great, the forms marked _a_14 to _p_14, those
    marked _b_14 and _f_14, and those marked _o_14 to _m_14, will form
    three very distinct genera. We shall also have two very distinct genera
    descended from (I) and as these latter two genera, both from continued
    divergence of character and from inheritance from a different parent,
    will differ widely from the three genera descended from (A), the two
    little groups of genera will form two distinct families, or even
    orders, according to the amount of divergent modification supposed to
    be represented in the diagram. And the two new families, or orders,
    will have descended from two species of the original genus; and these
    two species are supposed to have descended from one species of a still
    more ancient and unknown genus.

    We have seen that in each country it is the species of the larger
    genera which oftenest present varieties or incipient species. This,
    indeed, might have been expected; for as natural selection acts through
    one form having some advantage over other forms in the struggle for
    existence, it will chiefly act on those which already have some
    advantage; and the largeness of any group shows that its species have
    inherited from a common ancestor some advantage in common. Hence, the
    struggle for the production of new and modified descendants, will
    mainly lie between the larger groups, which are all trying to increase
    in number. One large group will slowly conquer another large group,
    reduce its numbers, and thus lessen its chance of further variation and
    improvement. Within the same large
    group, the later and more highly perfected sub-groups, from branching
    out and seizing on many new places in the polity of Nature, will
    constantly tend to supplant and destroy the earlier and less improved
    sub-groups. Small and broken groups and sub-groups will finally tend to
    disappear. Looking to the future, we can predict that the groups of
    organic beings which are now large and triumphant, and which are least
    broken up, that is, which as yet have suffered least extinction, will
    for a long period continue to increase. But which groups will
    ultimately prevail, no man can predict; for we well know that many
    groups, formerly most extensively developed, have now become extinct.
    Looking still more remotely to the future, we may predict that, owing
    to the continued and steady increase of the larger groups, a multitude
    of smaller groups will become utterly extinct, and leave no modified
    descendants; and consequently that of the species living at any one
    period, extremely few will transmit descendants to a remote futurity. I
    shall have to return to this subject in the chapter on Classification,
    but I may add that on this view of extremely few of the more ancient
    species having transmitted descendants, and on the view of all the
    descendants of the same species making a class, we can understand how
    it is that there exist but very few classes in each main division of
    the animal and vegetable kingdoms. Although extremely few of the most
    ancient species may now have living and modified descendants, yet at
    the most remote geological period, the earth may have been as well
    peopled with many species of many genera, families, orders, and
    classes, as at the present day.

    Summary of the Chapter.—If during the long course of ages and under
    varying conditions of life, organic beings
    vary at all in the several parts of their organisation, and I think
    this cannot be disputed; if there be, owing to the high geometrical
    powers of increase of each species, at some age, season, or year, a
    severe struggle for life, and this certainly cannot be disputed; then,
    considering the infinite complexity of the relations of all organic
    beings to each other and to their conditions of existence, causing an
    infinite diversity in structure, constitution, and habits, to be
    advantageous to them, I think it would be a most extraordinary fact if
    no variation ever had occurred useful to each being’s own welfare, in
    the same way as so many variations have occurred useful to man. But if
    variations useful to any organic being do occur, assuredly individuals
    thus characterised will have the best chance of being preserved in the
    struggle for life; and from the strong principle of inheritance they
    will tend to produce offspring similarly characterised. This principle
    of preservation, I have called, for the sake of brevity, Natural
    Selection. Natural selection, on the principle of qualities being
    inherited at corresponding ages, can modify the egg, seed, or young, as
    easily as the adult. Amongst many animals, sexual selection will give
    its aid to ordinary selection, by assuring to the most vigorous and
    best adapted males the greatest number of offspring. Sexual selection
    will also give characters useful to the males alone, in their struggles
    with other males.

    Whether natural selection has really thus acted in nature, in modifying
    and adapting the various forms of life to their several conditions and
    stations, must be judged of by the general tenour and balance of
    evidence given in the following chapters. But we already see how it
    entails extinction; and how largely extinction has acted in the world’s
    history, geology plainly declares. Natural selection, also, leads to
    divergence of
    character; for more living beings can be supported on the same area the
    more they diverge in structure, habits, and constitution, of which we
    see proof by looking at the inhabitants of any small spot or at
    naturalised productions. Therefore during the modification of the
    descendants of any one species, and during the incessant struggle of
    all species to increase in numbers, the more diversified these
    descendants become, the better will be their chance of succeeding in
    the battle of life. Thus the small differences distinguishing varieties
    of the same species, will steadily tend to increase till they come to
    equal the greater differences between species of the same genus, or
    even of distinct genera.

    We have seen that it is the common, the widely-diffused, and
    widely-ranging species, belonging to the larger genera, which vary
    most; and these will tend to transmit to their modified offspring that
    superiority which now makes them dominant in their own countries.
    Natural selection, as has just been remarked, leads to divergence of
    character and to much extinction of the less improved and intermediate
    forms of life. On these principles, I believe, the nature of the
    affinities of all organic beings may be explained. It is a truly
    wonderful fact—the wonder of which we are apt to overlook from
    familiarity—that all animals and all plants throughout all time and
    space should be related to each other in group subordinate to group, in
    the manner which we everywhere behold—namely, varieties of the same
    species most closely related together, species of the same genus less
    closely and unequally related together, forming sections and
    sub-genera, species of distinct genera much less closely related, and
    genera related in different degrees, forming sub-families, families,
    orders, sub-classes, and classes. The several subordinate groups in any
    class cannot be
    ranked in a single file, but seem rather to be clustered round points,
    and these round other points, and so on in almost endless cycles. On
    the view that each species has been independently created, I can see no
    explanation of this great fact in the classification of all organic
    beings; but, to the best of my judgment, it is explained through
    inheritance and the complex action of natural selection, entailing
    extinction and divergence of character, as we have seen illustrated in
    the diagram.

    The affinities of all the beings of the same class have sometimes been
    represented by a great tree. I believe this simile largely speaks the
    truth. The green and budding twigs may represent existing species; and
    those produced during each former year may represent the long
    succession of extinct species. At each period of growth all the growing
    twigs have tried to branch out on all sides, and to overtop and kill
    the surrounding twigs and branches, in the same manner as species and
    groups of species have tried to overmaster other species in the great
    battle for life. The limbs divided into great branches, and these into
    lesser and lesser branches, were themselves once, when the tree was
    small, budding twigs; and this connexion of the former and present buds
    by ramifying branches may well represent the classification of all
    extinct and living species in groups subordinate to groups. Of the many
    twigs which flourished when the tree was a mere bush, only two or
    three, now grown into great branches, yet survive and bear all the
    other branches; so with the species which lived during long-past
    geological periods, very few now have living and modified descendants.
    From the first growth of the tree, many a limb and branch has decayed
    and dropped off; and these lost branches of various sizes may represent
    those whole orders, families, and genera which have now no living
    representatives, and
    which are known to us only from having been found in a fossil state. As
    we here and there see a thin straggling branch springing from a fork
    low down in a tree, and which by some chance has been favoured and is
    still alive on its summit, so we occasionally see an animal like the
    Ornithorhynchus or Lepidosiren, which in some small degree connects by
    its affinities two large branches of life, and which has apparently
    been saved from fatal competition by having inhabited a protected
    station. As buds give rise by growth to fresh buds, and these, if
    vigorous, branch out and overtop on all sides many a feebler branch, so
    by generation I believe it has been with the great Tree of Life, which
    fills with its dead and broken branches the crust of the earth, and
    covers the surface with its ever branching and beautiful ramifications.

    CHAPTER V.
    LAWS OF VARIATION.

    Effects of external conditions. Use and disuse, combined with natural
    selection; organs of flight and of vision. Acclimatisation. Correlation
    of growth. Compensation and economy of growth. False correlations.
    Multiple, rudimentary, and lowly organised structures variable. Parts
    developed in an unusual manner are highly variable: specific characters
    more variable than generic: secondary sexual characters variable.
    Species of the same genus vary in an analogous manner. Reversions to
    long lost characters. Summary.

    I have hitherto sometimes spoken as if the variations—so common and
    multiform in organic beings under domestication, and in a lesser degree
    in those in a state of nature—had been due to chance. This, of course,
    is a wholly incorrect expression, but it serves to acknowledge plainly
    our ignorance of the cause of each particular variation. Some authors
    believe it to be as much the function of the reproductive system to
    produce individual differences, or very slight deviations of structure,
    as to make the child like its parents. But the much greater
    variability, as well as the greater frequency of monstrosities, under
    domestication or cultivation, than under nature, leads me to believe
    that deviations of structure are in some way due to the nature of the
    conditions of life, to which the parents and their more remote
    ancestors have been exposed during several generations. I have remarked
    in the first chapter—but a long catalogue of facts which cannot be here
    given would be necessary to show the truth of the remark—that the
    reproductive system is eminently susceptible to changes in the
    conditions of life; and to
    this system being functionally disturbed in the parents, I chiefly
    attribute the varying or plastic condition of the offspring. The male
    and female sexual elements seem to be affected before that union takes
    place which is to form a new being. In the case of “sporting” plants,
    the bud, which in its earliest condition does not apparently differ
    essentially from an ovule, is alone affected. But why, because the
    reproductive system is disturbed, this or that part should vary more or
    less, we are profoundly ignorant. Nevertheless, we can here and there
    dimly catch a faint ray of light, and we may feel sure that there must
    be some cause for each deviation of structure, however slight.

    How much direct effect difference of climate, food, etc., produces on
    any being is extremely doubtful. My impression is, that the effect is
    extremely small in the case of animals, but perhaps rather more in that
    of plants. We may, at least, safely conclude that such influences
    cannot have produced the many striking and complex co-adaptations of
    structure between one organic being and another, which we see
    everywhere throughout nature. Some little influence may be attributed
    to climate, food, etc.: thus, E. Forbes speaks confidently that shells
    at their southern limit, and when living in shallow water, are more
    brightly coloured than those of the same species further north or from
    greater depths. Gould believes that birds of the same species are more
    brightly coloured under a clear atmosphere, than when living on islands
    or near the coast. So with insects, Wollaston is convinced that
    residence near the sea affects their colours. Moquin-Tandon gives a
    list of plants which when growing near the sea-shore have their leaves
    in some degree fleshy, though not elsewhere fleshy. Several other such
    cases could be given.

    The fact of varieties of one species, when they range
    into the zone of habitation of other species, often acquiring in a very
    slight degree some of the characters of such species, accords with our
    view that species of all kinds are only well-marked and permanent
    varieties. Thus the species of shells which are confined to tropical
    and shallow seas are generally brighter-coloured than those confined to
    cold and deeper seas. The birds which are confined to continents are,
    according to Mr. Gould, brighter-coloured than those of islands. The
    insect-species confined to sea-coasts, as every collector knows, are
    often brassy or lurid. Plants which live exclusively on the sea-side
    are very apt to have fleshy leaves. He who believes in the creation of
    each species, will have to say that this shell, for instance, was
    created with bright colours for a warm sea; but that this other shell
    became bright-coloured by variation when it ranged into warmer or
    shallower waters.

    When a variation is of the slightest use to a being, we cannot tell how
    much of it to attribute to the accumulative action of natural
    selection, and how much to the conditions of life. Thus, it is well
    known to furriers that animals of the same species have thicker and
    better fur the more severe the climate is under which they have lived;
    but who can tell how much of this difference may be due to the
    warmest-clad individuals having been favoured and preserved during many
    generations, and how much to the direct action of the severe climate?
    for it would appear that climate has some direct action on the hair of
    our domestic quadrupeds.

    Instances could be given of the same variety being produced under
    conditions of life as different as can well be conceived; and, on the
    other hand, of different varieties being produced from the same species
    under the same conditions. Such facts show how indirectly into the zone
    of habitation of other species, often acquiring in a very slight degree
    some of the characters of such species, accords with our view that
    species of all kinds are only well-marked and permanent varieties. Thus
    the species of shells which are confined to tropical and shallow seas
    are generally brighter-coloured than those confined to cold and deeper
    seas. The birds which are confined to continents are, according to Mr.
    Gould, brighter-coloured than those of islands. The insect-species
    confined to sea-coasts, as every collector knows, are often brassy or
    lurid. Plants which live exclusively on the sea-side are very apt to
    have fleshy leaves. He who believes in the creation of each species,
    will have to say that this shell, for instance, was created with bright
    colours for a warm sea; but that this other shell became
    bright-coloured by variation when it ranged into warmer or shallower
    waters.
    the conditions of life must act. Again, innumerable instances are known
    to every naturalist of species keeping true, or not varying at all,
    although living under the most opposite climates. Such considerations
    as these incline me to lay very little weight on the direct action of
    the conditions of life. Indirectly, as already remarked, they seem to
    play an important part in affecting the reproductive system, and in
    thus inducing variability; and natural selection will then accumulate
    all profitable variations, however slight, until they become plainly
    developed and appreciable by us.

    Effects of Use and Disuse.—From the facts alluded to in the first
    chapter, I think there can be little doubt that use in our domestic
    animals strengthens and enlarges certain parts, and disuse diminishes
    them; and that such modifications are inherited. Under free nature, we
    can have no standard of comparison, by which to judge of the effects of
    long-continued use or disuse, for we know not the parent-forms; but
    many animals have structures which can be explained by the effects of
    disuse. As Professor Owen has remarked, there is no greater anomaly in
    nature than a bird that cannot fly; yet there are several in this
    state. The logger-headed duck of South America can only flap along the
    surface of the water, and has its wings in nearly the same condition as
    the domestic Aylesbury duck. As the larger ground-feeding birds seldom
    take flight except to escape danger, I believe that the nearly wingless
    condition of several birds, which now inhabit or have lately inhabited
    several oceanic islands, tenanted by no beast of prey, has been caused
    by disuse. The ostrich indeed inhabits continents and is exposed to
    danger from which it cannot escape by flight, but by kicking it can
    defend itself from enemies, as well as any of the smaller
    quadrupeds. We may imagine that the early progenitor of the ostrich had
    habits like those of a bustard, and that as natural selection increased
    in successive generations the size and weight of its body, its legs
    were used more, and its wings less, until they became incapable of
    flight.

    Kirby has remarked (and I have observed the same fact) that the
    anterior tarsi, or feet, of many male dung-feeding beetles are very
    often broken off; he examined seventeen specimens in his own
    collection, and not one had even a relic left. In the Onites apelles
    the tarsi are so habitually lost, that the insect has been described as
    not having them. In some other genera they are present, but in a
    rudimentary condition. In the Ateuchus or sacred beetle of the
    Egyptians, they are totally deficient. There is not sufficient evidence
    to induce us to believe that mutilations are ever inherited; and I
    should prefer explaining the entire absence of the anterior tarsi in
    Ateuchus, and their rudimentary condition in some other genera, by the
    long-continued effects of disuse in their progenitors; for as the tarsi
    are almost always lost in many dung-feeding beetles, they must be lost
    early in life, and therefore cannot be much used by these insects.

    In some cases we might easily put down to disuse modifications of
    structure which are wholly, or mainly, due to natural selection. Mr.
    Wollaston has discovered the remarkable fact that 200 beetles, out of
    the 550 species inhabiting Madeira, are so far deficient in wings that
    they cannot fly; and that of the twenty-nine endemic genera, no less
    than twenty-three genera have all their species in this condition!
    Several facts, namely, that beetles in many parts of the world are very
    frequently blown to sea and perish; that the beetles in Madeira, as
    observed by Mr. Wollaston, lie much concealed,
    until the wind lulls and the sun shines; that the proportion of
    wingless beetles is larger on the exposed Dezertas than in Madeira
    itself; and especially the extraordinary fact, so strongly insisted on
    by Mr. Wollaston, of the almost entire absence of certain large groups
    of beetles, elsewhere excessively numerous, and which groups have
    habits of life almost necessitating frequent flight;—these several
    considerations have made me believe that the wingless condition of so
    many Madeira beetles is mainly due to the action of natural selection,
    but combined probably with disuse. For during thousands of successive
    generations each individual beetle which flew least, either from its
    wings having been ever so little less perfectly developed or from
    indolent habit, will have had the best chance of surviving from not
    being blown out to sea; and, on the other hand, those beetles which
    most readily took to flight will oftenest have been blown to sea and
    thus have been destroyed.

    The insects in Madeira which are not ground-feeders, and which, as the
    flower-feeding coleoptera and lepidoptera, must habitually use their
    wings to gain their subsistence, have, as Mr. Wollaston suspects, their
    wings not at all reduced, but even enlarged. This is quite compatible
    with the action of natural selection. For when a new insect first
    arrived on the island, the tendency of natural selection to enlarge or
    to reduce the wings, would depend on whether a greater number of
    individuals were saved by successfully battling with the winds, or by
    giving up the attempt and rarely or never flying. As with mariners
    shipwrecked near a coast, it would have been better for the good
    swimmers if they had been able to swim still further, whereas it would
    have been better for the bad swimmers if they had not been able to swim
    at all and had stuck to the wreck.

    The eyes of moles and of some burrowing rodents are rudimentary in
    size, and in some cases are quite covered up by skin and fur. This
    state of the eyes is probably due to gradual reduction from disuse, but
    aided perhaps by natural selection. In South America, a burrowing
    rodent, the tuco-tuco, or Ctenomys, is even more subterranean in its
    habits than the mole; and I was assured by a Spaniard, who had often
    caught them, that they were frequently blind; one which I kept alive
    was certainly in this condition, the cause, as appeared on dissection,
    having been inflammation of the nictitating membrane. As frequent
    inflammation of the eyes must be injurious to any animal, and as eyes
    are certainly not indispensable to animals with subterranean habits, a
    reduction in their size with the adhesion of the eyelids and growth of
    fur over them, might in such case be an advantage; and if so, natural
    selection would constantly aid the effects of disuse.

    It is well known that several animals, belonging to the most different
    classes, which inhabit the caves of Styria and of Kentucky, are blind.
    In some of the crabs the foot-stalk for the eye remains, though the eye
    is gone; the stand for the telescope is there, though the telescope
    with its glasses has been lost. As it is difficult to imagine that
    eyes, though useless, could be in any way injurious to animals living
    in darkness, I attribute their loss wholly to disuse. In one of the
    blind animals, namely, the cave-rat, the eyes are of immense size; and
    Professor Silliman thought that it regained, after living some days in
    the light, some slight power of vision. In the same manner as in
    Madeira the wings of some of the insects have been enlarged, and the
    wings of others have been reduced by natural selection aided by use and
    disuse, so in the case of the cave-rat natural selection seems to have
    struggled with the loss of light and
    to have increased the size of the eyes; whereas with all the other
    inhabitants of the caves, disuse by itself seems to have done its work.

    It is difficult to imagine conditions of life more similar than deep
    limestone caverns under a nearly similar climate; so that on the common
    view of the blind animals having been separately created for the
    American and European caverns, close similarity in their organisation
    and affinities might have been expected; but, as Schiödte and others
    have remarked, this is not the case, and the cave-insects of the two
    continents are not more closely allied than might have been anticipated
    from the general resemblance of the other inhabitants of North America
    and Europe. On my view we must suppose that American animals, having
    ordinary powers of vision, slowly migrated by successive generations
    from the outer world into the deeper and deeper recesses of the
    Kentucky caves, as did European animals into the caves of Europe. We
    have some evidence of this gradation of habit; for, as Schiödte
    remarks, “animals not far remote from ordinary forms, prepare the
    transition from light to darkness. Next follow those that are
    constructed for twilight; and, last of all, those destined for total
    darkness.” By the time that an animal had reached, after numberless
    generations, the deepest recesses, disuse will on this view have more
    or less perfectly obliterated its eyes, and natural selection will
    often have effected other changes, such as an increase in the length of
    the antennæ or palpi, as a compensation for blindness. Notwithstanding
    such modifications, we might expect still to see in the cave-animals of
    America, affinities to the other inhabitants of that continent, and in
    those of Europe, to the inhabitants of the European continent. And this
    is the case with some of the American cave-animals, as I hear from
    Professor Dana; and some of the European cave-insects are very closely
    allied to those of the surrounding country. It would be most difficult
    to give any rational explanation of the affinities of the blind
    cave-animals to the other inhabitants of the two continents on the
    ordinary view of their independent creation. That several of the
    inhabitants of the caves of the Old and New Worlds should be closely
    related, we might expect from the well-known relationship of most of
    their other productions. Far from feeling any surprise that some of the
    cave-animals should be very anomalous, as Agassiz has remarked in
    regard to the blind fish, the Amblyopsis, and as is the case with the
    blind Proteus with reference to the reptiles of Europe, I am only
    surprised that more wrecks of ancient life have not been preserved,
    owing to the less severe competition to which the inhabitants of these
    dark abodes will probably have been exposed.

    Acclimatisation.—Habit is hereditary with plants, as in the period of
    flowering, in the amount of rain requisite for seeds to germinate, in
    the time of sleep, etc., and this leads me to say a few words on
    acclimatisation. As it is extremely common for species of the same
    genus to inhabit very hot and very cold countries, and as I believe
    that all the species of the same genus have descended from a single
    parent, if this view be correct, acclimatisation must be readily
    effected during long-continued descent. It is notorious that each
    species is adapted to the climate of its own home: species from an
    arctic or even from a temperate region cannot endure a tropical
    climate, or conversely. So again, many succulent plants cannot endure a
    damp climate. But the degree of adaptation of species to the climates
    under which they live is often overrated.
    We may infer this from our frequent inability to predict whether or not
    an imported plant will endure our climate, and from the number of
    plants and animals brought from warmer countries which here enjoy good
    health. We have reason to believe that species in a state of nature are
    limited in their ranges by the competition of other organic beings
    quite as much as, or more than, by adaptation to particular climates.
    But whether or not the adaptation be generally very close, we have
    evidence, in the case of some few plants, of their becoming, to a
    certain extent, naturally habituated to different temperatures, or
    becoming acclimatised: thus the pines and rhododendrons, raised from
    seed collected by Dr. Hooker from trees growing at different heights on
    the Himalaya, were found in this country to possess different
    constitutional powers of resisting cold. Mr. Thwaites informs me that
    he has observed similar facts in Ceylon, and analogous observations
    have been made by Mr. H. C. Watson on European species of plants
    brought from the Azores to England. In regard to animals, several
    authentic cases could be given of species within historical times
    having largely extended their range from warmer to cooler latitudes,
    and conversely; but we do not positively know that these animals were
    strictly adapted to their native climate, but in all ordinary cases we
    assume such to be the case; nor do we know that they have subsequently
    become acclimatised to their new homes.

    As I believe that our domestic animals were originally chosen by
    uncivilised man because they were useful and bred readily under
    confinement, and not because they were subsequently found capable of
    far-extended transportation, I think the common and extraordinary
    capacity in our domestic animals of not only withstanding the most
    different climates but of being perfectly
    fertile (a far severer test) under them, may be used as an argument
    that a large proportion of other animals, now in a state of nature,
    could easily be brought to bear widely different climates. We must not,
    however, push the foregoing argument too far, on account of the
    probable origin of some of our domestic animals from several wild
    stocks: the blood, for instance, of a tropical and arctic wolf or wild
    dog may perhaps be mingled in our domestic breeds. The rat and mouse
    cannot be considered as domestic animals, but they have been
    transported by man to many parts of the world, and now have a far wider
    range than any other rodent, living free under the cold climate of
    Faroe in the north and of the Falklands in the south, and on many
    islands in the torrid zones. Hence I am inclined to look at adaptation
    to any special climate as a quality readily grafted on an innate wide
    flexibility of constitution, which is common to most animals. On this
    view, the capacity of enduring the most different climates by man
    himself and by his domestic animals, and such facts as that former
    species of the elephant and rhinoceros were capable of enduring a
    glacial climate, whereas the living species are now all tropical or
    sub-tropical in their habits, ought not to be looked at as anomalies,
    but merely as examples of a very common flexibility of constitution,
    brought, under peculiar circumstances, into play.

    How much of the acclimatisation of species to any peculiar climate is
    due to mere habit, and how much to the natural selection of varieties
    having different innate constitutions, and how much to both means
    combined, is a very obscure question. That habit or custom has some
    influence I must believe, both from analogy, and from the incessant
    advice given in agricultural works, even in the ancient Encyclopædias
    of China, to be very cautious
    in transposing animals from one district to another; for it is not
    likely that man should have succeeded in selecting so many breeds and
    sub-breeds with constitutions specially fitted for their own districts:
    the result must, I think, be due to habit. On the other hand, I can see
    no reason to doubt that natural selection will continually tend to
    preserve those individuals which are born with constitutions best
    adapted to their native countries. In treatises on many kinds of
    cultivated plants, certain varieties are said to withstand certain
    climates better than others: this is very strikingly shown in works on
    fruit trees published in the United States, in which certain varieties
    are habitually recommended for the northern, and others for the
    southern States; and as most of these varieties are of recent origin,
    they cannot owe their constitutional differences to habit. The case of
    the Jerusalem artichoke, which is never propagated by seed, and of
    which consequently new varieties have not been produced, has even been
    advanced—for it is now as tender as ever it was—as proving that
    acclimatisation cannot be effected! The case, also, of the kidney-bean
    has been often cited for a similar purpose, and with much greater
    weight; but until some one will sow, during a score of generations, his
    kidney-beans so early that a very large proportion are destroyed by
    frost, and then collect seed from the few survivors, with care to
    prevent accidental crosses, and then again get seed from these
    seedlings, with the same precautions, the experiment cannot be said to
    have been even tried. Nor let it be supposed that no differences in the
    constitution of seedling kidney-beans ever appear, for an account has
    been published how much more hardy some seedlings appeared to be than
    others.

    On the whole, I think we may conclude that habit,
    use, and disuse, have, in some cases, played a considerable part in the
    modification of the constitution, and of the structure of various
    organs; but that the effects of use and disuse have often been largely
    combined with, and sometimes overmastered by, the natural selection of
    innate differences.

    Correlation of Growth.—I mean by this expression that the whole
    organisation is so tied together during its growth and development,
    that when slight variations in any one part occur, and are accumulated
    through natural selection, other parts become modified. This is a very
    important subject, most imperfectly understood. The most obvious case
    is, that modifications accumulated solely for the good of the young or
    larva, will, it may safely be concluded, affect the structure of the
    adult; in the same manner as any malconformation affecting the early
    embryo, seriously affects the whole organisation of the adult. The
    several parts of the body which are homologous, and which, at an early
    embryonic period, are alike, seem liable to vary in an allied manner:
    we see this in the right and left sides of the body varying in the same
    manner; in the front and hind legs, and even in the jaws and limbs,
    varying together, for the lower jaw is believed to be homologous with
    the limbs. These tendencies, I do not doubt, may be mastered more or
    less completely by natural selection: thus a family of stags once
    existed with an antler only on one side; and if this had been of any
    great use to the breed it might probably have been rendered permanent
    by natural selection.

    Homologous parts, as has been remarked by some authors, tend to cohere;
    this is often seen in monstrous plants; and nothing is more common than
    the union of homologous parts in normal structures, as the union of
    the petals of the corolla into a tube. Hard parts seem to affect the
    form of adjoining soft parts; it is believed by some authors that the
    diversity in the shape of the pelvis in birds causes the remarkable
    diversity in the shape of their kidneys. Others believe that the shape
    of the pelvis in the human mother influences by pressure the shape of
    the head of the child. In snakes, according to Schlegel, the shape of
    the body and the manner of swallowing determine the position of several
    of the most important viscera.

    The nature of the bond of correlation is very frequently quite obscure.
    M. Is. Geoffroy St. Hilaire has forcibly remarked, that certain
    malconformations very frequently, and that others rarely coexist,
    without our being able to assign any reason. What can be more singular
    than the relation between blue eyes and deafness in cats, and the
    tortoise-shell colour with the female sex; the feathered feet and skin
    between the outer toes in pigeons, and the presence of more or less
    down on the young birds when first hatched, with the future colour of
    their plumage; or, again, the relation between the hair and teeth in
    the naked Turkish dog, though here probably homology comes into play?
    With respect to this latter case of correlation, I think it can hardly
    be accidental, that if we pick out the two orders of mammalia which are
    most abnormal in their dermal coverings, viz. Cetacea (whales) and
    Edentata (armadilloes, scaly ant-eaters, etc.), that these are likewise
    the most abnormal in their teeth.

    I know of no case better adapted to show the importance of the laws of
    correlation in modifying important structures, independently of utility
    and, therefore, of natural selection, than that of the difference
    between the outer and inner flowers in some Compositous and
    Umbelliferous plants. Every one knows the
    difference in the ray and central florets of, for instance, the daisy,
    and this difference is often accompanied with the abortion of parts of
    the flower. But, in some Compositous plants, the seeds also differ in
    shape and sculpture; and even the ovary itself, with its accessory
    parts, differs, as has been described by Cassini. These differences
    have been attributed by some authors to pressure, and the shape of the
    seeds in the ray-florets in some Compositæ countenances this idea; but,
    in the case of the corolla of the Umbelliferæ, it is by no means, as
    Dr. Hooker informs me, in species with the densest heads that the inner
    and outer flowers most frequently differ. It might have been thought
    that the development of the ray-petals by drawing nourishment from
    certain other parts of the flower had caused their abortion; but in
    some Compositæ there is a difference in the seeds of the outer and
    inner florets without any difference in the corolla. Possibly, these
    several differences may be connected with some difference in the flow
    of nutriment towards the central and external flowers: we know, at
    least, that in irregular flowers, those nearest to the axis are
    oftenest subject to peloria, and become regular. I may add, as an
    instance of this, and of a striking case of correlation, that I have
    recently observed in some garden pelargoniums, that the central flower
    of the truss often loses the patches of darker colour in the two upper
    petals; and that when this occurs, the adherent nectary is quite
    aborted; when the colour is absent from only one of the two upper
    petals, the nectary is only much shortened.

    With respect to the difference in the corolla of the central and
    exterior flowers of a head or umbel, I do not feel at all sure that C.
    C. Sprengel’s idea that the ray-florets serve to attract insects, whose
    agency is highly advantageous in the fertilisation of plants of
    these two orders, is so far-fetched, as it may at first appear: and if
    it be advantageous, natural selection may have come into play. But in
    regard to the differences both in the internal and external structure
    of the seeds, which are not always correlated with any differences in
    the flowers, it seems impossible that they can be in any way
    advantageous to the plant: yet in the Umbelliferæ these differences are
    of such apparent importance—the seeds being in some cases, according to
    Tausch, orthospermous in the exterior flowers and coelospermous in the
    central flowers,—that the elder De Candolle founded his main divisions
    of the order on analogous differences. Hence we see that modifications
    of structure, viewed by systematists as of high value, may be wholly
    due to unknown laws of correlated growth, and without being, as far as
    we can see, of the slightest service to the species.

    We may often falsely attribute to correlation of growth, structures
    which are common to whole groups of species, and which in truth are
    simply due to inheritance; for an ancient progenitor may have acquired
    through natural selection some one modification in structure, and,
    after thousands of generations, some other and independent
    modification; and these two modifications, having been transmitted to a
    whole group of descendants with diverse habits, would naturally be
    thought to be correlated in some necessary manner. So, again, I do not
    doubt that some apparent correlations, occurring throughout whole
    orders, are entirely due to the manner alone in which natural selection
    can act. For instance, Alph. De Candolle has remarked that winged seeds
    are never found in fruits which do not open: I should explain the rule
    by the fact that seeds could not gradually become winged through
    natural selection, except in fruits which opened; so that the
    individual plants producing
    seeds which were a little better fitted to be wafted further, might get
    an advantage over those producing seed less fitted for dispersal; and
    this process could not possibly go on in fruit which did not open.

    The elder Geoffroy and Goethe propounded, at about the same period,
    their law of compensation or balancement of growth; or, as Goethe
    expressed it, “in order to spend on one side, nature is forced to
    economise on the other side.” I think this holds true to a certain
    extent with our domestic productions: if nourishment flows to one part
    or organ in excess, it rarely flows, at least in excess, to another
    part; thus it is difficult to get a cow to give much milk and to fatten
    readily. The same varieties of the cabbage do not yield abundant and
    nutritious foliage and a copious supply of oil-bearing seeds. When the
    seeds in our fruits become atrophied, the fruit itself gains largely in
    size and quality. In our poultry, a large tuft of feathers on the head
    is generally accompanied by a diminished comb, and a large beard by
    diminished wattles. With species in a state of nature it can hardly be
    maintained that the law is of universal application; but many good
    observers, more especially botanists, believe in its truth. I will not,
    however, here give any instances, for I see hardly any way of
    distinguishing between the effects, on the one hand, of a part being
    largely developed through natural selection and another and adjoining
    part being reduced by this same process or by disuse, and, on the other
    hand, the actual withdrawal of nutriment from one part owing to the
    excess of growth in another and adjoining part.

    I suspect, also, that some of the cases of compensation which have been
    advanced, and likewise some other facts, may be merged under a more
    general principle, namely, that natural selection is continually trying
    to economise in every part of the organisation. If under
    changed conditions of life a structure before useful becomes less
    useful, any diminution, however slight, in its development, will be
    seized on by natural selection, for it will profit the individual not
    to have its nutriment wasted in building up an useless structure. I can
    thus only understand a fact with which I was much struck when examining
    cirripedes, and of which many other instances could be given: namely,
    that when a cirripede is parasitic within another and is thus
    protected, it loses more or less completely its own shell or carapace.
    This is the case with the male Ibla, and in a truly extraordinary
    manner with the Proteolepas: for the carapace in all other cirripedes
    consists of the three highly-important anterior segments of the head
    enormously developed, and furnished with great nerves and muscles; but
    in the parasitic and protected Proteolepas, the whole anterior part of
    the head is reduced to the merest rudiment attached to the bases of the
    prehensile antennæ. Now the saving of a large and complex structure,
    when rendered superfluous by the parasitic habits of the Proteolepas,
    though effected by slow steps, would be a decided advantage to each
    successive individual of the species; for in the struggle for life to
    which every animal is exposed, each individual Proteolepas would have a
    better chance of supporting itself, by less nutriment being wasted in
    developing a structure now become useless.

    Thus, as I believe, natural selection will always succeed in the long
    run in reducing and saving every part of the organisation, as soon as
    it is rendered superfluous, without by any means causing some other
    part to be largely developed in a corresponding degree. And,
    conversely, that natural selection may perfectly well succeed in
    largely developing any organ, without requiring as a necessary
    compensation the reduction of some adjoining part.

    It seems to be a rule, as remarked by Is. Geoffroy St. Hilaire, both in
    varieties and in species, that when any part or organ is repeated many
    times in the structure of the same individual (as the vertebræ in
    snakes, and the stamens in polyandrous flowers) the number is variable;
    whereas the number of the same part or organ, when it occurs in lesser
    numbers, is constant. The same author and some botanists have further
    remarked that multiple parts are also very liable to variation in
    structure. Inasmuch as this “vegetative repetition,” to use Professor
    Owen’s expression, seems to be a sign of low organisation; the
    foregoing remark seems connected with the very general opinion of
    naturalists, that beings low in the scale of nature are more variable
    than those which are higher. I presume that lowness in this case means
    that the several parts of the organisation have been but little
    specialised for particular functions; and as long as the same part has
    to perform diversified work, we can perhaps see why it should remain
    variable, that is, why natural selection should have preserved or
    rejected each little deviation of form less carefully than when the
    part has to serve for one special purpose alone. In the same way that a
    knife which has to cut all sorts of things may be of almost any shape;
    whilst a tool for some particular object had better be of some
    particular shape. Natural selection, it should never be forgotten, can
    act on each part of each being, solely through and for its advantage.

    Rudimentary parts, it has been stated by some authors, and I believe
    with truth, are apt to be highly variable. We shall have to recur to
    the general subject of rudimentary and aborted organs; and I will here
    only add that their variability seems to be owing to their uselessness,
    and therefore to natural selection having no power to check deviations
    in their structure. Thus
    rudimentary parts are left to the free play of the various laws of
    growth, to the effects of long-continued disuse, and to the tendency to
    reversion.

    A part developed in any species in an extraordinary degree or manner, in comparison with the same part in allied species, tends to be highly variable.—Several years ago I was much struck with a remark, nearly to
    the above effect, published by Mr. Waterhouse. I infer also from an
    observation made by Professor Owen, with respect to the length of the
    arms of the ourang-outang, that he has come to a nearly similar
    conclusion. It is hopeless to attempt to convince any one of the truth
    of this proposition without giving the long array of facts which I have
    collected, and which cannot possibly be here introduced. I can only
    state my conviction that it is a rule of high generality. I am aware of
    several causes of error, but I hope that I have made due allowance for
    them. It should be understood that the rule by no means applies to any
    part, however unusually developed, unless it be unusually developed in
    comparison with the same part in closely allied species. Thus, the
    bat’s wing is a most abnormal structure in the class mammalia; but the
    rule would not here apply, because there is a whole group of bats
    having wings; it would apply only if some one species of bat had its
    wings developed in some remarkable manner in comparison with the other
    species of the same genus. The rule applies very strongly in the case
    of secondary sexual characters, when displayed in any unusual manner.
    The term, secondary sexual characters, used by Hunter, applies to
    characters which are attached to one sex, but are not directly
    connected with the act of reproduction. The rule applies to males and
    females; but as females more rarely offer remarkable secondary sexual
    characters, it applies
    more rarely to them. The rule being so plainly applicable in the case
    of secondary sexual characters, may be due to the great variability of
    these characters, whether or not displayed in any unusual manner—of
    which fact I think there can be little doubt. But that our rule is not
    confined to secondary sexual characters is clearly shown in the case of
    hermaphrodite cirripedes; and I may here add, that I particularly
    attended to Mr. Waterhouse’s remark, whilst investigating this Order,
    and I am fully convinced that the rule almost invariably holds good
    with cirripedes. I shall, in my future work, give a list of the more
    remarkable cases; I will here only briefly give one, as it illustrates
    the rule in its largest application. The opercular valves of sessile
    cirripedes (rock barnacles) are, in every sense of the word, very
    important structures, and they differ extremely little even in
    different genera; but in the several species of one genus, Pyrgoma,
    these valves present a marvellous amount of diversification: the
    homologous valves in the different species being sometimes wholly
    unlike in shape; and the amount of variation in the individuals of
    several of the species is so great, that it is no exaggeration to state
    that the varieties differ more from each other in the characters of
    these important valves than do other species of distinct genera.

    As birds within the same country vary in a remarkably small degree, I
    have particularly attended to them, and the rule seems to me certainly
    to hold good in this class. I cannot make out that it applies to
    plants, and this would seriously have shaken my belief in its truth,
    had not the great variability in plants made it particularly difficult
    to compare their relative degrees of variability.

    When we see any part or organ developed in a remarkable degree or
    manner in any species, the fair
    presumption is that it is of high importance to that species;
    nevertheless the part in this case is eminently liable to variation.
    Why should this be so? On the view that each species has been
    independently created, with all its parts as we now see them, I can see
    no explanation. But on the view that groups of species have descended
    from other species, and have been modified through natural selection, I
    think we can obtain some light. In our domestic animals, if any part,
    or the whole animal, be neglected and no selection be applied, that
    part (for instance, the comb in the Dorking fowl) or the whole breed
    will cease to have a nearly uniform character. The breed will then be
    said to have degenerated. In rudimentary organs, and in those which
    have been but little specialised for any particular purpose, and
    perhaps in polymorphic groups, we see a nearly parallel natural case;
    for in such cases natural selection either has not or cannot come into
    full play, and thus the organisation is left in a fluctuating
    condition. But what here more especially concerns us is, that in our
    domestic animals those points, which at the present time are undergoing
    rapid change by continued selection, are also eminently liable to
    variation. Look at the breeds of the pigeon; see what a prodigious
    amount of difference there is in the beak of the different tumblers, in
    the beak and wattle of the different carriers, in the carriage and tail
    of our fantails, etc., these being the points now mainly attended to by
    English fanciers. Even in the sub-breeds, as in the short-faced
    tumbler, it is notoriously difficult to breed them nearly to
    perfection, and frequently individuals are born which depart widely
    from the standard. There may be truly said to be a constant struggle
    going on between, on the one hand, the tendency to reversion to a less
    modified state, as well as an innate tendency to further
    variability of all kinds, and, on the other hand, the power of steady
    selection to keep the breed true. In the long run selection gains the
    day, and we do not expect to fail so far as to breed a bird as coarse
    as a common tumbler from a good short-faced strain. But as long as
    selection is rapidly going on, there may always be expected to be much
    variability in the structure undergoing modification. It further
    deserves notice that these variable characters, produced by man’s
    selection, sometimes become attached, from causes quite unknown to us,
    more to one sex than to the other, generally to the male sex, as with
    the wattle of carriers and the enlarged crop of pouters.

    Now let us turn to nature. When a part has been developed in an
    extraordinary manner in any one species, compared with the other
    species of the same genus, we may conclude that this part has undergone
    an extraordinary amount of modification, since the period when the
    species branched off from the common progenitor of the genus. This
    period will seldom be remote in any extreme degree, as species very
    rarely endure for more than one geological period. An extraordinary
    amount of modification implies an unusually large and long-continued
    amount of variability, which has continually been accumulated by
    natural selection for the benefit of the species. But as the
    variability of the extraordinarily-developed part or organ has been so
    great and long-continued within a period not excessively remote, we
    might, as a general rule, expect still to find more variability in such
    parts than in other parts of the organisation, which have remained for
    a much longer period nearly constant. And this, I am convinced, is the
    case. That the struggle between natural selection on the one hand, and
    the tendency to reversion and variability on the other hand, will in
    the
    course of time cease; and that the most abnormally developed organs may
    be made constant, I can see no reason to doubt. Hence when an organ,
    however abnormal it may be, has been transmitted in approximately the
    same condition to many modified descendants, as in the case of the wing
    of the bat, it must have existed, according to my theory, for an
    immense period in nearly the same state; and thus it comes to be no
    more variable than any other structure. It is only in those cases in
    which the modification has been comparatively recent and
    extraordinarily great that we ought to find the generative variability, as it may be called, still present in a high degree. For
    in this case the variability will seldom as yet have been fixed by the
    continued selection of the individuals varying in the required manner
    and degree, and by the continued rejection of those tending to revert
    to a former and less modified condition.

    The principle included in these remarks may be extended. It is
    notorious that specific characters are more variable than generic. To
    explain by a simple example what is meant. If some species in a large
    genus of plants had blue flowers and some had red, the colour would be
    only a specific character, and no one would be surprised at one of the
    blue species varying into red, or conversely; but if all the species
    had blue flowers, the colour would become a generic character, and its
    variation would be a more unusual circumstance. I have chosen this
    example because an explanation is not in this case applicable, which
    most naturalists would advance, namely, that specific characters are
    more variable than generic, because they are taken from parts of less
    physiological importance than those commonly used for classing genera.
    I believe this explanation is partly, yet only indirectly, true; I
    shall, however, have to return
    to this subject in our chapter on Classification. It would be almost
    superfluous to adduce evidence in support of the above statement, that
    specific characters are more variable than generic; but I have
    repeatedly noticed in works on natural history, that when an author has
    remarked with surprise that some important organ or part, which is
    generally very constant throughout large groups of species, has
    differed considerably in closely-allied species, that it has, also,
    been variable in the individuals of some of the species. And this
    fact shows that a character, which is generally of generic value, when
    it sinks in value and becomes only of specific value, often becomes
    variable, though its physiological importance may remain the same.
    Something of the same kind applies to monstrosities: at least Is.
    Geoffroy St. Hilaire seems to entertain no doubt, that the more an
    organ normally differs in the different species of the same group, the
    more subject it is to individual anomalies.

    On the ordinary view of each species having been independently created,
    why should that part of the structure, which differs from the same part
    in other independently-created species of the same genus, be more
    variable than those parts which are closely alike in the several
    species? I do not see that any explanation can be given. But on the
    view of species being only strongly marked and fixed varieties, we
    might surely expect to find them still often continuing to vary in
    those parts of their structure which have varied within a moderately
    recent period, and which have thus come to differ. Or to state the case
    in another manner:—the points in which all the species of a genus
    resemble each other, and in which they differ from the species of some
    other genus, are called generic characters; and these characters in
    common I attribute to inheritance from a common
    progenitor, for it can rarely have happened that natural selection will
    have modified several species, fitted to more or less widely-different
    habits, in exactly the same manner: and as these so-called generic
    characters have been inherited from a remote period, since that period
    when the species first branched off from their common progenitor, and
    subsequently have not varied or come to differ in any degree, or only
    in a slight degree, it is not probable that they should vary at the
    present day. On the other hand, the points in which species differ from
    other species of the same genus, are called specific characters; and as
    these specific characters have varied and come to differ within the
    period of the branching off of the species from a common progenitor, it
    is probable that they should still often be in some degree variable,—at
    least more variable than those parts of the organisation which have for
    a very long period remained constant.

    In connexion with the present subject, I will make only two other
    remarks. I think it will be admitted, without my entering on details,
    that secondary sexual characters are very variable; I think it also
    will be admitted that species of the same group differ from each other
    more widely in their secondary sexual characters, than in other parts
    of their organisation; compare, for instance, the amount of difference
    between the males of gallinaceous birds, in which secondary sexual
    characters are strongly displayed, with the amount of difference
    between their females; and the truth of this proposition will be
    granted. The cause of the original variability of secondary sexual
    characters is not manifest; but we can see why these characters should
    not have been rendered as constant and uniform as other parts of the
    organisation; for secondary sexual characters have been accumulated by
    sexual selection, which
    is less rigid in its action than ordinary selection, as it does not
    entail death, but only gives fewer offspring to the less favoured
    males. Whatever the cause may be of the variability of secondary sexual
    characters, as they are highly variable, sexual selection will have had
    a wide scope for action, and may thus readily have succeeded in giving
    to the species of the same group a greater amount of difference in
    their sexual characters, than in other parts of their structure.

    It is a remarkable fact, that the secondary sexual differences between
    the two sexes of the same species are generally displayed in the very
    same parts of the organisation in which the different species of the
    same genus differ from each other. Of this fact I will give in
    illustration two instances, the first which happen to stand on my list;
    and as the differences in these cases are of a very unusual nature, the
    relation can hardly be accidental. The same number of joints in the
    tarsi is a character generally common to very large groups of beetles,
    but in the Engidæ, as Westwood has remarked, the number varies greatly;
    and the number likewise differs in the two sexes of the same species:
    again in fossorial hymenoptera, the manner of neuration of the wings is
    a character of the highest importance, because common to large groups;
    but in certain genera the neuration differs in the different species,
    and likewise in the two sexes of the same species. This relation has a
    clear meaning on my view of the subject: I look at all the species of
    the same genus as having as certainly descended from the same
    progenitor, as have the two sexes of any one of the species.
    Consequently, whatever part of the structure of the common progenitor,
    or of its early descendants, became variable; variations of this part
    would it is highly probable, be taken advantage of by natural and
    sexual selection, in
    order to fit the several species to their several places in the economy
    of nature, and likewise to fit the two sexes of the same species to
    each other, or to fit the males and females to different habits of
    life, or the males to struggle with other males for the possession of
    the females.

    Finally, then, I conclude that the greater variability of specific
    characters, or those which distinguish species from species, than of
    generic characters, or those which the species possess in common;—that
    the frequent extreme variability of any part which is developed in a
    species in an extraordinary manner in comparison with the same part in
    its congeners; and the not great degree of variability in a part,
    however extraordinarily it may be developed, if it be common to a whole
    group of species;—that the great variability of secondary sexual
    characters, and the great amount of difference in these same characters
    between closely allied species;—that secondary sexual and ordinary
    specific differences are generally displayed in the same parts of the
    organisation,—are all principles closely connected together. All being
    mainly due to the species of the same group having descended from a
    common progenitor, from whom they have inherited much in common,—to
    parts which have recently and largely varied being more likely still to
    go on varying than parts which have long been inherited and have not
    varied,—to natural selection having more or less completely, according
    to the lapse of time, overmastered the tendency to reversion and to
    further variability,—to sexual selection being less rigid than ordinary
    selection,—and to variations in the same parts having been accumulated
    by natural and sexual selection, and thus adapted for secondary sexual,
    and for ordinary specific purposes.

    Distinct species present analogous variations; and a variety of one species often assumes some of the characters of an allied species, or reverts to some of the characters of an early progenitor.—These
    propositions will be most readily understood by looking to our domestic
    races. The most distinct breeds of pigeons, in countries most widely
    apart, present sub-varieties with reversed feathers on the head and
    feathers on the feet,—characters not possessed by the aboriginal
    rock-pigeon; these then are analogous variations in two or more
    distinct races. The frequent presence of fourteen or even sixteen
    tail-feathers in the pouter, may be considered as a variation
    representing the normal structure of another race, the fantail. I
    presume that no one will doubt that all such analogous variations are
    due to the several races of the pigeon having inherited from a common
    parent the same constitution and tendency to variation, when acted on
    by similar unknown influences. In the vegetable kingdom we have a case
    of analogous variation, in the enlarged stems, or roots as commonly
    called, of the Swedish turnip and Ruta baga, plants which several
    botanists rank as varieties produced by cultivation from a common
    parent: if this be not so, the case will then be one of analogous
    variation in two so-called distinct species; and to these a third may
    be added, namely, the common turnip. According to the ordinary view of
    each species having been independently created, we should have to
    attribute this similarity in the enlarged stems of these three plants,
    not to the vera causa of community of descent, and a consequent
    tendency to vary in a like manner, but to three separate yet closely
    related acts of creation.

    With pigeons, however, we have another case, namely, the occasional
    appearance in all the breeds, of slaty-blue birds with two black bars
    on the wings, a white
    rump, a bar at the end of the tail, with the outer feathers externally
    edged near their bases with white. As all these marks are
    characteristic of the parent rock-pigeon, I presume that no one will
    doubt that this is a case of reversion, and not of a new yet analogous
    variation appearing in the several breeds. We may I think confidently
    come to this conclusion, because, as we have seen, these coloured marks
    are eminently liable to appear in the crossed offspring of two distinct
    and differently coloured breeds; and in this case there is nothing in
    the external conditions of life to cause the reappearance of the
    slaty-blue, with the several marks, beyond the influence of the mere
    act of crossing on the laws of inheritance.

    No doubt it is a very surprising fact that characters should reappear
    after having been lost for many, perhaps for hundreds of generations.
    But when a breed has been crossed only once by some other breed, the
    offspring occasionally show a tendency to revert in character to the
    foreign breed for many generations—some say, for a dozen or even a
    score of generations. After twelve generations, the proportion of
    blood, to use a common expression, of any one ancestor, is only 1 in
    2048; and yet, as we see, it is generally believed that a tendency to
    reversion is retained by this very small proportion of foreign blood.
    In a breed which has not been crossed, but in which both parents have
    lost some character which their progenitor possessed, the tendency,
    whether strong or weak, to reproduce the lost character might be, as
    was formerly remarked, for all that we can see to the contrary,
    transmitted for almost any number of generations. When a character
    which has been lost in a breed, reappears after a great number of
    generations, the most probable hypothesis is, not that the offspring
    suddenly takes after an ancestor some hundred generations
    distant, but that in each successive generation there has been a
    tendency to reproduce the character in question, which at last, under
    unknown favourable conditions, gains an ascendancy. For instance, it is
    probable that in each generation of the barb-pigeon, which produces
    most rarely a blue and black-barred bird, there has been a tendency in
    each generation in the plumage to assume this colour. This view is
    hypothetical, but could be supported by some facts; and I can see no
    more abstract improbability in a tendency to produce any character
    being inherited for an endless number of generations, than in quite
    useless or rudimentary organs being, as we all know them to be, thus
    inherited. Indeed, we may sometimes observe a mere tendency to produce
    a rudiment inherited: for instance, in the common snapdragon
    (Antirrhinum) a rudiment of a fifth stamen so often appears, that this
    plant must have an inherited tendency to produce it.

    As all the species of the same genus are supposed, on my theory, to
    have descended from a common parent, it might be expected that they
    would occasionally vary in an analogous manner; so that a variety of
    one species would resemble in some of its characters another species;
    this other species being on my view only a well-marked and permanent
    variety. But characters thus gained would probably be of an unimportant
    nature, for the presence of all important characters will be governed
    by natural selection, in accordance with the diverse habits of the
    species, and will not be left to the mutual action of the conditions of
    life and of a similar inherited constitution. It might further be
    expected that the species of the same genus would occasionally exhibit
    reversions to lost ancestral characters. As, however, we never know the
    exact character of the common ancestor of a group, we could not
    distinguish these two
    cases: if, for instance, we did not know that the rock-pigeon was not
    feather-footed or turn-crowned, we could not have told, whether these
    characters in our domestic breeds were reversions or only analogous
    variations; but we might have inferred that the blueness was a case of
    reversion, from the number of the markings, which are correlated with
    the blue tint, and which it does not appear probable would all appear
    together from simple variation. More especially we might have inferred
    this, from the blue colour and marks so often appearing when distinct
    breeds of diverse colours are crossed. Hence, though under nature it
    must generally be left doubtful, what cases are reversions to an
    anciently existing character, and what are new but analogous
    variations, yet we ought, on my theory, sometimes to find the varying
    offspring of a species assuming characters (either from reversion or
    from analogous variation) which already occur in some other members of
    the same group. And this undoubtedly is the case in nature.

    A considerable part of the difficulty in recognising a variable species
    in our systematic works, is due to its varieties mocking, as it were,
    some of the other species of the same genus. A considerable catalogue,
    also, could be given of forms intermediate between two other forms,
    which themselves must be doubtfully ranked as either varieties or
    species; and this shows, unless all these forms be considered as
    independently created species, that the one in varying has assumed some
    of the characters of the other, so as to produce the intermediate form.
    But the best evidence is afforded by parts or organs of an important
    and uniform nature occasionally varying so as to acquire, in some
    degree, the character of the same part or organ in an allied species. I
    have collected a long list of such cases; but
    here, as before, I lie under a great disadvantage in not being able to
    give them. I can only repeat that such cases certainly do occur, and
    seem to me very remarkable.

    I will, however, give one curious and complex case, not indeed as
    affecting any important character, but from occurring in several
    species of the same genus, partly under domestication and partly under
    nature. It is a case apparently of reversion. The ass not rarely has
    very distinct transverse bars on its legs, like those on the legs of a
    zebra: it has been asserted that these are plainest in the foal, and
    from inquiries which I have made, I believe this to be true. It has
    also been asserted that the stripe on each shoulder is sometimes
    double. The shoulder stripe is certainly very variable in length and
    outline. A white ass, but not an albino, has been described without
    either spinal or shoulder-stripe; and these stripes are sometimes very
    obscure, or actually quite lost, in dark-coloured asses. The koulan of
    Pallas is said to have been seen with a double shoulder-stripe. The
    hemionus has no shoulder-stripe; but traces of it, as stated by Mr.
    Blyth and others, occasionally appear: and I have been informed by
    Colonel Poole that the foals of this species are generally striped on
    the legs, and faintly on the shoulder. The quagga, though so plainly
    barred like a zebra over the body, is without bars on the legs; but Dr.
    Gray has figured one specimen with very distinct zebra-like bars on the
    hocks.

    With respect to the horse, I have collected cases in England of the
    spinal stripe in horses of the most distinct breeds, and of all
    colours; transverse bars on the legs are not rare in duns, mouse-duns,
    and in one instance in a chestnut: a faint shoulder-stripe may
    sometimes be seen in duns, and I have seen a trace in a
    bay horse. My son made a careful examination and sketch for me of a dun
    Belgian cart-horse with a double stripe on each shoulder and with
    leg-stripes; and a man, whom I can implicitly trust, has examined for
    me a small dun Welch pony with three short parallel stripes on each
    shoulder.

    In the north-west part of India the Kattywar breed of horses is so
    generally striped, that, as I hear from Colonel Poole, who examined the
    breed for the Indian Government, a horse without stripes is not
    considered as purely-bred. The spine is always striped; the legs are
    generally barred; and the shoulder-stripe, which is sometimes double
    and sometimes treble, is common; the side of the face, moreover, is
    sometimes striped. The stripes are plainest in the foal; and sometimes
    quite disappear in old horses. Colonel Poole has seen both gray and bay
    Kattywar horses striped when first foaled. I have, also, reason to
    suspect, from information given me by Mr. W. W. Edwards, that with the
    English race-horse the spinal stripe is much commoner in the foal than
    in the full-grown animal. Without here entering on further details, I
    may state that I have collected cases of leg and shoulder stripes in
    horses of very different breeds, in various countries from Britain to
    Eastern China; and from Norway in the north to the Malay Archipelago in
    the south. In all parts of the world these stripes occur far oftenest
    in duns and mouse-duns; by the term dun a large range of colour is
    included, from one between brown and black to a close approach to
    cream-colour.

    I am aware that Colonel Hamilton Smith, who has written on this
    subject, believes that the several breeds of the horse have descended
    from several aboriginal species—one of which, the dun, was striped; and
    that the above-described appearances are all due to ancient
    crosses with the dun stock. But I am not at all satisfied with this
    theory, and should be loth to apply it to breeds so distinct as the
    heavy Belgian cart-horse, Welch ponies, cobs, the lanky Kattywar race,
    etc., inhabiting the most distant parts of the world.

    Now let us turn to the effects of crossing the several species of the
    horse-genus. Rollin asserts, that the common mule from the ass and
    horse is particularly apt to have bars on its legs. I once saw a mule
    with its legs so much striped that any one at first would have thought
    that it must have been the product of a zebra; and Mr. W. C. Martin, in
    his excellent treatise on the horse, has given a figure of a similar
    mule. In four coloured drawings, which I have seen, of hybrids between
    the ass and zebra, the legs were much more plainly barred than the rest
    of the body; and in one of them there was a double shoulder-stripe. In
    Lord Moreton’s famous hybrid from a chestnut mare and male quagga, the
    hybrid, and even the pure offspring subsequently produced from the mare
    by a black Arabian sire, were much more plainly barred across the legs
    than is even the pure quagga. Lastly, and this is another most
    remarkable case, a hybrid has been figured by Dr. Gray (and he informs
    me that he knows of a second case) from the ass and the hemionus; and
    this hybrid, though the ass seldom has stripes on its legs and the
    hemionus has none and has not even a shoulder-stripe, nevertheless had
    all four legs barred, and had three short shoulder-stripes, like those
    on the dun Welch pony, and even had some zebra-like stripes on the
    sides of its face. With respect to this last fact, I was so convinced
    that not even a stripe of colour appears from what would commonly be
    called an accident, that I was led solely from the occurrence of the
    face-stripes on this hybrid from the ass and hemionus,
    to ask Colonel Poole whether such face-stripes ever occur in the
    eminently striped Kattywar breed of horses, and was, as we have seen,
    answered in the affirmative.

    What now are we to say to these several facts? We see several very
    distinct species of the horse-genus becoming, by simple variation,
    striped on the legs like a zebra, or striped on the shoulders like an
    ass. In the horse we see this tendency strong whenever a dun tint
    appears—a tint which approaches to that of the general colouring of the
    other species of the genus. The appearance of the stripes is not
    accompanied by any change of form or by any other new character. We see
    this tendency to become striped most strongly displayed in hybrids from
    between several of the most distinct species. Now observe the case of
    the several breeds of pigeons: they are descended from a pigeon
    (including two or three sub-species or geographical races) of a bluish
    colour, with certain bars and other marks; and when any breed assumes
    by simple variation a bluish tint, these bars and other marks
    invariably reappear; but without any other change of form or character.
    When the oldest and truest breeds of various colours are crossed, we
    see a strong tendency for the blue tint and bars and marks to reappear
    in the mongrels. I have stated that the most probable hypothesis to
    account for the reappearance of very ancient characters, is—that there
    is a tendency in the young of each successive generation to produce
    the long-lost character, and that this tendency, from unknown causes,
    sometimes prevails. And we have just seen that in several species of
    the horse-genus the stripes are either plainer or appear more commonly
    in the young than in the old. Call the breeds of pigeons, some of which
    have bred true for centuries, species; and how exactly parallel is the
    case with that of the species of the horse-genus!
    For myself, I venture confidently to look back thousands on thousands
    of generations, and I see an animal striped like a zebra, but perhaps
    otherwise very differently constructed, the common parent of our
    domestic horse, whether or not it be descended from one or more wild
    stocks, of the ass, the hemionus, quagga, and zebra.

    He who believes that each equine species was independently created,
    will, I presume, assert that each species has been created with a
    tendency to vary, both under nature and under domestication, in this
    particular manner, so as often to become striped like other species of
    the genus; and that each has been created with a strong tendency, when
    crossed with species inhabiting distant quarters of the world, to
    produce hybrids resembling in their stripes, not their own parents, but
    other species of the genus. To admit this view is, as it seems to me,
    to reject a real for an unreal, or at least for an unknown, cause. It
    makes the works of God a mere mockery and deception; I would almost as
    soon believe with the old and ignorant cosmogonists, that fossil shells
    had never lived, but had been created in stone so as to mock the shells
    now living on the sea-shore.

    Summary.—Our ignorance of the laws of variation is profound. Not in
    one case out of a hundred can we pretend to assign any reason why this
    or that part differs, more or less, from the same part in the parents.
    But whenever we have the means of instituting a comparison, the same
    laws appear to have acted in producing the lesser differences between
    varieties of the same species, and the greater differences between
    species of the same genus. The external conditions of life, as climate
    and food, etc., seem to have induced some slight modifications. Habit
    in producing constitutional differences,
    and use in strengthening, and disuse in weakening and diminishing
    organs, seem to have been more potent in their effects. Homologous
    parts tend to vary in the same way, and homologous parts tend to
    cohere. Modifications in hard parts and in external parts sometimes
    affect softer and internal parts. When one part is largely developed,
    perhaps it tends to draw nourishment from the adjoining parts; and
    every part of the structure which can be saved without detriment to the
    individual, will be saved. Changes of structure at an early age will
    generally affect parts subsequently developed; and there are very many
    other correlations of growth, the nature of which we are utterly unable
    to understand. Multiple parts are variable in number and in structure,
    perhaps arising from such parts not having been closely specialised to
    any particular function, so that their modifications have not been
    closely checked by natural selection. It is probably from this same
    cause that organic beings low in the scale of nature are more variable
    than those which have their whole organisation more specialised, and
    are higher in the scale. Rudimentary organs, from being useless, will
    be disregarded by natural selection, and hence probably are variable.
    Specific characters—that is, the characters which have come to differ
    since the several species of the same genus branched off from a common
    parent—are more variable than generic characters, or those which have
    long been inherited, and have not differed within this same period. In
    these remarks we have referred to special parts or organs being still
    variable, because they have recently varied and thus come to differ;
    but we have also seen in the second Chapter that the same principle
    applies to the whole individual; for in a district where many species
    of any genus are found—that is, where there has been much former
    variation and differentiation, or where the manufactory of new specific
    forms has been actively at work—there, on an average, we now find most
    varieties or incipient species. Secondary sexual characters are highly
    variable, and such characters differ much in the species of the same
    group. Variability in the same parts of the organisation has generally
    been taken advantage of in giving secondary sexual differences to the
    sexes of the same species, and specific differences to the several
    species of the same genus. Any part or organ developed to an
    extraordinary size or in an extraordinary manner, in comparison with
    the same part or organ in the allied species, must have gone through an
    extraordinary amount of modification since the genus arose; and thus we
    can understand why it should often still be variable in a much higher
    degree than other parts; for variation is a long-continued and slow
    process, and natural selection will in such cases not as yet have had
    time to overcome the tendency to further variability and to reversion
    to a less modified state. But when a species with any
    extraordinarily-developed organ has become the parent of many modified
    descendants—which on my view must be a very slow process, requiring a
    long lapse of time—in this case, natural selection may readily have
    succeeded in giving a fixed character to the organ, in however
    extraordinary a manner it may be developed. Species inheriting nearly
    the same constitution from a common parent and exposed to similar
    influences will naturally tend to present analogous variations, and
    these same species may occasionally revert to some of the characters of
    their ancient progenitors. Although new and important modifications may
    not arise from reversion and analogous variation, such modifications
    will add to the beautiful and harmonious diversity of nature.

    Whatever the cause may be of each slight difference in the offspring
    from their parents—and a cause for each must exist—it is the steady
    accumulation, through natural selection, of such differences, when
    beneficial to the individual, that gives rise to all the more important
    modifications of structure, by which the innumerable beings on the face
    of this earth are enabled to struggle with each other, and the best
    adapted to survive.

    CHAPTER VI.
    DIFFICULTIES ON THEORY.

    Difficulties on the theory of descent with modification. Transitions.
    Absence or rarity of transitional varieties. Transitions in habits of
    life. Diversified habits in the same species. Species with habits
    widely different from those of their allies. Organs of extreme
    perfection. Means of transition. Cases of difficulty. Natura non facit
    saltum. Organs of small importance. Organs not in all cases absolutely
    perfect. The law of Unity of Type and of the Conditions of Existence
    embraced by the theory of Natural Selection.

    Long before having arrived at this part of my work, a crowd of
    difficulties will have occurred to the reader. Some of them are so
    grave that to this day I can never reflect on them without being
    staggered; but, to the best of my judgment, the greater number are only
    apparent, and those that are real are not, I think, fatal to my theory.

    These difficulties and objections may be classed under the following
    heads:—

    Firstly, why, if species have descended from other species by
    insensibly fine gradations, do we not everywhere see innumerable
    transitional forms? Why is not all nature in confusion instead of the
    species being, as we see them, well defined?

    Secondly, is it possible that an animal having, for instance, the
    structure and habits of a bat, could have been formed by the
    modification of some animal with wholly different habits? Can we
    believe that natural selection could produce, on the one hand, organs
    of trifling importance, such as the tail of a giraffe, which serves as
    a fly-flapper, and, on the other hand, organs of
    such wonderful structure, as the eye, of which we hardly as yet fully
    understand the inimitable perfection?

    Thirdly, can instincts be acquired and modified through natural
    selection? What shall we say to so marvellous an instinct as that which
    leads the bee to make cells, which have practically anticipated the
    discoveries of profound mathematicians?

    Fourthly, how can we account for species, when crossed, being sterile
    and producing sterile offspring, whereas, when varieties are crossed,
    their fertility is unimpaired?

    The two first heads shall be here discussed—Instinct and Hybridism in
    separate chapters.

    On the absence or rarity of transitional varieties.—As natural
    selection acts solely by the preservation of profitable modifications,
    each new form will tend in a fully-stocked country to take the place
    of, and finally to exterminate, its own less improved parent or other
    less-favoured forms with which it comes into competition. Thus
    extinction and natural selection will, as we have seen, go hand in
    hand. Hence, if we look at each species as descended from some other
    unknown form, both the parent and all the transitional varieties will
    generally have been exterminated by the very process of formation and
    perfection of the new form.

    But, as by this theory innumerable transitional forms must have
    existed, why do we not find them embedded in countless numbers in the
    crust of the earth? It will be much more convenient to discuss this
    question in the chapter on the Imperfection of the geological record;
    and I will here only state that I believe the answer mainly lies in the
    record being incomparably less perfect than is generally supposed; the
    imperfection of the record being chiefly due to organic beings not
    inhabiting
    profound depths of the sea, and to their remains being embedded and
    preserved to a future age only in masses of sediment sufficiently thick
    and extensive to withstand an enormous amount of future degradation;
    and such fossiliferous masses can be accumulated only where much
    sediment is deposited on the shallow bed of the sea, whilst it slowly
    subsides. These contingencies will concur only rarely, and after
    enormously long intervals. Whilst the bed of the sea is stationary or
    is rising, or when very little sediment is being deposited, there will
    be blanks in our geological history. The crust of the earth is a vast
    museum; but the natural collections have been made only at intervals of
    time immensely remote.

    But it may be urged that when several closely-allied species inhabit
    the same territory we surely ought to find at the present time many
    transitional forms. Let us take a simple case: in travelling from north
    to south over a continent, we generally meet at successive intervals
    with closely allied or representative species, evidently filling nearly
    the same place in the natural economy of the land. These representative
    species often meet and interlock; and as the one becomes rarer and
    rarer, the other becomes more and more frequent, till the one replaces
    the other. But if we compare these species where they intermingle, they
    are generally as absolutely distinct from each other in every detail of
    structure as are specimens taken from the metropolis inhabited by each.
    By my theory these allied species have descended from a common parent;
    and during the process of modification, each has become adapted to the
    conditions of life of its own region, and has supplanted and
    exterminated its original parent and all the transitional varieties
    between its past and present states. Hence we ought not to expect at
    the
    present time to meet with numerous transitional varieties in each
    region, though they must have existed there, and may be embedded there
    in a fossil condition. But in the intermediate region, having
    intermediate conditions of life, why do we not now find closely-linking
    intermediate varieties? This difficulty for a long time quite
    confounded me. But I think it can be in large part explained.

    In the first place we should be extremely cautious in inferring,
    because an area is now continuous, that it has been continuous during a
    long period. Geology would lead us to believe that almost every
    continent has been broken up into islands even during the later
    tertiary periods; and in such islands distinct species might have been
    separately formed without the possibility of intermediate varieties
    existing in the intermediate zones. By changes in the form of the land
    and of climate, marine areas now continuous must often have existed
    within recent times in a far less continuous and uniform condition than
    at present. But I will pass over this way of escaping from the
    difficulty; for I believe that many perfectly defined species have been
    formed on strictly continuous areas; though I do not doubt that the
    formerly broken condition of areas now continuous has played an
    important part in the formation of new species, more especially with
    freely-crossing and wandering animals.

    In looking at species as they are now distributed over a wide area, we
    generally find them tolerably numerous over a large territory, then
    becoming somewhat abruptly rarer and rarer on the confines, and finally
    disappearing. Hence the neutral territory between two representative
    species is generally narrow in comparison with the territory proper to
    each. We see the same fact in ascending mountains, and sometimes
    it is quite remarkable how abruptly, as Alph. De Candolle has observed,
    a common alpine species disappears. The same fact has been noticed by
    Forbes in sounding the depths of the sea with the dredge. To those who
    look at climate and the physical conditions of life as the
    all-important elements of distribution, these facts ought to cause
    surprise, as climate and height or depth graduate away insensibly. But
    when we bear in mind that almost every species, even in its metropolis,
    would increase immensely in numbers, were it not for other competing
    species; that nearly all either prey on or serve as prey for others; in
    short, that each organic being is either directly or indirectly related
    in the most important manner to other organic beings, we must see that
    the range of the inhabitants of any country by no means exclusively
    depends on insensibly changing physical conditions, but in large part
    on the presence of other species, on which it depends, or by which it
    is destroyed, or with which it comes into competition; and as these
    species are already defined objects (however they may have become so),
    not blending one into another by insensible gradations, the range of
    any one species, depending as it does on the range of others, will tend
    to be sharply defined. Moreover, each species on the confines of its
    range, where it exists in lessened numbers, will, during fluctuations
    in the number of its enemies or of its prey, or in the seasons, be
    extremely liable to utter extermination; and thus its geographical
    range will come to be still more sharply defined.

    If I am right in believing that allied or representative species, when
    inhabiting a continuous area, are generally so distributed that each
    has a wide range, with a comparatively narrow neutral territory between
    them, in which they become rather suddenly rarer and rarer; then, as
    varieties do not essentially differ from species,
    the same rule will probably apply to both; and if we in imagination
    adapt a varying species to a very large area, we shall have to adapt
    two varieties to two large areas, and a third variety to a narrow
    intermediate zone. The intermediate variety, consequently, will exist
    in lesser numbers from inhabiting a narrow and lesser area; and
    practically, as far as I can make out, this rule holds good with
    varieties in a state of nature. I have met with striking instances of
    the rule in the case of varieties intermediate between well-marked
    varieties in the genus Balanus. And it would appear from information
    given me by Mr. Watson, Dr. Asa Gray, and Mr. Wollaston, that generally
    when varieties intermediate between two other forms occur, they are
    much rarer numerically than the forms which they connect. Now, if we
    may trust these facts and inferences, and therefore conclude that
    varieties linking two other varieties together have generally existed
    in lesser numbers than the forms which they connect, then, I think, we
    can understand why intermediate varieties should not endure for very
    long periods;—why as a general rule they should be exterminated and
    disappear, sooner than the forms which they originally linked together.

    For any form existing in lesser numbers would, as already remarked, run
    a greater chance of being exterminated than one existing in large
    numbers; and in this particular case the intermediate form would be
    eminently liable to the inroads of closely allied forms existing on
    both sides of it. But a far more important consideration, as I believe,
    is that, during the process of further modification, by which two
    varieties are supposed on my theory to be converted and perfected into
    two distinct species, the two which exist in larger numbers from
    inhabiting larger areas, will have a great advantage over the
    intermediate variety, which exists
    in smaller numbers in a narrow and intermediate zone. For forms
    existing in larger numbers will always have a better chance, within any
    given period, of presenting further favourable variations for natural
    selection to seize on, than will the rarer forms which exist in lesser
    numbers. Hence, the more common forms, in the race for life, will tend
    to beat and supplant the less common forms, for these will be more
    slowly modified and improved. It is the same principle which, as I
    believe, accounts for the common species in each country, as shown in
    the second chapter, presenting on an average a greater number of
    well-marked varieties than do the rarer species. I may illustrate what
    I mean by supposing three varieties of sheep to be kept, one adapted to
    an extensive mountainous region; a second to a comparatively narrow,
    hilly tract; and a third to wide plains at the base; and that the
    inhabitants are all trying with equal steadiness and skill to improve
    their stocks by selection; the chances in this case will be strongly in
    favour of the great holders on the mountains or on the plains improving
    their breeds more quickly than the small holders on the intermediate
    narrow, hilly tract; and consequently the improved mountain or plain
    breed will soon take the place of the less improved hill breed; and
    thus the two breeds, which originally existed in greater numbers, will
    come into close contact with each other, without the interposition of
    the supplanted, intermediate hill-variety.

    To sum up, I believe that species come to be tolerably well-defined
    objects, and do not at any one period present an inextricable chaos of
    varying and intermediate links: firstly, because new varieties are very
    slowly formed, for variation is a very slow process, and natural
    selection can do nothing until favourable variations chance to occur,
    and until a place in the natural polity
    of the country can be better filled by some modification of some one or
    more of its inhabitants. And such new places will depend on slow
    changes of climate, or on the occasional immigration of new
    inhabitants, and, probably, in a still more important degree, on some
    of the old inhabitants becoming slowly modified, with the new forms
    thus produced and the old ones acting and reacting on each other. So
    that, in any one region and at any one time, we ought only to see a few
    species presenting slight modifications of structure in some degree
    permanent; and this assuredly we do see.

    Secondly, areas now continuous must often have existed within the
    recent period in isolated portions, in which many forms, more
    especially amongst the classes which unite for each birth and wander
    much, may have separately been rendered sufficiently distinct to rank
    as representative species. In this case, intermediate varieties between
    the several representative species and their common parent, must
    formerly have existed in each broken portion of the land, but these
    links will have been supplanted and exterminated during the process of
    natural selection, so that they will no longer exist in a living state.

    Thirdly, when two or more varieties have been formed in different
    portions of a strictly continuous area, intermediate varieties will, it
    is probable, at first have been formed in the intermediate zones, but
    they will generally have had a short duration. For these intermediate
    varieties will, from reasons already assigned (namely from what we know
    of the actual distribution of closely allied or representative species,
    and likewise of acknowledged varieties), exist in the intermediate
    zones in lesser numbers than the varieties which they tend to connect.
    From this cause alone the intermediate
    varieties will be liable to accidental extermination; and during the
    process of further modification through natural selection, they will
    almost certainly be beaten and supplanted by the forms which they
    connect; for these from existing in greater numbers will, in the
    aggregate, present more variation, and thus be further improved through
    natural selection and gain further advantages.

    Lastly, looking not to any one time, but to all time, if my theory be
    true, numberless intermediate varieties, linking most closely all the
    species of the same group together, must assuredly have existed; but
    the very process of natural selection constantly tends, as has been so
    often remarked, to exterminate the parent forms and the intermediate
    links. Consequently evidence of their former existence could be found
    only amongst fossil remains, which are preserved, as we shall in a
    future chapter attempt to show, in an extremely imperfect and
    intermittent record.

    On the origin and transitions of organic beings with peculiar habits and structure.—It has been asked by the opponents of such views as I
    hold, how, for instance, a land carnivorous animal could have been
    converted into one with aquatic habits; for how could the animal in its
    transitional state have subsisted? It would be easy to show that within
    the same group carnivorous animals exist having every intermediate
    grade between truly aquatic and strictly terrestrial habits; and as
    each exists by a struggle for life, it is clear that each is well
    adapted in its habits to its place in nature. Look at the Mustela vison
    of North America, which has webbed feet and which resembles an otter in
    its fur, short legs, and form of tail; during summer this animal dives
    for and preys on fish, but during the long winter
    it leaves the frozen waters, and preys like other polecats on mice and
    land animals. If a different case had been taken, and it had been asked
    how an insectivorous quadruped could possibly have been converted into
    a flying bat, the question would have been far more difficult, and I
    could have given no answer. Yet I think such difficulties have very
    little weight.

    Here, as on other occasions, I lie under a heavy disadvantage, for out
    of the many striking cases which I have collected, I can give only one
    or two instances of transitional habits and structures in closely
    allied species of the same genus; and of diversified habits, either
    constant or occasional, in the same species. And it seems to me that
    nothing less than a long list of such cases is sufficient to lessen the
    difficulty in any particular case like that of the bat.

    Look at the family of squirrels; here we have the finest gradation from
    animals with their tails only slightly flattened, and from others, as
    Sir J. Richardson has remarked, with the posterior part of their bodies
    rather wide and with the skin on their flanks rather full, to the
    so-called flying squirrels; and flying squirrels have their limbs and
    even the base of the tail united by a broad expanse of skin, which
    serves as a parachute and allows them to glide through the air to an
    astonishing distance from tree to tree. We cannot doubt that each
    structure is of use to each kind of squirrel in its own country, by
    enabling it to escape birds or beasts of prey, or to collect food more
    quickly, or, as there is reason to believe, by lessening the danger
    from occasional falls. But it does not follow from this fact that the
    structure of each squirrel is the best that it is possible to conceive
    under all natural conditions. Let the climate and vegetation change,
    let other competing rodents or new beasts of prey immigrate, or old
    ones
    become modified, and all analogy would lead us to believe that some at
    least of the squirrels would decrease in numbers or become
    exterminated, unless they also became modified and improved in
    structure in a corresponding manner. Therefore, I can see no
    difficulty, more especially under changing conditions of life, in the
    continued preservation of individuals with fuller and fuller
    flank-membranes, each modification being useful, each being propagated,
    until by the accumulated effects of this process of natural selection,
    a perfect so-called flying squirrel was produced.

    Now look at the Galeopithecus or flying lemur, which formerly was
    falsely ranked amongst bats. It has an extremely wide flank-membrane,
    stretching from the corners of the jaw to the tail, and including the
    limbs and the elongated fingers: the flank membrane is, also, furnished
    with an extensor muscle. Although no graduated links of structure,
    fitted for gliding through the air, now connect the Galeopithecus with
    the other Lemuridæ, yet I can see no difficulty in supposing that such
    links formerly existed, and that each had been formed by the same steps
    as in the case of the less perfectly gliding squirrels; and that each
    grade of structure had been useful to its possessor. Nor can I see any
    insuperable difficulty in further believing it possible that the
    membrane-connected fingers and fore-arm of the Galeopithecus might be
    greatly lengthened by natural selection; and this, as far as the organs
    of flight are concerned, would convert it into a bat. In bats which
    have the wing-membrane extended from the top of the shoulder to the
    tail, including the hind-legs, we perhaps see traces of an apparatus
    originally constructed for gliding through the air rather than for
    flight.

    If about a dozen genera of birds had become extinct or were unknown,
    who would have ventured to have
    surmised that birds might have existed which used their wings solely as
    flappers, like the logger-headed duck (Micropterus of Eyton); as fins
    in the water and front legs on the land, like the penguin; as sails,
    like the ostrich; and functionally for no purpose, like the Apteryx.
    Yet the structure of each of these birds is good for it, under the
    conditions of life to which it is exposed, for each has to live by a
    struggle; but it is not necessarily the best possible under all
    possible conditions. It must not be inferred from these remarks that
    any of the grades of wing-structure here alluded to, which perhaps may
    all have resulted from disuse, indicate the natural steps by which
    birds have acquired their perfect power of flight; but they serve, at
    least, to show what diversified means of transition are possible.

    Seeing that a few members of such water-breathing classes as the
    Crustacea and Mollusca are adapted to live on the land, and seeing that
    we have flying birds and mammals, flying insects of the most
    diversified types, and formerly had flying reptiles, it is conceivable
    that flying-fish, which now glide far through the air, slightly rising
    and turning by the aid of their fluttering fins, might have been
    modified into perfectly winged animals. If this had been effected, who
    would have ever imagined that in an early transitional state they had
    been inhabitants of the open ocean, and had used their incipient organs
    of flight exclusively, as far as we know, to escape being devoured by
    other fish?

    When we see any structure highly perfected for any particular habit, as
    the wings of a bird for flight, we should bear in mind that animals
    displaying early transitional grades of the structure will seldom
    continue to exist to the present day, for they will have been
    supplanted by the very process of perfection through natural selection.
    Furthermore, we may conclude that transitional
    grades between structures fitted for very different habits of life will
    rarely have been developed at an early period in great numbers and
    under many subordinate forms. Thus, to return to our imaginary
    illustration of the flying-fish, it does not seem probable that fishes
    capable of true flight would have been developed under many subordinate
    forms, for taking prey of many kinds in many ways, on the land and in
    the water, until their organs of flight had come to a high stage of
    perfection, so as to have given them a decided advantage over other
    animals in the battle for life. Hence the chance of discovering species
    with transitional grades of structure in a fossil condition will always
    be less, from their having existed in lesser numbers, than in the case
    of species with fully developed structures.

    I will now give two or three instances of diversified and of changed
    habits in the individuals of the same species. When either case occurs,
    it would be easy for natural selection to fit the animal, by some
    modification of its structure, for its changed habits, or exclusively
    for one of its several different habits. But it is difficult to tell,
    and immaterial for us, whether habits generally change first and
    structure afterwards; or whether slight modifications of structure lead
    to changed habits; both probably often change almost simultaneously. Of
    cases of changed habits it will suffice merely to allude to that of the
    many British insects which now feed on exotic plants, or exclusively on
    artificial substances. Of diversified habits innumerable instances
    could be given: I have often watched a tyrant flycatcher (Saurophagus
    sulphuratus) in South America, hovering over one spot and then
    proceeding to another, like a kestrel, and at other times standing
    stationary on the margin of water, and then dashing like a kingfisher
    at a fish. In our own country the larger titmouse (Parus major) may be
    seen climbing branches, almost like a creeper; it often, like a shrike,
    kills small birds by blows on the head; and I have many times seen and
    heard it hammering the seeds of the yew on a branch, and thus breaking
    them like a nuthatch. In North America the black bear was seen by
    Hearne swimming for hours with widely open mouth, thus catching, like a
    whale, insects in the water. Even in so extreme a case as this, if the
    supply of insects were constant, and if better adapted competitors did
    not already exist in the country, I can see no difficulty in a race of
    bears being rendered, by natural selection, more and more aquatic in
    their structure and habits, with larger and larger mouths, till a
    creature was produced as monstrous as a whale.

    As we sometimes see individuals of a species following habits widely
    different from those both of their own species and of the other species
    of the same genus, we might expect, on my theory, that such individuals
    would occasionally have given rise to new species, having anomalous
    habits, and with their structure either slightly or considerably
    modified from that of their proper type. And such instances do occur in
    nature. Can a more striking instance of adaptation be given than that
    of a woodpecker for climbing trees and for seizing insects in the
    chinks of the bark? Yet in North America there are woodpeckers which
    feed largely on fruit, and others with elongated wings which chase
    insects on the wing; and on the plains of La Plata, where not a tree
    grows, there is a woodpecker, which in every essential part of its
    organisation, even in its colouring, in the harsh tone of its voice,
    and undulatory flight, told me plainly of its close blood-relationship
    to our common species; yet it is a woodpecker which never climbs a
    tree!

    Petrels are the most aërial and oceanic of birds, yet in the quiet
    Sounds of Tierra del Fuego, the Puffinuria
    berardi, in its general habits, in its astonishing power of diving, its
    manner of swimming, and of flying when unwillingly it takes flight,
    would be mistaken by any one for an auk or grebe; nevertheless, it is
    essentially a petrel, but with many parts of its organisation
    profoundly modified. On the other hand, the acutest observer by
    examining the dead body of the water-ouzel would never have suspected
    its sub-aquatic habits; yet this anomalous member of the strictly
    terrestrial thrush family wholly subsists by diving,—grasping the
    stones with its feet and using its wings under water.

    He who believes that each being has been created as we now see it, must
    occasionally have felt surprise when he has met with an animal having
    habits and structure not at all in agreement. What can be plainer than
    that the webbed feet of ducks and geese are formed for swimming? yet
    there are upland geese with webbed feet which rarely or never go near
    the water; and no one except Audubon has seen the frigate-bird, which
    has all its four toes webbed, alight on the surface of the sea. On the
    other hand, grebes and coots are eminently aquatic, although their toes
    are only bordered by membrane. What seems plainer than that the long
    toes of grallatores are formed for walking over swamps and floating
    plants, yet the water-hen is nearly as aquatic as the coot; and the
    landrail nearly as terrestrial as the quail or partridge. In such
    cases, and many others could be given, habits have changed without a
    corresponding change of structure. The webbed feet of the upland goose
    may be said to have become rudimentary in function, though not in
    structure. In the frigate-bird, the deeply-scooped membrane between the
    toes shows that structure has begun to change.

    He who believes in separate and innumerable acts of creation will say,
    that in these cases it has pleased the
    Creator to cause a being of one type to take the place of one of
    another type; but this seems to me only restating the fact in dignified
    language. He who believes in the struggle for existence and in the
    principle of natural selection, will acknowledge that every organic
    being is constantly endeavouring to increase in numbers; and that if
    any one being vary ever so little, either in habits or structure, and
    thus gain an advantage over some other inhabitant of the country, it
    will seize on the place of that inhabitant, however different it may be
    from its own place. Hence it will cause him no surprise that there
    should be geese and frigate-birds with webbed feet, either living on
    the dry land or most rarely alighting on the water; that there should
    be long-toed corncrakes living in meadows instead of in swamps; that
    there should be woodpeckers where not a tree grows; that there should
    be diving thrushes, and petrels with the habits of auks.

    Organs of extreme perfection and complication.—To suppose that the
    eye, with all its inimitable contrivances for adjusting the focus to
    different distances, for admitting different amounts of light, and for
    the correction of spherical and chromatic aberration, could have been
    formed by natural selection, seems, I freely confess, absurd in the
    highest possible degree. Yet reason tells me, that if numerous
    gradations from a perfect and complex eye to one very imperfect and
    simple, each grade being useful to its possessor, can be shown to
    exist; if further, the eye does vary ever so slightly, and the
    variations be inherited, which is certainly the case; and if any
    variation or modification in the organ be ever useful to an animal
    under changing conditions of life, then the difficulty of believing
    that a perfect and complex eye could be formed by natural
    selection, though insuperable by our imagination, can hardly be
    considered real. How a nerve comes to be sensitive to light, hardly
    concerns us more than how life itself first originated; but I may
    remark that several facts make me suspect that any sensitive nerve may
    be rendered sensitive to light, and likewise to those coarser
    vibrations of the air which produce sound.

    In looking for the gradations by which an organ in any species has been
    perfected, we ought to look exclusively to its lineal ancestors; but
    this is scarcely ever possible, and we are forced in each case to look
    to species of the same group, that is to the collateral descendants
    from the same original parent-form, in order to see what gradations are
    possible, and for the chance of some gradations having been transmitted
    from the earlier stages of descent, in an unaltered or little altered
    condition. Amongst existing Vertebrata, we find but a small amount of
    gradation in the structure of the eye, and from fossil species we can
    learn nothing on this head. In this great class we should probably have
    to descend far beneath the lowest known fossiliferous stratum to
    discover the earlier stages, by which the eye has been perfected.

    In the Articulata we can commence a series with an optic nerve merely
    coated with pigment, and without any other mechanism; and from this low
    stage, numerous gradations of structure, branching off in two
    fundamentally different lines, can be shown to exist, until we reach a
    moderately high stage of perfection. In certain crustaceans, for
    instance, there is a double cornea, the inner one divided into facets,
    within each of which there is a lens-shaped swelling. In other
    crustaceans the transparent cones which are coated by pigment, and
    which properly act only by excluding lateral pencils of light, are
    convex at their upper ends
    and must act by convergence; and at their lower ends there seems to be
    an imperfect vitreous substance. With these facts, here far too briefly
    and imperfectly given, which show that there is much graduated
    diversity in the eyes of living crustaceans, and bearing in mind how
    small the number of living animals is in proportion to those which have
    become extinct, I can see no very great difficulty (not more than in
    the case of many other structures) in believing that natural selection
    has converted the simple apparatus of an optic nerve merely coated with
    pigment and invested by transparent membrane, into an optical
    instrument as perfect as is possessed by any member of the great
    Articulate class.

    He who will go thus far, if he find on finishing this treatise that
    large bodies of facts, otherwise inexplicable, can be explained by the
    theory of descent, ought not to hesitate to go further, and to admit
    that a structure even as perfect as the eye of an eagle might be formed
    by natural selection, although in this case he does not know any of the
    transitional grades. His reason ought to conquer his imagination;
    though I have felt the difficulty far too keenly to be surprised at any
    degree of hesitation in extending the principle of natural selection to
    such startling lengths.

    It is scarcely possible to avoid comparing the eye to a telescope. We
    know that this instrument has been perfected by the long-continued
    efforts of the highest human intellects; and we naturally infer that
    the eye has been formed by a somewhat analogous process. But may not
    this inference be presumptuous? Have we any right to assume that the
    Creator works by intellectual powers like those of man? If we must
    compare the eye to an optical instrument, we ought in imagination to
    take a thick layer of transparent tissue, with a nerve sensitive to
    light beneath, and then suppose every
    part of this layer to be continually changing slowly in density, so as
    to separate into layers of different densities and thicknesses, placed
    at different distances from each other, and with the surfaces of each
    layer slowly changing in form. Further we must suppose that there is a
    power always intently watching each slight accidental alteration in the
    transparent layers; and carefully selecting each alteration which,
    under varied circumstances, may in any way, or in any degree, tend to
    produce a distincter image. We must suppose each new state of the
    instrument to be multiplied by the million; and each to be preserved
    till a better be produced, and then the old ones to be destroyed. In
    living bodies, variation will cause the slight alterations, generation
    will multiply them almost infinitely, and natural selection will pick
    out with unerring skill each improvement. Let this process go on for
    millions on millions of years; and during each year on millions of
    individuals of many kinds; and may we not believe that a living optical
    instrument might thus be formed as superior to one of glass, as the
    works of the Creator are to those of man?

    If it could be demonstrated that any complex organ existed, which could
    not possibly have been formed by numerous, successive, slight
    modifications, my theory would absolutely break down. But I can find
    out no such case. No doubt many organs exist of which we do not know
    the transitional grades, more especially if we look to much-isolated
    species, round which, according to my theory, there has been much
    extinction. Or again, if we look to an organ common to all the members
    of a large class, for in this latter case the organ must have been
    first formed at an extremely remote period, since which all the many
    members of the class have been developed; and in order to discover the
    early transitional grades through which the organ has
    passed, we should have to look to very ancient ancestral forms, long
    since become extinct.

    We should be extremely cautious in concluding that an organ could not
    have been formed by transitional gradations of some kind. Numerous
    cases could be given amongst the lower animals of the same organ
    performing at the same time wholly distinct functions; thus the
    alimentary canal respires, digests, and excretes in the larva of the
    dragon-fly and in the fish Cobites. In the Hydra, the animal may be
    turned inside out, and the exterior surface will then digest and the
    stomach respire. In such cases natural selection might easily
    specialise, if any advantage were thus gained, a part or organ, which
    had performed two functions, for one function alone, and thus wholly
    change its nature by insensible steps. Two distinct organs sometimes
    perform simultaneously the same function in the same individual; to
    give one instance, there are fish with gills or branchiæ that breathe
    the air dissolved in the water, at the same time that they breathe free
    air in their swimbladders, this latter organ having a ductus
    pneumaticus for its supply, and being divided by highly vascular
    partitions. In these cases, one of the two organs might with ease be
    modified and perfected so as to perform all the work by itself, being
    aided during the process of modification by the other organ; and then
    this other organ might be modified for some other and quite distinct
    purpose, or be quite obliterated.

    The illustration of the swimbladder in fishes is a good one, because it
    shows us clearly the highly important fact that an organ originally
    constructed for one purpose, namely flotation, may be converted into
    one for a wholly different purpose, namely respiration. The swimbladder
    has, also, been worked in as an accessory to the auditory organs of
    certain fish, or, for I do not know which
    view is now generally held, a part of the auditory apparatus has been
    worked in as a complement to the swimbladder. All physiologists admit
    that the swimbladder is homologous, or “ideally similar,” in position
    and structure with the lungs of the higher vertebrate animals: hence
    there seems to me to be no great difficulty in believing that natural
    selection has actually converted a swimbladder into a lung, or organ
    used exclusively for respiration.

    I can, indeed, hardly doubt that all vertebrate animals having true
    lungs have descended by ordinary generation from an ancient prototype,
    of which we know nothing, furnished with a floating apparatus or
    swimbladder. We can thus, as I infer from Professor Owen’s interesting
    description of these parts, understand the strange fact that every
    particle of food and drink which we swallow has to pass over the
    orifice of the trachea, with some risk of falling into the lungs,
    notwithstanding the beautiful contrivance by which the glottis is
    closed. In the higher Vertebrata the branchiæ have wholly
    disappeared—the slits on the sides of the neck and the loop-like course
    of the arteries still marking in the embryo their former position. But
    it is conceivable that the now utterly lost branchiæ might have been
    gradually worked in by natural selection for some quite distinct
    purpose: in the same manner as, on the view entertained by some
    naturalists that the branchiæ and dorsal scales of Annelids are
    homologous with the wings and wing-covers of insects, it is probable
    that organs which at a very ancient period served for respiration have
    been actually converted into organs of flight.

    In considering transitions of organs, it is so important to bear in
    mind the probability of conversion from one function to another, that I
    will give one more instance. Pedunculated cirripedes have two minute
    folds of skin,
    called by me the ovigerous frena, which serve, through the means of a
    sticky secretion, to retain the eggs until they are hatched within the
    sack. These cirripedes have no branchiæ, the whole surface of the body
    and sack, including the small frena, serving for respiration. The
    Balanidæ or sessile cirripedes, on the other hand, have no ovigerous
    frena, the eggs lying loose at the bottom of the sack, in the
    well-enclosed shell; but they have large folded branchiæ. Now I think
    no one will dispute that the ovigerous frena in the one family are
    strictly homologous with the branchiæ of the other family; indeed, they
    graduate into each other. Therefore I do not doubt that little folds of
    skin, which originally served as ovigerous frena, but which, likewise,
    very slightly aided the act of respiration, have been gradually
    converted by natural selection into branchiæ, simply through an
    increase in their size and the obliteration of their adhesive glands.
    If all pedunculated cirripedes had become extinct, and they have
    already suffered far more extinction than have sessile cirripedes, who
    would ever have imagined that the branchiæ in this latter family had
    originally existed as organs for preventing the ova from being washed
    out of the sack?

    Although we must be extremely cautious in concluding that any organ
    could not possibly have been produced by successive transitional
    gradations, yet, undoubtedly, grave cases of difficulty occur, some of
    which will be discussed in my future work.

    One of the gravest is that of neuter insects, which are often very
    differently constructed from either the males or fertile females; but
    this case will be treated of in the next chapter. The electric organs
    of fishes offer another case of special difficulty; it is impossible to
    conceive by what steps these wondrous organs have been produced; but,
    as Owen and others have remarked,
    their intimate structure closely resembles that of common muscle; and
    as it has lately been shown that Rays have an organ closely analogous
    to the electric apparatus, and yet do not, as Matteuchi asserts,
    discharge any electricity, we must own that we are far too ignorant to
    argue that no transition of any kind is possible.

    The electric organs offer another and even more serious difficulty; for
    they occur in only about a dozen fishes, of which several are widely
    remote in their affinities. Generally when the same organ appears in
    several members of the same class, especially if in members having very
    different habits of life, we may attribute its presence to inheritance
    from a common ancestor; and its absence in some of the members to its
    loss through disuse or natural selection. But if the electric organs
    had been inherited from one ancient progenitor thus provided, we might
    have expected that all electric fishes would have been specially
    related to each other. Nor does geology at all lead to the belief that
    formerly most fishes had electric organs, which most of their modified
    descendants have lost. The presence of luminous organs in a few
    insects, belonging to different families and orders, offers a parallel
    case of difficulty. Other cases could be given; for instance in plants,
    the very curious contrivance of a mass of pollen-grains, borne on a
    foot-stalk with a sticky gland at the end, is the same in Orchis and
    Asclepias,—genera almost as remote as possible amongst flowering
    plants. In all these cases of two very distinct species furnished with
    apparently the same anomalous organ, it should be observed that,
    although the general appearance and function of the organ may be the
    same, yet some fundamental difference can generally be detected. I am
    inclined to believe that in nearly the same way as two men have
    sometimes independently hit on
    the very same invention, so natural selection, working for the good of
    each being and taking advantage of analogous variations, has sometimes
    modified in very nearly the same manner two parts in two organic
    beings, which owe but little of their structure in common to
    inheritance from the same ancestor.

    Although in many cases it is most difficult to conjecture by what
    transitions an organ could have arrived at its present state; yet,
    considering that the proportion of living and known forms to the
    extinct and unknown is very small, I have been astonished how rarely an
    organ can be named, towards which no transitional grade is known to
    lead. The truth of this remark is indeed shown by that old canon in
    natural history of “Natura non facit saltum.” We meet with this
    admission in the writings of almost every experienced naturalist; or,
    as Milne Edwards has well expressed it, nature is prodigal in variety,
    but niggard in innovation. Why, on the theory of Creation, should this
    be so? Why should all the parts and organs of many independent beings,
    each supposed to have been separately created for its proper place in
    nature, be so invariably linked together by graduated steps? Why should
    not Nature have taken a leap from structure to structure? On the theory
    of natural selection, we can clearly understand why she should not; for
    natural selection can act only by taking advantage of slight successive
    variations; she can never take a leap, but must advance by the shortest
    and slowest steps.

    Organs of little apparent importance.—As natural selection acts by
    life and death,—by the preservation of individuals with any favourable
    variation, and by the destruction of those with any unfavourable
    deviation of structure,—I have sometimes felt much difficulty in
    understanding the origin of simple parts, of which the importance does
    not seem sufficient to cause the preservation of successively varying
    individuals. I have sometimes felt as much difficulty, though of a very
    different kind, on this head, as in the case of an organ as perfect and
    complex as the eye.

    In the first place, we are much too ignorant in regard to the whole
    economy of any one organic being, to say what slight modifications
    would be of importance or not. In a former chapter I have given
    instances of most trifling characters, such as the down on fruit and
    the colour of the flesh, which, from determining the attacks of insects
    or from being correlated with constitutional differences, might
    assuredly be acted on by natural selection. The tail of the giraffe
    looks like an artificially constructed fly-flapper; and it seems at
    first incredible that this could have been adapted for its present
    purpose by successive slight modifications, each better and better, for
    so trifling an object as driving away flies; yet we should pause before
    being too positive even in this case, for we know that the distribution
    and existence of cattle and other animals in South America absolutely
    depends on their power of resisting the attacks of insects: so that
    individuals which could by any means defend themselves from these small
    enemies, would be able to range into new pastures and thus gain a great
    advantage. It is not that the larger quadrupeds are actually destroyed
    (except in some rare cases) by the flies, but they are incessantly
    harassed and their strength reduced, so that they are more subject to
    disease, or not so well enabled in a coming dearth to search for food,
    or to escape from beasts of prey.

    Organs now of trifling importance have probably in some cases been of
    high importance to an early progenitor, and, after having been slowly
    perfected at a
    former period, have been transmitted in nearly the same state, although
    now become of very slight use; and any actually injurious deviations in
    their structure will always have been checked by natural selection.
    Seeing how important an organ of locomotion the tail is in most aquatic
    animals, its general presence and use for many purposes in so many land
    animals, which in their lungs or modified swim-bladders betray their
    aquatic origin, may perhaps be thus accounted for. A well-developed
    tail having been formed in an aquatic animal, it might subsequently
    come to be worked in for all sorts of purposes, as a fly-flapper, an
    organ of prehension, or as an aid in turning, as with the dog, though
    the aid must be slight, for the hare, with hardly any tail, can double
    quickly enough.

    In the second place, we may sometimes attribute importance to
    characters which are really of very little importance, and which have
    originated from quite secondary causes, independently of natural
    selection. We should remember that climate, food, etc., probably have
    some little direct influence on the organisation; that characters
    reappear from the law of reversion; that correlation of growth will
    have had a most important influence in modifying various structures;
    and finally, that sexual selection will often have largely modified the
    external characters of animals having a will, to give one male an
    advantage in fighting with another or in charming the females. Moreover
    when a modification of structure has primarily arisen from the above or
    other unknown causes, it may at first have been of no advantage to the
    species, but may subsequently have been taken advantage of by the
    descendants of the species under new conditions of life and with newly
    acquired habits.

    To give a few instances to illustrate these latter
    remarks. If green woodpeckers alone had existed, and we did not know
    that there were many black and pied kinds, I dare say that we should
    have thought that the green colour was a beautiful adaptation to hide
    this tree-frequenting bird from its enemies; and consequently that it
    was a character of importance and might have been acquired through
    natural selection; as it is, I have no doubt that the colour is due to
    some quite distinct cause, probably to sexual selection. A trailing
    bamboo in the Malay Archipelago climbs the loftiest trees by the aid of
    exquisitely constructed hooks clustered around the ends of the
    branches, and this contrivance, no doubt, is of the highest service to
    the plant; but as we see nearly similar hooks on many trees which are
    not climbers, the hooks on the bamboo may have arisen from unknown laws
    of growth, and have been subsequently taken advantage of by the plant
    undergoing further modification and becoming a climber. The naked skin
    on the head of a vulture is generally looked at as a direct adaptation
    for wallowing in putridity; and so it may be, or it may possibly be due
    to the direct action of putrid matter; but we should be very cautious
    in drawing any such inference, when we see that the skin on the head of
    the clean-feeding male turkey is likewise naked. The sutures in the
    skulls of young mammals have been advanced as a beautiful adaptation
    for aiding parturition, and no doubt they facilitate, or may be
    indispensable for this act; but as sutures occur in the skulls of young
    birds and reptiles, which have only to escape from a broken egg, we may
    infer that this structure has arisen from the laws of growth, and has
    been taken advantage of in the parturition of the higher animals.

    We are profoundly ignorant of the causes producing slight and
    unimportant variations; and we are immediately
    made conscious of this by reflecting on the differences in the breeds
    of our domesticated animals in different countries,—more especially in
    the less civilized countries where there has been but little artificial
    selection. Careful observers are convinced that a damp climate affects
    the growth of the hair, and that with the hair the horns are
    correlated. Mountain breeds always differ from lowland breeds; and a
    mountainous country would probably affect the hind limbs from
    exercising them more, and possibly even the form of the pelvis; and
    then by the law of homologous variation, the front limbs and even the
    head would probably be affected. The shape, also, of the pelvis might
    affect by pressure the shape of the head of the young in the womb. The
    laborious breathing necessary in high regions would, we have some
    reason to believe, increase the size of the chest; and again
    correlation would come into play. Animals kept by savages in different
    countries often have to struggle for their own subsistence, and would
    be exposed to a certain extent to natural selection, and individuals
    with slightly different constitutions would succeed best under
    different climates; and there is reason to believe that constitution
    and colour are correlated. A good observer, also, states that in cattle
    susceptibility to the attacks of flies is correlated with colour, as is
    the liability to be poisoned by certain plants; so that colour would be
    thus subjected to the action of natural selection. But we are far too
    ignorant to speculate on the relative importance of the several known
    and unknown laws of variation; and I have here alluded to them only to
    show that, if we are unable to account for the characteristic
    differences of our domestic breeds, which nevertheless we generally
    admit to have arisen through ordinary generation, we ought not to lay
    too much stress on our
    ignorance of the precise cause of the slight analogous differences
    between species. I might have adduced for this same purpose the
    differences between the races of man, which are so strongly marked; I
    may add that some little light can apparently be thrown on the origin
    of these differences, chiefly through sexual selection of a particular
    kind, but without here entering on copious details my reasoning would
    appear frivolous.

    The foregoing remarks lead me to say a few words on the protest lately
    made by some naturalists, against the utilitarian doctrine that every
    detail of structure has been produced for the good of its possessor.
    They believe that very many structures have been created for beauty in
    the eyes of man, or for mere variety. This doctrine, if true, would be
    absolutely fatal to my theory. Yet I fully admit that many structures
    are of no direct use to their possessors. Physical conditions probably
    have had some little effect on structure, quite independently of any
    good thus gained. Correlation of growth has no doubt played a most
    important part, and a useful modification of one part will often have
    entailed on other parts diversified changes of no direct use. So again
    characters which formerly were useful, or which formerly had arisen
    from correlation of growth, or from other unknown cause, may reappear
    from the law of reversion, though now of no direct use. The effects of
    sexual selection, when displayed in beauty to charm the females, can be
    called useful only in rather a forced sense. But by far the most
    important consideration is that the chief part of the organisation of
    every being is simply due to inheritance; and consequently, though each
    being assuredly is well fitted for its place in nature, many structures
    now have no direct relation to the habits of life of each species.
    Thus, we can hardly believe that the webbed feet of the upland
    goose or of the frigate-bird are of special use to these birds; we
    cannot believe that the same bones in the arm of the monkey, in the
    fore leg of the horse, in the wing of the bat, and in the flipper of
    the seal, are of special use to these animals. We may safely attribute
    these structures to inheritance. But to the progenitor of the upland
    goose and of the frigate-bird, webbed feet no doubt were as useful as
    they now are to the most aquatic of existing birds. So we may believe
    that the progenitor of the seal had not a flipper, but a foot with five
    toes fitted for walking or grasping; and we may further venture to
    believe that the several bones in the limbs of the monkey, horse, and
    bat, which have been inherited from a common progenitor, were formerly
    of more special use to that progenitor, or its progenitors, than they
    now are to these animals having such widely diversified habits.
    Therefore we may infer that these several bones might have been
    acquired through natural selection, subjected formerly, as now, to the
    several laws of inheritance, reversion, correlation of growth, etc.
    Hence every detail of structure in every living creature (making some
    little allowance for the direct action of physical conditions) may be
    viewed, either as having been of special use to some ancestral form, or
    as being now of special use to the descendants of this form—either
    directly, or indirectly through the complex laws of growth.

    Natural selection cannot possibly produce any modification in any one
    species exclusively for the good of another species; though throughout
    nature one species incessantly takes advantage of, and profits by, the
    structure of another. But natural selection can and does often produce
    structures for the direct injury of other species, as we see in the
    fang of the adder, and in the ovipositor of the ichneumon, by which its
    eggs are deposited
    in the living bodies of other insects. If it could be proved that any
    part of the structure of any one species had been formed for the
    exclusive good of another species, it would annihilate my theory, for
    such could not have been produced through natural selection. Although
    many statements may be found in works on natural history to this
    effect, I cannot find even one which seems to me of any weight. It is
    admitted that the rattlesnake has a poison-fang for its own defence and
    for the destruction of its prey; but some authors suppose that at the
    same time this snake is furnished with a rattle for its own injury,
    namely, to warn its prey to escape. I would almost as soon believe that
    the cat curls the end of its tail when preparing to spring, in order to
    warn the doomed mouse. But I have not space here to enter on this and
    other such cases.

    Natural selection will never produce in a being anything injurious to
    itself, for natural selection acts solely by and for the good of each.
    No organ will be formed, as Paley has remarked, for the purpose of
    causing pain or for doing an injury to its possessor. If a fair balance
    be struck between the good and evil caused by each part, each will be
    found on the whole advantageous. After the lapse of time, under
    changing conditions of life, if any part comes to be injurious, it will
    be modified; or if it be not so, the being will become extinct, as
    myriads have become extinct.

    Natural selection tends only to make each organic being as perfect as,
    or slightly more perfect than, the other inhabitants of the same
    country with which it has to struggle for existence. And we see that
    this is the degree of perfection attained under nature. The endemic
    productions of New Zealand, for instance, are perfect one compared with
    another; but they are now rapidly yielding before the advancing legions
    of plants
    and animals introduced from Europe. Natural selection will not produce
    absolute perfection, nor do we always meet, as far as we can judge,
    with this high standard under nature. The correction for the aberration
    of light is said, on high authority, not to be perfect even in that
    most perfect organ, the eye. If our reason leads us to admire with
    enthusiasm a multitude of inimitable contrivances in nature, this same
    reason tells us, though we may easily err on both sides, that some
    other contrivances are less perfect. Can we consider the sting of the
    wasp or of the bee as perfect, which, when used against many attacking
    animals, cannot be withdrawn, owing to the backward serratures, and so
    inevitably causes the death of the insect by tearing out its viscera?

    If we look at the sting of the bee, as having originally existed in a
    remote progenitor as a boring and serrated instrument, like that in so
    many members of the same great order, and which has been modified but
    not perfected for its present purpose, with the poison originally
    adapted to cause galls subsequently intensified, we can perhaps
    understand how it is that the use of the sting should so often cause
    the insect’s own death: for if on the whole the power of stinging be
    useful to the community, it will fulfil all the requirements of natural
    selection, though it may cause the death of some few members. If we
    admire the truly wonderful power of scent by which the males of many
    insects find their females, can we admire the production for this
    single purpose of thousands of drones, which are utterly useless to the
    community for any other end, and which are ultimately slaughtered by
    their industrious and sterile sisters? It may be difficult, but we
    ought to admire the savage instinctive hatred of the queen-bee, which
    urges her instantly to destroy the
    young queens her daughters as soon as born, or to perish herself in the
    combat; for undoubtedly this is for the good of the community; and
    maternal love or maternal hatred, though the latter fortunately is most
    rare, is all the same to the inexorable principle of natural selection.
    If we admire the several ingenious contrivances, by which the flowers
    of the orchis and of many other plants are fertilised through insect
    agency, can we consider as equally perfect the elaboration by our
    fir-trees of dense clouds of pollen, in order that a few granules may
    be wafted by a chance breeze on to the ovules?

    Summary of Chapter.—We have in this chapter discussed some of the
    difficulties and objections which may be urged against my theory. Many
    of them are very grave; but I think that in the discussion light has
    been thrown on several facts, which on the theory of independent acts
    of creation are utterly obscure. We have seen that species at any one
    period are not indefinitely variable, and are not linked together by a
    multitude of intermediate gradations, partly because the process of
    natural selection will always be very slow, and will act, at any one
    time, only on a very few forms; and partly because the very process of
    natural selection almost implies the continual supplanting and
    extinction of preceding and intermediate gradations. Closely allied
    species, now living on a continuous area, must often have been formed
    when the area was not continuous, and when the conditions of life did
    not insensibly graduate away from one part to another. When two
    varieties are formed in two districts of a continuous area, an
    intermediate variety will often be formed, fitted for an intermediate
    zone; but from reasons assigned, the intermediate variety will usually
    exist in lesser numbers than
    the two forms which it connects; consequently the two latter, during
    the course of further modification, from existing in greater numbers,
    will have a great advantage over the less numerous intermediate
    variety, and will thus generally succeed in supplanting and
    exterminating it.

    We have seen in this chapter how cautious we should be in concluding
    that the most different habits of life could not graduate into each
    other; that a bat, for instance, could not have been formed by natural
    selection from an animal which at first could only glide through the
    air.

    We have seen that a species may under new conditions of life change its
    habits, or have diversified habits, with some habits very unlike those
    of its nearest congeners. Hence we can understand, bearing in mind that
    each organic being is trying to live wherever it can live, how it has
    arisen that there are upland geese with webbed feet, ground
    woodpeckers, diving thrushes, and petrels with the habits of auks.

    Although the belief that an organ so perfect as the eye could have been
    formed by natural selection, is more than enough to stagger any one;
    yet in the case of any organ, if we know of a long series of gradations
    in complexity, each good for its possessor, then, under changing
    conditions of life, there is no logical impossibility in the
    acquirement of any conceivable degree of perfection through natural
    selection. In the cases in which we know of no intermediate or
    transitional states, we should be very cautious in concluding that none
    could have existed, for the homologies of many organs and their
    intermediate states show that wonderful metamorphoses in function are
    at least possible. For instance, a swim-bladder has apparently been
    converted into an air-breathing lung. The same organ having performed
    simultaneously very different functions, and then having been
    specialised for one function; and two very distinct organs having
    performed at the same time the same function, the one having been
    perfected whilst aided by the other, must often have largely
    facilitated transitions.

    We are far too ignorant, in almost every case, to be enabled to assert
    that any part or organ is so unimportant for the welfare of a species,
    that modifications in its structure could not have been slowly
    accumulated by means of natural selection. But we may confidently
    believe that many modifications, wholly due to the laws of growth, and
    at first in no way advantageous to a species, have been subsequently
    taken advantage of by the still further modified descendants of this
    species. We may, also, believe that a part formerly of high importance
    has often been retained (as the tail of an aquatic animal by its
    terrestrial descendants), though it has become of such small importance
    that it could not, in its present state, have been acquired by natural
    selection,—a power which acts solely by the preservation of profitable
    variations in the struggle for life.

    Natural selection will produce nothing in one species for the exclusive
    good or injury of another; though it may well produce parts, organs,
    and excretions highly useful or even indispensable, or highly injurious
    to another species, but in all cases at the same time useful to the
    owner. Natural selection in each well-stocked country, must act chiefly
    through the competition of the inhabitants one with another, and
    consequently will produce perfection, or strength in the battle for
    life, only according to the standard of that country. Hence the
    inhabitants of one country, generally the smaller one, will often
    yield, as we see they do yield, to the inhabitants of another and
    generally larger country. For in
    the larger country there will have existed more individuals, and more
    diversified forms, and the competition will have been severer, and thus
    the standard of perfection will have been rendered higher. Natural
    selection will not necessarily produce absolute perfection; nor, as far
    as we can judge by our limited faculties, can absolute perfection be
    everywhere found.

    On the theory of natural selection we can clearly understand the full
    meaning of that old canon in natural history, “Natura non facit
    saltum.” This canon, if we look only to the present inhabitants of the
    world, is not strictly correct, but if we include all those of past
    times, it must by my theory be strictly true.

    It is generally acknowledged that all organic beings have been formed
    on two great laws—Unity of Type, and the Conditions of Existence. By
    unity of type is meant that fundamental agreement in structure, which
    we see in organic beings of the same class, and which is quite
    independent of their habits of life. On my theory, unity of type is
    explained by unity of descent. The expression of conditions of
    existence, so often insisted on by the illustrious Cuvier, is fully
    embraced by the principle of natural selection. For natural selection
    acts by either now adapting the varying parts of each being to its
    organic and inorganic conditions of life; or by having adapted them
    during long-past periods of time: the adaptations being aided in some
    cases by use and disuse, being slightly affected by the direct action
    of the external conditions of life, and being in all cases subjected to
    the several laws of growth. Hence, in fact, the law of the Conditions
    of Existence is the higher law; as it includes, through the inheritance
    of former adaptations, that of Unity of Type.

    CHAPTER VII.
    INSTINCT.

    Instincts comparable with habits, but different in their origin.
    Instincts graduated. Aphides and ants. Instincts variable. Domestic
    instincts, their origin. Natural instincts of the cuckoo, ostrich, and
    parasitic bees. Slave-making ants. Hive-bee, its cell-making instinct.
    Difficulties on the theory of the Natural Selection of instincts.
    Neuter or sterile insects. Summary.

    The subject of instinct might have been worked into the previous
    chapters; but I have thought that it would be more convenient to treat
    the subject separately, especially as so wonderful an instinct as that
    of the hive-bee making its cells will probably have occurred to many
    readers, as a difficulty sufficient to overthrow my whole theory. I
    must premise, that I have nothing to do with the origin of the primary
    mental powers, any more than I have with that of life itself. We are
    concerned only with the diversities of instinct and of the other mental
    qualities of animals within the same class.

    I will not attempt any definition of instinct. It would be easy to show
    that several distinct mental actions are commonly embraced by this
    term; but every one understands what is meant, when it is said that
    instinct impels the cuckoo to migrate and to lay her eggs in other
    birds’ nests. An action, which we ourselves should require experience
    to enable us to perform, when performed by an animal, more especially
    by a very young one, without any experience, and when performed by many
    individuals in the same way, without their knowing for what purpose it
    is performed, is usually said to be instinctive.
    But I could show that none of these characters of instinct are
    universal. A little dose, as Pierre Huber expresses it, of judgment or
    reason, often comes into play, even in animals very low in the scale of
    nature.

    Frederick Cuvier and several of the older metaphysicians have compared
    instinct with habit. This comparison gives, I think, a remarkably
    accurate notion of the frame of mind under which an instinctive action
    is performed, but not of its origin. How unconsciously many habitual
    actions are performed, indeed not rarely in direct opposition to our
    conscious will! yet they may be modified by the will or reason. Habits
    easily become associated with other habits, and with certain periods of
    time and states of the body. When once acquired, they often remain
    constant throughout life. Several other points of resemblance between
    instincts and habits could be pointed out. As in repeating a well-known
    song, so in instincts, one action follows another by a sort of rhythm;
    if a person be interrupted in a song, or in repeating anything by rote,
    he is generally forced to go back to recover the habitual train of
    thought: so P. Huber found it was with a caterpillar, which makes a
    very complicated hammock; for if he took a caterpillar which had
    completed its hammock up to, say, the sixth stage of construction, and
    put it into a hammock completed up only to the third stage, the
    caterpillar simply re-performed the fourth, fifth, and sixth stages of
    construction. If, however, a caterpillar were taken out of a hammock
    made up, for instance, to the third stage, and were put into one
    finished up to the sixth stage, so that much of its work was already
    done for it, far from feeling the benefit of this, it was much
    embarrassed, and, in order to complete its hammock, seemed forced to
    start from the third stage, where it had left off, and thus tried to
    complete the already finished work.

    If we suppose any habitual action to become inherited—and I think it
    can be shown that this does sometimes happen—then the resemblance
    between what originally was a habit and an instinct becomes so close as
    not to be distinguished. If Mozart, instead of playing the pianoforte
    at three years old with wonderfully little practice, had played a tune
    with no practice at all, he might truly be said to have done so
    instinctively. But it would be the most serious error to suppose that
    the greater number of instincts have been acquired by habit in one
    generation, and then transmitted by inheritance to succeeding
    generations. It can be clearly shown that the most wonderful instincts
    with which we are acquainted, namely, those of the hive-bee and of many
    ants, could not possibly have been thus acquired.

    It will be universally admitted that instincts are as important as
    corporeal structure for the welfare of each species, under its present
    conditions of life. Under changed conditions of life, it is at least
    possible that slight modifications of instinct might be profitable to a
    species; and if it can be shown that instincts do vary ever so little,
    then I can see no difficulty in natural selection preserving and
    continually accumulating variations of instinct to any extent that may
    be profitable. It is thus, as I believe, that all the most complex and
    wonderful instincts have originated. As modifications of corporeal
    structure arise from, and are increased by, use or habit, and are
    diminished or lost by disuse, so I do not doubt it has been with
    instincts. But I believe that the effects of habit are of quite
    subordinate importance to the effects of the natural selection of what
    may be called accidental variations of instincts;—that is of variations
    produced by the same unknown causes which produce slight deviations of
    bodily structure.

    No complex instinct can possibly be produced through
    natural selection, except by the slow and gradual accumulation of
    numerous, slight, yet profitable, variations. Hence, as in the case of
    corporeal structures, we ought to find in nature, not the actual
    transitional gradations by which each complex instinct has been
    acquired—for these could be found only in the lineal ancestors of each
    species—but we ought to find in the collateral lines of descent some
    evidence of such gradations; or we ought at least to be able to show
    that gradations of some kind are possible; and this we certainly can
    do. I have been surprised to find, making allowance for the instincts
    of animals having been but little observed except in Europe and North
    America, and for no instinct being known amongst extinct species, how
    very generally gradations, leading to the most complex instincts, can
    be discovered. The canon of “Natura non facit saltum” applies with
    almost equal force to instincts as to bodily organs. Changes of
    instinct may sometimes be facilitated by the same species having
    different instincts at different periods of life, or at different
    seasons of the year, or when placed under different circumstances,
    etc.; in which case either one or the other instinct might be preserved
    by natural selection. And such instances of diversity of instinct in
    the same species can be shown to occur in nature.

    Again as in the case of corporeal structure, and conformably with my
    theory, the instinct of each species is good for itself, but has never,
    as far as we can judge, been produced for the exclusive good of others.
    One of the strongest instances of an animal apparently performing an
    action for the sole good of another, with which I am acquainted, is
    that of aphides voluntarily yielding their sweet excretion to ants:
    that they do so voluntarily, the following facts show. I removed all
    the ants from a group of about a dozen aphides on a dock-plant,
    and prevented their attendance during several hours. After this
    interval, I felt sure that the aphides would want to excrete. I watched
    them for some time through a lens, but not one excreted; I then tickled
    and stroked them with a hair in the same manner, as well as I could, as
    the ants do with their antennæ; but not one excreted. Afterwards I
    allowed an ant to visit them, and it immediately seemed, by its eager
    way of running about, to be well aware what a rich flock it had
    discovered; it then began to play with its antennæ on the abdomen first
    of one aphis and then of another; and each aphis, as soon as it felt
    the antennæ, immediately lifted up its abdomen and excreted a limpid
    drop of sweet juice, which was eagerly devoured by the ant. Even the
    quite young aphides behaved in this manner, showing that the action was
    instinctive, and not the result of experience. But as the excretion is
    extremely viscid, it is probably a convenience to the aphides to have
    it removed; and therefore probably the aphides do not instinctively
    excrete for the sole good of the ants. Although I do not believe that
    any animal in the world performs an action for the exclusive good of
    another of a distinct species, yet each species tries to take advantage
    of the instincts of others, as each takes advantage of the weaker
    bodily structure of others. So again, in some few cases, certain
    instincts cannot be considered as absolutely perfect; but as details on
    this and other such points are not indispensable, they may be here
    passed over.

    As some degree of variation in instincts under a state of nature, and
    the inheritance of such variations, are indispensable for the action of
    natural selection, as many instances as possible ought to have been
    here given; but want of space prevents me. I can only assert, that
    instincts certainly do vary—for instance,
    the migratory instinct, both in extent and direction, and in its total
    loss. So it is with the nests of birds, which vary partly in dependence
    on the situations chosen, and on the nature and temperature of the
    country inhabited, but often from causes wholly unknown to us: Audubon
    has given several remarkable cases of differences in nests of the same
    species in the northern and southern United States. Fear of any
    particular enemy is certainly an instinctive quality, as may be seen in
    nestling birds, though it is strengthened by experience, and by the
    sight of fear of the same enemy in other animals. But fear of man is
    slowly acquired, as I have elsewhere shown, by various animals
    inhabiting desert islands; and we may see an instance of this, even in
    England, in the greater wildness of all our large birds than of our
    small birds; for the large birds have been most persecuted by man. We
    may safely attribute the greater wildness of our large birds to this
    cause; for in uninhabited islands large birds are not more fearful than
    small; and the magpie, so wary in England, is tame in Norway, as is the
    hooded crow in Egypt.

    That the general disposition of individuals of the same species, born
    in a state of nature, is extremely diversified, can be shown by a
    multitude of facts. Several cases also, could be given, of occasional
    and strange habits in certain species, which might, if advantageous to
    the species, give rise, through natural selection, to quite new
    instincts. But I am well aware that these general statements, without
    facts given in detail, can produce but a feeble effect on the reader’s
    mind. I can only repeat my assurance, that I do not speak without good
    evidence.

    The possibility, or even probability, of inherited variations of
    instinct in a state of nature will be strengthened by briefly
    considering a few cases under
    domestication. We shall thus also be enabled to see the respective
    parts which habit and the selection of so-called accidental variations
    have played in modifying the mental qualities of our domestic animals.
    A number of curious and authentic instances could be given of the
    inheritance of all shades of disposition and tastes, and likewise of
    the oddest tricks, associated with certain frames of mind or periods of
    time. But let us look to the familiar case of the several breeds of
    dogs: it cannot be doubted that young pointers (I have myself seen a
    striking instance) will sometimes point and even back other dogs the
    very first time that they are taken out; retrieving is certainly in
    some degree inherited by retrievers; and a tendency to run round,
    instead of at, a flock of sheep, by shepherd-dogs. I cannot see that
    these actions, performed without experience by the young, and in nearly
    the same manner by each individual, performed with eager delight by
    each breed, and without the end being known,—for the young pointer can
    no more know that he points to aid his master, than the white butterfly
    knows why she lays her eggs on the leaf of the cabbage,—I cannot see
    that these actions differ essentially from true instincts. If we were
    to see one kind of wolf, when young and without any training, as soon
    as it scented its prey, stand motionless like a statue, and then slowly
    crawl forward with a peculiar gait; and another kind of wolf rushing
    round, instead of at, a herd of deer, and driving them to a distant
    point, we should assuredly call these actions instinctive. Domestic
    instincts, as they may be called, are certainly far less fixed or
    invariable than natural instincts; but they have been acted on by far
    less rigorous selection, and have been transmitted for an incomparably
    shorter period, under less fixed conditions of life.

    How strongly these domestic instincts, habits, and dispositions
    are inherited, and how curiously they become mingled, is well shown
    when different breeds of dogs are crossed. Thus it is known that a
    cross with a bull-dog has affected for many generations the courage and
    obstinacy of greyhounds; and a cross with a greyhound has given to a
    whole family of shepherd-dogs a tendency to hunt hares. These domestic
    instincts, when thus tested by crossing, resemble natural instincts,
    which in a like manner become curiously blended together, and for a
    long period exhibit traces of the instincts of either parent: for
    example, Le Roy describes a dog, whose great-grandfather was a wolf,
    and this dog showed a trace of its wild parentage only in one way, by
    not coming in a straight line to his master when called.

    Domestic instincts are sometimes spoken of as actions which have become
    inherited solely from long-continued and compulsory habit, but this, I
    think, is not true. No one would ever have thought of teaching, or
    probably could have taught, the tumbler-pigeon to tumble,—an action
    which, as I have witnessed, is performed by young birds, that have
    never seen a pigeon tumble. We may believe that some one pigeon showed
    a slight tendency to this strange habit, and that the long-continued
    selection of the best individuals in successive generations made
    tumblers what they now are; and near Glasgow there are house-tumblers,
    as I hear from Mr. Brent, which cannot fly eighteen inches high without
    going head over heels. It may be doubted whether any one would have
    thought of training a dog to point, had not some one dog naturally
    shown a tendency in this line; and this is known occasionally to
    happen, as I once saw in a pure terrier. When the first tendency was
    once displayed, methodical selection and the inherited effects of
    compulsory training in each successive generation would soon complete
    the work; and unconscious
    selection is still at work, as each man tries to procure, without
    intending to improve the breed, dogs which will stand and hunt best. On
    the other hand, habit alone in some cases has sufficed; no animal is
    more difficult to tame than the young of the wild rabbit; scarcely any
    animal is tamer than the young of the tame rabbit; but I do not suppose
    that domestic rabbits have ever been selected for tameness; and I
    presume that we must attribute the whole of the inherited change from
    extreme wildness to extreme tameness, simply to habit and
    long-continued close confinement.

    Natural instincts are lost under domestication: a remarkable instance
    of this is seen in those breeds of fowls which very rarely or never
    become “broody,” that is, never wish to sit on their eggs. Familiarity
    alone prevents our seeing how universally and largely the minds of our
    domestic animals have been modified by domestication. It is scarcely
    possible to doubt that the love of man has become instinctive in the
    dog. All wolves, foxes, jackals, and species of the cat genus, when
    kept tame, are most eager to attack poultry, sheep, and pigs; and this
    tendency has been found incurable in dogs which have been brought home
    as puppies from countries, such as Tierra del Fuego and Australia,
    where the savages do not keep these domestic animals. How rarely, on
    the other hand, do our civilised dogs, even when quite young, require
    to be taught not to attack poultry, sheep, and pigs! No doubt they
    occasionally do make an attack, and are then beaten; and if not cured,
    they are destroyed; so that habit, with some degree of selection, has
    probably concurred in civilising by inheritance our dogs. On the other
    hand, young chickens have lost, wholly by habit, that fear of the dog
    and cat which no doubt was originally instinctive in them, in the same
    way as it is so plainly instinctive in
    young pheasants, though reared under a hen. It is not that chickens
    have lost all fear, but fear only of dogs and cats, for if the hen
    gives the danger-chuckle, they will run (more especially young turkeys)
    from under her, and conceal themselves in the surrounding grass or
    thickets; and this is evidently done for the instinctive purpose of
    allowing, as we see in wild ground-birds, their mother to fly away. But
    this instinct retained by our chickens has become useless under
    domestication, for the mother-hen has almost lost by disuse the power
    of flight.

    Hence, we may conclude, that domestic instincts have been acquired and
    natural instincts have been lost partly by habit, and partly by man
    selecting and accumulating during successive generations, peculiar
    mental habits and actions, which at first appeared from what we must in
    our ignorance call an accident. In some cases compulsory habit alone
    has sufficed to produce such inherited mental changes; in other cases
    compulsory habit has done nothing, and all has been the result of
    selection, pursued both methodically and unconsciously; but in most
    cases, probably, habit and selection have acted together.

    We shall, perhaps, best understand how instincts in a state of nature
    have become modified by selection, by considering a few cases. I will
    select only three, out of the several which I shall have to discuss in
    my future work,—namely, the instinct which leads the cuckoo to lay her
    eggs in other birds’ nests; the slave-making instinct of certain ants;
    and the comb-making power of the hive-bee: these two latter instincts
    have generally, and most justly, been ranked by naturalists as the most
    wonderful of all known instincts.

    It is now commonly admitted that the more immediate and final cause of
    the cuckoo’s instinct is, that
    she lays her eggs, not daily, but at intervals of two or three days; so
    that, if she were to make her own nest and sit on her own eggs, those
    first laid would have to be left for some time unincubated, or there
    would be eggs and young birds of different ages in the same nest. If
    this were the case, the process of laying and hatching might be
    inconveniently long, more especially as she has to migrate at a very
    early period; and the first hatched young would probably have to be fed
    by the male alone. But the American cuckoo is in this predicament; for
    she makes her own nest and has eggs and young successively hatched, all
    at the same time. It has been asserted that the American cuckoo
    occasionally lays her eggs in other birds’ nests; but I hear on the
    high authority of Dr. Brewer, that this is a mistake. Nevertheless, I
    could give several instances of various birds which have been known
    occasionally to lay their eggs in other birds’ nests. Now let us
    suppose that the ancient progenitor of our European cuckoo had the
    habits of the American cuckoo; but that occasionally she laid an egg in
    another bird’s nest. If the old bird profited by this occasional habit,
    or if the young were made more vigorous by advantage having been taken
    of the mistaken maternal instinct of another bird, than by their own
    mother’s care, encumbered as she can hardly fail to be by having eggs
    and young of different ages at the same time; then the old birds or the
    fostered young would gain an advantage. And analogy would lead me to
    believe, that the young thus reared would be apt to follow by
    inheritance the occasional and aberrant habit of their mother, and in
    their turn would be apt to lay their eggs in other birds’ nests, and
    thus be successful in rearing their young. By a continued process of
    this nature, I believe that the strange instinct of our cuckoo could
    be, and has been,
    generated. I may add that, according to Dr. Gray and to some other
    observers, the European cuckoo has not utterly lost all maternal love
    and care for her own offspring.

    The occasional habit of birds laying their eggs in other birds’ nests,
    either of the same or of a distinct species, is not very uncommon with
    the Gallinaceæ; and this perhaps explains the origin of a singular
    instinct in the allied group of ostriches. For several hen ostriches,
    at least in the case of the American species, unite and lay first a few
    eggs in one nest and then in another; and these are hatched by the
    males. This instinct may probably be accounted for by the fact of the
    hens laying a large number of eggs; but, as in the case of the cuckoo,
    at intervals of two or three days. This instinct, however, of the
    American ostrich has not as yet been perfected; for a surprising number
    of eggs lie strewed over the plains, so that in one day’s hunting I
    picked up no less than twenty lost and wasted eggs.

    Many bees are parasitic, and always lay their eggs in the nests of bees
    of other kinds. This case is more remarkable than that of the cuckoo;
    for these bees have not only their instincts but their structure
    modified in accordance with their parasitic habits; for they do not
    possess the pollen-collecting apparatus which would be necessary if
    they had to store food for their own young. Some species, likewise, of
    Sphegidæ (wasp-like insects) are parasitic on other species; and M.
    Fabre has lately shown good reason for believing that although the
    Tachytes nigra generally makes its own burrow and stores it with
    paralysed prey for its own larvæ to feed on, yet that when this insect
    finds a burrow already made and stored by another sphex, it takes
    advantage of the prize, and becomes for the occasion parasitic. In this
    case, as with the supposed case of the cuckoo, I can
    see no difficulty in natural selection making an occasional habit
    permanent, if of advantage to the species, and if the insect whose nest
    and stored food are thus feloniously appropriated, be not thus
    exterminated.

    Slave-making instinct.—This remarkable instinct was first discovered
    in the Formica (Polyerges) rufescens by Pierre Huber, a better observer
    even than his celebrated father. This ant is absolutely dependent on
    its slaves; without their aid, the species would certainly become
    extinct in a single year. The males and fertile females do no work. The
    workers or sterile females, though most energetic and courageous in
    capturing slaves, do no other work. They are incapable of making their
    own nests, or of feeding their own larvæ. When the old nest is found
    inconvenient, and they have to migrate, it is the slaves which
    determine the migration, and actually carry their masters in their
    jaws. So utterly helpless are the masters, that when Huber shut up
    thirty of them without a slave, but with plenty of the food which they
    like best, and with their larvæ and pupæ to stimulate them to work,
    they did nothing; they could not even feed themselves, and many
    perished of hunger. Huber then introduced a single slave (F. fusca),
    and she instantly set to work, fed and saved the survivors; made some
    cells and tended the larvæ, and put all to rights. What can be more
    extraordinary than these well-ascertained facts? If we had not known of
    any other slave-making ant, it would have been hopeless to have
    speculated how so wonderful an instinct could have been perfected.

    Formica sanguinea was likewise first discovered by P. Huber to be a
    slave-making ant. This species is found in the southern parts of
    England, and its habits have been attended to by Mr. F. Smith, of the
    British
    Museum, to whom I am much indebted for information on this and other
    subjects. Although fully trusting to the statements of Huber and Mr.
    Smith, I tried to approach the subject in a sceptical frame of mind, as
    any one may well be excused for doubting the truth of so extraordinary
    and odious an instinct as that of making slaves. Hence I will give the
    observations which I have myself made, in some little detail. I opened
    fourteen nests of F. sanguinea, and found a few slaves in all. Males
    and fertile females of the slave-species are found only in their own
    proper communities, and have never been observed in the nests of F.
    sanguinea. The slaves are black and not above half the size of their
    red masters, so that the contrast in their appearance is very great.
    When the nest is slightly disturbed, the slaves occasionally come out,
    and like their masters are much agitated and defend the nest: when the
    nest is much disturbed and the larvæ and pupæ are exposed, the slaves
    work energetically with their masters in carrying them away to a place
    of safety. Hence, it is clear, that the slaves feel quite at home.
    During the months of June and July, on three successive years, I have
    watched for many hours several nests in Surrey and Sussex, and never
    saw a slave either leave or enter a nest. As, during these months, the
    slaves are very few in number, I thought that they might behave
    differently when more numerous; but Mr. Smith informs me that he has
    watched the nests at various hours during May, June and August, both in
    Surrey and Hampshire, and has never seen the slaves, though present in
    large numbers in August, either leave or enter the nest. Hence he
    considers them as strictly household slaves. The masters, on the other
    hand, may be constantly seen bringing in materials for the nest, and
    food of all kinds. During the present year, however, in the month
    of July, I came across a community with an unusually large stock of
    slaves, and I observed a few slaves mingled with their masters leaving
    the nest, and marching along the same road to a tall Scotch-fir-tree,
    twenty-five yards distant, which they ascended together, probably in
    search of aphides or cocci. According to Huber, who had ample
    opportunities for observation, in Switzerland the slaves habitually
    work with their masters in making the nest, and they alone open and
    close the doors in the morning and evening; and, as Huber expressly
    states, their principal office is to search for aphides. This
    difference in the usual habits of the masters and slaves in the two
    countries, probably depends merely on the slaves being captured in
    greater numbers in Switzerland than in England.

    One day I fortunately chanced to witness a migration from one nest to
    another, and it was a most interesting spectacle to behold the masters
    carefully carrying, as Huber has described, their slaves in their jaws.
    Another day my attention was struck by about a score of the
    slave-makers haunting the same spot, and evidently not in search of
    food; they approached and were vigorously repulsed by an independent
    community of the slave species (F. fusca); sometimes as many as three
    of these ants clinging to the legs of the slave-making F. sanguinea.
    The latter ruthlessly killed their small opponents, and carried their
    dead bodies as food to their nest, twenty-nine yards distant; but they
    were prevented from getting any pupæ to rear as slaves. I then dug up a
    small parcel of the pupæ of F. fusca from another nest, and put them
    down on a bare spot near the place of combat; they were eagerly seized,
    and carried off by the tyrants, who perhaps fancied that, after all,
    they had been victorious in their late combat.

    At the same time I laid on the same place a small parcel of the pupæ of
    another species, F. flava, with a few of these little yellow ants still
    clinging to the fragments of the nest. This species is sometimes,
    though rarely, made into slaves, as has been described by Mr. Smith.
    Although so small a species, it is very courageous, and I have seen it
    ferociously attack other ants. In one instance I found to my surprise
    an independent community of F. flava under a stone beneath a nest of
    the slave-making F. sanguinea; and when I had accidentally disturbed
    both nests, the little ants attacked their big neighbours with
    surprising courage. Now I was curious to ascertain whether F. sanguinea
    could distinguish the pupæ of F. fusca, which they habitually make into
    slaves, from those of the little and furious F. flava, which they
    rarely capture, and it was evident that they did at once distinguish
    them: for we have seen that they eagerly and instantly seized the pupæ
    of F. fusca, whereas they were much terrified when they came across the
    pupæ, or even the earth from the nest of F. flava, and quickly ran
    away; but in about a quarter of an hour, shortly after all the little
    yellow ants had crawled away, they took heart and carried off the pupæ.

    One evening I visited another community of F. sanguinea, and found a
    number of these ants entering their nest, carrying the dead bodies of
    F. fusca (showing that it was not a migration) and numerous pupæ. I
    traced the returning file burthened with booty, for about forty yards,
    to a very thick clump of heath, whence I saw the last individual of F.
    sanguinea emerge, carrying a pupa; but I was not able to find the
    desolated nest in the thick heath. The nest, however, must have been
    close at hand, for two or three individuals of F. fusca were rushing
    about in the greatest agitation, and one was
    perched motionless with its own pupa in its mouth on the top of a spray
    of heath over its ravaged home.

    Such are the facts, though they did not need confirmation by me, in
    regard to the wonderful instinct of making slaves. Let it be observed
    what a contrast the instinctive habits of F. sanguinea present with
    those of the F. rufescens. The latter does not build its own nest, does
    not determine its own migrations, does not collect food for itself or
    its young, and cannot even feed itself: it is absolutely dependent on
    its numerous slaves. Formica sanguinea, on the other hand, possesses
    much fewer slaves, and in the early part of the summer extremely few.
    The masters determine when and where a new nest shall be formed, and
    when they migrate, the masters carry the slaves. Both in Switzerland
    and England the slaves seem to have the exclusive care of the larvæ,
    and the masters alone go on slave-making expeditions. In Switzerland
    the slaves and masters work together, making and bringing materials for
    the nest: both, but chiefly the slaves, tend, and milk as it may be
    called, their aphides; and thus both collect food for the community. In
    England the masters alone usually leave the nest to collect building
    materials and food for themselves, their slaves and larvæ. So that the
    masters in this country receive much less service from their slaves
    than they do in Switzerland.

    By what steps the instinct of F. sanguinea originated I will not
    pretend to conjecture. But as ants, which are not slave-makers, will,
    as I have seen, carry off pupæ of other species, if scattered near
    their nests, it is possible that pupæ originally stored as food might
    become developed; and the ants thus unintentionally reared would then
    follow their proper instincts, and do what work they could. If their
    presence proved useful to the species which had seized them—if it were
    more advantageous
    to this species to capture workers than to procreate them—the habit of
    collecting pupæ originally for food might by natural selection be
    strengthened and rendered permanent for the very different purpose of
    raising slaves. When the instinct was once acquired, if carried out to
    a much less extent even than in our British F. sanguinea, which, as we
    have seen, is less aided by its slaves than the same species in
    Switzerland, I can see no difficulty in natural selection increasing
    and modifying the instinct—always supposing each modification to be of
    use to the species—until an ant was formed as abjectly dependent on its
    slaves as is the Formica rufescens.

    Cell-making instinct of the Hive-Bee.—I will not here enter on minute
    details on this subject, but will merely give an outline of the
    conclusions at which I have arrived. He must be a dull man who can
    examine the exquisite structure of a comb, so beautifully adapted to
    its end, without enthusiastic admiration. We hear from mathematicians
    that bees have practically solved a recondite problem, and have made
    their cells of the proper shape to hold the greatest possible amount of
    honey, with the least possible consumption of precious wax in their
    construction. It has been remarked that a skilful workman, with fitting
    tools and measures, would find it very difficult to make cells of wax
    of the true form, though this is perfectly effected by a crowd of bees
    working in a dark hive. Grant whatever instincts you please, and it
    seems at first quite inconceivable how they can make all the necessary
    angles and planes, or even perceive when they are correctly made. But
    the difficulty is not nearly so great as it at first appears: all this
    beautiful work can be shown, I think, to follow from a few very simple
    instincts.

    I was led to investigate this subject by Mr. Waterhouse, who has shown
    that the form of the cell stands in close relation to the presence of
    adjoining cells; and the following view may, perhaps, be considered
    only as a modification of his theory. Let us look to the great
    principle of gradation, and see whether Nature does not reveal to us
    her method of work. At one end of a short series we have humble-bees,
    which use their old cocoons to hold honey, sometimes adding to them
    short tubes of wax, and likewise making separate and very irregular
    rounded cells of wax. At the other end of the series we have the cells
    of the hive-bee, placed in a double layer: each cell, as is well known,
    is an hexagonal prism, with the basal edges of its six sides bevelled
    so as to join on to a pyramid, formed of three rhombs. These rhombs
    have certain angles, and the three which form the pyramidal base of a
    single cell on one side of the comb, enter into the composition of the
    bases of three adjoining cells on the opposite side. In the series
    between the extreme perfection of the cells of the hive-bee and the
    simplicity of those of the humble-bee, we have the cells of the Mexican
    Melipona domestica, carefully described and figured by Pierre Huber.
    The Melipona itself is intermediate in structure between the hive and
    humble bee, but more nearly related to the latter: it forms a nearly
    regular waxen comb of cylindrical cells, in which the young are
    hatched, and, in addition, some large cells of wax for holding honey.
    These latter cells are nearly spherical and of nearly equal sizes, and
    are aggregated into an irregular mass. But the important point to
    notice, is that these cells are always made at that degree of nearness
    to each other, that they would have intersected or broken into each
    other, if the spheres had been completed; but this is never permitted,
    the bees building perfectly flat walls of wax between the spheres
    which thus tend to intersect. Hence each cell consists of an outer
    spherical portion and of two, three, or more perfectly flat surfaces,
    according as the cell adjoins two, three or more other cells. When one
    cell comes into contact with three other cells, which, from the spheres
    being nearly of the same size, is very frequently and necessarily the
    case, the three flat surfaces are united into a pyramid; and this
    pyramid, as Huber has remarked, is manifestly a gross imitation of the
    three-sided pyramidal basis of the cell of the hive-bee. As in the
    cells of the hive-bee, so here, the three plane surfaces in any one
    cell necessarily enter into the construction of three adjoining cells.
    It is obvious that the Melipona saves wax by this manner of building;
    for the flat walls between the adjoining cells are not double, but are
    of the same thickness as the outer spherical portions, and yet each
    flat portion forms a part of two cells.

    Reflecting on this case, it occurred to me that if the Melipona had
    made its spheres at some given distance from each other, and had made
    them of equal sizes and had arranged them symmetrically in a double
    layer, the resulting structure would probably have been as perfect as
    the comb of the hive-bee. Accordingly I wrote to Professor Miller, of
    Cambridge, and this geometer has kindly read over the following
    statement, drawn up from his information, and tells me that it is
    strictly correct:—

    If a number of equal spheres be described with their centres placed in
    two parallel layers; with the centre of each sphere at the distance of
    radius x the square root of 2 or radius x 1.41421 (or at some lesser
    distance), from the centres of the six surrounding spheres in the same
    layer; and at the same distance from the centres of the adjoining
    spheres in the other and parallel layer; then, if planes of
    intersection between the several spheres in
    both layers be formed, there will result a double layer of hexagonal
    prisms united together by pyramidal bases formed of three rhombs; and
    the rhombs and the sides of the hexagonal prisms will have every angle
    identically the same with the best measurements which have been made of
    the cells of the hive-bee.

    Hence we may safely conclude that if we could slightly modify the
    instincts already possessed by the Melipona, and in themselves not very
    wonderful, this bee would make a structure as wonderfully perfect as
    that of the hive-bee. We must suppose the Melipona to make her cells
    truly spherical, and of equal sizes; and this would not be very
    surprising, seeing that she already does so to a certain extent, and
    seeing what perfectly cylindrical burrows in wood many insects can
    make, apparently by turning round on a fixed point. We must suppose the
    Melipona to arrange her cells in level layers, as she already does her
    cylindrical cells; and we must further suppose, and this is the
    greatest difficulty, that she can somehow judge accurately at what
    distance to stand from her fellow-labourers when several are making
    their spheres; but she is already so far enabled to judge of distance,
    that she always describes her spheres so as to intersect largely; and
    then she unites the points of intersection by perfectly flat surfaces.
    We have further to suppose, but this is no difficulty, that after
    hexagonal prisms have been formed by the intersection of adjoining
    spheres in the same layer, she can prolong the hexagon to any length
    requisite to hold the stock of honey; in the same way as the rude
    humble-bee adds cylinders of wax to the circular mouths of her old
    cocoons. By such modifications of instincts in themselves not very
    wonderful,—hardly more wonderful than those which guide a bird to make
    its nest,—I believe that the hive-bee
    has acquired, through natural selection, her inimitable architectural
    powers.

    But this theory can be tested by experiment. Following the example of
    Mr. Tegetmeier, I separated two combs, and put between them a long,
    thick, square strip of wax: the bees instantly began to excavate minute
    circular pits in it; and as they deepened these little pits, they made
    them wider and wider until they were converted into shallow basins,
    appearing to the eye perfectly true or parts of a sphere, and of about
    the diameter of a cell. It was most interesting to me to observe that
    wherever several bees had begun to excavate these basins near together,
    they had begun their work at such a distance from each other, that by
    the time the basins had acquired the above stated width (i.e. about
    the width of an ordinary cell), and were in depth about one sixth of
    the diameter of the sphere of which they formed a part, the rims of the
    basins intersected or broke into each other. As soon as this occurred,
    the bees ceased to excavate, and began to build up flat walls of wax on
    the lines of intersection between the basins, so that each hexagonal
    prism was built upon the festooned edge of a smooth basin, instead of
    on the straight edges of a three-sided pyramid as in the case of
    ordinary cells.

    I then put into the hive, instead of a thick, square piece of wax, a
    thin and narrow, knife-edged ridge, coloured with vermilion. The bees
    instantly began on both sides to excavate little basins near to each
    other, in the same way as before; but the ridge of wax was so thin,
    that the bottoms of the basins, if they had been excavated to the same
    depth as in the former experiment, would have broken into each other
    from the opposite sides. The bees, however, did not suffer this to
    happen, and they stopped their excavations in due
    time; so that the basins, as soon as they had been a little deepened,
    came to have flat bottoms; and these flat bottoms, formed by thin
    little plates of the vermilion wax having been left ungnawed, were
    situated, as far as the eye could judge, exactly along the planes of
    imaginary intersection between the basins on the opposite sides of the
    ridge of wax. In parts, only little bits, in other parts, large
    portions of a rhombic plate had been left between the opposed basins,
    but the work, from the unnatural state of things, had not been neatly
    performed. The bees must have worked at very nearly the same rate on
    the opposite sides of the ridge of vermilion wax, as they circularly
    gnawed away and deepened the basins on both sides, in order to have
    succeeded in thus leaving flat plates between the basins, by stopping
    work along the intermediate planes or planes of intersection.

    Considering how flexible thin wax is, I do not see that there is any
    difficulty in the bees, whilst at work on the two sides of a strip of
    wax, perceiving when they have gnawed the wax away to the proper
    thinness, and then stopping their work. In ordinary combs it has
    appeared to me that the bees do not always succeed in working at
    exactly the same rate from the opposite sides; for I have noticed
    half-completed rhombs at the base of a just-commenced cell, which were
    slightly concave on one side, where I suppose that the bees had
    excavated too quickly, and convex on the opposed side, where the bees
    had worked less quickly. In one well-marked instance, I put the comb
    back into the hive, and allowed the bees to go on working for a short
    time, and again examined the cell, and I found that the rhombic plate
    had been completed, and had become perfectly flat: it was absolutely
    impossible, from the extreme thinness of the little rhombic plate, that
    they could have effected
    this by gnawing away the convex side; and I suspect that the bees in
    such cases stand in the opposed cells and push and bend the ductile and
    warm wax (which as I have tried is easily done) into its proper
    intermediate plane, and thus flatten it.

    From the experiment of the ridge of vermilion wax, we can clearly see
    that if the bees were to build for themselves a thin wall of wax, they
    could make their cells of the proper shape, by standing at the proper
    distance from each other, by excavating at the same rate, and by
    endeavouring to make equal spherical hollows, but never allowing the
    spheres to break into each other. Now bees, as may be clearly seen by
    examining the edge of a growing comb, do make a rough, circumferential
    wall or rim all round the comb; and they gnaw into this from the
    opposite sides, always working circularly as they deepen each cell.
    They do not make the whole three-sided pyramidal base of any one cell
    at the same time, but only the one rhombic plate which stands on the
    extreme growing margin, or the two plates, as the case may be; and they
    never complete the upper edges of the rhombic plates, until the
    hexagonal walls are commenced. Some of these statements differ from
    those made by the justly celebrated elder Huber, but I am convinced of
    their accuracy; and if I had space, I could show that they are
    conformable with my theory.

    Huber’s statement that the very first cell is excavated out of a little
    parallel-sided wall of wax, is not, as far as I have seen, strictly
    correct; the first commencement having always been a little hood of
    wax; but I will not here enter on these details. We see how important a
    part excavation plays in the construction of the cells; but it would be
    a great error to suppose that the bees cannot build up a rough wall of
    wax in the proper
    position—that is, along the plane of intersection between two adjoining
    spheres. I have several specimens showing clearly that they can do
    this. Even in the rude circumferential rim or wall of wax round a
    growing comb, flexures may sometimes be observed, corresponding in
    position to the planes of the rhombic basal plates of future cells. But
    the rough wall of wax has in every case to be finished off, by being
    largely gnawed away on both sides. The manner in which the bees build
    is curious; they always make the first rough wall from ten to twenty
    times thicker than the excessively thin finished wall of the cell,
    which will ultimately be left. We shall understand how they work, by
    supposing masons first to pile up a broad ridge of cement, and then to
    begin cutting it away equally on both sides near the ground, till a
    smooth, very thin wall is left in the middle; the masons always piling
    up the cut-away cement, and adding fresh cement, on the summit of the
    ridge. We shall thus have a thin wall steadily growing upward; but
    always crowned by a gigantic coping. From all the cells, both those
    just commenced and those completed, being thus crowned by a strong
    coping of wax, the bees can cluster and crawl over the comb without
    injuring the delicate hexagonal walls, which are only about one
    four-hundredth of an inch in thickness; the plates of the pyramidal
    basis being about twice as thick. By this singular manner of building,
    strength is continually given to the comb, with the utmost ultimate
    economy of wax.

    It seems at first to add to the difficulty of understanding how the
    cells are made, that a multitude of bees all work together; one bee
    after working a short time at one cell going to another, so that, as
    Huber has stated, a score of individuals work even at the commencement
    of the first cell. I was able practically to show this fact, by
    covering the edges of the hexagonal walls
    of a single cell, or the extreme margin of the circumferential rim of a
    growing comb, with an extremely thin layer of melted vermilion wax; and
    I invariably found that the colour was most delicately diffused by the
    bees—as delicately as a painter could have done with his brush—by atoms
    of the coloured wax having been taken from the spot on which it had
    been placed, and worked into the growing edges of the cells all round.
    The work of construction seems to be a sort of balance struck between
    many bees, all instinctively standing at the same relative distance
    from each other, all trying to sweep equal spheres, and then building
    up, or leaving ungnawed, the planes of intersection between these
    spheres. It was really curious to note in cases of difficulty, as when
    two pieces of comb met at an angle, how often the bees would entirely
    pull down and rebuild in different ways the same cell, sometimes
    recurring to a shape which they had at first rejected.

    When bees have a place on which they can stand in their proper
    positions for working,—for instance, on a slip of wood, placed directly
    under the middle of a comb growing downwards so that the comb has to be
    built over one face of the slip—in this case the bees can lay the
    foundations of one wall of a new hexagon, in its strictly proper place,
    projecting beyond the other completed cells. It suffices that the bees
    should be enabled to stand at their proper relative distances from each
    other and from the walls of the last completed cells, and then, by
    striking imaginary spheres, they can build up a wall intermediate
    between two adjoining spheres; but, as far as I have seen, they never
    gnaw away and finish off the angles of a cell till a large part both of
    that cell and of the adjoining cells has been built. This capacity in
    bees of laying down under certain circumstances a rough wall in its
    proper place between two just-commenced
    cells, is important, as it bears on a fact, which seems at first quite
    subversive of the foregoing theory; namely, that the cells on the
    extreme margin of wasp-combs are sometimes strictly hexagonal; but I
    have not space here to enter on this subject. Nor does there seem to me
    any great difficulty in a single insect (as in the case of a
    queen-wasp) making hexagonal cells, if she work alternately on the
    inside and outside of two or three cells commenced at the same time,
    always standing at the proper relative distance from the parts of the
    cells just begun, sweeping spheres or cylinders, and building up
    intermediate planes. It is even conceivable that an insect might, by
    fixing on a point at which to commence a cell, and then moving outside,
    first to one point, and then to five other points, at the proper
    relative distances from the central point and from each other, strike
    the planes of intersection, and so make an isolated hexagon: but I am
    not aware that any such case has been observed; nor would any good be
    derived from a single hexagon being built, as in its construction more
    materials would be required than for a cylinder.

    As natural selection acts only by the accumulation of slight
    modifications of structure or instinct, each profitable to the
    individual under its conditions of life, it may reasonably be asked,
    how a long and graduated succession of modified architectural
    instincts, all tending towards the present perfect plan of
    construction, could have profited the progenitors of the hive-bee? I
    think the answer is not difficult: it is known that bees are often hard
    pressed to get sufficient nectar; and I am informed by Mr. Tegetmeier
    that it has been experimentally found that no less than from twelve to
    fifteen pounds of dry sugar are consumed by a hive of bees for the
    secretion of each pound of wax; so that a prodigious quantity of fluid
    nectar must be collected and consumed by the bees in a hive for
    the secretion of the wax necessary for the construction of their combs.
    Moreover, many bees have to remain idle for many days during the
    process of secretion. A large store of honey is indispensable to
    support a large stock of bees during the winter; and the security of
    the hive is known mainly to depend on a large number of bees being
    supported. Hence the saving of wax by largely saving honey must be a
    most important element of success in any family of bees. Of course the
    success of any species of bee may be dependent on the number of its
    parasites or other enemies, or on quite distinct causes, and so be
    altogether independent of the quantity of honey which the bees could
    collect. But let us suppose that this latter circumstance determined,
    as it probably often does determine, the numbers of a humble-bee which
    could exist in a country; and let us further suppose that the community
    lived throughout the winter, and consequently required a store of
    honey: there can in this case be no doubt that it would be an advantage
    to our humble-bee, if a slight modification of her instinct led her to
    make her waxen cells near together, so as to intersect a little; for a
    wall in common even to two adjoining cells, would save some little wax.
    Hence it would continually be more and more advantageous to our
    humble-bee, if she were to make her cells more and more regular, nearer
    together, and aggregated into a mass, like the cells of the Melipona;
    for in this case a large part of the bounding surface of each cell
    would serve to bound other cells, and much wax would be saved. Again,
    from the same cause, it would be advantageous to the Melipona, if she
    were to make her cells closer together, and more regular in every way
    than at present; for then, as we have seen, the spherical surfaces
    would wholly disappear, and would all be replaced by plane surfaces;
    and the Melipona
    would make a comb as perfect as that of the hive-bee. Beyond this stage
    of perfection in architecture, natural selection could not lead; for
    the comb of the hive-bee, as far as we can see, is absolutely perfect
    in economising wax.

    Thus, as I believe, the most wonderful of all known instincts, that of
    the hive-bee, can be explained by natural selection having taken
    advantage of numerous, successive, slight modifications of simpler
    instincts; natural selection having by slow degrees, more and more
    perfectly, led the bees to sweep equal spheres at a given distance from
    each other in a double layer, and to build up and excavate the wax
    along the planes of intersection. The bees, of course, no more knowing
    that they swept their spheres at one particular distance from each
    other, than they know what are the several angles of the hexagonal
    prisms and of the basal rhombic plates. The motive power of the process
    of natural selection having been economy of wax; that individual swarm
    which wasted least honey in the secretion of wax, having succeeded
    best, and having transmitted by inheritance its newly acquired
    economical instinct to new swarms, which in their turn will have had
    the best chance of succeeding in the struggle for existence.

    No doubt many instincts of very difficult explanation could be opposed
    to the theory of natural selection,—cases, in which we cannot see how
    an instinct could possibly have originated; cases, in which no
    intermediate gradations are known to exist; cases of instinct of
    apparently such trifling importance, that they could hardly have been
    acted on by natural selection; cases of instincts almost identically
    the same in animals so remote in the scale of nature, that we cannot
    account
    for their similarity by inheritance from a common parent, and must
    therefore believe that they have been acquired by independent acts of
    natural selection. I will not here enter on these several cases, but
    will confine myself to one special difficulty, which at first appeared
    to me insuperable, and actually fatal to my whole theory. I allude to
    the neuters or sterile females in insect-communities: for these neuters
    often differ widely in instinct and in structure from both the males
    and fertile females, and yet, from being sterile, they cannot propagate
    their kind.

    The subject well deserves to be discussed at great length, but I will
    here take only a single case, that of working or sterile ants. How the
    workers have been rendered sterile is a difficulty; but not much
    greater than that of any other striking modification of structure; for
    it can be shown that some insects and other articulate animals in a
    state of nature occasionally become sterile; and if such insects had
    been social, and it had been profitable to the community that a number
    should have been annually born capable of work, but incapable of
    procreation, I can see no very great difficulty in this being effected
    by natural selection. But I must pass over this preliminary difficulty.
    The great difficulty lies in the working ants differing widely from
    both the males and the fertile females in structure, as in the shape of
    the thorax and in being destitute of wings and sometimes of eyes, and
    in instinct. As far as instinct alone is concerned, the prodigious
    difference in this respect between the workers and the perfect females,
    would have been far better exemplified by the hive-bee. If a working
    ant or other neuter insect had been an animal in the ordinary state, I
    should have unhesitatingly assumed that all its characters had been
    slowly acquired through natural selection; namely, by an individual
    having been born with some slight profitable modification of structure,
    this being inherited by its offspring, which again varied and were
    again selected, and so onwards. But with the working ant we have an
    insect differing greatly from its parents, yet absolutely sterile; so
    that it could never have transmitted successively acquired
    modifications of structure or instinct to its progeny. It may well be
    asked how is it possible to reconcile this case with the theory of
    natural selection?

    First, let it be remembered that we have innumerable instances, both in
    our domestic productions and in those in a state of nature, of all
    sorts of differences of structure which have become correlated to
    certain ages, and to either sex. We have differences correlated not
    only to one sex, but to that short period alone when the reproductive
    system is active, as in the nuptial plumage of many birds, and in the
    hooked jaws of the male salmon. We have even slight differences in the
    horns of different breeds of cattle in relation to an artificially
    imperfect state of the male sex; for oxen of certain breeds have longer
    horns than in other breeds, in comparison with the horns of the bulls
    or cows of these same breeds. Hence I can see no real difficulty in any
    character having become correlated with the sterile condition of
    certain members of insect-communities: the difficulty lies in
    understanding how such correlated modifications of structure could have
    been slowly accumulated by natural selection.

    This difficulty, though appearing insuperable, is lessened, or, as I
    believe, disappears, when it is remembered that selection may be
    applied to the family, as well as to the individual, and may thus gain
    the desired end. Thus, a well-flavoured vegetable is cooked, and the
    individual is destroyed; but the horticulturist sows seeds of the same
    stock, and confidently expects to
    get nearly the same variety; breeders of cattle wish the flesh and fat
    to be well marbled together; the animal has been slaughtered, but the
    breeder goes with confidence to the same family. I have such faith in
    the powers of selection, that I do not doubt that a breed of cattle,
    always yielding oxen with extraordinarily long horns, could be slowly
    formed by carefully watching which individual bulls and cows, when
    matched, produced oxen with the longest horns; and yet no one ox could
    ever have propagated its kind. Thus I believe it has been with social
    insects: a slight modification of structure, or instinct, correlated
    with the sterile condition of certain members of the community, has
    been advantageous to the community: consequently the fertile males and
    females of the same community flourished, and transmitted to their
    fertile offspring a tendency to produce sterile members having the same
    modification. And I believe that this process has been repeated, until
    that prodigious amount of difference between the fertile and sterile
    females of the same species has been produced, which we see in many
    social insects.

    But we have not as yet touched on the climax of the difficulty; namely,
    the fact that the neuters of several ants differ, not only from the
    fertile females and males, but from each other, sometimes to an almost
    incredible degree, and are thus divided into two or even three castes.
    The castes, moreover, do not generally graduate into each other, but
    are perfectly well defined; being as distinct from each other, as are
    any two species of the same genus, or rather as any two genera of the
    same family. Thus in Eciton, there are working and soldier neuters,
    with jaws and instincts extraordinarily different: in Cryptocerus, the
    workers of one caste alone carry a wonderful sort of shield on their
    heads, the use of which is quite unknown: in the Mexican Myrmecocystus,
    the workers of one caste never leave the nest; they are fed by the
    workers of another caste, and they have an enormously developed abdomen
    which secretes a sort of honey, supplying the place of that excreted by
    the aphides, or the domestic cattle as they may be called, which our
    European ants guard or imprison.

    It will indeed be thought that I have an overweening confidence in the
    principle of natural selection, when I do not admit that such wonderful
    and well-established facts at once annihilate my theory. In the simpler
    case of neuter insects all of one caste or of the same kind, which have
    been rendered by natural selection, as I believe to be quite possible,
    different from the fertile males and females,—in this case, we may
    safely conclude from the analogy of ordinary variations, that each
    successive, slight, profitable modification did not probably at first
    appear in all the individual neuters in the same nest, but in a few
    alone; and that by the long-continued selection of the fertile parents
    which produced most neuters with the profitable modification, all the
    neuters ultimately came to have the desired character. On this view we
    ought occasionally to find neuter-insects of the same species, in the
    same nest, presenting gradations of structure; and this we do find,
    even often, considering how few neuter-insects out of Europe have been
    carefully examined. Mr. F. Smith has shown how surprisingly the neuters
    of several British ants differ from each other in size and sometimes in
    colour; and that the extreme forms can sometimes be perfectly linked
    together by individuals taken out of the same nest: I have myself
    compared perfect gradations of this kind. It often happens that the
    larger or the smaller sized workers are the most numerous; or that both
    large and small are numerous, with those of an intermediate size scanty
    in numbers. Formica flava has larger and
    smaller workers, with some of intermediate size; and, in this species,
    as Mr. F. Smith has observed, the larger workers have simple eyes
    (ocelli), which though small can be plainly distinguished, whereas the
    smaller workers have their ocelli rudimentary. Having carefully
    dissected several specimens of these workers, I can affirm that the
    eyes are far more rudimentary in the smaller workers than can be
    accounted for merely by their proportionally lesser size; and I fully
    believe, though I dare not assert so positively, that the workers of
    intermediate size have their ocelli in an exactly intermediate
    condition. So that we here have two bodies of sterile workers in the
    same nest, differing not only in size, but in their organs of vision,
    yet connected by some few members in an intermediate condition. I may
    digress by adding, that if the smaller workers had been the most useful
    to the community, and those males and females had been continually
    selected, which produced more and more of the smaller workers, until
    all the workers had come to be in this condition; we should then have
    had a species of ant with neuters very nearly in the same condition
    with those of Myrmica. For the workers of Myrmica have not even
    rudiments of ocelli, though the male and female ants of this genus have
    well-developed ocelli.

    I may give one other case: so confidently did I expect to find
    gradations in important points of structure between the different
    castes of neuters in the same species, that I gladly availed myself of
    Mr. F. Smith’s offer of numerous specimens from the same nest of the
    driver ant (Anomma) of West Africa. The reader will perhaps best
    appreciate the amount of difference in these workers, by my giving not
    the actual measurements, but a strictly accurate illustration: the
    difference was the same as if we were to see a set of workmen building
    a house of whom many were five feet four inches high, and many sixteen
    feet high; but we must suppose that the larger workmen had heads four
    instead of three times as big as those of the smaller men, and jaws
    nearly five times as big. The jaws, moreover, of the working ants of
    the several sizes differed wonderfully in shape, and in the form and
    number of the teeth. But the important fact for us is, that though the
    workers can be grouped into castes of different sizes, yet they
    graduate insensibly into each other, as does the widely-different
    structure of their jaws. I speak confidently on this latter point, as
    Mr. Lubbock made drawings for me with the camera lucida of the jaws
    which I had dissected from the workers of the several sizes.

    With these facts before me, I believe that natural selection, by acting
    on the fertile parents, could form a species which should regularly
    produce neuters, either all of large size with one form of jaw, or all
    of small size with jaws having a widely different structure; or lastly,
    and this is our climax of difficulty, one set of workers of one size
    and structure, and simultaneously another set of workers of a different
    size and structure;—a graduated series having been first formed, as in
    the case of the driver ant, and then the extreme forms, from being the
    most useful to the community, having been produced in greater and
    greater numbers through the natural selection of the parents which
    generated them; until none with an intermediate structure were
    produced.

    Thus, as I believe, the wonderful fact of two distinctly defined castes
    of sterile workers existing in the same nest, both widely different
    from each other and from their parents, has originated. We can see how
    useful their production may have been to a social community of insects,
    on the same principle that the division of
    labour is useful to civilised man. As ants work by inherited instincts
    and by inherited tools or weapons, and not by acquired knowledge and
    manufactured instruments, a perfect division of labour could be
    effected with them only by the workers being sterile; for had they been
    fertile, they would have intercrossed, and their instincts and
    structure would have become blended. And nature has, as I believe,
    effected this admirable division of labour in the communities of ants,
    by the means of natural selection. But I am bound to confess, that,
    with all my faith in this principle, I should never have anticipated
    that natural selection could have been efficient in so high a degree,
    had not the case of these neuter insects convinced me of the fact. I
    have, therefore, discussed this case, at some little but wholly
    insufficient length, in order to show the power of natural selection,
    and likewise because this is by far the most serious special
    difficulty, which my theory has encountered. The case, also, is very
    interesting, as it proves that with animals, as with plants, any amount
    of modification in structure can be effected by the accumulation of
    numerous, slight, and as we must call them accidental, variations,
    which are in any manner profitable, without exercise or habit having
    come into play. For no amount of exercise, or habit, or volition, in
    the utterly sterile members of a community could possibly have affected
    the structure or instincts of the fertile members, which alone leave
    descendants. I am surprised that no one has advanced this demonstrative
    case of neuter insects, against the well-known doctrine of Lamarck.

    Summary.—I have endeavoured briefly in this chapter to show that the
    mental qualities of our domestic animals vary, and that the variations
    are inherited. Still more briefly I have attempted to show that
    instincts
    vary slightly in a state of nature. No one will dispute that instincts
    are of the highest importance to each animal. Therefore I can see no
    difficulty, under changing conditions of life, in natural selection
    accumulating slight modifications of instinct to any extent, in any
    useful direction. In some cases habit or use and disuse have probably
    come into play. I do not pretend that the facts given in this chapter
    strengthen in any great degree my theory; but none of the cases of
    difficulty, to the best of my judgment, annihilate it. On the other
    hand, the fact that instincts are not always absolutely perfect and are
    liable to mistakes;—that no instinct has been produced for the
    exclusive good of other animals, but that each animal takes advantage
    of the instincts of others;—that the canon in natural history, of
    “natura non facit saltum” is applicable to instincts as well as to
    corporeal structure, and is plainly explicable on the foregoing views,
    but is otherwise inexplicable,—all tend to corroborate the theory of
    natural selection.

    This theory is, also, strengthened by some few other facts in regard to
    instincts; as by that common case of closely allied, but certainly
    distinct, species, when inhabiting distant parts of the world and
    living under considerably different conditions of life, yet often
    retaining nearly the same instincts. For instance, we can understand on
    the principle of inheritance, how it is that the thrush of South
    America lines its nest with mud, in the same peculiar manner as does
    our British thrush: how it is that the male wrens (Troglodytes) of
    North America, build “cock-nests,” to roost in, like the males of our
    distinct Kitty-wrens,—a habit wholly unlike that of any other known
    bird. Finally, it may not be a logical deduction, but to my imagination
    it is far more satisfactory to look at such instincts as the young
    cuckoo ejecting its foster-brothers,—ants making slaves,—the larvæ of
    ichneumonidæ feeding within the live bodies of caterpillars,—not as
    specially endowed or created instincts, but as small consequences of
    one general law, leading to the advancement of all organic beings,
    namely, multiply, vary, let the strongest live and the weakest die.

    CHAPTER VIII.
    HYBRIDISM.

    Distinction between the sterility of first crosses and of hybrids.
    Sterility various in degree, not universal, affected by close
    interbreeding, removed by domestication. Laws governing the sterility
    of hybrids. Sterility not a special endowment, but incidental on other
    differences. Causes of the sterility of first crosses and of hybrids.
    Parallelism between the effects of changed conditions of life and
    crossing. Fertility of varieties when crossed and of their mongrel
    offspring not universal. Hybrids and mongrels compared independently of
    their fertility. Summary.

    The view generally entertained by naturalists is that species, when
    intercrossed, have been specially endowed with the quality of
    sterility, in order to prevent the confusion of all organic forms. This
    view certainly seems at first probable, for species within the same
    country could hardly have kept distinct had they been capable of
    crossing freely. The importance of the fact that hybrids are very
    generally sterile, has, I think, been much underrated by some late
    writers. On the theory of natural selection the case is especially
    important, inasmuch as the sterility of hybrids could not possibly be
    of any advantage to them, and therefore could not have been acquired by
    the continued preservation of successive profitable degrees of
    sterility. I hope, however, to be able to show that sterility is not a
    specially acquired or endowed quality, but is incidental on other
    acquired differences.

    In treating this subject, two classes of facts, to a large extent
    fundamentally different, have generally been confounded together;
    namely, the sterility of two
    species when first crossed, and the sterility of the hybrids produced
    from them.

    Pure species have of course their organs of reproduction in a perfect
    condition, yet when intercrossed they produce either few or no
    offspring. Hybrids, on the other hand, have their reproductive organs
    functionally impotent, as may be clearly seen in the state of the male
    element in both plants and animals; though the organs themselves are
    perfect in structure, as far as the microscope reveals. In the first
    case the two sexual elements which go to form the embryo are perfect;
    in the second case they are either not at all developed, or are
    imperfectly developed. This distinction is important, when the cause of
    the sterility, which is common to the two cases, has to be considered.
    The distinction has probably been slurred over, owing to the sterility
    in both cases being looked on as a special endowment, beyond the
    province of our reasoning powers.

    The fertility of varieties, that is of the forms known or believed to
    have descended from common parents, when intercrossed, and likewise the
    fertility of their mongrel offspring, is, on my theory, of equal
    importance with the sterility of species; for it seems to make a broad
    and clear distinction between varieties and species.

    First, for the sterility of species when crossed and of their hybrid
    offspring. It is impossible to study the several memoirs and works of
    those two conscientious and admirable observers, Kölreuter and Gärtner,
    who almost devoted their lives to this subject, without being deeply
    impressed with the high generality of some degree of sterility.
    Kölreuter makes the rule universal; but then he cuts the knot, for in
    ten cases in which he found two forms, considered by most authors as
    distinct species, quite fertile together, he
    unhesitatingly ranks them as varieties. Gärtner, also, makes the rule
    equally universal; and he disputes the entire fertility of Kölreuter’s
    ten cases. But in these and in many other cases, Gärtner is obliged
    carefully to count the seeds, in order to show that there is any degree
    of sterility. He always compares the maximum number of seeds produced
    by two species when crossed and by their hybrid offspring, with the
    average number produced by both pure parent-species in a state of
    nature. But a serious cause of error seems to me to be here introduced:
    a plant to be hybridised must be castrated, and, what is often more
    important, must be secluded in order to prevent pollen being brought to
    it by insects from other plants. Nearly all the plants experimentised
    on by Gärtner were potted, and apparently were kept in a chamber in his
    house. That these processes are often injurious to the fertility of a
    plant cannot be doubted; for Gärtner gives in his table about a score
    of cases of plants which he castrated, and artificially fertilised with
    their own pollen, and (excluding all cases such as the Leguminosæ, in
    which there is an acknowledged difficulty in the manipulation) half of
    these twenty plants had their fertility in some degree impaired.
    Moreover, as Gärtner during several years repeatedly crossed the
    primrose and cowslip, which we have such good reason to believe to be
    varieties, and only once or twice succeeded in getting fertile seed; as
    he found the common red and blue pimpernels (Anagallis arvensis and
    coerulea), which the best botanists rank as varieties, absolutely
    sterile together; and as he came to the same conclusion in several
    other analogous cases; it seems to me that we may well be permitted to
    doubt whether many other species are really so sterile, when
    intercrossed, as Gärtner believes.

    It is certain, on the one hand, that the sterility of various species
    when crossed is so different in degree and graduates away so
    insensibly, and, on the other hand, that the fertility of pure species
    is so easily affected by various circumstances, that for all practical
    purposes it is most difficult to say where perfect fertility ends and
    sterility begins. I think no better evidence of this can be required
    than that the two most experienced observers who have ever lived,
    namely, Kölreuter and Gärtner, should have arrived at diametrically
    opposite conclusions in regard to the very same species. It is also
    most instructive to compare—but I have not space here to enter on
    details—the evidence advanced by our best botanists on the question
    whether certain doubtful forms should be ranked as species or
    varieties, with the evidence from fertility adduced by different
    hybridisers, or by the same author, from experiments made during
    different years. It can thus be shown that neither sterility nor
    fertility affords any clear distinction between species and varieties;
    but that the evidence from this source graduates away, and is doubtful
    in the same degree as is the evidence derived from other constitutional
    and structural differences.

    In regard to the sterility of hybrids in successive generations; though
    Gärtner was enabled to rear some hybrids, carefully guarding them from
    a cross with either pure parent, for six or seven, and in one case for
    ten generations, yet he asserts positively that their fertility never
    increased, but generally greatly decreased. I do not doubt that this is
    usually the case, and that the fertility often suddenly decreases in
    the first few generations. Nevertheless I believe that in all these
    experiments the fertility has been diminished by an independent cause,
    namely, from close interbreeding. I have collected so large a body of
    facts, showing
    that close interbreeding lessens fertility, and, on the other hand,
    that an occasional cross with a distinct individual or variety
    increases fertility, that I cannot doubt the correctness of this almost
    universal belief amongst breeders. Hybrids are seldom raised by
    experimentalists in great numbers; and as the parent-species, or other
    allied hybrids, generally grow in the same garden, the visits of
    insects must be carefully prevented during the flowering season: hence
    hybrids will generally be fertilised during each generation by their
    own individual pollen; and I am convinced that this would be injurious
    to their fertility, already lessened by their hybrid origin. I am
    strengthened in this conviction by a remarkable statement repeatedly
    made by Gärtner, namely, that if even the less fertile hybrids be
    artificially fertilised with hybrid pollen of the same kind, their
    fertility, notwithstanding the frequent ill effects of manipulation,
    sometimes decidedly increases, and goes on increasing. Now, in
    artificial fertilisation pollen is as often taken by chance (as I know
    from my own experience) from the anthers of another flower, as from the
    anthers of the flower itself which is to be fertilised; so that a cross
    between two flowers, though probably on the same plant, would be thus
    effected. Moreover, whenever complicated experiments are in progress,
    so careful an observer as Gärtner would have castrated his hybrids, and
    this would have insured in each generation a cross with the pollen from
    a distinct flower, either from the same plant or from another plant of
    the same hybrid nature. And thus, the strange fact of the increase of
    fertility in the successive generations of artificially fertilised
    hybrids may, I believe, be accounted for by close interbreeding having
    been avoided.

    Now let us turn to the results arrived at by the third most experienced
    hybridiser, namely, the Honourable and
    Reverend W. Herbert. He is as emphatic in his conclusion that some
    hybrids are perfectly fertile—as fertile as the pure parent-species—as
    are Kölreuter and Gärtner that some degree of sterility between
    distinct species is a universal law of nature. He experimentised on
    some of the very same species as did Gärtner. The difference in their
    results may, I think, be in part accounted for by Herbert’s great
    horticultural skill, and by his having hothouses at his command. Of his
    many important statements I will here give only a single one as an
    example, namely, that “every ovule in a pod of Crinum capense
    fertilised by C. revolutum produced a plant, which (he says) I never
    saw to occur in a case of its natural fecundation.” So that we here
    have perfect, or even more than commonly perfect, fertility in a first
    cross between two distinct species.

    This case of the Crinum leads me to refer to a most singular fact,
    namely, that there are individual plants, as with certain species of
    Lobelia, and with all the species of the genus Hippeastrum, which can
    be far more easily fertilised by the pollen of another and distinct
    species, than by their own pollen. For these plants have been found to
    yield seed to the pollen of a distinct species, though quite sterile
    with their own pollen, notwithstanding that their own pollen was found
    to be perfectly good, for it fertilised distinct species. So that
    certain individual plants and all the individuals of certain species
    can actually be hybridised much more readily than they can be
    self-fertilised! For instance, a bulb of Hippeastrum aulicum produced
    four flowers; three were fertilised by Herbert with their own pollen,
    and the fourth was subsequently fertilised by the pollen of a compound
    hybrid descended from three other and distinct species: the result was
    that “the ovaries of the three first flowers soon ceased to grow, and
    after a
    few days perished entirely, whereas the pod impregnated by the pollen
    of the hybrid made vigorous growth and rapid progress to maturity, and
    bore good seed, which vegetated freely.” In a letter to me, in 1839,
    Mr. Herbert told me that he had then tried the experiment during five
    years, and he continued to try it during several subsequent years, and
    always with the same result. This result has, also, been confirmed by
    other observers in the case of Hippeastrum with its sub-genera, and in
    the case of some other genera, as Lobelia, Passiflora and Verbascum.
    Although the plants in these experiments appeared perfectly healthy,
    and although both the ovules and pollen of the same flower were
    perfectly good with respect to other species, yet as they were
    functionally imperfect in their mutual self-action, we must infer that
    the plants were in an unnatural state. Nevertheless these facts show on
    what slight and mysterious causes the lesser or greater fertility of
    species when crossed, in comparison with the same species when
    self-fertilised, sometimes depends.

    The practical experiments of horticulturists, though not made with
    scientific precision, deserve some notice. It is notorious in how
    complicated a manner the species of Pelargonium, Fuchsia, Calceolaria,
    Petunia, Rhododendron, etc., have been crossed, yet many of these
    hybrids seed freely. For instance, Herbert asserts that a hybrid from
    Calceolaria integrifolia and plantaginea, species most widely
    dissimilar in general habit, “reproduced itself as perfectly as if it
    had been a natural species from the mountains of Chile.” I have taken
    some pains to ascertain the degree of fertility of some of the complex
    crosses of Rhododendrons, and I am assured that many of them are
    perfectly fertile. Mr. C. Noble, for instance, informs me that he
    raises stocks for grafting from a hybrid
    between Rhododendron Ponticum and Catawbiense, and that this hybrid
    “seeds as freely as it is possible to imagine.” Had hybrids, when
    fairly treated, gone on decreasing in fertility in each successive
    generation, as Gärtner believes to be the case, the fact would have
    been notorious to nurserymen. Horticulturists raise large beds of the
    same hybrids, and such alone are fairly treated, for by insect agency
    the several individuals of the same hybrid variety are allowed to
    freely cross with each other, and the injurious influence of close
    interbreeding is thus prevented. Any one may readily convince himself
    of the efficiency of insect-agency by examining the flowers of the more
    sterile kinds of hybrid rhododendrons, which produce no pollen, for he
    will find on their stigmas plenty of pollen brought from other flowers.

    In regard to animals, much fewer experiments have been carefully tried
    than with plants. If our systematic arrangements can be trusted, that
    is if the genera of animals are as distinct from each other, as are the
    genera of plants, then we may infer that animals more widely separated
    in the scale of nature can be more easily crossed than in the case of
    plants; but the hybrids themselves are, I think, more sterile. I doubt
    whether any case of a perfectly fertile hybrid animal can be considered
    as thoroughly well authenticated. It should, however, be borne in mind
    that, owing to few animals breeding freely under confinement, few
    experiments have been fairly tried: for instance, the canary-bird has
    been crossed with nine other finches, but as not one of these nine
    species breeds freely in confinement, we have no right to expect that
    the first crosses between them and the canary, or that their hybrids,
    should be perfectly fertile. Again, with respect to the fertility in
    successive generations of the more fertile
    hybrid animals, I hardly know of an instance in which two families of
    the same hybrid have been raised at the same time from different
    parents, so as to avoid the ill effects of close interbreeding. On the
    contrary, brothers and sisters have usually been crossed in each
    successive generation, in opposition to the constantly repeated
    admonition of every breeder. And in this case, it is not at all
    surprising that the inherent sterility in the hybrids should have gone
    on increasing. If we were to act thus, and pair brothers and sisters in
    the case of any pure animal, which from any cause had the least
    tendency to sterility, the breed would assuredly be lost in a very few
    generations.

    Although I do not know of any thoroughly well-authenticated cases of
    perfectly fertile hybrid animals, I have some reason to believe that
    the hybrids from Cervulus vaginalis and Reevesii, and from Phasianus
    colchicus with P. torquatus and with P. versicolor are perfectly
    fertile. The hybrids from the common and Chinese geese (A. cygnoides),
    species which are so different that they are generally ranked in
    distinct genera, have often bred in this country with either pure
    parent, and in one single instance they have bred inter se. This was
    effected by Mr. Eyton, who raised two hybrids from the same parents but
    from different hatches; and from these two birds he raised no less than
    eight hybrids (grandchildren of the pure geese) from one nest. In
    India, however, these cross-bred geese must be far more fertile; for I
    am assured by two eminently capable judges, namely Mr. Blyth and Capt.
    Hutton, that whole flocks of these crossed geese are kept in various
    parts of the country; and as they are kept for profit, where neither
    pure parent-species exists, they must certainly be highly fertile.

    A doctrine which originated with Pallas, has been
    largely accepted by modern naturalists; namely, that most of our
    domestic animals have descended from two or more aboriginal species,
    since commingled by intercrossing. On this view, the aboriginal species
    must either at first have produced quite fertile hybrids, or the
    hybrids must have become in subsequent generations quite fertile under
    domestication. This latter alternative seems to me the most probable,
    and I am inclined to believe in its truth, although it rests on no
    direct evidence. I believe, for instance, that our dogs have descended
    from several wild stocks; yet, with perhaps the exception of certain
    indigenous domestic dogs of South America, all are quite fertile
    together; and analogy makes me greatly doubt, whether the several
    aboriginal species would at first have freely bred together and have
    produced quite fertile hybrids. So again there is reason to believe
    that our European and the humped Indian cattle are quite fertile
    together; but from facts communicated to me by Mr. Blyth, I think they
    must be considered as distinct species. On this view of the origin of
    many of our domestic animals, we must either give up the belief of the
    almost universal sterility of distinct species of animals when crossed;
    or we must look at sterility, not as an indelible characteristic, but
    as one capable of being removed by domestication.

    Finally, looking to all the ascertained facts on the intercrossing of
    plants and animals, it may be concluded that some degree of sterility,
    both in first crosses and in hybrids,is an extremely general result;
    but that it cannot, under our present state of knowledge, be considered
    as absolutely universal.

    Laws governing the Sterility of first Crosses and of Hybrids.—We will
    now consider a little more in detail the
    circumstances and rules governing the sterility of first crosses and of
    hybrids. Our chief object will be to see whether or not the rules
    indicate that species have specially been endowed with this quality, in
    order to prevent their crossing and blending together in utter
    confusion. The following rules and conclusions are chiefly drawn up
    from Gärtner’s admirable work on the hybridisation of plants. I have
    taken much pains to ascertain how far the rules apply to animals, and
    considering how scanty our knowledge is in regard to hybrid animals, I
    have been surprised to find how generally the same rules apply to both
    kingdoms.

    It has been already remarked, that the degree of fertility, both of
    first crosses and of hybrids, graduates from zero to perfect fertility.
    It is surprising in how many curious ways this gradation can be shown
    to exist; but only the barest outline of the facts can here be given.
    When pollen from a plant of one family is placed on the stigma of a
    plant of a distinct family, it exerts no more influence than so much
    inorganic dust. From this absolute zero of fertility, the pollen of
    different species of the same genus applied to the stigma of some one
    species, yields a perfect gradation in the number of seeds produced, up
    to nearly complete or even quite complete fertility; and, as we have
    seen, in certain abnormal cases, even to an excess of fertility, beyond
    that which the plant’s own pollen will produce. So in hybrids
    themselves, there are some which never have produced, and probably
    never would produce, even with the pollen of either pure parent, a
    single fertile seed: but in some of these cases a first trace of
    fertility may be detected, by the pollen of one of the pure
    parent-species causing the flower of the hybrid to wither earlier than
    it otherwise would have done; and the early withering of the flower is
    well known to be a sign
    of incipient fertilisation. From this extreme degree of sterility we
    have self-fertilised hybrids producing a greater and greater number of
    seeds up to perfect fertility.

    Hybrids from two species which are very difficult to cross, and which
    rarely produce any offspring, are generally very sterile; but the
    parallelism between the difficulty of making a first cross, and the
    sterility of the hybrids thus produced—two classes of facts which are
    generally confounded together—is by no means strict. There are many
    cases, in which two pure species can be united with unusual facility,
    and produce numerous hybrid-offspring, yet these hybrids are remarkably
    sterile. On the other hand, there are species which can be crossed very
    rarely, or with extreme difficulty, but the hybrids, when at last
    produced, are very fertile. Even within the limits of the same genus,
    for instance in Dianthus, these two opposite cases occur.

    The fertility, both of first crosses and of hybrids, is more easily
    affected by unfavourable conditions, than is the fertility of pure
    species. But the degree of fertility is likewise innately variable; for
    it is not always the same when the same two species are crossed under
    the same circumstances, but depends in part upon the constitution of
    the individuals which happen to have been chosen for the experiment. So
    it is with hybrids, for their degree of fertility is often found to
    differ greatly in the several individuals raised from seed out of the
    same capsule and exposed to exactly the same conditions.

    By the term systematic affinity is meant, the resemblance between
    species in structure and in constitution, more especially in the
    structure of parts which are of high physiological importance and which
    differ little in the allied species. Now the fertility of first crosses
    between species, and of the hybrids produced from them, is largely
    governed by their systematic affinity. This is clearly shown by hybrids
    never having been raised between species ranked by systematists in
    distinct families; and on the other hand, by very closely allied
    species generally uniting with facility. But the correspondence between
    systematic affinity and the facility of crossing is by no means strict.
    A multitude of cases could be given of very closely allied species
    which will not unite, or only with extreme difficulty; and on the other
    hand of very distinct species which unite with the utmost facility. In
    the same family there may be a genus, as Dianthus, in which very many
    species can most readily be crossed; and another genus, as Silene, in
    which the most persevering efforts have failed to produce between
    extremely close species a single hybrid. Even within the limits of the
    same genus, we meet with this same difference; for instance, the many
    species of Nicotiana have been more largely crossed than the species of
    almost any other genus; but Gärtner found that N. acuminata, which is
    not a particularly distinct species, obstinately failed to fertilise,
    or to be fertilised by, no less than eight other species of Nicotiana.
    Very many analogous facts could be given.

    No one has been able to point out what kind, or what amount, of
    difference in any recognisable character is sufficient to prevent two
    species crossing. It can be shown that plants most widely different in
    habit and general appearance, and having strongly marked differences in
    every part of the flower, even in the pollen, in the fruit, and in the
    cotyledons, can be crossed. Annual and perennial plants, deciduous and
    evergreen trees, plants inhabiting different stations and fitted for
    extremely different climates, can often be crossed with ease.

    By a reciprocal cross between two species, I mean the case, for
    instance, of a stallion-horse being first crossed with a female-ass,
    and then a male-ass with a mare: these two species may then be said to
    have been reciprocally crossed. There is often the widest possible
    difference in the facility of making reciprocal crosses. Such cases are
    highly important, for they prove that the capacity in any two species
    to cross is often completely independent of their systematic affinity,
    or of any recognisable difference in their whole organisation. On the
    other hand, these cases clearly show that the capacity for crossing is
    connected with constitutional differences imperceptible by us, and
    confined to the reproductive system. This difference in the result of
    reciprocal crosses between the same two species was long ago observed
    by Kölreuter. To give an instance: Mirabilis jalappa can easily be
    fertilised by the pollen of M. longiflora, and the hybrids thus
    produced are sufficiently fertile; but Kölreuter tried more than two
    hundred times, during eight following years, to fertilise reciprocally
    M. longiflora with the pollen of M. jalappa, and utterly failed.
    Several other equally striking cases could be given. Thuret has
    observed the same fact with certain sea-weeds or Fuci. Gärtner,
    moreover, found that this difference of facility in making reciprocal
    crosses is extremely common in a lesser degree. He has observed it even
    between forms so closely related (as Matthiola annua and glabra) that
    many botanists rank them only as varieties. It is also a remarkable
    fact, that hybrids raised from reciprocal crosses, though of course
    compounded of the very same two species, the one species having first
    been used as the father and then as the mother, generally differ in
    fertility in a small, and occasionally in a high degree.

    Several other singular rules could be given from
    Gärtner: for instance, some species have a remarkable power of crossing
    with other species; other species of the same genus have a remarkable
    power of impressing their likeness on their hybrid offspring; but these
    two powers do not at all necessarily go together. There are certain
    hybrids which instead of having, as is usual, an intermediate character
    between their two parents, always closely resemble one of them; and
    such hybrids, though externally so like one of their pure
    parent-species, are with rare exceptions extremely sterile. So again
    amongst hybrids which are usually intermediate in structure between
    their parents, exceptional and abnormal individuals sometimes are born,
    which closely resemble one of their pure parents; and these hybrids are
    almost always utterly sterile, even when the other hybrids raised from
    seed from the same capsule have a considerable degree of fertility.
    These facts show how completely fertility in the hybrid is independent
    of its external resemblance to either pure parent.

    Considering the several rules now given, which govern the fertility of
    first crosses and of hybrids, we see that when forms, which must be
    considered as good and distinct species, are united, their fertility
    graduates from zero to perfect fertility, or even to fertility under
    certain conditions in excess. That their fertility, besides being
    eminently susceptible to favourable and unfavourable conditions, is
    innately variable. That it is by no means always the same in degree in
    the first cross and in the hybrids produced from this cross. That the
    fertility of hybrids is not related to the degree in which they
    resemble in external appearance either parent. And lastly, that the
    facility of making a first cross between any two species is not always
    governed by their systematic affinity or
    degree of resemblance to each other. This latter statement is clearly
    proved by reciprocal crosses between the same two species, for
    according as the one species or the other is used as the father or the
    mother, there is generally some difference, and occasionally the widest
    possible difference, in the facility of effecting an union. The
    hybrids, moreover, produced from reciprocal crosses often differ in
    fertility.

    Now do these complex and singular rules indicate that species have been
    endowed with sterility simply to prevent their becoming confounded in
    nature? I think not. For why should the sterility be so extremely
    different in degree, when various species are crossed, all of which we
    must suppose it would be equally important to keep from blending
    together? Why should the degree of sterility be innately variable in
    the individuals of the same species? Why should some species cross with
    facility, and yet produce very sterile hybrids; and other species cross
    with extreme difficulty, and yet produce fairly fertile hybrids? Why
    should there often be so great a difference in the result of a
    reciprocal cross between the same two species? Why, it may even be
    asked, has the production of hybrids been permitted? to grant to
    species the special power of producing hybrids, and then to stop their
    further propagation by different degrees of sterility, not strictly
    related to the facility of the first union between their parents, seems
    to be a strange arrangement.

    The foregoing rules and facts, on the other hand, appear to me clearly
    to indicate that the sterility both of first crosses and of hybrids is
    simply incidental or dependent on unknown differences, chiefly in the
    reproductive systems, of the species which are crossed. The differences
    being of so peculiar and limited a nature,
    that, in reciprocal crosses between two species the male sexual element
    of the one will often freely act on the female sexual element of the
    other, but not in a reversed direction. It will be advisable to explain
    a little more fully by an example what I mean by sterility being
    incidental on other differences, and not a specially endowed quality.
    As the capacity of one plant to be grafted or budded on another is so
    entirely unimportant for its welfare in a state of nature, I presume
    that no one will suppose that this capacity is a specially endowed
    quality, but will admit that it is incidental on differences in the
    laws of growth of the two plants. We can sometimes see the reason why
    one tree will not take on another, from differences in their rate of
    growth, in the hardness of their wood, in the period of the flow or
    nature of their sap, etc.; but in a multitude of cases we can assign no
    reason whatever. Great diversity in the size of two plants, one being
    woody and the other herbaceous, one being evergreen and the other
    deciduous, and adaptation to widely different climates, does not always
    prevent the two grafting together. As in hybridisation, so with
    grafting, the capacity is limited by systematic affinity, for no one
    has been able to graft trees together belonging to quite distinct
    families; and, on the other hand, closely allied species, and varieties
    of the same species, can usually, but not invariably, be grafted with
    ease. But this capacity, as in hybridisation, is by no means absolutely
    governed by systematic affinity. Although many distinct genera within
    the same family have been grafted together, in other cases species of
    the same genus will not take on each other. The pear can be grafted far
    more readily on the quince, which is ranked as a distinct genus, than
    on the apple, which is a member of the same genus. Even different
    varieties of the pear take
    with different degrees of facility on the quince; so do different
    varieties of the apricot and peach on certain varieties of the plum.

    As Gärtner found that there was sometimes an innate difference in
    different individuals of the same two species in crossing; so Sagaret
    believes this to be the case with different individuals of the same two
    species in being grafted together. As in reciprocal crosses, the
    facility of effecting an union is often very far from equal, so it
    sometimes is in grafting; the common gooseberry, for instance, cannot
    be grafted on the currant, whereas the currant will take, though with
    difficulty, on the gooseberry.

    We have seen that the sterility of hybrids, which have their
    reproductive organs in an imperfect condition, is a very different case
    from the difficulty of uniting two pure species, which have their
    reproductive organs perfect; yet these two distinct cases run to a
    certain extent parallel. Something analogous occurs in grafting; for
    Thouin found that three species of Robinia, which seeded freely on
    their own roots, and which could be grafted with no great difficulty on
    another species, when thus grafted were rendered barren. On the other
    hand, certain species of Sorbus, when grafted on other species, yielded
    twice as much fruit as when on their own roots. We are reminded by this
    latter fact of the extraordinary case of Hippeastrum, Lobelia, etc.,
    which seeded much more freely when fertilised with the pollen of
    distinct species, than when self-fertilised with their own pollen.

    We thus see, that although there is a clear and fundamental difference
    between the mere adhesion of grafted stocks, and the union of the male
    and female elements in the act of reproduction, yet that there is a
    rude degree of parallelism in the results of grafting and
    of crossing distinct species. And as we must look at the curious and
    complex laws governing the facility with which trees can be grafted on
    each other as incidental on unknown differences in their vegetative
    systems, so I believe that the still more complex laws governing the
    facility of first crosses, are incidental on unknown differences,
    chiefly in their reproductive systems. These differences, in both
    cases, follow to a certain extent, as might have been expected,
    systematic affinity, by which every kind of resemblance and
    dissimilarity between organic beings is attempted to be expressed. The
    facts by no means seem to me to indicate that the greater or lesser
    difficulty of either grafting or crossing together various species has
    been a special endowment; although in the case of crossing, the
    difficulty is as important for the endurance and stability of specific
    forms, as in the case of grafting it is unimportant for their welfare.

    Causes of the Sterility of first Crosses and of Hybrids.—We may now
    look a little closer at the probable causes of the sterility of first
    crosses and of hybrids. These two cases are fundamentally different,
    for, as just remarked, in the union of two pure species the male and
    female sexual elements are perfect, whereas in hybrids they are
    imperfect. Even in first crosses, the greater or lesser difficulty in
    effecting a union apparently depends on several distinct causes. There
    must sometimes be a physical impossibility in the male element reaching
    the ovule, as would be the case with a plant having a pistil too long
    for the pollen-tubes to reach the ovarium. It has also been observed
    that when pollen of one species is placed on the stigma of a distantly
    allied species, though the pollen-tubes protrude, they do not penetrate
    the stigmatic surface. Again, the
    male element may reach the female element, but be incapable of causing
    an embryo to be developed, as seems to have been the case with some of
    Thuret’s experiments on Fuci. No explanation can be given of these
    facts, any more than why certain trees cannot be grafted on others.
    Lastly, an embryo may be developed, and then perish at an early period.
    This latter alternative has not been sufficiently attended to; but I
    believe, from observations communicated to me by Mr. Hewitt, who has
    had great experience in hybridising gallinaceous birds, that the early
    death of the embryo is a very frequent cause of sterility in first
    crosses. I was at first very unwilling to believe in this view; as
    hybrids, when once born, are generally healthy and long-lived, as we
    see in the case of the common mule. Hybrids, however, are differently
    circumstanced before and after birth: when born and living in a country
    where their two parents can live, they are generally placed under
    suitable conditions of life. But a hybrid partakes of only half of the
    nature and constitution of its mother, and therefore before birth, as
    long as it is nourished within its mother’s womb or within the egg or
    seed produced by the mother, it may be exposed to conditions in some
    degree unsuitable, and consequently be liable to perish at an early
    period; more especially as all very young beings seem eminently
    sensitive to injurious or unnatural conditions of life.

    In regard to the sterility of hybrids, in which the sexual elements are
    imperfectly developed, the case is very different. I have more than
    once alluded to a large body of facts, which I have collected, showing
    that when animals and plants are removed from their natural conditions,
    they are extremely liable to have their reproductive systems seriously
    affected. This, in fact, is
    the great bar to the domestication of animals. Between the sterility
    thus superinduced and that of hybrids, there are many points of
    similarity. In both cases the sterility is independent of general
    health, and is often accompanied by excess of size or great luxuriance.
    In both cases, the sterility occurs in various degrees; in both, the
    male element is the most liable to be affected; but sometimes the
    female more than the male. In both, the tendency goes to a certain
    extent with systematic affinity, for whole groups of animals and plants
    are rendered impotent by the same unnatural conditions; and whole
    groups of species tend to produce sterile hybrids. On the other hand,
    one species in a group will sometimes resist great changes of
    conditions with unimpaired fertility; and certain species in a group
    will produce unusually fertile hybrids. No one can tell, till he tries,
    whether any particular animal will breed under confinement or any plant
    seed freely under culture; nor can he tell, till he tries, whether any
    two species of a genus will produce more or less sterile hybrids.
    Lastly, when organic beings are placed during several generations under
    conditions not natural to them, they are extremely liable to vary,
    which is due, as I believe, to their reproductive systems having been
    specially affected, though in a lesser degree than when sterility
    ensues. So it is with hybrids, for hybrids in successive generations
    are eminently liable to vary, as every experimentalist has observed.

    Thus we see that when organic beings are placed under new and unnatural
    conditions, and when hybrids are produced by the unnatural crossing of
    two species, the reproductive system, independently of the general
    state of health, is affected by sterility in a very similar manner. In
    the one case, the conditions of life have been disturbed, though often
    in so slight a degree as to
    be inappreciable by us; in the other case, or that of hybrids, the
    external conditions have remained the same, but the organisation has
    been disturbed by two different structures and constitutions having
    been blended into one. For it is scarcely possible that two
    organisations should be compounded into one, without some disturbance
    occurring in the development, or periodical action, or mutual relation
    of the different parts and organs one to another, or to the conditions
    of life. When hybrids are able to breed inter se, they transmit to
    their offspring from generation to generation the same compounded
    organisation, and hence we need not be surprised that their sterility,
    though in some degree variable, rarely diminishes.

    It must, however, be confessed that we cannot understand, excepting on
    vague hypotheses, several facts with respect to the sterility of
    hybrids; for instance, the unequal fertility of hybrids produced from
    reciprocal crosses; or the increased sterility in those hybrids which
    occasionally and exceptionally resemble closely either pure parent. Nor
    do I pretend that the foregoing remarks go to the root of the matter:
    no explanation is offered why an organism, when placed under unnatural
    conditions, is rendered sterile. All that I have attempted to show, is
    that in two cases, in some respects allied, sterility is the common
    result,—in the one case from the conditions of life having been
    disturbed, in the other case from the organisation having been
    disturbed by two organisations having been compounded into one.

    It may seem fanciful, but I suspect that a similar parallelism extends
    to an allied yet very different class of facts. It is an old and almost
    universal belief, founded, I think, on a considerable body of evidence,
    that slight changes in the conditions of life are beneficial to all
    living things. We see this acted on by
    farmers and gardeners in their frequent exchanges of seed, tubers,
    etc., from one soil or climate to another, and back again. During the
    convalescence of animals, we plainly see that great benefit is derived
    from almost any change in the habits of life. Again, both with plants
    and animals, there is abundant evidence, that a cross between very
    distinct individuals of the same species, that is between members of
    different strains or sub-breeds, gives vigour and fertility to the
    offspring. I believe, indeed, from the facts alluded to in our fourth
    chapter, that a certain amount of crossing is indispensable even with
    hermaphrodites; and that close interbreeding continued during several
    generations between the nearest relations, especially if these be kept
    under the same conditions of life, always induces weakness and
    sterility in the progeny.

    Hence it seems that, on the one hand, slight changes in the conditions
    of life benefit all organic beings, and on the other hand, that slight
    crosses, that is crosses between the males and females of the same
    species which have varied and become slightly different, give vigour
    and fertility to the offspring. But we have seen that greater changes,
    or changes of a particular nature, often render organic beings in some
    degree sterile; and that greater crosses, that is crosses between males
    and females which have become widely or specifically different, produce
    hybrids which are generally sterile in some degree. I cannot persuade
    myself that this parallelism is an accident or an illusion. Both series
    of facts seem to be connected together by some common but unknown bond,
    which is essentially related to the principle of life.

    Fertility of Varieties when crossed, and of their Mongrel offspring.—It may be urged, as a most forcible argument,
    that there must be some essential distinction between species and
    varieties, and that there must be some error in all the foregoing
    remarks, inasmuch as varieties, however much they may differ from each
    other in external appearance, cross with perfect facility, and yield
    perfectly fertile offspring. I fully admit that this is almost
    invariably the case. But if we look to varieties produced under nature,
    we are immediately involved in hopeless difficulties; for if two
    hitherto reputed varieties be found in any degree sterile together,
    they are at once ranked by most naturalists as species. For instance,
    the blue and red pimpernel, the primrose and cowslip, which are
    considered by many of our best botanists as varieties, are said by
    Gärtner not to be quite fertile when crossed, and he consequently ranks
    them as undoubted species. If we thus argue in a circle, the fertility
    of all varieties produced under nature will assuredly have to be
    granted.

    If we turn to varieties, produced, or supposed to have been produced,
    under domestication, we are still involved in doubt. For when it is
    stated, for instance, that the German Spitz dog unites more easily than
    other dogs with foxes, or that certain South American indigenous
    domestic dogs do not readily cross with European dogs, the explanation
    which will occur to everyone, and probably the true one, is that these
    dogs have descended from several aboriginally distinct species.
    Nevertheless the perfect fertility of so many domestic varieties,
    differing widely from each other in appearance, for instance of the
    pigeon or of the cabbage, is a remarkable fact; more especially when we
    reflect how many species there are, which, though resembling each other
    most closely, are utterly sterile when intercrossed. Several
    considerations, however, render the fertility of domestic varieties
    less remarkable than
    at first appears. It can, in the first place, be clearly shown that
    mere external dissimilarity between two species does not determine
    their greater or lesser degree of sterility when crossed; and we may
    apply the same rule to domestic varieties. In the second place, some
    eminent naturalists believe that a long course of domestication tends
    to eliminate sterility in the successive generations of hybrids, which
    were at first only slightly sterile; and if this be so, we surely ought
    not to expect to find sterility both appearing and disappearing under
    nearly the same conditions of life. Lastly, and this seems to me by far
    the most important consideration, new races of animals and plants are
    produced under domestication by man’s methodical and unconscious power
    of selection, for his own use and pleasure: he neither wishes to
    select, nor could select, slight differences in the reproductive
    system, or other constitutional differences correlated with the
    reproductive system. He supplies his several varieties with the same
    food; treats them in nearly the same manner, and does not wish to alter
    their general habits of life. Nature acts uniformly and slowly during
    vast periods of time on the whole organisation, in any way which may be
    for each creature’s own good; and thus she may, either directly, or
    more probably indirectly, through correlation, modify the reproductive
    system in the several descendants from any one species. Seeing this
    difference in the process of selection, as carried on by man and
    nature, we need not be surprised at some difference in the result.

    I have as yet spoken as if the varieties of the same species were
    invariably fertile when intercrossed. But it seems to me impossible to
    resist the evidence of the existence of a certain amount of sterility
    in the few following cases, which I will briefly abstract. The evidence
    is at least as good as that from which we believe
    in the sterility of a multitude of species. The evidence is, also,
    derived from hostile witnesses, who in all other cases consider
    fertility and sterility as safe criterions of specific distinction.
    Gärtner kept during several years a dwarf kind of maize with yellow
    seeds, and a tall variety with red seeds, growing near each other in
    his garden; and although these plants have separated sexes, they never
    naturally crossed. He then fertilised thirteen flowers of the one with
    the pollen of the other; but only a single head produced any seed, and
    this one head produced only five grains. Manipulation in this case
    could not have been injurious, as the plants have separated sexes. No
    one, I believe, has suspected that these varieties of maize are
    distinct species; and it is important to notice that the hybrid plants
    thus raised were themselves perfectly fertile; so that even Gärtner
    did not venture to consider the two varieties as specifically distinct.

    Girou de Buzareingues crossed three varieties of gourd, which like the
    maize has separated sexes, and he asserts that their mutual
    fertilisation is by so much the less easy as their differences are
    greater. How far these experiments may be trusted, I know not; but the
    forms experimentised on, are ranked by Sagaret, who mainly founds his
    classification by the test of infertility, as varieties.

    The following case is far more remarkable, and seems at first quite
    incredible; but it is the result of an astonishing number of
    experiments made during many years on nine species of Verbascum, by so
    good an observer and so hostile a witness, as Gärtner: namely, that
    yellow and white varieties of the same species of Verbascum when
    intercrossed produce less seed, than do either coloured varieties when
    fertilised with pollen from their own coloured flowers. Moreover, he
    asserts that when
    yellow and white varieties of one species are crossed with yellow and
    white varieties of a distinct species, more seed is produced by the
    crosses between the same coloured flowers, than between those which are
    differently coloured. Yet these varieties of Verbascum present no other
    difference besides the mere colour of the flower; and one variety can
    sometimes be raised from the seed of the other.

    From observations which I have made on certain varieties of hollyhock,
    I am inclined to suspect that they present analogous facts.

    Kölreuter, whose accuracy has been confirmed by every subsequent
    observer, has proved the remarkable fact, that one variety of the
    common tobacco is more fertile, when crossed with a widely distinct
    species, than are the other varieties. He experimentised on five forms,
    which are commonly reputed to be varieties, and which he tested by the
    severest trial, namely, by reciprocal crosses, and he found their
    mongrel offspring perfectly fertile. But one of these five varieties,
    when used either as father or mother, and crossed with the Nicotiana
    glutinosa, always yielded hybrids not so sterile as those which were
    produced from the four other varieties when crossed with N. glutinosa.
    Hence the reproductive system of this one variety must have been in
    some manner and in some degree modified.

    From these facts; from the great difficulty of ascertaining the
    infertility of varieties in a state of nature, for a supposed variety
    if infertile in any degree would generally be ranked as species; from
    man selecting only external characters in the production of the most
    distinct domestic varieties, and from not wishing or being able to
    produce recondite and functional differences in the reproductive
    system; from these several considerations and facts, I do not think
    that the very general
    fertility of varieties can be proved to be of universal occurrence, or
    to form a fundamental distinction between varieties and species. The
    general fertility of varieties does not seem to me sufficient to
    overthrow the view which I have taken with respect to the very general,
    but not invariable, sterility of first crosses and of hybrids, namely,
    that it is not a special endowment, but is incidental on slowly
    acquired modifications, more especially in the reproductive systems of
    the forms which are crossed.

    Hybrids and Mongrels compared, independently of their fertility.—Independently of the question of fertility, the offspring
    of species when crossed and of varieties when crossed may be compared
    in several other respects. Gärtner, whose strong wish was to draw a
    marked line of distinction between species and varieties, could find
    very few and, as it seems to me, quite unimportant differences between
    the so-called hybrid offspring of species, and the so-called mongrel
    offspring of varieties. And, on the other hand, they agree most closely
    in very many important respects.

    I shall here discuss this subject with extreme brevity. The most
    important distinction is, that in the first generation mongrels are
    more variable than hybrids; but Gärtner admits that hybrids from
    species which have long been cultivated are often variable in the first
    generation; and I have myself seen striking instances of this fact.
    Gärtner further admits that hybrids between very closely allied species
    are more variable than those from very distinct species; and this shows
    that the difference in the degree of variability graduates away. When
    mongrels and the more fertile hybrids are propagated for several
    generations an extreme amount of variability in their offspring is
    notorious;
    but some few cases both of hybrids and mongrels long retaining
    uniformity of character could be given. The variability, however, in
    the successive generations of mongrels is, perhaps, greater than in
    hybrids.

    This greater variability of mongrels than of hybrids does not seem to
    me at all surprising. For the parents of mongrels are varieties, and
    mostly domestic varieties (very few experiments having been tried on
    natural varieties), and this implies in most cases that there has been
    recent variability; and therefore we might expect that such variability
    would often continue and be super-added to that arising from the mere
    act of crossing. The slight degree of variability in hybrids from the
    first cross or in the first generation, in contrast with their extreme
    variability in the succeeding generations, is a curious fact and
    deserves attention. For it bears on and corroborates the view which I
    have taken on the cause of ordinary variability; namely, that it is due
    to the reproductive system being eminently sensitive to any change in
    the conditions of life, being thus often rendered either impotent or at
    least incapable of its proper function of producing offspring identical
    with the parent-form. Now hybrids in the first generation are descended
    from species (excluding those long cultivated) which have not had their
    reproductive systems in any way affected, and they are not variable;
    but hybrids themselves have their reproductive systems seriously
    affected, and their descendants are highly variable.

    But to return to our comparison of mongrels and hybrids: Gärtner states
    that mongrels are more liable than hybrids to revert to either
    parent-form; but this, if it be true, is certainly only a difference in
    degree. Gärtner further insists that when any two species, although
    most closely allied to each other, are
    crossed with a third species, the hybrids are widely different from
    each other; whereas if two very distinct varieties of one species are
    crossed with another species, the hybrids do not differ much. But this
    conclusion, as far as I can make out, is founded on a single
    experiment; and seems directly opposed to the results of several
    experiments made by Kölreuter.

    These alone are the unimportant differences, which Gärtner is able to
    point out, between hybrid and mongrel plants. On the other hand, the
    resemblance in mongrels and in hybrids to their respective parents,
    more especially in hybrids produced from nearly related species,
    follows according to Gärtner the same laws. When two species are
    crossed, one has sometimes a prepotent power of impressing its likeness
    on the hybrid; and so I believe it to be with varieties of plants. With
    animals one variety certainly often has this prepotent power over
    another variety. Hybrid plants produced from a reciprocal cross,
    generally resemble each other closely; and so it is with mongrels from
    a reciprocal cross. Both hybrids and mongrels can be reduced to either
    pure parent-form, by repeated crosses in successive generations with
    either parent.

    These several remarks are apparently applicable to animals; but the
    subject is here excessively complicated, partly owing to the existence
    of secondary sexual characters; but more especially owing to prepotency
    in transmitting likeness running more strongly in one sex than in the
    other, both when one species is crossed with another, and when one
    variety is crossed with another variety. For instance, I think those
    authors are right, who maintain that the ass has a prepotent power over
    the horse, so that both the mule and the hinny more resemble the ass
    than the horse; but that the prepotency runs more strongly in the
    male-ass than in
    the female, so that the mule, which is the offspring of the male-ass
    and mare, is more like an ass, than is the hinny, which is the
    offspring of the female-ass and stallion.

    Much stress has been laid by some authors on the supposed fact, that
    mongrel animals alone are born closely like one of their parents; but
    it can be shown that this does sometimes occur with hybrids; yet I
    grant much less frequently with hybrids than with mongrels. Looking to
    the cases which I have collected of cross-bred animals closely
    resembling one parent, the resemblances seem chiefly confined to
    characters almost monstrous in their nature, and which have suddenly
    appeared—such as albinism, melanism, deficiency of tail or horns, or
    additional fingers and toes; and do not relate to characters which have
    been slowly acquired by selection. Consequently, sudden reversions to
    the perfect character of either parent would be more likely to occur
    with mongrels, which are descended from varieties often suddenly
    produced and semi-monstrous in character, than with hybrids, which are
    descended from species slowly and naturally produced. On the whole I
    entirely agree with Dr. Prosper Lucas, who, after arranging an enormous
    body of facts with respect to animals, comes to the conclusion, that
    the laws of resemblance of the child to its parents are the same,
    whether the two parents differ much or little from each other, namely
    in the union of individuals of the same variety, or of different
    varieties, or of distinct species.

    Laying aside the question of fertility and sterility, in all other
    respects there seems to be a general and close similarity in the
    offspring of crossed species, and of crossed varieties. If we look at
    species as having been specially created, and at varieties as having
    been produced by secondary laws, this similarity would be an
    astonishing fact. But it harmonises perfectly with the view that there
    is no essential distinction between species and varieties.

    Summary of Chapter.—First crosses between forms sufficiently distinct
    to be ranked as species, and their hybrids, are very generally, but not
    universally, sterile. The sterility is of all degrees, and is often so
    slight that the two most careful experimentalists who have ever lived,
    have come to diametrically opposite conclusions in ranking forms by
    this test. The sterility is innately variable in individuals of the
    same species, and is eminently susceptible of favourable and
    unfavourable conditions. The degree of sterility does not strictly
    follow systematic affinity, but is governed by several curious and
    complex laws. It is generally different, and sometimes widely
    different, in reciprocal crosses between the same two species. It is
    not always equal in degree in a first cross and in the hybrid produced
    from this cross.

    In the same manner as in grafting trees, the capacity of one species or
    variety to take on another, is incidental on generally unknown
    differences in their vegetative systems, so in crossing, the greater or
    less facility of one species to unite with another, is incidental on
    unknown differences in their reproductive systems. There is no more
    reason to think that species have been specially endowed with various
    degrees of sterility to prevent them crossing and blending in nature,
    than to think that trees have been specially endowed with various and
    somewhat analogous degrees of difficulty in being grafted together in
    order to prevent them becoming inarched in our forests.

    The sterility of first crosses between pure species, which have their
    reproductive systems perfect, seems
    to depend on several circumstances; in some cases largely on the early
    death of the embryo. The sterility of hybrids, which have their
    reproductive systems imperfect, and which have had this system and
    their whole organisation disturbed by being compounded of two distinct
    species, seems closely allied to that sterility which so frequently
    affects pure species, when their natural conditions of life have been
    disturbed. This view is supported by a parallelism of another
    kind;—namely, that the crossing of forms only slightly different is
    favourable to the vigour and fertility of their offspring; and that
    slight changes in the conditions of life are apparently favourable to
    the vigour and fertility of all organic beings. It is not surprising
    that the degree of difficulty in uniting two species, and the degree of
    sterility of their hybrid-offspring should generally correspond, though
    due to distinct causes; for both depend on the amount of difference of
    some kind between the species which are crossed. Nor is it surprising
    that the facility of effecting a first cross, the fertility of the
    hybrids produced, and the capacity of being grafted together—though
    this latter capacity evidently depends on widely different
    circumstances—should all run, to a certain extent, parallel with the
    systematic affinity of the forms which are subjected to experiment; for
    systematic affinity attempts to express all kinds of resemblance
    between all species.

    First crosses between forms known to be varieties, or sufficiently
    alike to be considered as varieties, and their mongrel offspring, are
    very generally, but not quite universally, fertile. Nor is this nearly
    general and perfect fertility surprising, when we remember how liable
    we are to argue in a circle with respect to varieties in a state of
    nature; and when we remember that the greater number of varieties have
    been produced under domestication
    by the selection of mere external differences, and not of differences
    in the reproductive system. In all other respects, excluding fertility,
    there is a close general resemblance between hybrids and mongrels.
    Finally, then, the facts briefly given in this chapter do not seem to
    me opposed to, but even rather to support the view, that there is no
    fundamental distinction between species and varieties.

    CHAPTER IX.
    ON THE IMPERFECTION OF THE GEOLOGICAL RECORD.

    On the absence of intermediate varieties at the present day. On the
    nature of extinct intermediate varieties; on their number. On the vast
    lapse of time, as inferred from the rate of deposition and of
    denudation. On the poorness of our palæontological collections. On the
    intermittence of geological formations. On the absence of intermediate
    varieties in any one formation. On the sudden appearance of groups of
    species. On their sudden appearance in the lowest known fossiliferous
    strata.

    In the sixth chapter I enumerated the chief objections which might be
    justly urged against the views maintained in this volume. Most of them
    have now been discussed. One, namely the distinctness of specific
    forms, and their not being blended together by innumerable transitional
    links, is a very obvious difficulty. I assigned reasons why such links
    do not commonly occur at the present day, under the circumstances
    apparently most favourable for their presence, namely on an extensive
    and continuous area with graduated physical conditions. I endeavoured
    to show, that the life of each species depends in a more important
    manner on the presence of other already defined organic forms, than on
    climate; and, therefore, that the really governing conditions of life
    do not graduate away quite insensibly like heat or moisture. I
    endeavoured, also, to show that intermediate varieties, from existing
    in lesser numbers than the forms which they connect, will generally be
    beaten out and exterminated during the course of further modification
    and improvement. The main cause, however, of innumerable intermediate
    links not now occurring everywhere throughout nature depends
    on the very process of natural selection, through which new varieties
    continually take the places of and exterminate their parent-forms. But
    just in proportion as this process of extermination has acted on an
    enormous scale, so must the number of intermediate varieties, which
    have formerly existed on the earth, be truly enormous. Why then is not
    every geological formation and every stratum full of such intermediate
    links? Geology assuredly does not reveal any such finely graduated
    organic chain; and this, perhaps, is the most obvious and gravest
    objection which can be urged against my theory. The explanation lies,
    as I believe, in the extreme imperfection of the geological record.

    In the first place it should always be borne in mind what sort of
    intermediate forms must, on my theory, have formerly existed. I have
    found it difficult, when looking at any two species, to avoid picturing
    to myself, forms directly intermediate between them. But this is a
    wholly false view; we should always look for forms intermediate between
    each species and a common but unknown progenitor; and the progenitor
    will generally have differed in some respects from all its modified
    descendants. To give a simple illustration: the fantail and pouter
    pigeons have both descended from the rock-pigeon; if we possessed all
    the intermediate varieties which have ever existed, we should have an
    extremely close series between both and the rock-pigeon; but we should
    have no varieties directly intermediate between the fantail and pouter;
    none, for instance, combining a tail somewhat expanded with a crop
    somewhat enlarged, the characteristic features of these two breeds.
    These two breeds, moreover, have become so much modified, that if we
    had no historical or indirect evidence regarding their origin, it would
    not have been possible to have
    determined from a mere comparison of their structure with that of the
    rock-pigeon, whether they had descended from this species or from some
    other allied species, such as C. oenas.

    So with natural species, if we look to forms very distinct, for
    instance to the horse and tapir, we have no reason to suppose that
    links ever existed directly intermediate between them, but between each
    and an unknown common parent. The common parent will have had in its
    whole organisation much general resemblance to the tapir and to the
    horse; but in some points of structure may have differed considerably
    from both, even perhaps more than they differ from each other. Hence in
    all such cases, we should be unable to recognise the parent-form of any
    two or more species, even if we closely compared the structure of the
    parent with that of its modified descendants, unless at the same time
    we had a nearly perfect chain of the intermediate links.

    It is just possible by my theory, that one of two living forms might
    have descended from the other; for instance, a horse from a tapir; and
    in this case direct intermediate links will have existed between
    them. But such a case would imply that one form had remained for a very
    long period unaltered, whilst its descendants had undergone a vast
    amount of change; and the principle of competition between organism and
    organism, between child and parent, will render this a very rare event;
    for in all cases the new and improved forms of life will tend to
    supplant the old and unimproved forms.

    By the theory of natural selection all living species have been
    connected with the parent-species of each genus, by differences not
    greater than we see between the varieties of the same species at the
    present
    day; and these parent-species, now generally extinct, have in their
    turn been similarly connected with more ancient species; and so on
    backwards, always converging to the common ancestor of each great
    class. So that the number of intermediate and transitional links,
    between all living and extinct species, must have been inconceivably
    great. But assuredly, if this theory be true, such have lived upon this
    earth.

    On the lapse of Time.—Independently of our not finding fossil remains
    of such infinitely numerous connecting links, it may be objected, that
    time will not have sufficed for so great an amount of organic change,
    all changes having been effected very slowly through natural selection.
    It is hardly possible for me even to recall to the reader, who may not
    be a practical geologist, the facts leading the mind feebly to
    comprehend the lapse of time. He who can read Sir Charles Lyell’s grand
    work on the Principles of Geology, which the future historian will
    recognise as having produced a revolution in natural science, yet does
    not admit how incomprehensibly vast have been the past periods of time,
    may at once close this volume. Not that it suffices to study the
    Principles of Geology, or to read special treatises by different
    observers on separate formations, and to mark how each author attempts
    to give an inadequate idea of the duration of each formation or even
    each stratum. A man must for years examine for himself great piles of
    superimposed strata, and watch the sea at work grinding down old rocks
    and making fresh sediment, before he can hope to comprehend anything of
    the lapse of time, the monuments of which we see around us.

    It is good to wander along lines of sea-coast, when formed of
    moderately hard rocks, and mark the
    process of degradation. The tides in most cases reach the cliffs only
    for a short time twice a day, and the waves eat into them only when
    they are charged with sand or pebbles; for there is reason to believe
    that pure water can effect little or nothing in wearing away rock. At
    last the base of the cliff is undermined, huge fragments fall down, and
    these remaining fixed, have to be worn away, atom by atom, until
    reduced in size they can be rolled about by the waves, and then are
    more quickly ground into pebbles, sand, or mud. But how often do we see
    along the bases of retreating cliffs rounded boulders, all thickly
    clothed by marine productions, showing how little they are abraded and
    how seldom they are rolled about! Moreover, if we follow for a few
    miles any line of rocky cliff, which is undergoing degradation, we find
    that it is only here and there, along a short length or round a
    promontory, that the cliffs are at the present time suffering. The
    appearance of the surface and the vegetation show that elsewhere years
    have elapsed since the waters washed their base.

    He who most closely studies the action of the sea on our shores, will,
    I believe, be most deeply impressed with the slowness with which rocky
    coasts are worn away. The observations on this head by Hugh Miller, and
    by that excellent observer Mr. Smith of Jordan Hill, are most
    impressive. With the mind thus impressed, let any one examine beds of
    conglomerate many thousand feet in thickness, which, though probably
    formed at a quicker rate than many other deposits, yet, from being
    formed of worn and rounded pebbles, each of which bears the stamp of
    time, are good to show how slowly the mass has been accumulated. Let
    him remember Lyell’s profound remark, that the thickness and extent of
    sedimentary formations
    are the result and measure of the degradation which the earth’s crust
    has elsewhere suffered. And what an amount of degradation is implied by
    the sedimentary deposits of many countries! Professor Ramsay has given
    me the maximum thickness, in most cases from actual measurement, in a
    few cases from estimate, of each formation in different parts of Great
    Britain; and this is the result:—

                                                      Feet
     Palæozoic strata (not including igneous beds)...57,154. Secondary
     strata................................13,190. Tertiary
     strata..................................2,240.

    —making altogether 72,584 feet; that is, very nearly thirteen and
    three-quarters British miles. Some of these formations, which are
    represented in England by thin beds, are thousands of feet in thickness
    on the Continent. Moreover, between each successive formation, we have,
    in the opinion of most geologists, enormously long blank periods. So
    that the lofty pile of sedimentary rocks in Britain, gives but an
    inadequate idea of the time which has elapsed during their
    accumulation; yet what time this must have consumed! Good observers
    have estimated that sediment is deposited by the great Mississippi
    river at the rate of only 600 feet in a hundred thousand years. This
    estimate may be quite erroneous; yet, considering over what wide spaces
    very fine sediment is transported by the currents of the sea, the
    process of accumulation in any one area must be extremely slow.

    But the amount of denudation which the strata have in many places
    suffered, independently of the rate of accumulation of the degraded
    matter, probably offers the best evidence of the lapse of time. I
    remember having been much struck with the evidence of denudation, when
    viewing volcanic islands, which have been
    worn by the waves and pared all round into perpendicular cliffs of one
    or two thousand feet in height; for the gentle slope of the
    lava-streams, due to their formerly liquid state, showed at a glance
    how far the hard, rocky beds had once extended into the open ocean. The
    same story is still more plainly told by faults,—those great cracks
    along which the strata have been upheaved on one side, or thrown down
    on the other, to the height or depth of thousands of feet; for since
    the crust cracked, the surface of the land has been so completely
    planed down by the action of the sea, that no trace of these vast
    dislocations is externally visible.

    The Craven fault, for instance, extends for upwards of 30 miles, and
    along this line the vertical displacement of the strata has varied from
    600 to 3000 feet. Professor Ramsay has published an account of a
    downthrow in Anglesea of 2300 feet; and he informs me that he fully
    believes there is one in Merionethshire of 12,000 feet; yet in these
    cases there is nothing on the surface to show such prodigious
    movements; the pile of rocks on the one or other side having been
    smoothly swept away. The consideration of these facts impresses my mind
    almost in the same manner as does the vain endeavour to grapple with
    the idea of eternity.

    I am tempted to give one other case, the well-known one of the
    denudation of the Weald. Though it must be admitted that the denudation
    of the Weald has been a mere trifle, in comparison with that which has
    removed masses of our palæozoic strata, in parts ten thousand feet in
    thickness, as shown in Professor Ramsay’s masterly memoir on this
    subject. Yet it is an admirable lesson to stand on the North Downs and
    to look at the distant South Downs; for, remembering that at no great
    distance to the west the northern and southern escarpments meet and
    close, one can safely picture to
    oneself the great dome of rocks which must have covered up the Weald
    within so limited a period as since the latter part of the Chalk
    formation. The distance from the northern to the southern Downs is
    about 22 miles, and the thickness of the several formations is on an
    average about 1100 feet, as I am informed by Professor Ramsay. But if,
    as some geologists suppose, a range of older rocks underlies the Weald,
    on the flanks of which the overlying sedimentary deposits might have
    accumulated in thinner masses than elsewhere, the above estimate would
    be erroneous; but this source of doubt probably would not greatly
    affect the estimate as applied to the western extremity of the
    district. If, then, we knew the rate at which the sea commonly wears
    away a line of cliff of any given height, we could measure the time
    requisite to have denuded the Weald. This, of course, cannot be done;
    but we may, in order to form some crude notion on the subject, assume
    that the sea would eat into cliffs 500 feet in height at the rate of
    one inch in a century. This will at first appear much too small an
    allowance; but it is the same as if we were to assume a cliff one yard
    in height to be eaten back along a whole line of coast at the rate of
    one yard in nearly every twenty-two years. I doubt whether any rock,
    even as soft as chalk, would yield at this rate excepting on the most
    exposed coasts; though no doubt the degradation of a lofty cliff would
    be more rapid from the breakage of the fallen fragments. On the other
    hand, I do not believe that any line of coast, ten or twenty miles in
    length, ever suffers degradation at the same time along its whole
    indented length; and we must remember that almost all strata contain
    harder layers or nodules, which from long resisting attrition form a
    breakwater at the base. Hence, under ordinary circumstances, I conclude
    that for a cliff 500 feet in height, a denudation
    of one inch per century for the whole length would be an ample
    allowance. At this rate, on the above data, the denudation of the Weald
    must have required 306,662,400 years; or say three hundred million
    years.

    The action of fresh water on the gently inclined Wealden district, when
    upraised, could hardly have been great, but it would somewhat reduce
    the above estimate. On the other hand, during oscillations of level,
    which we know this area has undergone, the surface may have existed for
    millions of years as land, and thus have escaped the action of the sea:
    when deeply submerged for perhaps equally long periods, it would,
    likewise, have escaped the action of the coast-waves. So that in all
    probability a far longer period than 300 million years has elapsed
    since the latter part of the Secondary period.

    I have made these few remarks because it is highly important for us to
    gain some notion, however imperfect, of the lapse of years. During each
    of these years, over the whole world, the land and the water has been
    peopled by hosts of living forms. What an infinite number of
    generations, which the mind cannot grasp, must have succeeded each
    other in the long roll of years! Now turn to our richest geological
    museums, and what a paltry display we behold!

    On the poorness of our Palæontological collections.—That our
    palæontological collections are very imperfect, is admitted by every
    one. The remark of that admirable palæontologist, the late Edward
    Forbes, should not be forgotten, namely, that numbers of our fossil
    species are known and named from single and often broken specimens, or
    from a few specimens collected on some one spot. Only a small portion
    of the surface of the earth has been geologically explored, and no part
    with
    sufficient care, as the important discoveries made every year in Europe
    prove. No organism wholly soft can be preserved. Shells and bones will
    decay and disappear when left on the bottom of the sea, where sediment
    is not accumulating. I believe we are continually taking a most
    erroneous view, when we tacitly admit to ourselves that sediment is
    being deposited over nearly the whole bed of the sea, at a rate
    sufficiently quick to embed and preserve fossil remains. Throughout an
    enormously large proportion of the ocean, the bright blue tint of the
    water bespeaks its purity. The many cases on record of a formation
    conformably covered, after an enormous interval of time, by another and
    later formation, without the underlying bed having suffered in the
    interval any wear and tear, seem explicable only on the view of the
    bottom of the sea not rarely lying for ages in an unaltered condition.
    The remains which do become embedded, if in sand or gravel, will when
    the beds are upraised generally be dissolved by the percolation of
    rain-water. I suspect that but few of the very many animals which live
    on the beach between high and low watermark are preserved. For
    instance, the several species of the Chthamalinæ (a sub-family of
    sessile cirripedes) coat the rocks all over the world in infinite
    numbers: they are all strictly littoral, with the exception of a single
    Mediterranean species, which inhabits deep water and has been found
    fossil in Sicily, whereas not one other species has hitherto been found
    in any tertiary formation: yet it is now known that the genus
    Chthamalus existed during the chalk period. The molluscan genus Chiton
    offers a partially analogous case.

    With respect to the terrestrial productions which lived during the
    Secondary and Palæozoic periods, it is superfluous to state that our
    evidence from fossil
    remains is fragmentary in an extreme degree. For instance, not a land
    shell is known belonging to either of these vast periods, with one
    exception discovered by Sir C. Lyell in the carboniferous strata of
    North America. In regard to mammiferous remains, a single glance at the
    historical table published in the Supplement to Lyell’s Manual, will
    bring home the truth, how accidental and rare is their preservation,
    far better than pages of detail. Nor is their rarity surprising, when
    we remember how large a proportion of the bones of tertiary mammals
    have been discovered either in caves or in lacustrine deposits; and
    that not a cave or true lacustrine bed is known belonging to the age of
    our secondary or palæozoic formations.

    But the imperfection in the geological record mainly results from
    another and more important cause than any of the foregoing; namely,
    from the several formations being separated from each other by wide
    intervals of time. When we see the formations tabulated in written
    works, or when we follow them in nature, it is difficult to avoid
    believing that they are closely consecutive. But we know, for instance,
    from Sir R. Murchison’s great work on Russia, what wide gaps there are
    in that country between the superimposed formations; so it is in North
    America, and in many other parts of the world. The most skilful
    geologist, if his attention had been exclusively confined to these
    large territories, would never have suspected that during the periods
    which were blank and barren in his own country, great piles of
    sediment, charged with new and peculiar forms of life, had elsewhere
    been accumulated. And if in each separate territory, hardly any idea
    can be formed of the length of time which has elapsed between the
    consecutive formations, we may infer that this could nowhere be
    ascertained. The frequent
    and great changes in the mineralogical composition of consecutive
    formations, generally implying great changes in the geography of the
    surrounding lands, whence the sediment has been derived, accords with
    the belief of vast intervals of time having elapsed between each
    formation.

    But we can, I think, see why the geological formations of each region
    are almost invariably intermittent; that is, have not followed each
    other in close sequence. Scarcely any fact struck me more when
    examining many hundred miles of the South American coasts, which have
    been upraised several hundred feet within the recent period, than the
    absence of any recent deposits sufficiently extensive to last for even
    a short geological period. Along the whole west coast, which is
    inhabited by a peculiar marine fauna, tertiary beds are so scantily
    developed, that no record of several successive and peculiar marine
    faunas will probably be preserved to a distant age. A little reflection
    will explain why along the rising coast of the western side of South
    America, no extensive formations with recent or tertiary remains can
    anywhere be found, though the supply of sediment must for ages have
    been great, from the enormous degradation of the coast-rocks and from
    muddy streams entering the sea. The explanation, no doubt, is, that the
    littoral and sub-littoral deposits are continually worn away, as soon
    as they are brought up by the slow and gradual rising of the land
    within the grinding action of the coast-waves.

    We may, I think, safely conclude that sediment must be accumulated in
    extremely thick, solid, or extensive masses, in order to withstand the
    incessant action of the waves, when first upraised and during
    subsequent oscillations of level. Such thick and extensive
    accumulations of sediment may be formed in two ways; either,
    in profound depths of the sea, in which case, judging from the
    researches of E. Forbes, we may conclude that the bottom will be
    inhabited by extremely few animals, and the mass when upraised will
    give a most imperfect record of the forms of life which then existed;
    or, sediment may be accumulated to any thickness and extent over a
    shallow bottom, if it continue slowly to subside. In this latter case,
    as long as the rate of subsidence and supply of sediment nearly balance
    each other, the sea will remain shallow and favourable for life, and
    thus a fossiliferous formation thick enough, when upraised, to resist
    any amount of degradation, may be formed.

    I am convinced that all our ancient formations, which are rich in
    fossils, have thus been formed during subsidence. Since publishing my
    views on this subject in 1845, I have watched the progress of Geology,
    and have been surprised to note how author after author, in treating of
    this or that great formation, has come to the conclusion that it was
    accumulated during subsidence. I may add, that the only ancient
    tertiary formation on the west coast of South America, which has been
    bulky enough to resist such degradation as it has as yet suffered, but
    which will hardly last to a distant geological age, was certainly
    deposited during a downward oscillation of level, and thus gained
    considerable thickness.

    All geological facts tell us plainly that each area has undergone
    numerous slow oscillations of level, and apparently these oscillations
    have affected wide spaces. Consequently formations rich in fossils and
    sufficiently thick and extensive to resist subsequent degradation, may
    have been formed over wide spaces during periods of subsidence, but
    only where the supply of sediment was sufficient to keep the sea
    shallow and to embed and
    preserve the remains before they had time to decay. On the other hand,
    as long as the bed of the sea remained stationary, thick deposits
    could not have been accumulated in the shallow parts, which are the
    most favourable to life. Still less could this have happened during the
    alternate periods of elevation; or, to speak more accurately, the beds
    which were then accumulated will have been destroyed by being upraised
    and brought within the limits of the coast-action.

    Thus the geological record will almost necessarily be rendered
    intermittent. I feel much confidence in the truth of these views, for
    they are in strict accordance with the general principles inculcated by
    Sir C. Lyell; and E. Forbes independently arrived at a similar
    conclusion.

    One remark is here worth a passing notice. During periods of elevation
    the area of the land and of the adjoining shoal parts of the sea will
    be increased, and new stations will often be formed;—all circumstances
    most favourable, as previously explained, for the formation of new
    varieties and species; but during such periods there will generally be
    a blank in the geological record. On the other hand, during subsidence,
    the inhabited area and number of inhabitants will decrease (excepting
    the productions on the shores of a continent when first broken up into
    an archipelago), and consequently during subsidence, though there will
    be much extinction, fewer new varieties or species will be formed; and
    it is during these very periods of subsidence, that our great deposits
    rich in fossils have been accumulated. Nature may almost be said to
    have guarded against the frequent discovery of her transitional or
    linking forms.

    From the foregoing considerations it cannot be doubted that the
    geological record, viewed as a whole, is extremely imperfect; but if we
    confine our attention to any one formation, it becomes more difficult
    to understand,
    why we do not therein find closely graduated varieties between the
    allied species which lived at its commencement and at its close. Some
    cases are on record of the same species presenting distinct varieties
    in the upper and lower parts of the same formation, but, as they are
    rare, they may be here passed over. Although each formation has
    indisputably required a vast number of years for its deposition, I can
    see several reasons why each should not include a graduated series of
    links between the species which then lived; but I can by no means
    pretend to assign due proportional weight to the following
    considerations.

    Although each formation may mark a very long lapse of years, each
    perhaps is short compared with the period requisite to change one
    species into another. I am aware that two palæontologists, whose
    opinions are worthy of much deference, namely Bronn and Woodward, have
    concluded that the average duration of each formation is twice or
    thrice as long as the average duration of specific forms. But
    insuperable difficulties, as it seems to me, prevent us coming to any
    just conclusion on this head. When we see a species first appearing in
    the middle of any formation, it would be rash in the extreme to infer
    that it had not elsewhere previously existed. So again when we find a
    species disappearing before the uppermost layers have been deposited,
    it would be equally rash to suppose that it then became wholly extinct.
    We forget how small the area of Europe is compared with the rest of the
    world; nor have the several stages of the same formation throughout
    Europe been correlated with perfect accuracy.

    With marine animals of all kinds, we may safely infer a large amount of
    migration during climatal and other changes; and when we see a species
    first appearing in any formation, the probability is that it
    only then first immigrated into that area. It is well known, for
    instance, that several species appeared somewhat earlier in the
    palæozoic beds of North America than in those of Europe; time having
    apparently been required for their migration from the American to the
    European seas. In examining the latest deposits of various quarters of
    the world, it has everywhere been noted, that some few still existing
    species are common in the deposit, but have become extinct in the
    immediately surrounding sea; or, conversely, that some are now abundant
    in the neighbouring sea, but are rare or absent in this particular
    deposit. It is an excellent lesson to reflect on the ascertained amount
    of migration of the inhabitants of Europe during the Glacial period,
    which forms only a part of one whole geological period; and likewise to
    reflect on the great changes of level, on the inordinately great change
    of climate, on the prodigious lapse of time, all included within this
    same glacial period. Yet it may be doubted whether in any quarter of
    the world, sedimentary deposits, including fossil remains, have gone
    on accumulating within the same area during the whole of this period.
    It is not, for instance, probable that sediment was deposited during
    the whole of the glacial period near the mouth of the Mississippi,
    within that limit of depth at which marine animals can flourish; for we
    know what vast geographical changes occurred in other parts of America
    during this space of time. When such beds as were deposited in shallow
    water near the mouth of the Mississippi during some part of the glacial
    period shall have been upraised, organic remains will probably first
    appear and disappear at different levels, owing to the migration of
    species and to geographical changes. And in the distant future, a
    geologist examining these beds, might be tempted to conclude that the
    average duration of life
    of the embedded fossils had been less than that of the glacial period,
    instead of having been really far greater, that is extending from
    before the glacial epoch to the present day.

    In order to get a perfect gradation between two forms in the upper and
    lower parts of the same formation, the deposit must have gone on
    accumulating for a very long period, in order to have given sufficient
    time for the slow process of variation; hence the deposit will
    generally have to be a very thick one; and the species undergoing
    modification will have had to live on the same area throughout this
    whole time. But we have seen that a thick fossiliferous formation can
    only be accumulated during a period of subsidence; and to keep the
    depth approximately the same, which is necessary in order to enable the
    same species to live on the same space, the supply of sediment must
    nearly have counterbalanced the amount of subsidence. But this same
    movement of subsidence will often tend to sink the area whence the
    sediment is derived, and thus diminish the supply whilst the downward
    movement continues. In fact, this nearly exact balancing between the
    supply of sediment and the amount of subsidence is probably a rare
    contingency; for it has been observed by more than one palæontologist,
    that very thick deposits are usually barren of organic remains, except
    near their upper or lower limits.

    It would seem that each separate formation, like the whole pile of
    formations in any country, has generally been intermittent in its
    accumulation. When we see, as is so often the case, a formation
    composed of beds of different mineralogical composition, we may
    reasonably suspect that the process of deposition has been much
    interrupted, as a change in the currents of the sea and a supply of
    sediment of a different nature will
    generally have been due to geographical changes requiring much time.
    Nor will the closest inspection of a formation give any idea of the
    time which its deposition has consumed. Many instances could be given
    of beds only a few feet in thickness, representing formations,
    elsewhere thousands of feet in thickness, and which must have required
    an enormous period for their accumulation; yet no one ignorant of this
    fact would have suspected the vast lapse of time represented by the
    thinner formation. Many cases could be given of the lower beds of a
    formation having been upraised, denuded, submerged, and then re-covered
    by the upper beds of the same formation,—facts, showing what wide, yet
    easily overlooked, intervals have occurred in its accumulation. In
    other cases we have the plainest evidence in great fossilised trees,
    still standing upright as they grew, of many long intervals of time and
    changes of level during the process of deposition, which would never
    even have been suspected, had not the trees chanced to have been
    preserved: thus, Messrs. Lyell and Dawson found carboniferous beds 1400
    feet thick in Nova Scotia, with ancient root-bearing strata, one above
    the other, at no less than sixty-eight different levels. Hence, when
    the same species occur at the bottom, middle, and top of a formation,
    the probability is that they have not lived on the same spot during the
    whole period of deposition, but have disappeared and reappeared,
    perhaps many times, during the same geological period. So that if such
    species were to undergo a considerable amount of modification during
    any one geological period, a section would not probably include all the
    fine intermediate gradations which must on my theory have existed
    between them, but abrupt, though perhaps very slight, changes of form.

    It is all-important to remember that naturalists have
    no golden rule by which to distinguish species and varieties; they
    grant some little variability to each species, but when they meet with
    a somewhat greater amount of difference between any two forms, they
    rank both as species, unless they are enabled to connect them together
    by close intermediate gradations. And this from the reasons just
    assigned we can seldom hope to effect in any one geological section.
    Supposing B and C to be two species, and a third, A, to be found in an
    underlying bed; even if A were strictly intermediate between B and C,
    it would simply be ranked as a third and distinct species, unless at
    the same time it could be most closely connected with either one or
    both forms by intermediate varieties. Nor should it be forgotten, as
    before explained, that A might be the actual progenitor of B and C, and
    yet might not at all necessarily be strictly intermediate between them
    in all points of structure. So that we might obtain the parent-species
    and its several modified descendants from the lower and upper beds of a
    formation, and unless we obtained numerous transitional gradations, we
    should not recognise their relationship, and should consequently be
    compelled to rank them all as distinct species.

    It is notorious on what excessively slight differences many
    palæontologists have founded their species; and they do this the more
    readily if the specimens come from different sub-stages of the same
    formation. Some experienced conchologists are now sinking many of the
    very fine species of D’Orbigny and others into the rank of varieties;
    and on this view we do find the kind of evidence of change which on my
    theory we ought to find. Moreover, if we look to rather wider
    intervals, namely, to distinct but consecutive stages of the same great
    formation, we find that the embedded fossils, though almost universally
    ranked as specifically different,
    yet are far more closely allied to each other than are the species
    found in more widely separated formations; but to this subject I shall
    have to return in the following chapter.

    One other consideration is worth notice: with animals and plants that
    can propagate rapidly and are not highly locomotive, there is reason to
    suspect, as we have formerly seen, that their varieties are generally
    at first local; and that such local varieties do not spread widely and
    supplant their parent-forms until they have been modified and perfected
    in some considerable degree. According to this view, the chance of
    discovering in a formation in any one country all the early stages of
    transition between any two forms, is small, for the successive changes
    are supposed to have been local or confined to some one spot. Most
    marine animals have a wide range; and we have seen that with plants it
    is those which have the widest range, that oftenest present varieties;
    so that with shells and other marine animals, it is probably those
    which have had the widest range, far exceeding the limits of the known
    geological formations of Europe, which have oftenest given rise, first
    to local varieties and ultimately to new species; and this again would
    greatly lessen the chance of our being able to trace the stages of
    transition in any one geological formation.

    It should not be forgotten, that at the present day, with perfect
    specimens for examination, two forms can seldom be connected by
    intermediate varieties and thus proved to be the same species, until
    many specimens have been collected from many places; and in the case of
    fossil species this could rarely be effected by palæontologists. We
    shall, perhaps, best perceive the improbability of our being enabled to
    connect species by numerous, fine, intermediate, fossil links, by
    asking
    ourselves whether, for instance, geologists at some future period will
    be able to prove, that our different breeds of cattle, sheep, horses,
    and dogs have descended from a single stock or from several aboriginal
    stocks; or, again, whether certain sea-shells inhabiting the shores of
    North America, which are ranked by some conchologists as distinct
    species from their European representatives, and by other conchologists
    as only varieties, are really varieties or are, as it is called,
    specifically distinct. This could be effected only by the future
    geologist discovering in a fossil state numerous intermediate
    gradations; and such success seems to me improbable in the highest
    degree.

    Geological research, though it has added numerous species to existing
    and extinct genera, and has made the intervals between some few groups
    less wide than they otherwise would have been, yet has done scarcely
    anything in breaking down the distinction between species, by
    connecting them together by numerous, fine, intermediate varieties; and
    this not having been effected, is probably the gravest and most obvious
    of all the many objections which may be urged against my views. Hence
    it will be worth while to sum up the foregoing remarks, under an
    imaginary illustration. The Malay Archipelago is of about the size of
    Europe from the North Cape to the Mediterranean, and from Britain to
    Russia; and therefore equals all the geological formations which have
    been examined with any accuracy, excepting those of the United States
    of America. I fully agree with Mr. Godwin-Austen, that the present
    condition of the Malay Archipelago, with its numerous large islands
    separated by wide and shallow seas, probably represents the former
    state of Europe, when most of our formations were accumulating. The
    Malay Archipelago is one of the richest regions of the
    whole world in organic beings; yet if all the species were to be
    collected which have ever lived there, how imperfectly would they
    represent the natural history of the world!

    But we have every reason to believe that the terrestrial productions of
    the archipelago would be preserved in an excessively imperfect manner
    in the formations which we suppose to be there accumulating. I suspect
    that not many of the strictly littoral animals, or of those which lived
    on naked submarine rocks, would be embedded; and those embedded in
    gravel or sand, would not endure to a distant epoch. Wherever sediment
    did not accumulate on the bed of the sea, or where it did not
    accumulate at a sufficient rate to protect organic bodies from decay,
    no remains could be preserved.

    In our archipelago, I believe that fossiliferous formations could be
    formed of sufficient thickness to last to an age, as distant in
    futurity as the secondary formations lie in the past, only during
    periods of subsidence. These periods of subsidence would be separated
    from each other by enormous intervals, during which the area would be
    either stationary or rising; whilst rising, each fossiliferous
    formation would be destroyed, almost as soon as accumulated, by the
    incessant coast-action, as we now see on the shores of South America.
    During the periods of subsidence there would probably be much
    extinction of life; during the periods of elevation, there would be
    much variation, but the geological record would then be least perfect.

    It may be doubted whether the duration of any one great period of
    subsidence over the whole or part of the archipelago, together with a
    contemporaneous accumulation of sediment, would exceed the average
    duration of the same specific forms; and these contingencies are
    indispensable for the preservation of all the transitional gradations
    between any two or more species. If such gradations were not fully
    preserved, transitional varieties would merely appear as so many
    distinct species. It is, also, probable that each great period of
    subsidence would be interrupted by oscillations of level, and that
    slight climatal changes would intervene during such lengthy periods;
    and in these cases the inhabitants of the archipelago would have to
    migrate, and no closely consecutive record of their modifications could
    be preserved in any one formation.

    Very many of the marine inhabitants of the archipelago now range
    thousands of miles beyond its confines; and analogy leads me to believe
    that it would be chiefly these far-ranging species which would oftenest
    produce new varieties; and the varieties would at first generally be
    local or confined to one place, but if possessed of any decided
    advantage, or when further modified and improved, they would slowly
    spread and supplant their parent-forms. When such varieties returned to
    their ancient homes, as they would differ from their former state, in a
    nearly uniform, though perhaps extremely slight degree, they would,
    according to the principles followed by many palæontologists, be ranked
    as new and distinct species.

    If then, there be some degree of truth in these remarks, we have no
    right to expect to find in our geological formations, an infinite
    number of those fine transitional forms, which on my theory assuredly
    have connected all the past and present species of the same group into
    one long and branching chain of life. We ought only to look for a few
    links, some more closely, some more distantly related to each other;
    and these links, let them be ever so close, if found in different
    stages of the same formation, would, by most palæontologists,
    be ranked as distinct species. But I do not pretend that I should ever
    have suspected how poor a record of the mutations of life, the best
    preserved geological section presented, had not the difficulty of our
    not discovering innumerable transitional links between the species
    which appeared at the commencement and close of each formation, pressed
    so hardly on my theory.

    On the sudden appearance of whole groups of Allied Species.—The
    abrupt manner in which whole groups of species suddenly appear in
    certain formations, has been urged by several palæontologists, for
    instance, by Agassiz, Pictet, and by none more forcibly than by
    Professor Sedgwick, as a fatal objection to the belief in the
    transmutation of species. If numerous species, belonging to the same
    genera or families, have really started into life all at once, the fact
    would be fatal to the theory of descent with slow modification through
    natural selection. For the development of a group of forms, all of
    which have descended from some one progenitor, must have been an
    extremely slow process; and the progenitors must have lived long ages
    before their modified descendants. But we continually over-rate the
    perfection of the geological record, and falsely infer, because certain
    genera or families have not been found beneath a certain stage, that
    they did not exist before that stage. We continually forget how large
    the world is, compared with the area over which our geological
    formations have been carefully examined; we forget that groups of
    species may elsewhere have long existed and have slowly multiplied
    before they invaded the ancient archipelagoes of Europe and of the
    United States. We do not make due allowance for the enormous intervals
    of time, which have
    probably elapsed between our consecutive formations,—longer perhaps in
    some cases than the time required for the accumulation of each
    formation. These intervals will have given time for the multiplication
    of species from some one or some few parent-forms; and in the
    succeeding formation such species will appear as if suddenly created.

    I may here recall a remark formerly made, namely that it might require
    a long succession of ages to adapt an organism to some new and peculiar
    line of life, for instance to fly through the air; but that when this
    had been effected, and a few species had thus acquired a great
    advantage over other organisms, a comparatively short time would be
    necessary to produce many divergent forms, which would be able to
    spread rapidly and widely throughout the world.

    I will now give a few examples to illustrate these remarks; and to show
    how liable we are to error in supposing that whole groups of species
    have suddenly been produced. I may recall the well-known fact that in
    geological treatises, published not many years ago, the great class of
    mammals was always spoken of as having abruptly come in at the
    commencement of the tertiary series. And now one of the richest known
    accumulations of fossil mammals belongs to the middle of the secondary
    series; and one true mammal has been discovered in the new red
    sandstone at nearly the commencement of this great series. Cuvier used
    to urge that no monkey occurred in any tertiary stratum; but now
    extinct species have been discovered in India, South America, and in
    Europe even as far back as the eocene stage. The most striking case,
    however, is that of the Whale family; as these animals have huge bones,
    are marine, and range over the world, the fact of not a single bone of
    a whale having been discovered in
    any secondary formation, seemed fully to justify the belief that this
    great and distinct order had been suddenly produced in the interval
    between the latest secondary and earliest tertiary formation. But now
    we may read in the Supplement to Lyell’s ‘Manual,’ published in 1858,
    clear evidence of the existence of whales in the upper greensand, some
    time before the close of the secondary period.

    I may give another instance, which from having passed under my own eyes
    has much struck me. In a memoir on Fossil Sessile Cirripedes, I have
    stated that, from the number of existing and extinct tertiary species;
    from the extraordinary abundance of the individuals of many species all
    over the world, from the Arctic regions to the equator, inhabiting
    various zones of depths from the upper tidal limits to 50 fathoms; from
    the perfect manner in which specimens are preserved in the oldest
    tertiary beds; from the ease with which even a fragment of a valve can
    be recognised; from all these circumstances, I inferred that had
    sessile cirripedes existed during the secondary periods, they would
    certainly have been preserved and discovered; and as not one species
    had been discovered in beds of this age, I concluded that this great
    group had been suddenly developed at the commencement of the tertiary
    series. This was a sore trouble to me, adding as I thought one more
    instance of the abrupt appearance of a great group of species. But my
    work had hardly been published, when a skilful palæontologist, M.
    Bosquet, sent me a drawing of a perfect specimen of an unmistakeable
    sessile cirripede, which he had himself extracted from the chalk of
    Belgium. And, as if to make the case as striking as possible, this
    sessile cirripede was a Chthamalus, a very common, large, and
    ubiquitous genus, of which not one specimen has as yet been found even
    in any tertiary
    stratum. Hence we now positively know that sessile cirripedes existed
    during the secondary period; and these cirripedes might have been the
    progenitors of our many tertiary and existing species.

    The case most frequently insisted on by palæontologists of the
    apparently sudden appearance of a whole group of species, is that of
    the teleostean fishes, low down in the Chalk period. This group
    includes the large majority of existing species. Lately, Professor
    Pictet has carried their existence one sub-stage further back; and some
    palæontologists believe that certain much older fishes, of which the
    affinities are as yet imperfectly known, are really teleostean.
    Assuming, however, that the whole of them did appear, as Agassiz
    believes, at the commencement of the chalk formation, the fact would
    certainly be highly remarkable; but I cannot see that it would be an
    insuperable difficulty on my theory, unless it could likewise be shown
    that the species of this group appeared suddenly and simultaneously
    throughout the world at this same period. It is almost superfluous to
    remark that hardly any fossil-fish are known from south of the equator;
    and by running through Pictet’s Palæontology it will be seen that very
    few species are known from several formations in Europe. Some few
    families of fish now have a confined range; the teleostean fish might
    formerly have had a similarly confined range, and after having been
    largely developed in some one sea, might have spread widely. Nor have
    we any right to suppose that the seas of the world have always been so
    freely open from south to north as they are at present. Even at this
    day, if the Malay Archipelago were converted into land, the tropical
    parts of the Indian Ocean would form a large and perfectly enclosed
    basin, in which any great group of marine animals might be multiplied;
    and
    here they would remain confined, until some of the species became
    adapted to a cooler climate, and were enabled to double the southern
    capes of Africa or Australia, and thus reach other and distant seas.

    From these and similar considerations, but chiefly from our ignorance
    of the geology of other countries beyond the confines of Europe and the
    United States; and from the revolution in our palæontological ideas on
    many points, which the discoveries of even the last dozen years have
    effected, it seems to me to be about as rash in us to dogmatize on the
    succession of organic beings throughout the world, as it would be for a
    naturalist to land for five minutes on some one barren point in
    Australia, and then to discuss the number and range of its productions.

    On the sudden appearance of groups of Allied Species in the lowest known fossiliferous strata.—There is another and allied difficulty,
    which is much graver. I allude to the manner in which numbers of
    species of the same group, suddenly appear in the lowest known
    fossiliferous rocks. Most of the arguments which have convinced me that
    all the existing species of the same group have descended from one
    progenitor, apply with nearly equal force to the earliest known
    species. For instance, I cannot doubt that all the Silurian trilobites
    have descended from some one crustacean, which must have lived long
    before the Silurian age, and which probably differed greatly from any
    known animal. Some of the most ancient Silurian animals, as the
    Nautilus, Lingula, etc., do not differ much from living species; and it
    cannot on my theory be supposed, that these old species were the
    progenitors of all the species of the orders to which they belong, for
    they do not present characters in any degree intermediate between them.
    If, moreover, they had been the progenitors of these orders, they would
    almost certainly have been long ago supplanted and exterminated by
    their numerous and improved descendants.

    Consequently, if my theory be true, it is indisputable that before the
    lowest Silurian stratum was deposited, long periods elapsed, as long
    as, or probably far longer than, the whole interval from the Silurian
    age to the present day; and that during these vast, yet quite unknown,
    periods of time, the world swarmed with living creatures.

    To the question why we do not find records of these vast primordial
    periods, I can give no satisfactory answer. Several of the most eminent
    geologists, with Sir R. Murchison at their head, are convinced that we
    see in the organic remains of the lowest Silurian stratum the dawn of
    life on this planet. Other highly competent judges, as Lyell and the
    late E. Forbes, dispute this conclusion. We should not forget that only
    a small portion of the world is known with accuracy. M. Barrande has
    lately added another and lower stage to the Silurian system, abounding
    with new and peculiar species. Traces of life have been detected in the
    Longmynd beds beneath Barrande’s so-called primordial zone. The
    presence of phosphatic nodules and bituminous matter in some of the
    lowest azoic rocks, probably indicates the former existence of life at
    these periods. But the difficulty of understanding the absence of vast
    piles of fossiliferous strata, which on my theory no doubt were
    somewhere accumulated before the Silurian epoch, is very great. If
    these most ancient beds had been wholly worn away by denudation, or
    obliterated by metamorphic action, we ought to find only small remnants
    of the formations next succeeding them in age, and these ought to be
    very generally in
    a metamorphosed condition. But the descriptions which we now possess of
    the Silurian deposits over immense territories in Russia and in North
    America, do not support the view, that the older a formation is, the
    more it has suffered the extremity of denudation and metamorphism.

    The case at present must remain inexplicable; and may be truly urged as
    a valid argument against the views here entertained. To show that it
    may hereafter receive some explanation, I will give the following
    hypothesis. From the nature of the organic remains, which do not appear
    to have inhabited profound depths, in the several formations of Europe
    and of the United States; and from the amount of sediment, miles in
    thickness, of which the formations are composed, we may infer that from
    first to last large islands or tracts of land, whence the sediment was
    derived, occurred in the neighbourhood of the existing continents of
    Europe and North America. But we do not know what was the state of
    things in the intervals between the successive formations; whether
    Europe and the United States during these intervals existed as dry
    land, or as a submarine surface near land, on which sediment was not
    deposited, or again as the bed of an open and unfathomable sea.

    Looking to the existing oceans, which are thrice as extensive as the
    land, we see them studded with many islands; but not one oceanic island
    is as yet known to afford even a remnant of any palæozoic or secondary
    formation. Hence we may perhaps infer, that during the palæozoic and
    secondary periods, neither continents nor continental islands existed
    where our oceans now extend; for had they existed there, palæozoic and
    secondary formations would in all probability have been accumulated
    from sediment derived from their wear and
    tear; and would have been at least partially upheaved by the
    oscillations of level, which we may fairly conclude must have
    intervened during these enormously long periods. If then we may infer
    anything from these facts, we may infer that where our oceans now
    extend, oceans have extended from the remotest period of which we have
    any record; and on the other hand, that where continents now exist,
    large tracts of land have existed, subjected no doubt to great
    oscillations of level, since the earliest silurian period. The coloured
    map appended to my volume on Coral Reefs, led me to conclude that the
    great oceans are still mainly areas of subsidence, the great
    archipelagoes still areas of oscillations of level, and the continents
    areas of elevation. But have we any right to assume that things have
    thus remained from eternity? Our continents seem to have been formed by
    a preponderance, during many oscillations of level, of the force of
    elevation; but may not the areas of preponderant movement have changed
    in the lapse of ages? At a period immeasurably antecedent to the
    silurian epoch, continents may have existed where oceans are now spread
    out; and clear and open oceans may have existed where our continents
    now stand. Nor should we be justified in assuming that if, for
    instance, the bed of the Pacific Ocean were now converted into a
    continent, we should there find formations older than the silurian
    strata, supposing such to have been formerly deposited; for it might
    well happen that strata which had subsided some miles nearer to the
    centre of the earth, and which had been pressed on by an enormous
    weight of superincumbent water, might have undergone far more
    metamorphic action than strata which have always remained nearer to the
    surface. The immense areas in some parts of the world, for instance in
    South America, of bare metamorphic rocks, which
    must have been heated under great pressure, have always seemed to me to
    require some special explanation; and we may perhaps believe that we
    see in these large areas, the many formations long anterior to the
    silurian epoch in a completely metamorphosed condition.

    The several difficulties here discussed, namely our not finding in the
    successive formations infinitely numerous transitional links between
    the many species which now exist or have existed; the sudden manner in
    which whole groups of species appear in our European formations; the
    almost entire absence, as at present known, of fossiliferous formations
    beneath the Silurian strata, are all undoubtedly of the gravest nature.
    We see this in the plainest manner by the fact that all the most
    eminent palæontologists, namely Cuvier, Owen, Agassiz, Barrande,
    Falconer, E. Forbes, etc., and all our greatest geologists, as Lyell,
    Murchison, Sedgwick, etc., have unanimously, often vehemently,
    maintained the immutability of species. But I have reason to believe
    that one great authority, Sir Charles Lyell, from further reflexion
    entertains grave doubts on this subject. I feel how rash it is to
    differ from these great authorities, to whom, with others, we owe all
    our knowledge. Those who think the natural geological record in any
    degree perfect, and who do not attach much weight to the facts and
    arguments of other kinds given in this volume, will undoubtedly at once
    reject my theory. For my part, following out Lyell’s metaphor, I look
    at the natural geological record, as a history of the world imperfectly
    kept, and written in a changing dialect; of this history we possess the
    last volume alone, relating only to two or three countries. Of this
    volume, only here and there a short chapter has
    been preserved; and of each page, only here and there a few lines. Each
    word of the slowly-changing language, in which the history is supposed
    to be written, being more or less different in the interrupted
    succession of chapters, may represent the apparently abruptly changed
    forms of life, entombed in our consecutive, but widely separated
    formations. On this view, the difficulties above discussed are greatly
    diminished, or even disappear.

    CHAPTER X.
    ON THE GEOLOGICAL SUCCESSION OF ORGANIC BEINGS.

    On the slow and successive appearance of new species. On their
    different rates of change. Species once lost do not reappear. Groups of
    species follow the same general rules in their appearance and
    disappearance as do single species. On Extinction. On simultaneous
    changes in the forms of life throughout the world. On the affinities of
    extinct species to each other and to living species. On the state of
    development of ancient forms. On the succession of the same types
    within the same areas. Summary of preceding and present chapters.

    Let us now see whether the several facts and rules relating to the
    geological succession of organic beings, better accord with the common
    view of the immutability of species, or with that of their slow and
    gradual modification, through descent and natural selection.

    New species have appeared very slowly, one after another, both on the
    land and in the waters. Lyell has shown that it is hardly possible to
    resist the evidence on this head in the case of the several tertiary
    stages; and every year tends to fill up the blanks between them, and to
    make the percentage system of lost and new forms more gradual. In some
    of the most recent beds, though undoubtedly of high antiquity if
    measured by years, only one or two species are lost forms, and only one
    or two are new forms, having here appeared for the first time, either
    locally, or, as far as we know, on the face of the earth. If we may
    trust the observations of Philippi in Sicily, the successive changes in
    the marine inhabitants of that island have been many and most gradual.
    The secondary formations are more broken; but, as Bronn has remarked,
    neither the appearance
    nor disappearance of their many now extinct species has been
    simultaneous in each separate formation.

    Species of different genera and classes have not changed at the same
    rate, or in the same degree. In the oldest tertiary beds a few living
    shells may still be found in the midst of a multitude of extinct forms.
    Falconer has given a striking instance of a similar fact, in an
    existing crocodile associated with many strange and lost mammals and
    reptiles in the sub-Himalayan deposits. The Silurian Lingula differs
    but little from the living species of this genus; whereas most of the
    other Silurian Molluscs and all the Crustaceans have changed greatly.
    The productions of the land seem to change at a quicker rate than those
    of the sea, of which a striking instance has lately been observed in
    Switzerland. There is some reason to believe that organisms, considered
    high in the scale of nature, change more quickly than those that are
    low: though there are exceptions to this rule. The amount of organic
    change, as Pictet has remarked, does not strictly correspond with the
    succession of our geological formations; so that between each two
    consecutive formations, the forms of life have seldom changed in
    exactly the same degree. Yet if we compare any but the most closely
    related formations, all the species will be found to have undergone
    some change. When a species has once disappeared from the face of the
    earth, we have reason to believe that the same identical form never
    reappears. The strongest apparent exception to this latter rule, is
    that of the so-called “colonies” of M. Barrande, which intrude for a
    period in the midst of an older formation, and then allow the
    pre-existing fauna to reappear; but Lyell’s explanation, namely, that
    it is a case of temporary migration from a distinct geographical
    province, seems to me satisfactory.

    These several facts accord well with my theory. I believe in no fixed
    law of development, causing all the inhabitants of a country to change
    abruptly, or simultaneously, or to an equal degree. The process of
    modification must be extremely slow. The variability of each species is
    quite independent of that of all others. Whether such variability be
    taken advantage of by natural selection, and whether the variations be
    accumulated to a greater or lesser amount, thus causing a greater or
    lesser amount of modification in the varying species, depends on many
    complex contingencies,—on the variability being of a beneficial nature,
    on the power of intercrossing, on the rate of breeding, on the slowly
    changing physical conditions of the country, and more especially on the
    nature of the other inhabitants with which the varying species comes
    into competition. Hence it is by no means surprising that one species
    should retain the same identical form much longer than others; or, if
    changing, that it should change less. We see the same fact in
    geographical distribution; for instance, in the land-shells and
    coleopterous insects of Madeira having come to differ considerably from
    their nearest allies on the continent of Europe, whereas the marine
    shells and birds have remained unaltered. We can perhaps understand the
    apparently quicker rate of change in terrestrial and in more highly
    organised productions compared with marine and lower productions, by
    the more complex relations of the higher beings to their organic and
    inorganic conditions of life, as explained in a former chapter. When
    many of the inhabitants of a country have become modified and improved,
    we can understand, on the principle of competition, and on that of the
    many all-important relations of organism to organism, that any form
    which does not become in some degree modified and improved,
    will be liable to be exterminated. Hence we can see why all the species
    in the same region do at last, if we look to wide enough intervals of
    time, become modified; for those which do not change will become
    extinct.

    In members of the same class the average amount of change, during long
    and equal periods of time, may, perhaps, be nearly the same; but as the
    accumulation of long-enduring fossiliferous formations depends on great
    masses of sediment having been deposited on areas whilst subsiding, our
    formations have been almost necessarily accumulated at wide and
    irregularly intermittent intervals; consequently the amount of organic
    change exhibited by the fossils embedded in consecutive formations is
    not equal. Each formation, on this view, does not mark a new and
    complete act of creation, but only an occasional scene, taken almost at
    hazard, in a slowly changing drama.

    We can clearly understand why a species when once lost should never
    reappear, even if the very same conditions of life, organic and
    inorganic, should recur. For though the offspring of one species might
    be adapted (and no doubt this has occurred in innumerable instances) to
    fill the exact place of another species in the economy of nature, and
    thus supplant it; yet the two forms—the old and the new—would not be
    identically the same; for both would almost certainly inherit different
    characters from their distinct progenitors. For instance, it is just
    possible, if our fantail-pigeons were all destroyed, that fanciers, by
    striving during long ages for the same object, might make a new breed
    hardly distinguishable from our present fantail; but if the parent
    rock-pigeon were also destroyed, and in nature we have every reason to
    believe that the parent-form will generally be supplanted and
    exterminated by its improved offspring, it is quite incredible that a
    fantail, identical with the existing breed, could be raised from any
    other species of pigeon, or even from the other well-established races
    of the domestic pigeon, for the newly-formed fantail would be almost
    sure to inherit from its new progenitor some slight characteristic
    differences.

    Groups of species, that is, genera and families, follow the same
    general rules in their appearance and disappearance as do single
    species, changing more or less quickly, and in a greater or lesser
    degree. A group does not reappear after it has once disappeared; or its
    existence, as long as it lasts, is continuous. I am aware that there
    are some apparent exceptions to this rule, but the exceptions are
    surprisingly few, so few, that E. Forbes, Pictet, and Woodward (though
    all strongly opposed to such views as I maintain) admit its truth; and
    the rule strictly accords with my theory. For as all the species of the
    same group have descended from some one species, it is clear that as
    long as any species of the group have appeared in the long succession
    of ages, so long must its members have continuously existed, in order
    to have generated either new and modified or the same old and
    unmodified forms. Species of the genus Lingula, for instance, must have
    continuously existed by an unbroken succession of generations, from the
    lowest Silurian stratum to the present day.

    We have seen in the last chapter that the species of a group sometimes
    falsely appear to have come in abruptly; and I have attempted to give
    an explanation of this fact, which if true would have been fatal to my
    views. But such cases are certainly exceptional; the general rule being
    a gradual increase in number, till the group reaches its maximum, and
    then, sooner or later, it gradually decreases. If the
    number of the species of a genus, or the number of the genera of a
    family, be represented by a vertical line of varying thickness,
    crossing the successive geological formations in which the species are
    found, the line will sometimes falsely appear to begin at its lower
    end, not in a sharp point, but abruptly; it then gradually thickens
    upwards, sometimes keeping for a space of equal thickness, and
    ultimately thins out in the upper beds, marking the decrease and final
    extinction of the species. This gradual increase in number of the
    species of a group is strictly conformable with my theory; as the
    species of the same genus, and the genera of the same family, can
    increase only slowly and progressively; for the process of modification
    and the production of a number of allied forms must be slow and
    gradual,—one species giving rise first to two or three varieties, these
    being slowly converted into species, which in their turn produce by
    equally slow steps other species, and so on, like the branching of a
    great tree from a single stem, till the group becomes large.

    On Extinction.—We have as yet spoken only incidentally of the
    disappearance of species and of groups of species. On the theory of
    natural selection the extinction of old forms and the production of new
    and improved forms are intimately connected together. The old notion of
    all the inhabitants of the earth having been swept away at successive
    periods by catastrophes, is very generally given up, even by those
    geologists, as Elie de Beaumont, Murchison, Barrande, etc., whose
    general views would naturally lead them to this conclusion. On the
    contrary, we have every reason to believe, from the study of the
    tertiary formations, that species and groups of species gradually
    disappear, one after another, first from one spot, then from another,
    and
    finally from the world. Both single species and whole groups of species
    last for very unequal periods; some groups, as we have seen, having
    endured from the earliest known dawn of life to the present day; some
    having disappeared before the close of the palæozoic period. No fixed
    law seems to determine the length of time during which any single
    species or any single genus endures. There is reason to believe that
    the complete extinction of the species of a group is generally a slower
    process than their production: if the appearance and disappearance of a
    group of species be represented, as before, by a vertical line of
    varying thickness, the line is found to taper more gradually at its
    upper end, which marks the progress of extermination, than at its lower
    end, which marks the first appearance and increase in numbers of the
    species. In some cases, however, the extermination of whole groups of
    beings, as of ammonites towards the close of the secondary period, has
    been wonderfully sudden.

    The whole subject of the extinction of species has been involved in the
    most gratuitous mystery. Some authors have even supposed that as the
    individual has a definite length of life, so have species a definite
    duration. No one I think can have marvelled more at the extinction of
    species, than I have done. When I found in La Plata the tooth of a
    horse embedded with the remains of Mastodon, Megatherium, Toxodon, and
    other extinct monsters, which all co-existed with still living shells
    at a very late geological period, I was filled with astonishment; for
    seeing that the horse, since its introduction by the Spaniards into
    South America, has run wild over the whole country and has increased in
    numbers at an unparalleled rate, I asked myself what could so recently
    have exterminated the former horse under conditions of life apparently
    so favourable. But
    how utterly groundless was my astonishment! Professor Owen soon
    perceived that the tooth, though so like that of the existing horse,
    belonged to an extinct species. Had this horse been still living, but
    in some degree rare, no naturalist would have felt the least surprise
    at its rarity; for rarity is the attribute of a vast number of species
    of all classes, in all countries. If we ask ourselves why this or that
    species is rare, we answer that something is unfavourable in its
    conditions of life; but what that something is, we can hardly ever
    tell. On the supposition of the fossil horse still existing as a rare
    species, we might have felt certain from the analogy of all other
    mammals, even of the slow-breeding elephant, and from the history of
    the naturalisation of the domestic horse in South America, that under
    more favourable conditions it would in a very few years have stocked
    the whole continent. But we could not have told what the unfavourable
    conditions were which checked its increase, whether some one or several
    contingencies, and at what period of the horse’s life, and in what
    degree, they severally acted. If the conditions had gone on, however
    slowly, becoming less and less favourable, we assuredly should not have
    perceived the fact, yet the fossil horse would certainly have become
    rarer and rarer, and finally extinct;—its place being seized on by some
    more successful competitor.

    It is most difficult always to remember that the increase of every
    living being is constantly being checked by unperceived injurious
    agencies; and that these same unperceived agencies are amply sufficient
    to cause rarity, and finally extinction. We see in many cases in the
    more recent tertiary formations, that rarity precedes extinction; and
    we know that this has been the progress of events with those animals
    which have
    been exterminated, either locally or wholly, through man’s agency. I
    may repeat what I published in 1845, namely, that to admit that species
    generally become rare before they become extinct—to feel no surprise at
    the rarity of a species, and yet to marvel greatly when it ceases to
    exist, is much the same as to admit that sickness in the individual is
    the forerunner of death—to feel no surprise at sickness, but when the
    sick man dies, to wonder and to suspect that he died by some unknown
    deed of violence.

    The theory of natural selection is grounded on the belief that each new
    variety, and ultimately each new species, is produced and maintained by
    having some advantage over those with which it comes into competition;
    and the consequent extinction of less-favoured forms almost inevitably
    follows. It is the same with our domestic productions: when a new and
    slightly improved variety has been raised, it at first supplants the
    less improved varieties in the same neighbourhood; when much improved
    it is transported far and near, like our short-horn cattle, and takes
    the place of other breeds in other countries. Thus the appearance of
    new forms and the disappearance of old forms, both natural and
    artificial, are bound together. In certain flourishing groups, the
    number of new specific forms which have been produced within a given
    time is probably greater than that of the old forms which have been
    exterminated; but we know that the number of species has not gone on
    indefinitely increasing, at least during the later geological periods,
    so that looking to later times we may believe that the production of
    new forms has caused the extinction of about the same number of old
    forms.

    The competition will generally be most severe, as formerly explained
    and illustrated by examples, between the forms which are most like each
    other in all respects.
    Hence the improved and modified descendants of a species will generally
    cause the extermination of the parent-species; and if many new forms
    have been developed from any one species, the nearest allies of that
    species, i.e. the species of the same genus, will be the most liable
    to extermination. Thus, as I believe, a number of new species descended
    from one species, that is a new genus, comes to supplant an old genus,
    belonging to the same family. But it must often have happened that a
    new species belonging to some one group will have seized on the place
    occupied by a species belonging to a distinct group, and thus caused
    its extermination; and if many allied forms be developed from the
    successful intruder, many will have to yield their places; and it will
    generally be allied forms, which will suffer from some inherited
    inferiority in common. But whether it be species belonging to the same
    or to a distinct class, which yield their places to other species which
    have been modified and improved, a few of the sufferers may often long
    be preserved, from being fitted to some peculiar line of life, or from
    inhabiting some distant and isolated station, where they have escaped
    severe competition. For instance, a single species of Trigonia, a great
    genus of shells in the secondary formations, survives in the Australian
    seas; and a few members of the great and almost extinct group of Ganoid
    fishes still inhabit our fresh waters. Therefore the utter extinction
    of a group is generally, as we have seen, a slower process than its
    production.

    With respect to the apparently sudden extermination of whole families
    or orders, as of Trilobites at the close of the palæozoic period and of
    Ammonites at the close of the secondary period, we must remember what
    has been already said on the probable wide intervals of time
    between our consecutive formations; and in these intervals there may
    have been much slow extermination. Moreover, when by sudden immigration
    or by unusually rapid development, many species of a new group have
    taken possession of a new area, they will have exterminated in a
    correspondingly rapid manner many of the old inhabitants; and the forms
    which thus yield their places will commonly be allied, for they will
    partake of some inferiority in common.

    Thus, as it seems to me, the manner in which single species and whole
    groups of species become extinct, accords well with the theory of
    natural selection. We need not marvel at extinction; if we must marvel,
    let it be at our presumption in imagining for a moment that we
    understand the many complex contingencies, on which the existence of
    each species depends. If we forget for an instant, that each species
    tends to increase inordinately, and that some check is always in
    action, yet seldom perceived by us, the whole economy of nature will be
    utterly obscured. Whenever we can precisely say why this species is
    more abundant in individuals than that; why this species and not
    another can be naturalised in a given country; then, and not till then,
    we may justly feel surprise why we cannot account for the extinction of
    this particular species or group of species.

    On the Forms of Life changing almost simultaneously throughout the World.—Scarcely any palæontological discovery is more striking than
    the fact, that the forms of life change almost simultaneously
    throughout the world. Thus our European Chalk formation can be
    recognised in many distant parts of the world, under the most different
    climates, where not a fragment of the mineral chalk itself can be
    found; namely, in North
    America, in equatorial South America, in Tierra del Fuego, at the Cape
    of Good Hope, and in the peninsula of India. For at these distant
    points, the organic remains in certain beds present an unmistakeable
    degree of resemblance to those of the Chalk. It is not that the same
    species are met with; for in some cases not one species is identically
    the same, but they belong to the same families, genera, and sections of
    genera, and sometimes are similarly characterised in such trifling
    points as mere superficial sculpture. Moreover other forms, which are
    not found in the Chalk of Europe, but which occur in the formations
    either above or below, are similarly absent at these distant points of
    the world. In the several successive palæozoic formations of Russia,
    Western Europe and North America, a similar parallelism in the forms of
    life has been observed by several authors: so it is, according to
    Lyell, with the several European and North American tertiary deposits.
    Even if the few fossil species which are common to the Old and New
    Worlds be kept wholly out of view, the general parallelism in the
    successive forms of life, in the stages of the widely separated
    palæozoic and tertiary periods, would still be manifest, and the
    several formations could be easily correlated.

    These observations, however, relate to the marine inhabitants of
    distant parts of the world: we have not sufficient data to judge
    whether the productions of the land and of fresh water change at
    distant points in the same parallel manner. We may doubt whether they
    have thus changed: if the Megatherium, Mylodon, Macrauchenia, and
    Toxodon had been brought to Europe from La Plata, without any
    information in regard to their geological position, no one would have
    suspected that they had coexisted with still living sea-shells; but as
    these anomalous monsters coexisted with the Mastodon
    and Horse, it might at least have been inferred that they had lived
    during one of the latter tertiary stages.

    When the marine forms of life are spoken of as having changed
    simultaneously throughout the world, it must not be supposed that this
    expression relates to the same thousandth or hundred-thousandth year,
    or even that it has a very strict geological sense; for if all the
    marine animals which live at the present day in Europe, and all those
    that lived in Europe during the pleistocene period (an enormously
    remote period as measured by years, including the whole glacial epoch),
    were to be compared with those now living in South America or in
    Australia, the most skilful naturalist would hardly be able to say
    whether the existing or the pleistocene inhabitants of Europe resembled
    most closely those of the southern hemisphere. So, again, several
    highly competent observers believe that the existing productions of the
    United States are more closely related to those which lived in Europe
    during certain later tertiary stages, than to those which now live
    here; and if this be so, it is evident that fossiliferous beds
    deposited at the present day on the shores of North America would
    hereafter be liable to be classed with somewhat older European beds.
    Nevertheless, looking to a remotely future epoch, there can, I think,
    be little doubt that all the more modern marine formations, namely,
    the upper pliocene, the pleistocene and strictly modern beds, of
    Europe, North and South America, and Australia, from containing fossil
    remains in some degree allied, and from not including those forms which
    are only found in the older underlying deposits, would be correctly
    ranked as simultaneous in a geological sense.

    The fact of the forms of life changing simultaneously, in the above
    large sense, at distant parts of the world, has greatly struck those
    admirable observers, MM.
    de Verneuil and d’Archiac. After referring to the parallelism of the
    palæozoic forms of life in various parts of Europe, they add, “If
    struck by this strange sequence, we turn our attention to North
    America, and there discover a series of analogous phenomena, it will
    appear certain that all these modifications of species, their
    extinction, and the introduction of new ones, cannot be owing to mere
    changes in marine currents or other causes more or less local and
    temporary, but depend on general laws which govern the whole animal
    kingdom.” M. Barrande has made forcible remarks to precisely the same
    effect. It is, indeed, quite futile to look to changes of currents,
    climate, or other physical conditions, as the cause of these great
    mutations in the forms of life throughout the world, under the most
    different climates. We must, as Barrande has remarked, look to some
    special law. We shall see this more clearly when we treat of the
    present distribution of organic beings, and find how slight is the
    relation between the physical conditions of various countries, and the
    nature of their inhabitants.

    This great fact of the parallel succession of the forms of life
    throughout the world, is explicable on the theory of natural selection.
    New species are formed by new varieties arising, which have some
    advantage over older forms; and those forms, which are already
    dominant, or have some advantage over the other forms in their own
    country, would naturally oftenest give rise to new varieties or
    incipient species; for these latter must be victorious in a still
    higher degree in order to be preserved and to survive. We have distinct
    evidence on this head, in the plants which are dominant, that is, which
    are commonest in their own homes, and are most widely diffused, having
    produced the greatest number of new varieties. It is also natural that
    the dominant,
    varying, and far-spreading species, which already have invaded to a
    certain extent the territories of other species, should be those which
    would have the best chance of spreading still further, and of giving
    rise in new countries to new varieties and species. The process of
    diffusion may often be very slow, being dependent on climatal and
    geographical changes, or on strange accidents, but in the long run the
    dominant forms will generally succeed in spreading. The diffusion
    would, it is probable, be slower with the terrestrial inhabitants of
    distinct continents than with the marine inhabitants of the continuous
    sea. We might therefore expect to find, as we apparently do find, a
    less strict degree of parallel succession in the productions of the
    land than of the sea.

    Dominant species spreading from any region might encounter still more
    dominant species, and then their triumphant course, or even their
    existence, would cease. We know not at all precisely what are all the
    conditions most favourable for the multiplication of new and dominant
    species; but we can, I think, clearly see that a number of individuals,
    from giving a better chance of the appearance of favourable variations,
    and that severe competition with many already existing forms, would be
    highly favourable, as would be the power of spreading into new
    territories. A certain amount of isolation, recurring at long intervals
    of time, would probably be also favourable, as before explained. One
    quarter of the world may have been most favourable for the production
    of new and dominant species on the land, and another for those in the
    waters of the sea. If two great regions had been for a long period
    favourably circumstanced in an equal degree, whenever their inhabitants
    met, the battle would be prolonged and severe; and some from one
    birthplace and some from the other might be victorious. But in the
    course of time, the
    forms dominant in the highest degree, wherever produced, would tend
    everywhere to prevail. As they prevailed, they would cause the
    extinction of other and inferior forms; and as these inferior forms
    would be allied in groups by inheritance, whole groups would tend
    slowly to disappear; though here and there a single member might long
    be enabled to survive.

    Thus, as it seems to me, the parallel, and, taken in a large sense,
    simultaneous, succession of the same forms of life throughout the
    world, accords well with the principle of new species having been
    formed by dominant species spreading widely and varying; the new
    species thus produced being themselves dominant owing to inheritance,
    and to having already had some advantage over their parents or over
    other species; these again spreading, varying, and producing new
    species. The forms which are beaten and which yield their places to the
    new and victorious forms, will generally be allied in groups, from
    inheriting some inferiority in common; and therefore as new and
    improved groups spread throughout the world, old groups will disappear
    from the world; and the succession of forms in both ways will
    everywhere tend to correspond.

    There is one other remark connected with this subject worth making. I
    have given my reasons for believing that all our greater fossiliferous
    formations were deposited during periods of subsidence; and that blank
    intervals of vast duration occurred during the periods when the bed of
    the sea was either stationary or rising, and likewise when sediment was
    not thrown down quickly enough to embed and preserve organic remains.
    During these long and blank intervals I suppose that the inhabitants of
    each region underwent a considerable amount of modification and
    extinction, and that there was much migration from
    other parts of the world. As we have reason to believe that large areas
    are affected by the same movement, it is probable that strictly
    contemporaneous formations have often been accumulated over very wide
    spaces in the same quarter of the world; but we are far from having any
    right to conclude that this has invariably been the case, and that
    large areas have invariably been affected by the same movements. When
    two formations have been deposited in two regions during nearly, but
    not exactly the same period, we should find in both, from the causes
    explained in the foregoing paragraphs, the same general succession in
    the forms of life; but the species would not exactly correspond; for
    there will have been a little more time in the one region than in the
    other for modification, extinction, and immigration.

    I suspect that cases of this nature have occurred in Europe. Mr.
    Prestwich, in his admirable Memoirs on the eocene deposits of England
    and France, is able to draw a close general parallelism between the
    successive stages in the two countries; but when he compares certain
    stages in England with those in France, although he finds in both a
    curious accordance in the numbers of the species belonging to the same
    genera, yet the species themselves differ in a manner very difficult to
    account for, considering the proximity of the two areas,—unless,
    indeed, it be assumed that an isthmus separated two seas inhabited by
    distinct, but contemporaneous, faunas. Lyell has made similar
    observations on some of the later tertiary formations. Barrande, also,
    shows that there is a striking general parallelism in the successive
    Silurian deposits of Bohemia and Scandinavia; nevertheless he finds a
    surprising amount of difference in the species. If the several
    formations in these regions have not been deposited during the same
    exact
    periods,—a formation in one region often corresponding with a blank
    interval in the other,—and if in both regions the species have gone on
    slowly changing during the accumulation of the several formations and
    during the long intervals of time between them; in this case, the
    several formations in the two regions could be arranged in the same
    order, in accordance with the general succession of the form of life,
    and the order would falsely appear to be strictly parallel;
    nevertheless the species would not all be the same in the apparently
    corresponding stages in the two regions.

    On the Affinities of extinct Species to each other, and to living forms.—Let us now look to the mutual affinities of extinct and living
    species. They all fall into one grand natural system; and this fact is
    at once explained on the principle of descent. The more ancient any
    form is, the more, as a general rule, it differs from living forms.
    But, as Buckland long ago remarked, all fossils can be classed either
    in still existing groups, or between them. That the extinct forms of
    life help to fill up the wide intervals between existing genera,
    families, and orders, cannot be disputed. For if we confine our
    attention either to the living or to the extinct alone, the series is
    far less perfect than if we combine both into one general system. With
    respect to the Vertebrata, whole pages could be filled with striking
    illustrations from our great palæontologist, Owen, showing how extinct
    animals fall in between existing groups. Cuvier ranked the Ruminants
    and Pachyderms, as the two most distinct orders of mammals; but Owen
    has discovered so many fossil links, that he has had to alter the whole
    classification of these two orders; and has placed certain pachyderms
    in the same sub-order with ruminants: for example, he dissolves by fine
    gradations the apparently
    wide difference between the pig and the camel. In regard to the
    Invertebrata, Barrande, and a higher authority could not be named,
    asserts that he is every day taught that palæozoic animals, though
    belonging to the same orders, families, or genera with those living at
    the present day, were not at this early epoch limited in such distinct
    groups as they now are.

    Some writers have objected to any extinct species or group of species
    being considered as intermediate between living species or groups. If
    by this term it is meant that an extinct form is directly intermediate
    in all its characters between two living forms, the objection is
    probably valid. But I apprehend that in a perfectly natural
    classification many fossil species would have to stand between living
    species, and some extinct genera between living genera, even between
    genera belonging to distinct families. The most common case, especially
    with respect to very distinct groups, such as fish and reptiles, seems
    to be, that supposing them to be distinguished at the present day from
    each other by a dozen characters, the ancient members of the same two
    groups would be distinguished by a somewhat lesser number of
    characters, so that the two groups, though formerly quite distinct, at
    that period made some small approach to each other.

    It is a common belief that the more ancient a form is, by so much the
    more it tends to connect by some of its characters groups now widely
    separated from each other. This remark no doubt must be restricted to
    those groups which have undergone much change in the course of
    geological ages; and it would be difficult to prove the truth of the
    proposition, for every now and then even a living animal, as the
    Lepidosiren, is discovered having affinities directed towards very
    distinct groups. Yet if we compare the older Reptiles and
    Batrachians, the older Fish, the older Cephalopods, and the eocene
    Mammals, with the more recent members of the same classes, we must
    admit that there is some truth in the remark.

    Let us see how far these several facts and inferences accord with the
    theory of descent with modification. As the subject is somewhat
    complex, I must request the reader to turn to the diagram in the fourth
    chapter. We may suppose that the numbered letters represent genera, and
    the dotted lines diverging from them the species in each genus. The
    diagram is much too simple, too few genera and too few species being
    given, but this is unimportant for us. The horizontal lines may
    represent successive geological formations, and all the forms beneath
    the uppermost line may be considered as extinct. The three existing
    genera, _a_14, _q_14, _p_14, will form a small family; _b_14 and _f_14
    a closely allied family or sub-family; and _o_14, _e_14, _m_14, a third
    family. These three families, together with the many extinct genera on
    the several lines of descent diverging from the parent-form A, will
    form an order; for all will have inherited something in common from
    their ancient and common progenitor. On the principle of the continued
    tendency to divergence of character, which was formerly illustrated by
    this diagram, the more recent any form is, the more it will generally
    differ from its ancient progenitor. Hence we can understand the rule
    that the most ancient fossils differ most from existing forms. We must
    not, however, assume that divergence of character is a necessary
    contingency; it depends solely on the descendants from a species being
    thus enabled to seize on many and different places in the economy of
    nature. Therefore it is quite possible, as we have seen in the case of
    some Silurian forms, that a species might go on being slightly
    modified in relation to its slightly altered conditions of life, and
    yet retain throughout a vast period the same general characteristics.
    This is represented in the diagram by the letter F14.

    All the many forms, extinct and recent, descended from A, make, as
    before remarked, one order; and this order, from the continued effects
    of extinction and divergence of character, has become divided into
    several sub-families and families, some of which are supposed to have
    perished at different periods, and some to have endured to the present
    day.

    By looking at the diagram we can see that if many of the extinct forms,
    supposed to be embedded in the successive formations, were discovered
    at several points low down in the series, the three existing families
    on the uppermost line would be rendered less distinct from each other.
    If, for instance, the genera _a_1, _a_5, _a_10, _f_8, _m_3, _m_6, _m_9
    were disinterred, these three families would be so closely linked
    together that they probably would have to be united into one great
    family, in nearly the same manner as has occurred with ruminants and
    pachyderms. Yet he who objected to call the extinct genera, which thus
    linked the living genera of three families together, intermediate in
    character, would be justified, as they are intermediate, not directly,
    but only by a long and circuitous course through many widely different
    forms. If many extinct forms were to be discovered above one of the
    middle horizontal lines or geological formations—for instance, above
    Number VI.—but none from beneath this line, then only the two families
    on the left hand (namely, _a_14, etc., and _b_14, etc.) would have to
    be united into one family; and the two other families (namely, _a_14 to
    _f_14 now including five genera, and _o_14 to _m_14) would yet remain
    distinct. These two families, however, would be less distinct from each
    other than they were before the
    discovery of the fossils. If, for instance, we suppose the existing
    genera of the two families to differ from each other by a dozen
    characters, in this case the genera, at the early period marked VI.,
    would differ by a lesser number of characters; for at this early stage
    of descent they have not diverged in character from the common
    progenitor of the order, nearly so much as they subsequently diverged.
    Thus it comes that ancient and extinct genera are often in some slight
    degree intermediate in character between their modified descendants, or
    between their collateral relations.

    In nature the case will be far more complicated than is represented in
    the diagram; for the groups will have been more numerous, they will
    have endured for extremely unequal lengths of time, and will have been
    modified in various degrees. As we possess only the last volume of the
    geological record, and that in a very broken condition, we have no
    right to expect, except in very rare cases, to fill up wide intervals
    in the natural system, and thus unite distinct families or orders. All
    that we have a right to expect, is that those groups, which have within
    known geological periods undergone much modification, should in the
    older formations make some slight approach to each other; so that the
    older members should differ less from each other in some of their
    characters than do the existing members of the same groups; and this by
    the concurrent evidence of our best palæontologists seems frequently to
    be the case.

    Thus, on the theory of descent with modification, the main facts with
    respect to the mutual affinities of the extinct forms of life to each
    other and to living forms, seem to me explained in a satisfactory
    manner. And they are wholly inexplicable on any other view.

    On this same theory, it is evident that the fauna of any great period
    in the earth’s history will be intermediate
    in general character between that which preceded and that which
    succeeded it. Thus, the species which lived at the sixth great stage of
    descent in the diagram are the modified offspring of those which lived
    at the fifth stage, and are the parents of those which became still
    more modified at the seventh stage; hence they could hardly fail to be
    nearly intermediate in character between the forms of life above and
    below. We must, however, allow for the entire extinction of some
    preceding forms, and for the coming in of quite new forms by
    immigration, and for a large amount of modification, during the long
    and blank intervals between the successive formations. Subject to these
    allowances, the fauna of each geological period undoubtedly is
    intermediate in character, between the preceding and succeeding faunas.
    I need give only one instance, namely, the manner in which the fossils
    of the Devonian system, when this system was first discovered, were at
    once recognised by palæontologists as intermediate in character between
    those of the overlying carboniferous, and underlying Silurian system.
    But each fauna is not necessarily exactly intermediate, as unequal
    intervals of time have elapsed between consecutive formations.

    It is no real objection to the truth of the statement, that the fauna
    of each period as a whole is nearly intermediate in character between
    the preceding and succeeding faunas, that certain genera offer
    exceptions to the rule. For instance, mastodons and elephants, when
    arranged by Dr. Falconer in two series, first according to their mutual
    affinities and then according to their periods of existence, do not
    accord in arrangement. The species extreme in character are not the
    oldest, or the most recent; nor are those which are intermediate in
    character, intermediate in age. But
    supposing for an instant, in this and other such cases, that the record
    of the first appearance and disappearance of the species was perfect,
    we have no reason to believe that forms successively produced
    necessarily endure for corresponding lengths of time: a very ancient
    form might occasionally last much longer than a form elsewhere
    subsequently produced, especially in the case of terrestrial
    productions inhabiting separated districts. To compare small things
    with great: if the principal living and extinct races of the domestic
    pigeon were arranged as well as they could be in serial affinity, this
    arrangement would not closely accord with the order in time of their
    production, and still less with the order of their disappearance; for
    the parent rock-pigeon now lives; and many varieties between the
    rock-pigeon and the carrier have become extinct; and carriers which are
    extreme in the important character of length of beak originated earlier
    than short-beaked tumblers, which are at the opposite end of the series
    in this same respect.

    Closely connected with the statement, that the organic remains from an
    intermediate formation are in some degree intermediate in character, is
    the fact, insisted on by all palæontologists, that fossils from two
    consecutive formations are far more closely related to each other, than
    are the fossils from two remote formations. Pictet gives as a
    well-known instance, the general resemblance of the organic remains
    from the several stages of the chalk formation, though the species are
    distinct in each stage. This fact alone, from its generality, seems to
    have shaken Professor Pictet in his firm belief in the immutability of
    species. He who is acquainted with the distribution of existing species
    over the globe, will not attempt to account for the close resemblance
    of the distinct species in closely consecutive
    formations, by the physical conditions of the ancient areas having
    remained nearly the same. Let it be remembered that the forms of life,
    at least those inhabiting the sea, have changed almost simultaneously
    throughout the world, and therefore under the most different climates
    and conditions. Consider the prodigious vicissitudes of climate during
    the pleistocene period, which includes the whole glacial period, and
    note how little the specific forms of the inhabitants of the sea have
    been affected.

    On the theory of descent, the full meaning of the fact of fossil
    remains from closely consecutive formations, though ranked as distinct
    species, being closely related, is obvious. As the accumulation of each
    formation has often been interrupted, and as long blank intervals have
    intervened between successive formations, we ought not to expect to
    find, as I attempted to show in the last chapter, in any one or two
    formations all the intermediate varieties between the species which
    appeared at the commencement and close of these periods; but we ought
    to find after intervals, very long as measured by years, but only
    moderately long as measured geologically, closely allied forms, or, as
    they have been called by some authors, representative species; and
    these we assuredly do find. We find, in short, such evidence of the
    slow and scarcely sensible mutation of specific forms, as we have a
    just right to expect to find.

    On the state of Development of Ancient Forms.—There has been much
    discussion whether recent forms are more highly developed than ancient.
    I will not here enter on this subject, for naturalists have not as yet
    defined to each other’s satisfaction what is meant by high and low
    forms. But in one particular sense the
    more recent forms must, on my theory, be higher than the more ancient;
    for each new species is formed by having had some advantage in the
    struggle for life over other and preceding forms. If under a nearly
    similar climate, the eocene inhabitants of one quarter of the world
    were put into competition with the existing inhabitants of the same or
    some other quarter, the eocene fauna or flora would certainly be beaten
    and exterminated; as would a secondary fauna by an eocene, and a
    palæozoic fauna by a secondary fauna. I do not doubt that this process
    of improvement has affected in a marked and sensible manner the
    organisation of the more recent and victorious forms of life, in
    comparison with the ancient and beaten forms; but I can see no way of
    testing this sort of progress. Crustaceans, for instance, not the
    highest in their own class, may have beaten the highest molluscs. From
    the extraordinary manner in which European productions have recently
    spread over New Zealand, and have seized on places which must have been
    previously occupied, we may believe, if all the animals and plants of
    Great Britain were set free in New Zealand, that in the course of time
    a multitude of British forms would become thoroughly naturalized there,
    and would exterminate many of the natives. On the other hand, from what
    we see now occurring in New Zealand, and from hardly a single
    inhabitant of the southern hemisphere having become wild in any part of
    Europe, we may doubt, if all the productions of New Zealand were set
    free in Great Britain, whether any considerable number would be enabled
    to seize on places now occupied by our native plants and animals. Under
    this point of view, the productions of Great Britain may be said to be
    higher than those of New Zealand. Yet the most skilful naturalist from
    an examination of the species
    of the two countries could not have foreseen this result.

    Agassiz insists that ancient animals resemble to a certain extent the
    embryos of recent animals of the same classes; or that the geological
    succession of extinct forms is in some degree parallel to the
    embryological development of recent forms. I must follow Pictet and
    Huxley in thinking that the truth of this doctrine is very far from
    proved. Yet I fully expect to see it hereafter confirmed, at least in
    regard to subordinate groups, which have branched off from each other
    within comparatively recent times. For this doctrine of Agassiz accords
    well with the theory of natural selection. In a future chapter I shall
    attempt to show that the adult differs from its embryo, owing to
    variations supervening at a not early age, and being inherited at a
    corresponding age. This process, whilst it leaves the embryo almost
    unaltered, continually adds, in the course of successive generations,
    more and more difference to the adult.

    Thus the embryo comes to be left as a sort of picture, preserved by
    nature, of the ancient and less modified condition of each animal. This
    view may be true, and yet it may never be capable of full proof.
    Seeing, for instance, that the oldest known mammals, reptiles, and fish
    strictly belong to their own proper classes, though some of these old
    forms are in a slight degree less distinct from each other than are the
    typical members of the same groups at the present day, it would be vain
    to look for animals having the common embryological character of the
    Vertebrata, until beds far beneath the lowest Silurian strata are
    discovered—a discovery of which the chance is very small.

    On the Succession of the same Types within the same areas, during the later tertiary periods.—Mr. Clift many years ago
    showed that the fossil mammals from the Australian caves were closely
    allied to the living marsupials of that continent. In South America, a
    similar relationship is manifest, even to an uneducated eye, in the
    gigantic pieces of armour like those of the armadillo, found in several
    parts of La Plata; and Professor Owen has shown in the most striking
    manner that most of the fossil mammals, buried there in such numbers,
    are related to South American types. This relationship is even more
    clearly seen in the wonderful collection of fossil bones made by MM.
    Lund and Clausen in the caves of Brazil. I was so much impressed with
    these facts that I strongly insisted, in 1839 and 1845, on this “law of
    the succession of types,”—on “this wonderful relationship in the same
    continent between the dead and the living.” Professor Owen has
    subsequently extended the same generalisation to the mammals of the Old
    World. We see the same law in this author’s restorations of the extinct
    and gigantic birds of New Zealand. We see it also in the birds of the
    caves of Brazil. Mr. Woodward has shown that the same law holds good
    with sea-shells, but from the wide distribution of most genera of
    molluscs, it is not well displayed by them. Other cases could be added,
    as the relation between the extinct and living land-shells of Madeira;
    and between the extinct and living brackish-water shells of the
    Aralo-Caspian Sea.

    Now what does this remarkable law of the succession of the same types
    within the same areas mean? He would be a bold man, who after comparing
    the present climate of Australia and of parts of South America under
    the same latitude, would attempt to account, on the one hand, by
    dissimilar physical conditions for the dissimilarity of the inhabitants
    of these two continents,
    and, on the other hand, by similarity of conditions, for the uniformity
    of the same types in each during the later tertiary periods. Nor can it
    be pretended that it is an immutable law that marsupials should have
    been chiefly or solely produced in Australia; or that Edentata and
    other American types should have been solely produced in South America.
    For we know that Europe in ancient times was peopled by numerous
    marsupials; and I have shown in the publications above alluded to, that
    in America the law of distribution of terrestrial mammals was formerly
    different from what it now is. North America formerly partook strongly
    of the present character of the southern half of the continent; and the
    southern half was formerly more closely allied, than it is at present,
    to the northern half. In a similar manner we know from Falconer and
    Cautley’s discoveries, that northern India was formerly more closely
    related in its mammals to Africa than it is at the present time.
    Analogous facts could be given in relation to the distribution of
    marine animals.

    On the theory of descent with modification, the great law of the long
    enduring, but not immutable, succession of the same types within the
    same areas, is at once explained; for the inhabitants of each quarter
    of the world will obviously tend to leave in that quarter, during the
    next succeeding period of time, closely allied though in some degree
    modified descendants. If the inhabitants of one continent formerly
    differed greatly from those of another continent, so will their
    modified descendants still differ in nearly the same manner and degree.
    But after very long intervals of time and after great geographical
    changes, permitting much inter-migration, the feebler will yield to the
    more dominant forms, and there will be nothing immutable in the laws of
    past and present distribution.

    It may be asked in ridicule, whether I suppose that the megatherium and
    other allied huge monsters have left behind them in South America the
    sloth, armadillo, and anteater, as their degenerate descendants. This
    cannot for an instant be admitted. These huge animals have become
    wholly extinct, and have left no progeny. But in the caves of Brazil,
    there are many extinct species which are closely allied in size and in
    other characters to the species still living in South America; and some
    of these fossils may be the actual progenitors of living species. It
    must not be forgotten that, on my theory, all the species of the same
    genus have descended from some one species; so that if six genera, each
    having eight species, be found in one geological formation, and in the
    next succeeding formation there be six other allied or representative
    genera with the same number of species, then we may conclude that only
    one species of each of the six older genera has left modified
    descendants, constituting the six new genera. The other seven species
    of the old genera have all died out and have left no progeny. Or, which
    would probably be a far commoner case, two or three species of two or
    three alone of the six older genera will have been the parents of the
    six new genera; the other old species and the other whole genera having
    become utterly extinct. In failing orders, with the genera and species
    decreasing in numbers, as apparently is the case of the Edentata of
    South America, still fewer genera and species will have left modified
    blood-descendants.

    Summary of the preceding and present Chapters.—I have attempted to
    show that the geological record is extremely imperfect; that only a
    small portion of the globe has been geologically explored with care;
    that only
    certain classes of organic beings have been largely preserved in a
    fossil state; that the number both of specimens and of species,
    preserved in our museums, is absolutely as nothing compared with the
    incalculable number of generations which must have passed away even
    during a single formation; that, owing to subsidence being necessary
    for the accumulation of fossiliferous deposits thick enough to resist
    future degradation, enormous intervals of time have elapsed between the
    successive formations; that there has probably been more extinction
    during the periods of subsidence, and more variation during the periods
    of elevation, and during the latter the record will have been least
    perfectly kept; that each single formation has not been continuously
    deposited; that the duration of each formation is, perhaps, short
    compared with the average duration of specific forms; that migration
    has played an important part in the first appearance of new forms in
    any one area and formation; that widely ranging species are those which
    have varied most, and have oftenest given rise to new species; and that
    varieties have at first often been local. All these causes taken
    conjointly, must have tended to make the geological record extremely
    imperfect, and will to a large extent explain why we do not find
    interminable varieties, connecting together all the extinct and
    existing forms of life by the finest graduated steps.

    He who rejects these views on the nature of the geological record, will
    rightly reject my whole theory. For he may ask in vain where are the
    numberless transitional links which must formerly have connected the
    closely allied or representative species, found in the several stages
    of the same great formation. He may disbelieve in the enormous
    intervals of time which have elapsed between our consecutive
    formations; he
    may overlook how important a part migration must have played, when the
    formations of any one great region alone, as that of Europe, are
    considered; he may urge the apparent, but often falsely apparent,
    sudden coming in of whole groups of species. He may ask where are the
    remains of those infinitely numerous organisms which must have existed
    long before the first bed of the Silurian system was deposited: I can
    answer this latter question only hypothetically, by saying that as far
    as we can see, where our oceans now extend they have for an enormous
    period extended, and where our oscillating continents now stand they
    have stood ever since the Silurian epoch; but that long before that
    period, the world may have presented a wholly different aspect; and
    that the older continents, formed of formations older than any known to
    us, may now all be in a metamorphosed condition, or may lie buried
    under the ocean.

    Passing from these difficulties, all the other great leading facts in
    palæontology seem to me simply to follow on the theory of descent with
    modification through natural selection. We can thus understand how it
    is that new species come in slowly and successively; how species of
    different classes do not necessarily change together, or at the same
    rate, or in the same degree; yet in the long run that all undergo
    modification to some extent. The extinction of old forms is the almost
    inevitable consequence of the production of new forms. We can
    understand why when a species has once disappeared it never reappears.
    Groups of species increase in numbers slowly, and endure for unequal
    periods of time; for the process of modification is necessarily slow,
    and depends on many complex contingencies. The dominant species of the
    larger dominant groups tend to leave many modified
    descendants, and thus new sub-groups and groups are formed. As these
    are formed, the species of the less vigorous groups, from their
    inferiority inherited from a common progenitor, tend to become extinct
    together, and to leave no modified offspring on the face of the earth.
    But the utter extinction of a whole group of species may often be a
    very slow process, from the survival of a few descendants, lingering in
    protected and isolated situations. When a group has once wholly
    disappeared, it does not reappear; for the link of generation has been
    broken.

    We can understand how the spreading of the dominant forms of life,
    which are those that oftenest vary, will in the long run tend to people
    the world with allied, but modified, descendants; and these will
    generally succeed in taking the places of those groups of species which
    are their inferiors in the struggle for existence. Hence, after long
    intervals of time, the productions of the world will appear to have
    changed simultaneously.

    We can understand how it is that all the forms of life, ancient and
    recent, make together one grand system; for all are connected by
    generation. We can understand, from the continued tendency to
    divergence of character, why the more ancient a form is, the more it
    generally differs from those now living. Why ancient and extinct forms
    often tend to fill up gaps between existing forms, sometimes blending
    two groups previously classed as distinct into one; but more commonly
    only bringing them a little closer together. The more ancient a form
    is, the more often, apparently, it displays characters in some degree
    intermediate between groups now distinct; for the more ancient a form
    is, the more nearly it will be related to, and consequently resemble,
    the common progenitor of groups, since become
    widely divergent. Extinct forms are seldom directly intermediate
    between existing forms; but are intermediate only by a long and
    circuitous course through many extinct and very different forms. We can
    clearly see why the organic remains of closely consecutive formations
    are more closely allied to each other, than are those of remote
    formations; for the forms are more closely linked together by
    generation: we can clearly see why the remains of an intermediate
    formation are intermediate in character.

    The inhabitants of each successive period in the world’s history have
    beaten their predecessors in the race for life, and are, in so far,
    higher in the scale of nature; and this may account for that vague yet
    ill-defined sentiment, felt by many palæontologists, that organisation
    on the whole has progressed. If it should hereafter be proved that
    ancient animals resemble to a certain extent the embryos of more recent
    animals of the same class, the fact will be intelligible. The
    succession of the same types of structure within the same areas during
    the later geological periods ceases to be mysterious, and is simply
    explained by inheritance.

    If then the geological record be as imperfect as I believe it to be,
    and it may at least be asserted that the record cannot be proved to be
    much more perfect, the main objections to the theory of natural
    selection are greatly diminished or disappear. On the other hand, all
    the chief laws of palæontology plainly proclaim, as it seems to me,
    that species have been produced by ordinary generation: old forms
    having been supplanted by new and improved forms of life, produced by
    the laws of variation still acting round us, and preserved by Natural
    Selection.

    CHAPTER XI.
    GEOGRAPHICAL DISTRIBUTION.

    Present distribution cannot be accounted for by differences in physical
    conditions. Importance of barriers. Affinity of the productions of the
    same continent. Centres of creation. Means of dispersal, by changes of
    climate and of the level of the land, and by occasional means.
    Dispersal during the Glacial period co-extensive with the world.

    In considering the distribution of organic beings over the face of the
    globe, the first great fact which strikes us is, that neither the
    similarity nor the dissimilarity of the inhabitants of various regions
    can be accounted for by their climatal and other physical conditions.
    Of late, almost every author who has studied the subject has come to
    this conclusion. The case of America alone would almost suffice to
    prove its truth: for if we exclude the northern parts where the
    circumpolar land is almost continuous, all authors agree that one of
    the most fundamental divisions in geographical distribution is that
    between the New and Old Worlds; yet if we travel over the vast American
    continent, from the central parts of the United States to its extreme
    southern point, we meet with the most diversified conditions; the most
    humid districts, arid deserts, lofty mountains, grassy plains, forests,
    marshes, lakes, and great rivers, under almost every temperature. There
    is hardly a climate or condition in the Old World which cannot be
    paralleled in the New—at least as closely as the same species generally
    require; for it is a most rare case to find a group of organisms
    confined to any small spot, having conditions peculiar in only a slight
    degree; for instance, small areas in the Old World could be pointed out
    hotter than any in the New World, yet these are not inhabited by a
    peculiar fauna or flora. Notwithstanding this parallelism in the
    conditions of the Old and New Worlds, how widely different are their
    living productions!

    In the southern hemisphere, if we compare large tracts of land in
    Australia, South Africa, and western South America, between latitudes
    25° and 35°, we shall find parts extremely similar in all their
    conditions, yet it would not be possible to point out three faunas and
    floras more utterly dissimilar. Or again we may compare the productions
    of South America south of lat. 35° with those north of 25°, which
    consequently inhabit a considerably different climate, and they will be
    found incomparably more closely related to each other, than they are to
    the productions of Australia or Africa under nearly the same climate.
    Analogous facts could be given with respect to the inhabitants of the
    sea.

    A second great fact which strikes us in our general review is, that
    barriers of any kind, or obstacles to free migration, are related in a
    close and important manner to the differences between the productions
    of various regions. We see this in the great difference of nearly all
    the terrestrial productions of the New and Old Worlds, excepting in the
    northern parts, where the land almost joins, and where, under a
    slightly different climate, there might have been free migration for
    the northern temperate forms, as there now is for the strictly arctic
    productions. We see the same fact in the great difference between the
    inhabitants of Australia, Africa, and South America under the same
    latitude: for these countries are almost as much isolated from each
    other as is possible. On each continent, also, we see the same fact;
    for on the opposite sides of
    lofty and continuous mountain-ranges, and of great deserts, and
    sometimes even of large rivers, we find different productions; though
    as mountain chains, deserts, etc., are not as impassable, or likely to
    have endured so long as the oceans separating continents, the
    differences are very inferior in degree to those characteristic of
    distinct continents.

    Turning to the sea, we find the same law. No two marine faunas are more
    distinct, with hardly a fish, shell, or crab in common, than those of
    the eastern and western shores of South and Central America; yet these
    great faunas are separated only by the narrow, but impassable, isthmus
    of Panama. Westward of the shores of America, a wide space of open
    ocean extends, with not an island as a halting-place for emigrants;
    here we have a barrier of another kind, and as soon as this is passed
    we meet in the eastern islands of the Pacific, with another and totally
    distinct fauna. So that here three marine faunas range far northward
    and southward, in parallel lines not far from each other, under
    corresponding climates; but from being separated from each other by
    impassable barriers, either of land or open sea, they are wholly
    distinct. On the other hand, proceeding still further westward from the
    eastern islands of the tropical parts of the Pacific, we encounter no
    impassable barriers, and we have innumerable islands as halting-places,
    until after travelling over a hemisphere we come to the shores of
    Africa; and over this vast space we meet with no well-defined and
    distinct marine faunas. Although hardly one shell, crab or fish is
    common to the above-named three approximate faunas of Eastern and
    Western America and the eastern Pacific islands, yet many fish range
    from the Pacific into the Indian Ocean, and many shells are common to
    the eastern islands of the Pacific
    and the eastern shores of Africa, on almost exactly opposite meridians
    of longitude.

    A third great fact, partly included in the foregoing statements, is the
    affinity of the productions of the same continent or sea, though the
    species themselves are distinct at different points and stations. It is
    a law of the widest generality, and every continent offers innumerable
    instances. Nevertheless the naturalist in travelling, for instance,
    from north to south never fails to be struck by the manner in which
    successive groups of beings, specifically distinct, yet clearly
    related, replace each other. He hears from closely allied, yet distinct
    kinds of birds, notes nearly similar, and sees their nests similarly
    constructed, but not quite alike, with eggs coloured in nearly the same
    manner. The plains near the Straits of Magellan are inhabited by one
    species of Rhea (American ostrich), and northward the plains of La
    Plata by another species of the same genus; and not by a true ostrich
    or emeu, like those found in Africa and Australia under the same
    latitude. On these same plains of La Plata, we see the agouti and
    bizcacha, animals having nearly the same habits as our hares and
    rabbits and belonging to the same order of Rodents, but they plainly
    display an American type of structure. We ascend the lofty peaks of the
    Cordillera and we find an alpine species of bizcacha; we look to the
    waters, and we do not find the beaver or musk-rat, but the coypu and
    capybara, rodents of the American type. Innumerable other instances
    could be given. If we look to the islands off the American shore,
    however much they may differ in geological structure, the inhabitants,
    though they may be all peculiar species, are essentially American. We
    may look back to past ages, as shown in the last chapter, and we find
    American types then prevalent on
    the American continent and in the American seas. We see in these facts
    some deep organic bond, prevailing throughout space and time, over the
    same areas of land and water, and independent of their physical
    conditions. The naturalist must feel little curiosity, who is not led
    to inquire what this bond is.

    This bond, on my theory, is simply inheritance, that cause which alone,
    as far as we positively know, produces organisms quite like, or, as we
    see in the case of varieties nearly like each other. The dissimilarity
    of the inhabitants of different regions may be attributed to
    modification through natural selection, and in a quite subordinate
    degree to the direct influence of different physical conditions. The
    degree of dissimilarity will depend on the migration of the more
    dominant forms of life from one region into another having been
    effected with more or less ease, at periods more or less remote;—on the
    nature and number of the former immigrants;—and on their action and
    reaction, in their mutual struggles for life;—the relation of organism
    to organism being, as I have already often remarked, the most important
    of all relations. Thus the high importance of barriers comes into play
    by checking migration; as does time for the slow process of
    modification through natural selection. Widely-ranging species,
    abounding in individuals, which have already triumphed over many
    competitors in their own widely-extended homes will have the best
    chance of seizing on new places, when they spread into new countries.
    In their new homes they will be exposed to new conditions, and will
    frequently undergo further modification and improvement; and thus they
    will become still further victorious, and will produce groups of
    modified descendants. On this principle of inheritance with
    modification, we can understand how it is that sections of genera,
    whole genera,
    and even families are confined to the same areas, as is so commonly and
    notoriously the case.

    I believe, as was remarked in the last chapter, in no law of necessary
    development. As the variability of each species is an independent
    property, and will be taken advantage of by natural selection, only so
    far as it profits the individual in its complex struggle for life, so
    the degree of modification in different species will be no uniform
    quantity. If, for instance, a number of species, which stand in direct
    competition with each other, migrate in a body into a new and
    afterwards isolated country, they will be little liable to
    modification; for neither migration nor isolation in themselves can do
    anything. These principles come into play only by bringing organisms
    into new relations with each other, and in a lesser degree with the
    surrounding physical conditions. As we have seen in the last chapter
    that some forms have retained nearly the same character from an
    enormously remote geological period, so certain species have migrated
    over vast spaces, and have not become greatly modified.

    On these views, it is obvious, that the several species of the same
    genus, though inhabiting the most distant quarters of the world, must
    originally have proceeded from the same source, as they have descended
    from the same progenitor. In the case of those species, which have
    undergone during whole geological periods but little modification,
    there is not much difficulty in believing that they may have migrated
    from the same region; for during the vast geographical and climatal
    changes which will have supervened since ancient times, almost any
    amount of migration is possible. But in many other cases, in which we
    have reason to believe that the species of a genus have been produced
    within comparatively recent times, there is great difficulty on this
    head. It
    is also obvious that the individuals of the same species, though now
    inhabiting distant and isolated regions, must have proceeded from one
    spot, where their parents were first produced: for, as explained in the
    last chapter, it is incredible that individuals identically the same
    should ever have been produced through natural selection from parents
    specifically distinct.

    We are thus brought to the question which has been largely discussed by
    naturalists, namely, whether species have been created at one or more
    points of the earth’s surface. Undoubtedly there are very many cases of
    extreme difficulty, in understanding how the same species could
    possibly have migrated from some one point to the several distant and
    isolated points, where now found. Nevertheless the simplicity of the
    view that each species was first produced within a single region
    captivates the mind. He who rejects it, rejects the vera causa of
    ordinary generation with subsequent migration, and calls in the agency
    of a miracle. It is universally admitted, that in most cases the area
    inhabited by a species is continuous; and when a plant or animal
    inhabits two points so distant from each other, or with an interval of
    such a nature, that the space could not be easily passed over by
    migration, the fact is given as something remarkable and exceptional.
    The capacity of migrating across the sea is more distinctly limited in
    terrestrial mammals, than perhaps in any other organic beings; and,
    accordingly, we find no inexplicable cases of the same mammal
    inhabiting distant points of the world. No geologist will feel any
    difficulty in such cases as Great Britain having been formerly united
    to Europe, and consequently possessing the same quadrupeds. But if the
    same species can be produced at two separate points, why do we not find
    a single mammal common to Europe and Australia or South America? The
    conditions of life are
    nearly the same, so that a multitude of European animals and plants
    have become naturalised in America and Australia; and some of the
    aboriginal plants are identically the same at these distant points of
    the northern and southern hemispheres? The answer, as I believe, is,
    that mammals have not been able to migrate, whereas some plants, from
    their varied means of dispersal, have migrated across the vast and
    broken interspace. The great and striking influence which barriers of
    every kind have had on distribution, is intelligible only on the view
    that the great majority of species have been produced on one side
    alone, and have not been able to migrate to the other side. Some few
    families, many sub-families, very many genera, and a still greater
    number of sections of genera are confined to a single region; and it
    has been observed by several naturalists, that the most natural genera,
    or those genera in which the species are most closely related to each
    other, are generally local, or confined to one area. What a strange
    anomaly it would be, if, when coming one step lower in the series, to
    the individuals of the same species, a directly opposite rule
    prevailed; and species were not local, but had been produced in two or
    more distinct areas!

    Hence it seems to me, as it has to many other naturalists, that the
    view of each species having been produced in one area alone, and having
    subsequently migrated from that area as far as its powers of migration
    and subsistence under past and present conditions permitted, is the
    most probable. Undoubtedly many cases occur, in which we cannot explain
    how the same species could have passed from one point to the other. But
    the geographical and climatal changes, which have certainly occurred
    within recent geological times, must have interrupted or rendered
    discontinuous the formerly continuous range of many species. So that we
    are reduced to consider whether the exceptions to
    continuity of range are so numerous and of so grave a nature, that we
    ought to give up the belief, rendered probable by general
    considerations, that each species has been produced within one area,
    and has migrated thence as far as it could. It would be hopelessly
    tedious to discuss all the exceptional cases of the same species, now
    living at distant and separated points; nor do I for a moment pretend
    that any explanation could be offered of many such cases. But after
    some preliminary remarks, I will discuss a few of the most striking
    classes of facts; namely, the existence of the same species on the
    summits of distant mountain-ranges, and at distant points in the arctic
    and antarctic regions; and secondly (in the following chapter), the
    wide distribution of freshwater productions; and thirdly, the
    occurrence of the same terrestrial species on islands and on the
    mainland, though separated by hundreds of miles of open sea. If the
    existence of the same species at distant and isolated points of the
    earth’s surface, can in many instances be explained on the view of each
    species having migrated from a single birthplace; then, considering our
    ignorance with respect to former climatal and geographical changes and
    various occasional means of transport, the belief that this has been
    the universal law, seems to me incomparably the safest.

    In discussing this subject, we shall be enabled at the same time to
    consider a point equally important for us, namely, whether the several
    distinct species of a genus, which on my theory have all descended from
    a common progenitor, can have migrated (undergoing modification during
    some part of their migration) from the area inhabited by their
    progenitor. If it can be shown to be almost invariably the case, that a
    region, of which most of its inhabitants are closely related to, or
    belong to the same genera with the species of a second region,
    has probably received at some former period immigrants from this other
    region, my theory will be strengthened; for we can clearly understand,
    on the principle of modification, why the inhabitants of a region
    should be related to those of another region, whence it has been
    stocked. A volcanic island, for instance, upheaved and formed at the
    distance of a few hundreds of miles from a continent, would probably
    receive from it in the course of time a few colonists, and their
    descendants, though modified, would still be plainly related by
    inheritance to the inhabitants of the continent. Cases of this nature
    are common, and are, as we shall hereafter more fully see, inexplicable
    on the theory of independent creation. This view of the relation of
    species in one region to those in another, does not differ much (by
    substituting the word variety for species) from that lately advanced in
    an ingenious paper by Mr. Wallace, in which he concludes, that “every
    species has come into existence coincident both in space and time with
    a pre-existing closely allied species.” And I now know from
    correspondence, that this coincidence he attributes to generation with
    modification.

    The previous remarks on “single and multiple centres of creation” do
    not directly bear on another allied question,—namely whether all the
    individuals of the same species have descended from
    a single pair, or single hermaphrodite, or whether, as some authors
    suppose, from many individuals simultaneously created. With those
    organic beings which never intercross (if such exist), the species, on
    my theory, must have descended from a succession of improved varieties,
    which will never have blended with other individuals or varieties, but
    will have supplanted each other; so that, at each successive stage of
    modification and improvement, all the individuals of each variety will
    have descended from a single parent. But in the majority of cases,
    namely, with all organisms which habitually unite for each birth, or
    which often intercross, I believe that during the slow process of
    modification the individuals of the species will have been kept nearly
    uniform by intercrossing; so that many individuals will have gone on
    simultaneously changing, and the whole amount of modification will not
    have been due, at each stage, to descent from a single parent. To
    illustrate what I mean: our English racehorses differ slightly from the
    horses of every other breed; but they do not owe their difference and
    superiority to descent from any single pair, but to continued care in
    selecting and training many individuals during many generations.

    Before discussing the three classes of facts, which I have selected as
    presenting the greatest amount of difficulty on the theory of “single
    centres of creation,” I must say a few words on the means of dispersal.

    Means of Dispersal.—Sir C. Lyell and other authors have ably treated
    this subject. I can give here only the briefest abstract of the more
    important facts. Change of climate must have had a powerful influence
    on migration: a region when its climate was different may have been a
    high road for migration, but now be impassable; I shall, however,
    presently have to discuss this branch of the subject in some detail.
    Changes of level in the land must also have been highly influential: a
    narrow isthmus now separates two marine faunas; submerge it, or let it
    formerly have been submerged, and the two faunas will now blend or may
    formerly have blended: where the sea now extends, land may at a former
    period have connected islands or possibly even continents together, and
    thus have allowed terrestrial productions to pass from one to the
    other.
    No geologist will dispute that great mutations of level have occurred
    within the period of existing organisms. Edward Forbes insisted that
    all the islands in the Atlantic must recently have been connected with
    Europe or Africa, and Europe likewise with America. Other authors have
    thus hypothetically bridged over every ocean, and have united almost
    every island to some mainland. If indeed the arguments used by Forbes
    are to be trusted, it must be admitted that scarcely a single island
    exists which has not recently been united to some continent. This view
    cuts the Gordian knot of the dispersal of the same species to the most
    distant points, and removes many a difficulty: but to the best of my
    judgment we are not authorized in admitting such enormous geographical
    changes within the period of existing species. It seems to me that we
    have abundant evidence of great oscillations of level in our
    continents; but not of such vast changes in their position and
    extension, as to have united them within the recent period to each
    other and to the several intervening oceanic islands. I freely admit
    the former existence of many islands, now buried beneath the sea, which
    may have served as halting places for plants and for many animals
    during their migration. In the coral-producing oceans such sunken
    islands are now marked, as I believe, by rings of coral or atolls
    standing over them. Whenever it is fully admitted, as I believe it will
    some day be, that each species has proceeded from a single birthplace,
    and when in the course of time we know something definite about the
    means of distribution, we shall be enabled to speculate with security
    on the former extension of the land. But I do not believe that it will
    ever be proved that within the recent period continents which are now
    quite separate, have been continuously, or almost continuously, united
    with each other, and with the many existing oceanic islands. Several
    facts in distribution,—such as the great difference in the marine
    faunas on the opposite sides of almost every continent,—the close
    relation of the tertiary inhabitants of several lands and even seas to
    their present inhabitants,—a certain degree of relation (as we shall
    hereafter see) between the distribution of mammals and the depth of the
    sea,—these and other such facts seem to me opposed to the admission of
    such prodigious geographical revolutions within the recent period, as
    are necessitated on the view advanced by Forbes and admitted by his
    many followers. The nature and relative proportions of the inhabitants
    of oceanic islands likewise seem to me opposed to the belief of their
    former continuity with continents. Nor does their almost universally
    volcanic composition favour the admission that they are the wrecks of
    sunken continents;—if they had originally existed as mountain-ranges on
    the land, some at least of the islands would have been formed, like
    other mountain-summits, of granite, metamorphic schists, old
    fossiliferous or other such rocks, instead of consisting of mere piles
    of volcanic matter.

    I must now say a few words on what are called accidental means, but
    which more properly might be called occasional means of distribution. I
    shall here confine myself to plants. In botanical works, this or that
    plant is stated to be ill adapted for wide dissemination; but for
    transport across the sea, the greater or less facilities may be said to
    be almost wholly unknown. Until I tried, with Mr. Berkeley’s aid, a few
    experiments, it was not even known how far seeds could resist the
    injurious action of sea-water. To my surprise I found that out of 87
    kinds, 64 germinated after an immersion of 28 days, and a few survived
    an immersion of 137 days.
    For convenience sake I chiefly tried small seeds, without the capsule
    or fruit; and as all of these sank in a few days, they could not be
    floated across wide spaces of the sea, whether or not they were injured
    by the salt-water. Afterwards I tried some larger fruits, capsules,
    etc., and some of these floated for a long time. It is well known what
    a difference there is in the buoyancy of green and seasoned timber; and
    it occurred to me that floods might wash down plants or branches, and
    that these might be dried on the banks, and then by a fresh rise in the
    stream be washed into the sea. Hence I was led to dry stems and
    branches of 94 plants with ripe fruit, and to place them on sea water.
    The majority sank quickly, but some which whilst green floated for a
    very short time, when dried floated much longer; for instance, ripe
    hazel-nuts sank immediately, but when dried, they floated for 90 days
    and afterwards when planted they germinated; an asparagus plant with
    ripe berries floated for 23 days, when dried it floated for 85 days,
    and the seeds afterwards germinated: the ripe seeds of Helosciadium
    sank in two days, when dried they floated for above 90 days, and
    afterwards germinated. Altogether out of the 94 dried plants, 18
    floated for above 28 days, and some of the 18 floated for a very much
    longer period. So that as 64/87 seeds germinated after an immersion of
    28 days; and as 18/94 plants with ripe fruit (but not all the same
    species as in the foregoing experiment) floated, after being dried, for
    above 28 days, as far as we may infer anything from these scanty facts,
    we may conclude that the seeds of 14/100 plants of any country might be
    floated by sea-currents during 28 days, and would retain their power of
    germination. In Johnston’s Physical Atlas, the average rate of the
    several Atlantic currents is 33 miles per diem (some currents running
    at the rate of 60 miles
    per diem); on this average, the seeds of 14/100 plants belonging to one
    country might be floated across 924 miles of sea to another country;
    and when stranded, if blown to a favourable spot by an inland gale,
    they would germinate.

    Subsequently to my experiments, M. Martens tried similar ones, but in a
    much better manner, for he placed the seeds in a box in the actual sea,
    so that they were alternately wet and exposed to the air like really
    floating plants. He tried 98 seeds, mostly different from mine; but he
    chose many large fruits and likewise seeds from plants which live near
    the sea; and this would have favoured the average length of their
    flotation and of their resistance to the injurious action of the
    salt-water. On the other hand he did not previously dry the plants or
    branches with the fruit; and this, as we have seen, would have caused
    some of them to have floated much longer. The result was that 18/98 of
    his seeds floated for 42 days, and were then capable of germination.
    But I do not doubt that plants exposed to the waves would float for a
    less time than those protected from violent movement as in our
    experiments. Therefore it would perhaps be safer to assume that the
    seeds of about 10/100 plants of a flora, after having been dried, could
    be floated across a space of sea 900 miles in width, and would then
    germinate. The fact of the larger fruits often floating longer than the
    small, is interesting; as plants with large seeds or fruit could hardly
    be transported by any other means; and Alph. de Candolle has shown that
    such plants generally have restricted ranges.

    But seeds may be occasionally transported in another manner. Drift
    timber is thrown up on most islands, even on those in the midst of the
    widest oceans; and the natives of the coral-islands in the Pacific,
    procure
    stones for their tools, solely from the roots of drifted trees, these
    stones being a valuable royal tax. I find on examination, that when
    irregularly shaped stones are embedded in the roots of trees, small
    parcels of earth are very frequently enclosed in their interstices and
    behind them,—so perfectly that not a particle could be washed away in
    the longest transport: out of one small portion of earth thus
    completely enclosed by wood in an oak about 50 years old, three
    dicotyledonous plants germinated: I am certain of the accuracy of this
    observation. Again, I can show that the carcasses of birds, when
    floating on the sea, sometimes escape being immediately devoured; and
    seeds of many kinds in the crops of floating birds long retain their
    vitality: peas and vetches, for instance, are killed by even a few
    days’ immersion in sea-water; but some taken out of the crop of a
    pigeon, which had floated on artificial salt-water for 30 days, to my
    surprise nearly all germinated.

    Living birds can hardly fail to be highly effective agents in the
    transportation of seeds. I could give many facts showing how frequently
    birds of many kinds are blown by gales to vast distances across the
    ocean. We may I think safely assume that under such circumstances their
    rate of flight would often be 35 miles an hour; and some authors have
    given a far higher estimate. I have never seen an instance of
    nutritious seeds passing through the intestines of a bird; but hard
    seeds of fruit will pass uninjured through even the digestive organs of
    a turkey. In the course of two months, I picked up in my garden 12
    kinds of seeds, out of the excrement of small birds, and these seemed
    perfect, and some of them, which I tried, germinated. But the following
    fact is more important: the crops of birds do not secrete gastric
    juice, and do not in the
    least injure, as I know by trial, the germination of seeds; now after a
    bird has found and devoured a large supply of food, it is positively
    asserted that all the grains do not pass into the gizzard for 12 or
    even 18 hours. A bird in this interval might easily be blown to the
    distance of 500 miles, and hawks are known to look out for tired birds,
    and the contents of their torn crops might thus readily get scattered.
    Mr. Brent informs me that a friend of his had to give up flying
    carrier-pigeons from France to England, as the hawks on the English
    coast destroyed so many on their arrival. Some hawks and owls bolt
    their prey whole, and after an interval of from twelve to twenty hours,
    disgorge pellets, which, as I know from experiments made in the
    Zoological Gardens, include seeds capable of germination. Some seeds of
    the oat, wheat, millet, canary, hemp, clover, and beet germinated after
    having been from twelve to twenty-one hours in the stomachs of
    different birds of prey; and two seeds of beet grew after having been
    thus retained for two days and fourteen hours. Freshwater fish, I find,
    eat seeds of many land and water plants: fish are frequently devoured
    by birds, and thus the seeds might be transported from place to place.
    I forced many kinds of seeds into the stomachs of dead fish, and then
    gave their bodies to fishing-eagles, storks, and pelicans; these birds
    after an interval of many hours, either rejected the seeds in pellets
    or passed them in their excrement; and several of these seeds retained
    their power of germination. Certain seeds, however, were always killed
    by this process.

    Although the beaks and feet of birds are generally quite clean, I can
    show that earth sometimes adheres to them: in one instance I removed
    twenty-two grains of dry argillaceous earth from one foot of a
    partridge, and in this earth there was a pebble quite as large as
    the seed of a vetch. Thus seeds might occasionally be transported to
    great distances; for many facts could be given showing that soil almost
    everywhere is charged with seeds. Reflect for a moment on the millions
    of quails which annually cross the Mediterranean; and can we doubt that
    the earth adhering to their feet would sometimes include a few minute
    seeds? But I shall presently have to recur to this subject.

    As icebergs are known to be sometimes loaded with earth and stones, and
    have even carried brushwood, bones, and the nest of a land-bird, I can
    hardly doubt that they must occasionally have transported seeds from
    one part to another of the arctic and antarctic regions, as suggested
    by Lyell; and during the Glacial period from one part of the now
    temperate regions to another. In the Azores, from the large number of
    the species of plants common to Europe, in comparison with the plants
    of other oceanic islands nearer to the mainland, and (as remarked by
    Mr. H. C. Watson) from the somewhat northern character of the flora in
    comparison with the latitude, I suspected that these islands had been
    partly stocked by ice-borne seeds, during the Glacial epoch. At my
    request Sir C. Lyell wrote to M. Hartung to inquire whether he had
    observed erratic boulders on these islands, and he answered that he had
    found large fragments of granite and other rocks, which do not occur in
    the archipelago. Hence we may safely infer that icebergs formerly
    landed their rocky burthens on the shores of these mid-ocean islands,
    and it is at least possible that they may have brought thither the
    seeds of northern plants.

    Considering that the several above means of transport, and that several
    other means, which without doubt remain to be discovered, have been in
    action year after year, for centuries and tens of thousands of
    years, it would I think be a marvellous fact if many plants had not
    thus become widely transported. These means of transport are sometimes
    called accidental, but this is not strictly correct: the currents of
    the sea are not accidental, nor is the direction of prevalent gales of
    wind. It should be observed that scarcely any means of transport would
    carry seeds for very great distances; for seeds do not retain their
    vitality when exposed for a great length of time to the action of
    seawater; nor could they be long carried in the crops or intestines of
    birds. These means, however, would suffice for occasional transport
    across tracts of sea some hundred miles in breadth, or from island to
    island, or from a continent to a neighbouring island, but not from one
    distant continent to another. The floras of distant continents would
    not by such means become mingled in any great degree; but would remain
    as distinct as we now see them to be. The currents, from their course,
    would never bring seeds from North America to Britain, though they
    might and do bring seeds from the West Indies to our western shores,
    where, if not killed by so long an immersion in salt-water, they could
    not endure our climate. Almost every year, one or two land-birds are
    blown across the whole Atlantic Ocean, from North America to the
    western shores of Ireland and England; but seeds could be transported
    by these wanderers only by one means, namely, in dirt sticking to their
    feet, which is in itself a rare accident. Even in this case, how small
    would the chance be of a seed falling on favourable soil, and coming to
    maturity! But it would be a great error to argue that because a
    well-stocked island, like Great Britain, has not, as far as is known
    (and it would be very difficult to prove this), received within the
    last few centuries, through occasional means
    of transport, immigrants from Europe or any other continent, that a
    poorly-stocked island, though standing more remote from the mainland,
    would not receive colonists by similar means. I do not doubt that out
    of twenty seeds or animals transported to an island, even if far less
    well-stocked than Britain, scarcely more than one would be so well
    fitted to its new home, as to become naturalised. But this, as it seems
    to me, is no valid argument against what would be effected by
    occasional means of transport, during the long lapse of geological
    time, whilst an island was being upheaved and formed, and before it had
    become fully stocked with inhabitants. On almost bare land, with few or
    no destructive insects or birds living there, nearly every seed, which
    chanced to arrive, would be sure to germinate and survive.

    Dispersal during the Glacial period.—The identity of many plants and
    animals, on mountain-summits, separated from each other by hundreds of
    miles of lowlands, where the Alpine species could not possibly exist,
    is one of the most striking cases known of the same species living at
    distant points, without the apparent possibility of their having
    migrated from one to the other. It is indeed a remarkable fact to see
    so many of the same plants living on the snowy regions of the Alps or
    Pyrenees, and in the extreme northern parts of Europe; but it is far
    more remarkable, that the plants on the White Mountains, in the United
    States of America, are all the same with those of Labrador, and nearly
    all the same, as we hear from Asa Gray, with those on the loftiest
    mountains of Europe. Even as long ago as 1747, such facts led Gmelin to
    conclude that the same species must have been independently created at
    several distinct points; and we might have remained
    in this same belief, had not Agassiz and others called vivid attention
    to the Glacial period, which, as we shall immediately see, affords a
    simple explanation of these facts. We have evidence of almost every
    conceivable kind, organic and inorganic, that within a very recent
    geological period, central Europe and North America suffered under an
    Arctic climate. The ruins of a house burnt by fire do not tell their
    tale more plainly, than do the mountains of Scotland and Wales, with
    their scored flanks, polished surfaces, and perched boulders, of the
    icy streams with which their valleys were lately filled. So greatly has
    the climate of Europe changed, that in Northern Italy, gigantic
    moraines, left by old glaciers, are now clothed by the vine and maize.
    Throughout a large part of the United States, erratic boulders, and
    rocks scored by drifted icebergs and coast-ice, plainly reveal a former
    cold period.

    The former influence of the glacial climate on the distribution of the
    inhabitants of Europe, as explained with remarkable clearness by Edward
    Forbes, is substantially as follows. But we shall follow the changes
    more readily, by supposing a new glacial period to come slowly on, and
    then pass away, as formerly occurred. As the cold came on, and as each
    more southern zone became fitted for arctic beings and ill-fitted for
    their former more temperate inhabitants, the latter would be supplanted
    and arctic productions would take their places. The inhabitants of the
    more temperate regions would at the same time travel southward, unless
    they were stopped by barriers, in which case they would perish. The
    mountains would become covered with snow and ice, and their former
    Alpine inhabitants would descend to the plains. By the time that the
    cold had reached its maximum, we should have a uniform arctic fauna and
    flora, covering the central parts of Europe, as far
    south as the Alps and Pyrenees, and even stretching into Spain. The now
    temperate regions of the United States would likewise be covered by
    arctic plants and animals, and these would be nearly the same with
    those of Europe; for the present circumpolar inhabitants, which we
    suppose to have everywhere travelled southward, are remarkably uniform
    round the world. We may suppose that the Glacial period came on a
    little earlier or later in North America than in Europe, so will the
    southern migration there have been a little earlier or later; but this
    will make no difference in the final result.

    As the warmth returned, the arctic forms would retreat northward,
    closely followed up in their retreat by the productions of the more
    temperate regions. And as the snow melted from the bases of the
    mountains, the arctic forms would seize on the cleared and thawed
    ground, always ascending higher and higher, as the warmth increased,
    whilst their brethren were pursuing their northern journey. Hence, when
    the warmth had fully returned, the same arctic species, which had
    lately lived in a body together on the lowlands of the Old and New
    Worlds, would be left isolated on distant mountain-summits (having been
    exterminated on all lesser heights) and in the arctic regions of both
    hemispheres.

    Thus we can understand the identity of many plants at points so
    immensely remote as on the mountains of the United States and of
    Europe. We can thus also understand the fact that the Alpine plants of
    each mountain-range are more especially related to the arctic forms
    living due north or nearly due north of them: for the migration as the
    cold came on, and the re-migration on the returning warmth, will
    generally have been due south and north. The Alpine plants, for
    example, of Scotland, as remarked by Mr. H. C. Watson,
    and those of the Pyrenees, as remarked by Ramond, are more especially
    allied to the plants of northern Scandinavia; those of the United
    States to Labrador; those of the mountains of Siberia to the arctic
    regions of that country. These views, grounded as they are on the
    perfectly well-ascertained occurrence of a former Glacial period, seem
    to me to explain in so satisfactory a manner the present distribution
    of the Alpine and Arctic productions of Europe and America, that when
    in other regions we find the same species on distant mountain-summits,
    we may almost conclude without other evidence, that a colder climate
    permitted their former migration across the low intervening tracts,
    since become too warm for their existence.

    If the climate, since the Glacial period, has ever been in any degree
    warmer than at present (as some geologists in the United States believe
    to have been the case, chiefly from the distribution of the fossil
    Gnathodon), then the arctic and temperate productions will at a very
    late period have marched a little further north, and subsequently have
    retreated to their present homes; but I have met with no satisfactory
    evidence with respect to this intercalated slightly warmer period,
    since the Glacial period.

    The arctic forms, during their long southern migration and re-migration
    northward, will have been exposed to nearly the same climate, and, as
    is especially to be noticed, they will have kept in a body together;
    consequently their mutual relations will not have been much disturbed,
    and, in accordance with the principles inculcated in this volume, they
    will not have been liable to much modification. But with our Alpine
    productions, left isolated from the moment of the returning warmth,
    first at the bases and ultimately on the summits of the mountains, the
    case will have been somewhat different;
    for it is not likely that all the same arctic species will have been
    left on mountain ranges distant from each other, and have survived
    there ever since; they will, also, in all probability have become
    mingled with ancient Alpine species, which must have existed on the
    mountains before the commencement of the Glacial epoch, and which
    during its coldest period will have been temporarily driven down to the
    plains; they will, also, have been exposed to somewhat different
    climatal influences. Their mutual relations will thus have been in some
    degree disturbed; consequently they will have been liable to
    modification; and this we find has been the case; for if we compare the
    present Alpine plants and animals of the several great European
    mountain-ranges, though very many of the species are identically the
    same, some present varieties, some are ranked as doubtful forms, and
    some few are distinct yet closely allied or representative species.

    In illustrating what, as I believe, actually took place during the
    Glacial period, I assumed that at its commencement the arctic
    productions were as uniform round the polar regions as they are at the
    present day. But the foregoing remarks on distribution apply not only
    to strictly arctic forms, but also to many sub-arctic and to some few
    northern temperate forms, for some of these are the same on the lower
    mountains and on the plains of North America and Europe; and it may be
    reasonably asked how I account for the necessary degree of uniformity
    of the sub-arctic and northern temperate forms round the world, at the
    commencement of the Glacial period. At the present day, the sub-arctic
    and northern temperate productions of the Old and New Worlds are
    separated from each other by the Atlantic Ocean and by the extreme
    northern part of the Pacific. During the Glacial period, when the
    inhabitants
    of the Old and New Worlds lived further southwards than at present,
    they must have been still more completely separated by wider spaces of
    ocean. I believe the above difficulty may be surmounted by looking to
    still earlier changes of climate of an opposite nature. We have good
    reason to believe that during the newer Pliocene period, before the
    Glacial epoch, and whilst the majority of the inhabitants of the world
    were specifically the same as now, the climate was warmer than at the
    present day. Hence we may suppose that the organisms now living under
    the climate of latitude 60°, during the Pliocene period lived further
    north under the Polar Circle, in latitude 66°-67°; and that the
    strictly arctic productions then lived on the broken land still nearer
    to the pole. Now if we look at a globe, we shall see that under the
    Polar Circle there is almost continuous land from western Europe,
    through Siberia, to eastern America. And to this continuity of the
    circumpolar land, and to the consequent freedom for intermigration
    under a more favourable climate, I attribute the necessary amount of
    uniformity in the sub-arctic and northern temperate productions of the
    Old and New Worlds, at a period anterior to the Glacial epoch.

    Believing, from reasons before alluded to, that our continents have
    long remained in nearly the same relative position, though subjected to
    large, but partial oscillations of level, I am strongly inclined to
    extend the above view, and to infer that during some earlier and still
    warmer period, such as the older Pliocene period, a large number of the
    same plants and animals inhabited the almost continuous circumpolar
    land; and that these plants and animals, both in the Old and New
    Worlds, began slowly to migrate southwards as the climate became less
    warm, long before the commencement
    of the Glacial period. We now see, as I believe, their descendants,
    mostly in a modified condition, in the central parts of Europe and the
    United States. On this view we can understand the relationship, with
    very little identity, between the productions of North America and
    Europe,—a relationship which is most remarkable, considering the
    distance of the two areas, and their separation by the Atlantic Ocean.
    We can further understand the singular fact remarked on by several
    observers, that the productions of Europe and America during the later
    tertiary stages were more closely related to each other than they are
    at the present time; for during these warmer periods the northern parts
    of the Old and New Worlds will have been almost continuously united by
    land, serving as a bridge, since rendered impassable by cold, for the
    inter-migration of their inhabitants.

    During the slowly decreasing warmth of the Pliocene period, as soon as
    the species in common, which inhabited the New and Old Worlds, migrated
    south of the Polar Circle, they must have been completely cut off from
    each other. This separation, as far as the more temperate productions
    are concerned, took place long ages ago. And as the plants and animals
    migrated southward, they will have become mingled in the one great
    region with the native American productions, and have had to compete
    with them; and in the other great region, with those of the Old World.
    Consequently we have here everything favourable for much
    modification,—for far more modification than with the Alpine
    productions, left isolated, within a much more recent period, on the
    several mountain-ranges and on the arctic lands of the two Worlds.
    Hence it has come, that when we compare the now living productions of
    the temperate regions of the New and Old Worlds, we find very few
    identical
    species (though Asa Gray has lately shown that more plants are
    identical than was formerly supposed), but we find in every great class
    many forms, which some naturalists rank as geographical races, and
    others as distinct species; and a host of closely allied or
    representative forms which are ranked by all naturalists as
    specifically distinct.

    As on the land, so in the waters of the sea, a slow southern migration
    of a marine fauna, which during the Pliocene or even a somewhat earlier
    period, was nearly uniform along the continuous shores of the Polar
    Circle, will account, on the theory of modification, for many closely
    allied forms now living in areas completely sundered. Thus, I think, we
    can understand the presence of many existing and tertiary
    representative forms on the eastern and western shores of temperate
    North America; and the still more striking case of many closely allied
    crustaceans (as described in Dana’s admirable work), of some fish and
    other marine animals, in the Mediterranean and in the seas of
    Japan,—areas now separated by a continent and by nearly a hemisphere of
    equatorial ocean.

    These cases of relationship, without identity, of the inhabitants of
    seas now disjoined, and likewise of the past and present inhabitants of
    the temperate lands of North America and Europe, are inexplicable on
    the theory of creation. We cannot say that they have been created
    alike, in correspondence with the nearly similar physical conditions of
    the areas; for if we compare, for instance, certain parts of South
    America with the southern continents of the Old World, we see countries
    closely corresponding in all their physical conditions, but with their
    inhabitants utterly dissimilar.

    But we must return to our more immediate subject, the Glacial period. I
    am convinced that Forbes’s view
    may be largely extended. In Europe we have the plainest evidence of the
    cold period, from the western shores of Britain to the Oural range, and
    southward to the Pyrenees. We may infer, from the frozen mammals and
    nature of the mountain vegetation, that Siberia was similarly affected.
    Along the Himalaya, at points 900 miles apart, glaciers have left the
    marks of their former low descent; and in Sikkim, Dr. Hooker saw maize
    growing on gigantic ancient moraines. South of the equator, we have
    some direct evidence of former glacial action in New Zealand; and the
    same plants, found on widely separated mountains in this island, tell
    the same story. If one account which has been published can be trusted,
    we have direct evidence of glacial action in the south-eastern corner
    of Australia.

    Looking to America; in the northern half, ice-borne fragments of rock
    have been observed on the eastern side as far south as lat. 36°-37°,
    and on the shores of the Pacific, where the climate is now so
    different, as far south as lat. 46 deg; erratic boulders have, also,
    been noticed on the Rocky Mountains. In the Cordillera of Equatorial
    South America, glaciers once extended far below their present level. In
    central Chile I was astonished at the structure of a vast mound of
    detritus, about 800 feet in height, crossing a valley of the Andes; and
    this I now feel convinced was a gigantic moraine, left far below any
    existing glacier. Further south on both sides of the continent, from
    lat. 41° to the southernmost extremity, we have the clearest evidence
    of former glacial action, in huge boulders transported far from their
    parent source.

    We do not know that the Glacial epoch was strictly simultaneous at
    these several far distant points on opposite sides of the world. But we
    have good evidence in almost every case, that the epoch was included
    within
    the latest geological period. We have, also, excellent evidence, that
    it endured for an enormous time, as measured by years, at each point.
    The cold may have come on, or have ceased, earlier at one point of the
    globe than at another, but seeing that it endured for long at each, and
    that it was contemporaneous in a geological sense, it seems to me
    probable that it was, during a part at least of the period, actually
    simultaneous throughout the world. Without some distinct evidence to
    the contrary, we may at least admit as probable that the glacial action
    was simultaneous on the eastern and western sides of North America, in
    the Cordillera under the equator and under the warmer temperate zones,
    and on both sides of the southern extremity of the continent. If this
    be admitted, it is difficult to avoid believing that the temperature of
    the whole world was at this period simultaneously cooler. But it would
    suffice for my purpose, if the temperature was at the same time lower
    along certain broad belts of longitude.

    On this view of the whole world, or at least of broad longitudinal
    belts, having been simultaneously colder from pole to pole, much light
    can be thrown on the present distribution of identical and allied
    species. In America, Dr. Hooker has shown that between forty and fifty
    of the flowering plants of Tierra del Fuego, forming no inconsiderable
    part of its scanty flora, are common to Europe, enormously remote as
    these two points are; and there are many closely allied species. On the
    lofty mountains of equatorial America a host of peculiar species
    belonging to European genera occur. On the highest mountains of Brazil,
    some few European genera were found by Gardner, which do not exist in
    the wide intervening hot countries. So on the Silla of Caraccas the
    illustrious Humboldt long ago found species belonging
    to genera characteristic of the Cordillera. On the mountains of
    Abyssinia, several European forms and some few representatives of the
    peculiar flora of the Cape of Good Hope occur. At the Cape of Good Hope
    a very few European species, believed not to have been introduced by
    man, and on the mountains, some few representative European forms are
    found, which have not been discovered in the intertropical parts of
    Africa. On the Himalaya, and on the isolated mountain-ranges of the
    peninsula of India, on the heights of Ceylon, and on the volcanic cones
    of Java, many plants occur, either identically the same or representing
    each other, and at the same time representing plants of Europe, not
    found in the intervening hot lowlands. A list of the genera collected
    on the loftier peaks of Java raises a picture of a collection made on a
    hill in Europe! Still more striking is the fact that southern
    Australian forms are clearly represented by plants growing on the
    summits of the mountains of Borneo. Some of these Australian forms, as
    I hear from Dr. Hooker, extend along the heights of the peninsula of
    Malacca, and are thinly scattered, on the one hand over India and on
    the other as far north as Japan.

    On the southern mountains of Australia, Dr. F. Müller has discovered
    several European species; other species, not introduced by man, occur
    on the lowlands; and a long list can be given, as I am informed by Dr.
    Hooker, of European genera, found in Australia, but not in the
    intermediate torrid regions. In the admirable ‘Introduction to the
    Flora of New Zealand,’ by Dr. Hooker, analogous and striking facts are
    given in regard to the plants of that large island. Hence we see that
    throughout the world, the plants growing on the more lofty mountains,
    and on the temperate lowlands of the northern and southern hemispheres,
    are sometimes
    identically the same; but they are much oftener specifically distinct,
    though related to each other in a most remarkable manner.

    This brief abstract applies to plants alone: some strictly analogous
    facts could be given on the distribution of terrestrial animals. In
    marine productions, similar cases occur; as an example, I may quote a
    remark by the highest authority, Professor Dana, that “it is certainly
    a wonderful fact that New Zealand should have a closer resemblance in
    its crustacea to Great Britain, its antipode, than to any other part of
    the world.” Sir J. Richardson, also, speaks of the reappearance on the
    shores of New Zealand, Tasmania, etc., of northern forms of fish. Dr.
    Hooker informs me that twenty-five species of Algæ are common to New
    Zealand and to Europe, but have not been found in the intermediate
    tropical seas.

    It should be observed that the northern species and forms found in the
    southern parts of the southern hemisphere, and on the mountain-ranges
    of the intertropical regions, are not arctic, but belong to the
    northern temperate zones. As Mr. H. C. Watson has recently remarked,
    “In receding from polar towards equatorial latitudes, the Alpine or
    mountain floras really become less and less arctic.” Many of the forms
    living on the mountains of the warmer regions of the earth and in the
    southern hemisphere are of doubtful value, being ranked by some
    naturalists as specifically distinct, by others as varieties; but some
    are certainly identical, and many, though closely related to northern
    forms, must be ranked as distinct species.

    Now let us see what light can be thrown on the foregoing facts, on the
    belief, supported as it is by a large body of geological evidence, that
    the whole world, or a large part of it, was during the Glacial period
    simultaneously much
    colder than at present. The Glacial period, as measured by years, must
    have been very long; and when we remember over what vast spaces some
    naturalised plants and animals have spread within a few centuries, this
    period will have been ample for any amount of migration. As the cold
    came slowly on, all the tropical plants and other productions will have
    retreated from both sides towards the equator, followed in the rear by
    the temperate productions, and these by the arctic; but with the latter
    we are not now concerned. The tropical plants probably suffered much
    extinction; how much no one can say; perhaps formerly the tropics
    supported as many species as we see at the present day crowded together
    at the Cape of Good Hope, and in parts of temperate Australia. As we
    know that many tropical plants and animals can withstand a considerable
    amount of cold, many might have escaped extermination during a moderate
    fall of temperature, more especially by escaping into the warmest
    spots. But the great fact to bear in mind is, that all tropical
    productions will have suffered to a certain extent. On the other hand,
    the temperate productions, after migrating nearer to the equator,
    though they will have been placed under somewhat new conditions, will
    have suffered less. And it is certain that many temperate plants, if
    protected from the inroads of competitors, can withstand a much warmer
    climate than their own. Hence, it seems to me possible, bearing in mind
    that the tropical productions were in a suffering state and could not
    have presented a firm front against intruders, that a certain number of
    the more vigorous and dominant temperate forms might have penetrated
    the native ranks and have reached or even crossed the equator. The
    invasion would, of course, have been greatly favoured by high land, and
    perhaps
    by a dry climate; for Dr. Falconer informs me that it is the damp with
    the heat of the tropics which is so destructive to perennial plants
    from a temperate climate. On the other hand, the most humid and hottest
    districts will have afforded an asylum to the tropical natives. The
    mountain-ranges north-west of the Himalaya, and the long line of the
    Cordillera, seem to have afforded two great lines of invasion: and it
    is a striking fact, lately communicated to me by Dr. Hooker, that all
    the flowering plants, about forty-six in number, common to Tierra del
    Fuego and to Europe still exist in North America, which must have lain
    on the line of march. But I do not doubt that some temperate
    productions entered and crossed even the lowlands of the tropics at
    the period when the cold was most intense,—when arctic forms had
    migrated some twenty-five degrees of latitude from their native country
    and covered the land at the foot of the Pyrenees. At this period of
    extreme cold, I believe that the climate under the equator at the level
    of the sea was about the same with that now felt there at the height of
    six or seven thousand feet. During this the coldest period, I suppose
    that large spaces of the tropical lowlands were clothed with a mingled
    tropical and temperate vegetation, like that now growing with strange
    luxuriance at the base of the Himalaya, as graphically described by
    Hooker.

    Thus, as I believe, a considerable number of plants, a few terrestrial
    animals, and some marine productions, migrated during the Glacial
    period from the northern and southern temperate zones into the
    intertropical regions, and some even crossed the equator. As the warmth
    returned, these temperate forms would naturally ascend the higher
    mountains, being exterminated on the lowlands; those which had not
    reached the equator, would re-migrate northward or southward towards
    their former
    homes; but the forms, chiefly northern, which had crossed the equator,
    would travel still further from their homes into the more temperate
    latitudes of the opposite hemisphere. Although we have reason to
    believe from geological evidence that the whole body of arctic shells
    underwent scarcely any modification during their long southern
    migration and re-migration northward, the case may have been wholly
    different with those intruding forms which settled themselves on the
    intertropical mountains, and in the southern hemisphere. These being
    surrounded by strangers will have had to compete with many new forms of
    life; and it is probable that selected modifications in their
    structure, habits, and constitutions will have profited them. Thus many
    of these wanderers, though still plainly related by inheritance to
    their brethren of the northern or southern hemispheres, now exist in
    their new homes as well-marked varieties or as distinct species.

    It is a remarkable fact, strongly insisted on by Hooker in regard to
    America, and by Alph. de Candolle in regard to Australia, that many
    more identical plants and allied forms have apparently migrated from
    the north to the south, than in a reversed direction. We see, however,
    a few southern vegetable forms on the mountains of Borneo and
    Abyssinia. I suspect that this preponderant migration from north to
    south is due to the greater extent of land in the north, and to the
    northern forms having existed in their own homes in greater numbers,
    and having consequently been advanced through natural selection and
    competition to a higher stage of perfection or dominating power, than
    the southern forms. And thus, when they became commingled during the
    Glacial period, the northern forms were enabled to beat the less
    powerful southern forms. Just in the same manner as we see at the
    present day,
    that very many European productions cover the ground in La Plata, and
    in a lesser degree in Australia, and have to a certain extent beaten
    the natives; whereas extremely few southern forms have become
    naturalised in any part of Europe, though hides, wool, and other
    objects likely to carry seeds have been largely imported into Europe
    during the last two or three centuries from La Plata, and during the
    last thirty or forty years from Australia. Something of the same kind
    must have occurred on the intertropical mountains: no doubt before the
    Glacial period they were stocked with endemic Alpine forms; but these
    have almost everywhere largely yielded to the more dominant forms,
    generated in the larger areas and more efficient workshops of the
    north. In many islands the native productions are nearly equalled or
    even outnumbered by the naturalised; and if the natives have not been
    actually exterminated, their numbers have been greatly reduced, and
    this is the first stage towards extinction. A mountain is an island on
    the land; and the intertropical mountains before the Glacial period
    must have been completely isolated; and I believe that the productions
    of these islands on the land yielded to those produced within the
    larger areas of the north, just in the same way as the productions of
    real islands have everywhere lately yielded to continental forms,
    naturalised by man’s agency.

    I am far from supposing that all difficulties are removed on the view
    here given in regard to the range and affinities of the allied species
    which live in the northern and southern temperate zones and on the
    mountains of the intertropical regions. Very many difficulties remain
    to be solved. I do not pretend to indicate the exact lines and means of
    migration, or the reason why certain species and not others have
    migrated;
    why certain species have been modified and have given rise to new
    groups of forms, and others have remained unaltered. We cannot hope to
    explain such facts, until we can say why one species and not another
    becomes naturalised by man’s agency in a foreign land; why one ranges
    twice or thrice as far, and is twice or thrice as common, as another
    species within their own homes.

    I have said that many difficulties remain to be solved: some of the
    most remarkable are stated with admirable clearness by Dr. Hooker in
    his botanical works on the antarctic regions. These cannot be here
    discussed. I will only say that as far as regards the occurrence of
    identical species at points so enormously remote as Kerguelen Land, New
    Zealand, and Fuegia, I believe that towards the close of the Glacial
    period, icebergs, as suggested by Lyell, have been largely concerned in
    their dispersal. But the existence of several quite distinct species,
    belonging to genera exclusively confined to the south, at these and
    other distant points of the southern hemisphere, is, on my theory of
    descent with modification, a far more remarkable case of difficulty.
    For some of these species are so distinct, that we cannot suppose that
    there has been time since the commencement of the Glacial period for
    their migration, and for their subsequent modification to the necessary
    degree. The facts seem to me to indicate that peculiar and very
    distinct species have migrated in radiating lines from some common
    centre; and I am inclined to look in the southern, as in the northern
    hemisphere, to a former and warmer period, before the commencement of
    the Glacial period, when the antarctic lands, now covered with ice,
    supported a highly peculiar and isolated flora. I suspect that before
    this flora was exterminated by the Glacial epoch, a few forms were
    widely dispersed to various points of the southern hemisphere by
    occasional means of transport, and by the aid, as halting-places, of
    existing and now sunken islands, and perhaps at the commencement of the
    Glacial period, by icebergs. By these means, as I believe, the southern
    shores of America, Australia, New Zealand have become slightly tinted
    by the same peculiar forms of vegetable life.

    Sir C. Lyell in a striking passage has speculated, in language almost
    identical with mine, on the effects of great alternations of climate on
    geographical distribution. I believe that the world has recently felt
    one of his great cycles of change; and that on this view, combined with
    modification through natural selection, a multitude of facts in the
    present distribution both of the same and of allied forms of life can
    be explained. The living waters may be said to have flowed during one
    short period from the north and from the south, and to have crossed at
    the equator; but to have flowed with greater force from the north so as
    to have freely inundated the south. As the tide leaves its drift in
    horizontal lines, though rising higher on the shores where the tide
    rises highest, so have the living waters left their living drift on our
    mountain-summits, in a line gently rising from the arctic lowlands to a
    great height under the equator. The various beings thus left stranded
    may be compared with savage races of man, driven up and surviving in
    the mountain-fastnesses of almost every land, which serve as a record,
    full of interest to us, of the former inhabitants of the surrounding
    lowlands.

    CHAPTER XII.
    GEOGRAPHICAL DISTRIBUTION—continued.

    Distribution of fresh-water productions. On the inhabitants of oceanic
    islands. Absence of Batrachians and of terrestrial Mammals. On the
    relation of the inhabitants of islands to those of the nearest
    mainland. On colonisation from the nearest source with subsequent
    modification. Summary of the last and present chapters.

    As lakes and river-systems are separated from each other by barriers of
    land, it might have been thought that fresh-water productions would not
    have ranged widely within the same country, and as the sea is
    apparently a still more impassable barrier, that they never would have
    extended to distant countries. But the case is exactly the reverse. Not
    only have many fresh-water species, belonging to quite different
    classes, an enormous range, but allied species prevail in a remarkable
    manner throughout the world. I well remember, when first collecting in
    the fresh waters of Brazil, feeling much surprise at the similarity of
    the fresh-water insects, shells, etc., and at the dissimilarity of the
    surrounding terrestrial beings, compared with those of Britain.

    But this power in fresh-water productions of ranging widely, though so
    unexpected, can, I think, in most cases be explained by their having
    become fitted, in a manner highly useful to them, for short and
    frequent migrations from pond to pond, or from stream to stream; and
    liability to wide dispersal would follow from this capacity as an
    almost necessary consequence. We can here consider only a few cases. In
    regard to
    fish, I believe that the same species never occur in the fresh waters
    of distant continents. But on the same continent the species often
    range widely and almost capriciously; for two river-systems will have
    some fish in common and some different. A few facts seem to favour the
    possibility of their occasional transport by accidental means; like
    that of the live fish not rarely dropped by whirlwinds in India, and
    the vitality of their ova when removed from the water. But I am
    inclined to attribute the dispersal of fresh-water fish mainly to
    slight changes within the recent period in the level of the land,
    having caused rivers to flow into each other. Instances, also, could be
    given of this having occurred during floods, without any change of
    level. We have evidence in the loess of the Rhine of considerable
    changes of level in the land within a very recent geological period,
    and when the surface was peopled by existing land and fresh-water
    shells. The wide difference of the fish on opposite sides of continuous
    mountain-ranges, which from an early period must have parted
    river-systems and completely prevented their inosculation, seems to
    lead to this same conclusion. With respect to allied fresh-water fish
    occurring at very distant points of the world, no doubt there are many
    cases which cannot at present be explained: but some fresh-water fish
    belong to very ancient forms, and in such cases there will have been
    ample time for great geographical changes, and consequently time and
    means for much migration. In the second place, salt-water fish can with
    care be slowly accustomed to live in fresh water; and, according to
    Valenciennes, there is hardly a single group of fishes confined
    exclusively to fresh water, so that we may imagine that a marine member
    of a fresh-water group might travel far along the shores of the sea,
    and subsequently
    become modified and adapted to the fresh waters of a distant land.

    Some species of fresh-water shells have a very wide range, and allied
    species, which, on my theory, are descended from a common parent and
    must have proceeded from a single source, prevail throughout the world.
    Their distribution at first perplexed me much, as their ova are not
    likely to be transported by birds, and they are immediately killed by
    sea water, as are the adults. I could not even understand how some
    naturalised species have rapidly spread throughout the same country.
    But two facts, which I have observed—and no doubt many others remain to
    be observed—throw some light on this subject. When a duck suddenly
    emerges from a pond covered with duck-weed, I have twice seen these
    little plants adhering to its back; and it has happened to me, in
    removing a little duck-weed from one aquarium to another, that I have
    quite unintentionally stocked the one with fresh-water shells from the
    other. But another agency is perhaps more effectual: I suspended a
    duck’s feet, which might represent those of a bird sleeping in a
    natural pond, in an aquarium, where many ova of fresh-water shells were
    hatching; and I found that numbers of the extremely minute and just
    hatched shells crawled on the feet, and clung to them so firmly that
    when taken out of the water they could not be jarred off, though at a
    somewhat more advanced age they would voluntarily drop off. These just
    hatched molluscs, though aquatic in their nature, survived on the
    duck’s feet, in damp air, from twelve to twenty hours; and in this
    length of time a duck or heron might fly at least six or seven hundred
    miles, and would be sure to alight on a pool or rivulet, if blown
    across sea to an oceanic island or to any other distant point. Sir
    Charles Lyell also
    informs me that a Dyticus has been caught with an Ancylus (a
    fresh-water shell like a limpet) firmly adhering to it; and a
    water-beetle of the same family, a Colymbetes, once flew on board the
    ‘Beagle,’ when forty-five miles distant from the nearest land: how much
    farther it might have flown with a favouring gale no one can tell.

    With respect to plants, it has long been known what enormous ranges
    many fresh-water and even marsh-species have, both over continents and
    to the most remote oceanic islands. This is strikingly shown, as
    remarked by Alph. de Candolle, in large groups of terrestrial plants,
    which have only a very few aquatic members; for these latter seem
    immediately to acquire, as if in consequence, a very wide range. I
    think favourable means of dispersal explain this fact. I have before
    mentioned that earth occasionally, though rarely, adheres in some
    quantity to the feet and beaks of birds. Wading birds, which frequent
    the muddy edges of ponds, if suddenly flushed, would be the most likely
    to have muddy feet. Birds of this order I can show are the greatest
    wanderers, and are occasionally found on the most remote and barren
    islands in the open ocean; they would not be likely to alight on the
    surface of the sea, so that the dirt would not be washed off their
    feet; when making land, they would be sure to fly to their natural
    fresh-water haunts. I do not believe that botanists are aware how
    charged the mud of ponds is with seeds: I have tried several little
    experiments, but will here give only the most striking case: I took in
    February three table-spoonfuls of mud from three different points,
    beneath water, on the edge of a little pond; this mud when dry weighed
    only 6 3/4 ounces; I kept it covered up in my study for six months,
    pulling up and counting each plant as it grew; the plants were
    of many kinds, and were altogether 537 in number; and yet the viscid
    mud was all contained in a breakfast cup! Considering these facts, I
    think it would be an inexplicable circumstance if water-birds did not
    transport the seeds of fresh-water plants to vast distances, and if
    consequently the range of these plants was not very great. The same
    agency may have come into play with the eggs of some of the smaller
    fresh-water animals.

    Other and unknown agencies probably have also played a part. I have
    stated that fresh-water fish eat some kinds of seeds, though they
    reject many other kinds after having swallowed them; even small fish
    swallow seeds of moderate size, as of the yellow water-lily and
    Potamogeton. Herons and other birds, century after century, have gone
    on daily devouring fish; they then take flight and go to other waters,
    or are blown across the sea; and we have seen that seeds retain their
    power of germination, when rejected in pellets or in excrement, many
    hours afterwards. When I saw the great size of the seeds of that fine
    water-lily, the Nelumbium, and remembered Alph. de Candolle’s remarks
    on this plant, I thought that its distribution must remain quite
    inexplicable; but Audubon states that he found the seeds of the great
    southern water-lily (probably, according to Dr. Hooker, the Nelumbium
    luteum) in a heron’s stomach; although I do not know the fact, yet
    analogy makes me believe that a heron flying to another pond and
    getting a hearty meal of fish, would probably reject from its stomach a
    pellet containing the seeds of the Nelumbium undigested; or the seeds
    might be dropped by the bird whilst feeding its young, in the same way
    as fish are known sometimes to be dropped.

    In considering these several means of distribution,
    it should be remembered that when a pond or stream is first formed, for
    instance, on a rising islet, it will be unoccupied; and a single seed
    or egg will have a good chance of succeeding. Although there will
    always be a struggle for life between the individuals of the species,
    however few, already occupying any pond, yet as the number of kinds is
    small, compared with those on the land, the competition will probably
    be less severe between aquatic than between terrestrial species;
    consequently an intruder from the waters of a foreign country, would
    have a better chance of seizing on a place, than in the case of
    terrestrial colonists. We should, also, remember that some, perhaps
    many, fresh-water productions are low in the scale of nature, and that
    we have reason to believe that such low beings change or become
    modified less quickly than the high; and this will give longer time
    than the average for the migration of the same aquatic species. We
    should not forget the probability of many species having formerly
    ranged as continuously as fresh-water productions ever can range, over
    immense areas, and having subsequently become extinct in intermediate
    regions. But the wide distribution of fresh-water plants and of the
    lower animals, whether retaining the same identical form or in some
    degree modified, I believe mainly depends on the wide dispersal of
    their seeds and eggs by animals, more especially by fresh-water birds,
    which have large powers of flight, and naturally travel from one to
    another and often distant piece of water. Nature, like a careful
    gardener, thus takes her seeds from a bed of a particular nature, and
    drops them in another equally well fitted for them.

    On the Inhabitants of Oceanic Islands.—We now come to the last of the
    three classes of facts, which I
    have selected as presenting the greatest amount of difficulty, on the
    view that all the individuals both of the same and of allied species
    have descended from a single parent; and therefore have all proceeded
    from a common birthplace, notwithstanding that in the course of time
    they have come to inhabit distant points of the globe. I have already
    stated that I cannot honestly admit Forbes’s view on continental
    extensions, which, if legitimately followed out, would lead to the
    belief that within the recent period all existing islands have been
    nearly or quite joined to some continent. This view would remove many
    difficulties, but it would not, I think, explain all the facts in
    regard to insular productions. In the following remarks I shall not
    confine myself to the mere question of dispersal; but shall consider
    some other facts, which bear on the truth of the two theories of
    independent creation and of descent with modification.

    The species of all kinds which inhabit oceanic islands are few in
    number compared with those on equal continental areas: Alph. de
    Candolle admits this for plants, and Wollaston for insects. If we look
    to the large size and varied stations of New Zealand, extending over
    780 miles of latitude, and compare its flowering plants, only 750 in
    number, with those on an equal area at the Cape of Good Hope or in
    Australia, we must, I think, admit that something quite independently
    of any difference in physical conditions has caused so great a
    difference in number. Even the uniform county of Cambridge has 847
    plants, and the little island of Anglesea 764, but a few ferns and a
    few introduced plants are included in these numbers, and the comparison
    in some other respects is not quite fair. We have evidence that the
    barren island of Ascension aboriginally possessed under half-a-dozen
    flowering
    plants; yet many have become naturalised on it, as they have on New
    Zealand and on every other oceanic island which can be named. In St.
    Helena there is reason to believe that the naturalised plants and
    animals have nearly or quite exterminated many native productions. He
    who admits the doctrine of the creation of each separate species, will
    have to admit, that a sufficient number of the best adapted plants and
    animals have not been created on oceanic islands; for man has
    unintentionally stocked them from various sources far more fully and
    perfectly than has nature.

    Although in oceanic islands the number of kinds of inhabitants is
    scanty, the proportion of endemic species (i.e. those found nowhere
    else in the world) is often extremely large. If we compare, for
    instance, the number of the endemic land-shells in Madeira, or of the
    endemic birds in the Galapagos Archipelago, with the number found on
    any continent, and then compare the area of the islands with that of
    the continent, we shall see that this is true. This fact might have
    been expected on my theory, for, as already explained, species
    occasionally arriving after long intervals in a new and isolated
    district, and having to compete with new associates, will be eminently
    liable to modification, and will often produce groups of modified
    descendants. But it by no means follows, that, because in an island
    nearly all the species of one class are peculiar, those of another
    class, or of another section of the same class, are peculiar; and this
    difference seems to depend on the species which do not become modified
    having immigrated with facility and in a body, so that their mutual
    relations have not been much disturbed. Thus in the Galapagos Islands
    nearly every land-bird, but only two out of the eleven marine birds,
    are peculiar; and it is obvious that
    marine birds could arrive at these islands more easily than land-birds.
    Bermuda, on the other hand, which lies at about the same distance from
    North America as the Galapagos Islands do from South America, and which
    has a very peculiar soil, does not possess one endemic land bird; and
    we know from Mr. J. M. Jones’s admirable account of Bermuda, that very
    many North American birds, during their great annual migrations, visit
    either periodically or occasionally this island. Madeira does not
    possess one peculiar bird, and many European and African birds are
    almost every year blown there, as I am informed by Mr. E. V. Harcourt.
    So that these two islands of Bermuda and Madeira have been stocked by
    birds, which for long ages have struggled together in their former
    homes, and have become mutually adapted to each other; and when settled
    in their new homes, each kind will have been kept by the others to
    their proper places and habits, and will consequently have been little
    liable to modification. Madeira, again, is inhabited by a wonderful
    number of peculiar land-shells, whereas not one species of sea-shell is
    confined to its shores: now, though we do not know how seashells are
    dispersed, yet we can see that their eggs or larvæ, perhaps attached to
    seaweed or floating timber, or to the feet of wading-birds, might be
    transported far more easily than land-shells, across three or four
    hundred miles of open sea. The different orders of insects in Madeira
    apparently present analogous facts.

    Oceanic islands are sometimes deficient in certain classes, and their
    places are apparently occupied by the other inhabitants; in the
    Galapagos Islands reptiles, and in New Zealand gigantic wingless birds,
    take the place of mammals. In the plants of the Galapagos Islands, Dr.
    Hooker has shown that the proportional numbers of the different orders
    are very different from
    what they are elsewhere. Such cases are generally accounted for by the
    physical conditions of the islands; but this explanation seems to me
    not a little doubtful. Facility of immigration, I believe, has been at
    least as important as the nature of the conditions.

    Many remarkable little facts could be given with respect to the
    inhabitants of remote islands. For instance, in certain islands not
    tenanted by mammals, some of the endemic plants have beautifully hooked
    seeds; yet few relations are more striking than the adaptation of
    hooked seeds for transportal by the wool and fur of quadrupeds. This
    case presents no difficulty on my view, for a hooked seed might be
    transported to an island by some other means; and the plant then
    becoming slightly modified, but still retaining its hooked seeds, would
    form an endemic species, having as useless an appendage as any
    rudimentary organ,—for instance, as the shrivelled wings under the
    soldered elytra of many insular beetles. Again, islands often possess
    trees or bushes belonging to orders which elsewhere include only
    herbaceous species; now trees, as Alph. de Candolle has shown,
    generally have, whatever the cause may be, confined ranges. Hence trees
    would be little likely to reach distant oceanic islands; and an
    herbaceous plant, though it would have no chance of successfully
    competing in stature with a fully developed tree, when established on
    an island and having to compete with herbaceous plants alone, might
    readily gain an advantage by growing taller and taller and overtopping
    the other plants. If so, natural selection would often tend to add to
    the stature of herbaceous plants when growing on an island, to whatever
    order they belonged, and thus convert them first into bushes and
    ultimately into trees.

    With respect to the absence of whole orders on
    oceanic islands, Bory St. Vincent long ago remarked that Batrachians
    (frogs, toads, newts) have never been found on any of the many islands
    with which the great oceans are studded. I have taken pains to verify
    this assertion, and I have found it strictly true. I have, however,
    been assured that a frog exists on the mountains of the great island of
    New Zealand; but I suspect that this exception (if the information be
    correct) may be explained through glacial agency. This general absence
    of frogs, toads, and newts on so many oceanic islands cannot be
    accounted for by their physical conditions; indeed it seems that
    islands are peculiarly well fitted for these animals; for frogs have
    been introduced into Madeira, the Azores, and Mauritius, and have
    multiplied so as to become a nuisance. But as these animals and their
    spawn are known to be immediately killed by sea-water, on my view we
    can see that there would be great difficulty in their transportal
    across the sea, and therefore why they do not exist on any oceanic
    island. But why, on the theory of creation, they should not have been
    created there, it would be very difficult to explain.

    Mammals offer another and similar case. I have carefully searched the
    oldest voyages, but have not finished my search; as yet I have not
    found a single instance, free from doubt, of a terrestrial mammal
    (excluding domesticated animals kept by the natives) inhabiting an
    island situated above 300 miles from a continent or great continental
    island; and many islands situated at a much less distance are equally
    barren. The Falkland Islands, which are inhabited by a wolf-like fox,
    come nearest to an exception; but this group cannot be considered as
    oceanic, as it lies on a bank connected with the mainland; moreover,
    icebergs formerly brought boulders to its western shores, and they may
    have formerly transported foxes, as so frequently now happens in the
    arctic regions. Yet it cannot be said that small islands will not
    support small mammals, for they occur in many parts of the world on
    very small islands, if close to a continent; and hardly an island can
    be named on which our smaller quadrupeds have not become naturalised
    and greatly multiplied. It cannot be said, on the ordinary view of
    creation, that there has not been time for the creation of mammals;
    many volcanic islands are sufficiently ancient, as shown by the
    stupendous degradation which they have suffered and by their tertiary
    strata: there has also been time for the production of endemic species
    belonging to other classes; and on continents it is thought that
    mammals appear and disappear at a quicker rate than other and lower
    animals. Though terrestrial mammals do not occur on oceanic islands,
    ærial mammals do occur on almost every island. New Zealand possesses
    two bats found nowhere else in the world: Norfolk Island, the Viti
    Archipelago, the Bonin Islands, the Caroline and Marianne
    Archipelagoes, and Mauritius, all possess their peculiar bats. Why, it
    may be asked, has the supposed creative force produced bats and no
    other mammals on remote islands? On my view this question can easily be
    answered; for no terrestrial mammal can be transported across a wide
    space of sea, but bats can fly across. Bats have been seen wandering by
    day far over the Atlantic Ocean; and two North American species either
    regularly or occasionally visit Bermuda, at the distance of 600 miles
    from the mainland. I hear from Mr. Tomes, who has specially studied
    this family, that many of the same species have enormous ranges, and
    are found on continents and on far distant islands. Hence we have only
    to suppose that such wandering species have been modified
    through natural selection in their new homes in relation to their new
    position, and we can understand the presence of endemic bats on
    islands, with the absence of all terrestrial mammals.

    Besides the absence of terrestrial mammals in relation to the
    remoteness of islands from continents, there is also a relation, to a
    certain extent independent of distance, between the depth of the sea
    separating an island from the neighbouring mainland, and the presence
    in both of the same mammiferous species or of allied species in a more
    or less modified condition. Mr. Windsor Earl has made some striking
    observations on this head in regard to the great Malay Archipelago,
    which is traversed near Celebes by a space of deep ocean; and this
    space separates two widely distinct mammalian faunas. On either side
    the islands are situated on moderately deep submarine banks, and they
    are inhabited by closely allied or identical quadrupeds. No doubt some
    few anomalies occur in this great archipelago, and there is much
    difficulty in forming a judgment in some cases owing to the probable
    naturalisation of certain mammals through man’s agency; but we shall
    soon have much light thrown on the natural history of this archipelago
    by the admirable zeal and researches of Mr. Wallace. I have not as yet
    had time to follow up this subject in all other quarters of the world;
    but as far as I have gone, the relation generally holds good. We see
    Britain separated by a shallow channel from Europe, and the mammals are
    the same on both sides; we meet with analogous facts on many islands
    separated by similar channels from Australia. The West Indian Islands
    stand on a deeply submerged bank, nearly 1000 fathoms in depth, and
    here we find American forms, but the species and even the genera are
    distinct. As the amount of modification in all cases depends to
    a certain degree on the lapse of time, and as during changes of level
    it is obvious that islands separated by shallow channels are more
    likely to have been continuously united within a recent period to the
    mainland than islands separated by deeper channels, we can understand
    the frequent relation between the depth of the sea and the degree of
    affinity of the mammalian inhabitants of islands with those of a
    neighbouring continent,—an inexplicable relation on the view of
    independent acts of creation.

    All the foregoing remarks on the inhabitants of oceanic
    islands,—namely, the scarcity of kinds—the richness in endemic forms in
    particular classes or sections of classes,—the absence of whole groups,
    as of batrachians, and of terrestrial mammals notwithstanding the
    presence of ærial bats,—the singular proportions of certain orders of
    plants,—herbaceous forms having been developed into trees, etc.,—seem
    to me to accord better with the view of occasional means of transport
    having been largely efficient in the long course of time, than with the
    view of all our oceanic islands having been formerly connected by
    continuous land with the nearest continent; for on this latter view the
    migration would probably have been more complete; and if modification
    be admitted, all the forms of life would have been more equally
    modified, in accordance with the paramount importance of the relation
    of organism to organism.

    I do not deny that there are many and grave difficulties in
    understanding how several of the inhabitants of the more remote
    islands, whether still retaining the same specific form or modified
    since their arrival, could have reached their present homes. But the
    probability of many islands having existed as halting-places, of which
    not a wreck now remains, must not be overlooked.
    I will here give a single instance of one of the cases of difficulty.
    Almost all oceanic islands, even the most isolated and smallest, are
    inhabited by land-shells, generally by endemic species, but sometimes
    by species found elsewhere. Dr. Aug. A. Gould has given several
    interesting cases in regard to the land-shells of the islands of the
    Pacific. Now it is notorious that land-shells are very easily killed by
    salt; their eggs, at least such as I have tried, sink in sea-water and
    are killed by it. Yet there must be, on my view, some unknown, but
    highly efficient means for their transportal. Would the just-hatched
    young occasionally crawl on and adhere to the feet of birds roosting on
    the ground, and thus get transported? It occurred to me that
    land-shells, when hybernating and having a membranous diaphragm over
    the mouth of the shell, might be floated in chinks of drifted timber
    across moderately wide arms of the sea. And I found that several
    species did in this state withstand uninjured an immersion in sea-water
    during seven days: one of these shells was the Helix pomatia, and after
    it had again hybernated I put it in sea-water for twenty days, and it
    perfectly recovered. As this species has a thick calcareous operculum,
    I removed it, and when it had formed a new membranous one, I immersed
    it for fourteen days in sea-water, and it recovered and crawled away:
    but more experiments are wanted on this head.

    The most striking and important fact for us in regard to the
    inhabitants of islands, is their affinity to those of the nearest
    mainland, without being actually the same species. Numerous instances
    could be given of this fact. I will give only one, that of the
    Galapagos Archipelago, situated under the equator, between 500 and 600
    miles from the shores of South America. Here
    almost every product of the land and water bears the unmistakeable
    stamp of the American continent. There are twenty-six land birds, and
    twenty-five of these are ranked by Mr. Gould as distinct species,
    supposed to have been created here; yet the close affinity of most of
    these birds to American species in every character, in their habits,
    gestures, and tones of voice, was manifest. So it is with the other
    animals, and with nearly all the plants, as shown by Dr. Hooker in his
    admirable memoir on the Flora of this archipelago. The naturalist,
    looking at the inhabitants of these volcanic islands in the Pacific,
    distant several hundred miles from the continent, yet feels that he is
    standing on American land. Why should this be so? why should the
    species which are supposed to have been created in the Galapagos
    Archipelago, and nowhere else, bear so plain a stamp of affinity to
    those created in America? There is nothing in the conditions of life,
    in the geological nature of the islands, in their height or climate, or
    in the proportions in which the several classes are associated
    together, which resembles closely the conditions of the South American
    coast: in fact there is a considerable dissimilarity in all these
    respects. On the other hand, there is a considerable degree of
    resemblance in the volcanic nature of the soil, in climate, height, and
    size of the islands, between the Galapagos and Cape de Verde
    Archipelagos: but what an entire and absolute difference in their
    inhabitants! The inhabitants of the Cape de Verde Islands are related
    to those of Africa, like those of the Galapagos to America. I believe
    this grand fact can receive no sort of explanation on the ordinary view
    of independent creation; whereas on the view here maintained, it is
    obvious that the Galapagos Islands would be likely to receive
    colonists, whether by occasional means of transport or
    by formerly continuous land, from America; and the Cape de Verde
    Islands from Africa; and that such colonists would be liable to
    modification;—the principle of inheritance still betraying their
    original birthplace.

    Many analogous facts could be given: indeed it is an almost universal
    rule that the endemic productions of islands are related to those of
    the nearest continent, or of other near islands. The exceptions are
    few, and most of them can be explained. Thus the plants of Kerguelen
    Land, though standing nearer to Africa than to America, are related,
    and that very closely, as we know from Dr. Hooker’s account, to those
    of America: but on the view that this island has been mainly stocked by
    seeds brought with earth and stones on icebergs, drifted by the
    prevailing currents, this anomaly disappears. New Zealand in its
    endemic plants is much more closely related to Australia, the nearest
    mainland, than to any other region: and this is what might have been
    expected; but it is also plainly related to South America, which,
    although the next nearest continent, is so enormously remote, that the
    fact becomes an anomaly. But this difficulty almost disappears on the
    view that both New Zealand, South America, and other southern lands
    were long ago partially stocked from a nearly intermediate though
    distant point, namely from the antarctic islands, when they were
    clothed with vegetation, before the commencement of the Glacial period.
    The affinity, which, though feeble, I am assured by Dr. Hooker is real,
    between the flora of the south-western corner of Australia and of the
    Cape of Good Hope, is a far more remarkable case, and is at present
    inexplicable: but this affinity is confined to the plants, and will, I
    do not doubt, be some day explained.

    The law which causes the inhabitants of an archipelago,
    though specifically distinct, to be closely allied to those of the
    nearest continent, we sometimes see displayed on a small scale, yet in
    a most interesting manner, within the limits of the same archipelago.
    Thus the several islands of the Galapagos Archipelago are tenanted, as
    I have elsewhere shown, in a quite marvellous manner, by very closely
    related species; so that the inhabitants of each separate island,
    though mostly distinct, are related in an incomparably closer degree to
    each other than to the inhabitants of any other part of the world. And
    this is just what might have been expected on my view, for the islands
    are situated so near each other that they would almost certainly
    receive immigrants from the same original source, or from each other.
    But this dissimilarity between the endemic inhabitants of the islands
    may be used as an argument against my views; for it may be asked, how
    has it happened in the several islands situated within sight of each
    other, having the same geological nature, the same height, climate,
    etc., that many of the immigrants should have been differently
    modified, though only in a small degree. This long appeared to me a
    great difficulty: but it arises in chief part from the deeply-seated
    error of considering the physical conditions of a country as the most
    important for its inhabitants; whereas it cannot, I think, be disputed
    that the nature of the other inhabitants, with which each has to
    compete, is at least as important, and generally a far more important
    element of success. Now if we look to those inhabitants of the
    Galapagos Archipelago which are found in other parts of the world
    (laying on one side for the moment the endemic species, which cannot be
    here fairly included, as we are considering how they have come to be
    modified since their arrival), we find a considerable amount
    of difference in the several islands. This difference might indeed have
    been expected on the view of the islands having been stocked by
    occasional means of transport—a seed, for instance, of one plant having
    been brought to one island, and that of another plant to another
    island. Hence when in former times an immigrant settled on any one or
    more of the islands, or when it subsequently spread from one island to
    another, it would undoubtedly be exposed to different conditions of
    life in the different islands, for it would have to compete with
    different sets of organisms: a plant, for instance, would find the
    best-fitted ground more perfectly occupied by distinct plants in one
    island than in another, and it would be exposed to the attacks of
    somewhat different enemies. If then it varied, natural selection would
    probably favour different varieties in the different islands. Some
    species, however, might spread and yet retain the same character
    throughout the group, just as we see on continents some species
    spreading widely and remaining the same.

    The really surprising fact in this case of the Galapagos Archipelago,
    and in a lesser degree in some analogous instances, is that the new
    species formed in the separate islands have not quickly spread to the
    other islands. But the islands, though in sight of each other, are
    separated by deep arms of the sea, in most cases wider than the British
    Channel, and there is no reason to suppose that they have at any former
    period been continuously united. The currents of the sea are rapid and
    sweep across the archipelago, and gales of wind are extraordinarily
    rare; so that the islands are far more effectually separated from each
    other than they appear to be on a map. Nevertheless a good many
    species, both those found in other parts of the world and those
    confined to the archipelago, are common to
    the several islands, and we may infer from certain facts that these
    have probably spread from some one island to the others. But we often
    take, I think, an erroneous view of the probability of closely allied
    species invading each other’s territory, when put into free
    intercommunication. Undoubtedly if one species has any advantage
    whatever over another, it will in a very brief time wholly or in part
    supplant it; but if both are equally well fitted for their own places
    in nature, both probably will hold their own places and keep separate
    for almost any length of time. Being familiar with the fact that many
    species, naturalised through man’s agency, have spread with astonishing
    rapidity over new countries, we are apt to infer that most species
    would thus spread; but we should remember that the forms which become
    naturalised in new countries are not generally closely allied to the
    aboriginal inhabitants, but are very distinct species, belonging in a
    large proportion of cases, as shown by Alph. de Candolle, to distinct
    genera. In the Galapagos Archipelago, many even of the birds, though so
    well adapted for flying from island to island, are distinct on each;
    thus there are three closely-allied species of mocking-thrush, each
    confined to its own island. Now let us suppose the mocking-thrush of
    Chatham Island to be blown to Charles Island, which has its own
    mocking-thrush: why should it succeed in establishing itself there? We
    may safely infer that Charles Island is well stocked with its own
    species, for annually more eggs are laid there than can possibly be
    reared; and we may infer that the mocking-thrush peculiar to Charles
    Island is at least as well fitted for its home as is the species
    peculiar to Chatham Island. Sir C. Lyell and Mr. Wollaston have
    communicated to me a remarkable fact bearing on this subject; namely,
    that Madeira and the adjoining islet of
    Porto Santo possess many distinct but representative land-shells, some
    of which live in crevices of stone; and although large quantities of
    stone are annually transported from Porto Santo to Madeira, yet this
    latter island has not become colonised by the Porto Santo species:
    nevertheless both islands have been colonised by some European
    land-shells, which no doubt had some advantage over the indigenous
    species. From these considerations I think we need not greatly marvel
    at the endemic and representative species, which inhabit the several
    islands of the Galapagos Archipelago, not having universally spread
    from island to island. In many other instances, as in the several
    districts of the same continent, pre-occupation has probably played an
    important part in checking the commingling of species under the same
    conditions of life. Thus, the south-east and south-west corners of
    Australia have nearly the same physical conditions, and are united by
    continuous land, yet they are inhabited by a vast number of distinct
    mammals, birds, and plants.

    The principle which determines the general character of the fauna and
    flora of oceanic islands, namely, that the inhabitants, when not
    identically the same, yet are plainly related to the inhabitants of
    that region whence colonists could most readily have been derived,—the
    colonists having been subsequently modified and better fitted to their
    new homes,—is of the widest application throughout nature. We see this
    on every mountain, in every lake and marsh. For Alpine species,
    excepting in so far as the same forms, chiefly of plants, have spread
    widely throughout the world during the recent Glacial epoch, are
    related to those of the surrounding lowlands;—thus we have in South
    America, Alpine humming-birds, Alpine rodents, Alpine plants, etc., all
    of strictly American forms, and it is obvious
    that a mountain, as it became slowly upheaved, would naturally be
    colonised from the surrounding lowlands. So it is with the inhabitants
    of lakes and marshes, excepting in so far as great facility of
    transport has given the same general forms to the whole world. We see
    this same principle in the blind animals inhabiting the caves of
    America and of Europe. Other analogous facts could be given. And it
    will, I believe, be universally found to be true, that wherever in two
    regions, let them be ever so distant, many closely allied or
    representative species occur, there will likewise be found some
    identical species, showing, in accordance with the foregoing view, that
    at some former period there has been intercommunication or migration
    between the two regions. And wherever many closely-allied species
    occur, there will be found many forms which some naturalists rank as
    distinct species, and some as varieties; these doubtful forms showing
    us the steps in the process of modification.

    This relation between the power and extent of migration of a species,
    either at the present time or at some former period under different
    physical conditions, and the existence at remote points of the world of
    other species allied to it, is shown in another and more general way.
    Mr. Gould remarked to me long ago, that in those genera of birds which
    range over the world, many of the species have very wide ranges. I can
    hardly doubt that this rule is generally true, though it would be
    difficult to prove it. Amongst mammals, we see it strikingly displayed
    in Bats, and in a lesser degree in the Felidæ and Canidæ. We see it, if
    we compare the distribution of butterflies and beetles. So it is with
    most fresh-water productions, in which so many genera range over the
    world, and many individual species have enormous ranges. It is not
    meant that in world-ranging
    genera all the species have a wide range, or even that they have on an
    average a wide range; but only that some of the species range very
    widely; for the facility with which widely-ranging species vary and
    give rise to new forms will largely determine their average range. For
    instance, two varieties of the same species inhabit America and Europe,
    and the species thus has an immense range; but, if the variation had
    been a little greater, the two varieties would have been ranked as
    distinct species, and the common range would have been greatly reduced.
    Still less is it meant, that a species which apparently has the
    capacity of crossing barriers and ranging widely, as in the case of
    certain powerfully-winged birds, will necessarily range widely; for we
    should never forget that to range widely implies not only the power of
    crossing barriers, but the more important power of being victorious in
    distant lands in the struggle for life with foreign associates. But on
    the view of all the species of a genus having descended from a single
    parent, though now distributed to the most remote points of the world,
    we ought to find, and I believe as a general rule we do find, that some
    at least of the species range very widely; for it is necessary that the
    unmodified parent should range widely, undergoing modification during
    its diffusion, and should place itself under diverse conditions
    favourable for the conversion of its offspring, firstly into new
    varieties and ultimately into new species.

    In considering the wide distribution of certain genera, we should bear
    in mind that some are extremely ancient, and must have branched off
    from a common parent at a remote epoch; so that in such cases there
    will have been ample time for great climatal and geographical changes
    and for accidents of transport; and consequently for the migration of
    some of the species into all
    quarters of the world, where they may have become slightly modified in
    relation to their new conditions. There is, also, some reason to
    believe from geological evidence that organisms low in the scale within
    each great class, generally change at a slower rate than the higher
    forms; and consequently the lower forms will have had a better chance
    of ranging widely and of still retaining the same specific character.
    This fact, together with the seeds and eggs of many low forms being
    very minute and better fitted for distant transportation, probably
    accounts for a law which has long been observed, and which has lately
    been admirably discussed by Alph. de Candolle in regard to plants,
    namely, that the lower any group of organisms is, the more widely it is
    apt to range.

    The relations just discussed,—namely, low and slowly-changing organisms
    ranging more widely than the high,—some of the species of
    widely-ranging genera themselves ranging widely,—such facts, as alpine,
    lacustrine, and marsh productions being related (with the exceptions
    before specified) to those on the surrounding low lands and dry lands,
    though these stations are so different—the very close relation of the
    distinct species which inhabit the islets of the same archipelago,—and
    especially the striking relation of the inhabitants of each whole
    archipelago or island to those of the nearest mainland,—are, I think,
    utterly inexplicable on the ordinary view of the independent creation
    of each species, but are explicable on the view of colonisation from
    the nearest and readiest source, together with the subsequent
    modification and better adaptation of the colonists to their new homes.

    Summary of last and present Chapters.—In these chapters I have
    endeavoured to show, that if we make due allowance for our ignorance of
    the full effects of all
    the changes of climate and of the level of the land, which have
    certainly occurred within the recent period, and of other similar
    changes which may have occurred within the same period; if we remember
    how profoundly ignorant we are with respect to the many and curious
    means of occasional transport,—a subject which has hardly ever been
    properly experimentised on; if we bear in mind how often a species may
    have ranged continuously over a wide area, and then have become extinct
    in the intermediate tracts, I think the difficulties in believing that
    all the individuals of the same species, wherever located, have
    descended from the same parents, are not insuperable. And we are led to
    this conclusion, which has been arrived at by many naturalists under
    the designation of single centres of creation, by some general
    considerations, more especially from the importance of barriers and
    from the analogical distribution of sub-genera, genera, and families.

    With respect to the distinct species of the same genus, which on my
    theory must have spread from one parent-source; if we make the same
    allowances as before for our ignorance, and remember that some forms of
    life change most slowly, enormous periods of time being thus granted
    for their migration, I do not think that the difficulties are
    insuperable; though they often are in this case, and in that of the
    individuals of the same species, extremely grave.

    As exemplifying the effects of climatal changes on distribution, I have
    attempted to show how important has been the influence of the modern
    Glacial period, which I am fully convinced simultaneously affected the
    whole world, or at least great meridional belts. As showing how
    diversified are the means of occasional transport, I have discussed at
    some little length the means of dispersal of fresh-water productions.

    If the difficulties be not insuperable in admitting that in the long
    course of time the individuals of the same species, and likewise of
    allied species, have proceeded from some one source; then I think all
    the grand leading facts of geographical distribution are explicable on
    the theory of migration (generally of the more dominant forms of life),
    together with subsequent modification and the multiplication of new
    forms. We can thus understand the high importance of barriers, whether
    of land or water, which separate our several zoological and botanical
    provinces. We can thus understand the localisation of sub-genera,
    genera, and families; and how it is that under different latitudes, for
    instance in South America, the inhabitants of the plains and mountains,
    of the forests, marshes, and deserts, are in so mysterious a manner
    linked together by affinity, and are likewise linked to the extinct
    beings which formerly inhabited the same continent. Bearing in mind
    that the mutual relations of organism to organism are of the highest
    importance, we can see why two areas having nearly the same physical
    conditions should often be inhabited by very different forms of life;
    for according to the length of time which has elapsed since new
    inhabitants entered one region; according to the nature of the
    communication which allowed certain forms and not others to enter,
    either in greater or lesser numbers; according or not, as those which
    entered happened to come in more or less direct competition with each
    other and with the aborigines; and according as the immigrants were
    capable of varying more or less rapidly, there would ensue in different
    regions, independently of their physical conditions, infinitely
    diversified conditions of life,—there would be an almost endless amount
    of organic action and reaction,—and we should find, as we do find, some
    groups of beings greatly, and some only slightly modified,—some
    developed
    in great force, some existing in scanty numbers—in the different great
    geographical provinces of the world.

    On these same principles, we can understand, as I have endeavoured to
    show, why oceanic islands should have few inhabitants, but of these a
    great number should be endemic or peculiar; and why, in relation to the
    means of migration, one group of beings, even within the same class,
    should have all its species endemic, and another group should have all
    its species common to other quarters of the world. We can see why whole
    groups of organisms, as batrachians and terrestrial mammals, should be
    absent from oceanic islands, whilst the most isolated islands possess
    their own peculiar species of ærial mammals or bats. We can see why
    there should be some relation between the presence of mammals, in a
    more or less modified condition, and the depth of the sea between an
    island and the mainland. We can clearly see why all the inhabitants of
    an archipelago, though specifically distinct on the several islets,
    should be closely related to each other, and likewise be related, but
    less closely, to those of the nearest continent or other source whence
    immigrants were probably derived. We can see why in two areas, however
    distant from each other, there should be a correlation, in the presence
    of identical species, of varieties, of doubtful species, and of
    distinct but representative species.

    As the late Edward Forbes often insisted, there is a striking
    parallelism in the laws of life throughout time and space: the laws
    governing the succession of forms in past times being nearly the same
    with those governing at the present time the differences in different
    areas. We see this in many facts. The endurance of each species and
    group of species is continuous in time; for the exceptions to the rule
    are so few, that they may
    fairly be attributed to our not having as yet discovered in an
    intermediate deposit the forms which are therein absent, but which
    occur above and below: so in space, it certainly is the general rule
    that the area inhabited by a single species, or by a group of species,
    is continuous; and the exceptions, which are not rare, may, as I have
    attempted to show, be accounted for by migration at some former period
    under different conditions or by occasional means of transport, and by
    the species having become extinct in the intermediate tracts. Both in
    time and space, species and groups of species have their points of
    maximum development. Groups of species, belonging either to a certain
    period of time, or to a certain area, are often characterised by
    trifling characters in common, as of sculpture or colour. In looking to
    the long succession of ages, as in now looking to distant provinces
    throughout the world, we find that some organisms differ little, whilst
    others belonging to a different class, or to a different order, or even
    only to a different family of the same order, differ greatly. In both
    time and space the lower members of each class generally change less
    than the higher; but there are in both cases marked exceptions to the
    rule. On my theory these several relations throughout time and space
    are intelligible; for whether we look to the forms of life which have
    changed during successive ages within the same quarter of the world, or
    to those which have changed after having migrated into distant
    quarters, in both cases the forms within each class have been connected
    by the same bond of ordinary generation; and the more nearly any two
    forms are related in blood, the nearer they will generally stand to
    each other in time and space; in both cases the laws of variation have
    been the same, and modifications have been accumulated by the same
    power of natural selection.

    CHAPTER XIII.
    MUTUAL AFFINITIES OF ORGANIC BEINGS: MORPHOLOGY: EMBRYOLOGY:
    RUDIMENTARY ORGANS.

    CLASSIFICATION, groups subordinate to groups. Natural system. Rules and
    difficulties in classification, explained on the theory of descent with
    modification. Classification of varieties. Descent always used in
    classification. Analogical or adaptive characters. Affinities, general,
    complex and radiating. Extinction separates and defines groups.
    MORPHOLOGY, between members of the same class, between parts of the
    same individual. EMBRYOLOGY, laws of, explained by variations not
    supervening at an early age, and being inherited at a corresponding
    age. RUDIMENTARY ORGANS; their origin explained. Summary.

    From the first dawn of life, all organic beings are found to resemble
    each other in descending degrees, so that they can be classed in groups
    under groups. This classification is evidently not arbitrary like the
    grouping of the stars in constellations. The existence of groups would
    have been of simple signification, if one group had been exclusively
    fitted to inhabit the land, and another the water; one to feed on
    flesh, another on vegetable matter, and so on; but the case is widely
    different in nature; for it is notorious how commonly members of even
    the same subgroup have different habits. In our second and fourth
    chapters, on Variation and on Natural Selection, I have attempted to
    show that it is the widely ranging, the much diffused and common, that
    is the dominant species belonging to the larger genera, which vary
    most. The varieties, or incipient species, thus produced ultimately
    become converted, as I believe, into new and distinct species; and
    these, on the principle of inheritance, tend to produce other new and
    dominant
    species. Consequently the groups which are now large, and which
    generally include many dominant species, tend to go on increasing
    indefinitely in size. I further attempted to show that from the varying
    descendants of each species trying to occupy as many and as different
    places as possible in the economy of nature, there is a constant
    tendency in their characters to diverge. This conclusion was supported
    by looking at the great diversity of the forms of life which, in any
    small area, come into the closest competition, and by looking to
    certain facts in naturalisation.

    I attempted also to show that there is a constant tendency in the forms
    which are increasing in number and diverging in character, to supplant
    and exterminate the less divergent, the less improved, and preceding
    forms. I request the reader to turn to the diagram illustrating the
    action, as formerly explained, of these several principles; and he will
    see that the inevitable result is that the modified descendants
    proceeding from one progenitor become broken up into groups subordinate
    to groups. In the diagram each letter on the uppermost line may
    represent a genus including several species; and all the genera on this
    line form together one class, for all have descended from one ancient
    but unseen parent, and, consequently, have inherited something in
    common. But the three genera on the left hand have, on this same
    principle, much in common, and form a sub-family, distinct from that
    including the next two genera on the right hand, which diverged from a
    common parent at the fifth stage of descent. These five genera have
    also much, though less, in common; and they form a family distinct from
    that including the three genera still further to the right hand, which
    diverged at a still earlier period. And all these genera, descended
    from (A), form an order distinct from the
    genera descended from (I). So that we here have many species descended
    from a single progenitor grouped into genera; and the genera are
    included in, or subordinate to, sub-families, families, and orders, all
    united into one class. Thus, the grand fact in natural history of the
    subordination of group under group, which, from its familiarity, does
    not always sufficiently strike us, is in my judgment fully explained.

    Naturalists try to arrange the species, genera, and families in each
    class, on what is called the Natural System. But what is meant by this
    system? Some authors look at it merely as a scheme for arranging
    together those living objects which are most alike, and for separating
    those which are most unlike; or as an artificial means for enunciating,
    as briefly as possible, general propositions,—that is, by one sentence
    to give the characters common, for instance, to all mammals, by another
    those common to all carnivora, by another those common to the
    dog-genus, and then by adding a single sentence, a full description is
    given of each kind of dog. The ingenuity and utility of this system are
    indisputable. But many naturalists think that something more is meant
    by the Natural System; they believe that it reveals the plan of the
    Creator; but unless it be specified whether order in time or space, or
    what else is meant by the plan of the Creator, it seems to me that
    nothing is thus added to our knowledge. Such expressions as that famous
    one of Linnæus, and which we often meet with in a more or less
    concealed form, that the characters do not make the genus, but that the
    genus gives the characters, seem to imply that something more is
    included in our classification, than mere resemblance. I believe that
    something more is included; and that propinquity of descent,—the only
    known cause of the similarity of organic beings,—is the bond, hidden as
    it is by various degrees of modification,
    which is partially revealed to us by our classifications.

    Let us now consider the rules followed in classification, and the
    difficulties which are encountered on the view that classification
    either gives some unknown plan of creation, or is simply a scheme for
    enunciating general propositions and of placing together the forms most
    like each other. It might have been thought (and was in ancient times
    thought) that those parts of the structure which determined the habits
    of life, and the general place of each being in the economy of nature,
    would be of very high importance in classification. Nothing can be more
    false. No one regards the external similarity of a mouse to a shrew, of
    a dugong to a whale, of a whale to a fish, as of any importance. These
    resemblances, though so intimately connected with the whole life of the
    being, are ranked as merely “adaptive or analogical characters;” but to
    the consideration of these resemblances we shall have to recur. It may
    even be given as a general rule, that the less any part of the
    organisation is concerned with special habits, the more important it
    becomes for classification. As an instance: Owen, in speaking of the
    dugong, says, “The generative organs being those which are most
    remotely related to the habits and food of an animal, I have always
    regarded as affording very clear indications of its true affinities. We
    are least likely in the modifications of these organs to mistake a
    merely adaptive for an essential character.” So with plants, how
    remarkable it is that the organs of vegetation, on which their whole
    life depends, are of little signification, excepting in the first main
    divisions; whereas the organs of reproduction, with their product the
    seed, are of paramount importance!

    We must not, therefore, in classifying, trust to resemblances in parts
    of the organisation, however important
    they may be for the welfare of the being in relation to the outer
    world. Perhaps from this cause it has partly arisen, that almost all
    naturalists lay the greatest stress on resemblances in organs of high
    vital or physiological importance. No doubt this view of the
    classificatory importance of organs which are important is generally,
    but by no means always, true. But their importance for classification,
    I believe, depends on their greater constancy throughout large groups
    of species; and this constancy depends on such organs having generally
    been subjected to less change in the adaptation of the species to their
    conditions of life. That the mere physiological importance of an organ
    does not determine its classificatory value, is almost shown by the one
    fact, that in allied groups, in which the same organ, as we have every
    reason to suppose, has nearly the same physiological value, its
    classificatory value is widely different. No naturalist can have worked
    at any group without being struck with this fact; and it has been most
    fully acknowledged in the writings of almost every author. It will
    suffice to quote the highest authority, Robert Brown, who in speaking
    of certain organs in the Proteaceæ, says their generic importance,
    “like that of all their parts, not only in this but, as I apprehend, in
    every natural family, is very unequal, and in some cases seems to be
    entirely lost.” Again in another work he says, the genera of the
    Connaraceæ “differ in having one or more ovaria, in the existence or
    absence of albumen, in the imbricate or valvular æstivation. Any one of
    these characters singly is frequently of more than generic importance,
    though here even when all taken together they appear insufficient to
    separate Cnestis from Connarus.” To give an example amongst insects, in
    one great division of the Hymenoptera, the antennæ, as Westwood has
    remarked, are most constant in structure;
    in another division they differ much, and the differences are of quite
    subordinate value in classification; yet no one probably will say that
    the antennæ in these two divisions of the same order are of unequal
    physiological importance. Any number of instances could be given of the
    varying importance for classification of the same important organ
    within the same group of beings.

    Again, no one will say that rudimentary or atrophied organs are of high
    physiological or vital importance; yet, undoubtedly, organs in this
    condition are often of high value in classification. No one will
    dispute that the rudimentary teeth in the upper jaws of young
    ruminants, and certain rudimentary bones of the leg, are highly
    serviceable in exhibiting the close affinity between Ruminants and
    Pachyderms. Robert Brown has strongly insisted on the fact that the
    rudimentary florets are of the highest importance in the classification
    of the Grasses.

    Numerous instances could be given of characters derived from parts
    which must be considered of very trifling physiological importance, but
    which are universally admitted as highly serviceable in the definition
    of whole groups. For instance, whether or not there is an open passage
    from the nostrils to the mouth, the only character, according to Owen,
    which absolutely distinguishes fishes and reptiles—the inflection of
    the angle of the jaws in Marsupials—the manner in which the wings of
    insects are folded—mere colour in certain Algæ—mere pubescence on parts
    of the flower in grasses—the nature of the dermal covering, as hair or
    feathers, in the Vertebrata. If the Ornithorhynchus had been covered
    with feathers instead of hair, this external and trifling character
    would, I think, have been considered by naturalists as important an aid
    in determining the degree of affinity of this strange creature to
    birds and reptiles, as an approach in structure in any one internal and
    important organ.

    The importance, for classification, of trifling characters, mainly
    depends on their being correlated with several other characters of more
    or less importance. The value indeed of an aggregate of characters is
    very evident in natural history. Hence, as has often been remarked, a
    species may depart from its allies in several characters, both of high
    physiological importance and of almost universal prevalence, and yet
    leave us in no doubt where it should be ranked. Hence, also, it has
    been found, that a classification founded on any single character,
    however important that may be, has always failed; for no part of the
    organisation is universally constant. The importance of an aggregate of
    characters, even when none are important, alone explains, I think, that
    saying of Linnæus, that the characters do not give the genus, but the
    genus gives the characters; for this saying seems founded on an
    appreciation of many trifling points of resemblance, too slight to be
    defined. Certain plants, belonging to the Malpighiaceæ, bear perfect
    and degraded flowers; in the latter, as A. de Jussieu has remarked,
    “the greater number of the characters proper to the species, to the
    genus, to the family, to the class, disappear, and thus laugh at our
    classification.” But when Aspicarpa produced in France, during several
    years, only degraded flowers, departing so wonderfully in a number of
    the most important points of structure from the proper type of the
    order, yet M. Richard sagaciously saw, as Jussieu observes, that this
    genus should still be retained amongst the Malpighiaceæ. This case
    seems to me well to illustrate the spirit with which our
    classifications are sometimes necessarily founded.

    Practically when naturalists are at work, they do
    not trouble themselves about the physiological value of the characters
    which they use in defining a group, or in allocating any particular
    species. If they find a character nearly uniform, and common to a great
    number of forms, and not common to others, they use it as one of high
    value; if common to some lesser number, they use it as of subordinate
    value. This principle has been broadly confessed by some naturalists to
    be the true one; and by none more clearly than by that excellent
    botanist, Aug. St. Hilaire. If certain characters are always found
    correlated with others, though no apparent bond of connexion can be
    discovered between them, especial value is set on them. As in most
    groups of animals, important organs, such as those for propelling the
    blood, or for ærating it, or those for propagating the race, are found
    nearly uniform, they are considered as highly serviceable in
    classification; but in some groups of animals all these, the most
    important vital organs, are found to offer characters of quite
    subordinate value.

    We can see why characters derived from the embryo should be of equal
    importance with those derived from the adult, for our classifications
    of course include all ages of each species. But it is by no means
    obvious, on the ordinary view, why the structure of the embryo should
    be more important for this purpose than that of the adult, which alone
    plays its full part in the economy of nature. Yet it has been strongly
    urged by those great naturalists, Milne Edwards and Agassiz, that
    embryonic characters are the most important of any in the
    classification of animals; and this doctrine has very generally been
    admitted as true. The same fact holds good with flowering plants, of
    which the two main divisions have been founded on characters derived
    from the embryo,—on the number and position of the embryonic
    leaves or cotyledons, and on the mode of development of the plumule and
    radicle. In our discussion on embryology, we shall see why such
    characters are so valuable, on the view of classification tacitly
    including the idea of descent.

    Our classifications are often plainly influenced by chains of
    affinities. Nothing can be easier than to define a number of characters
    common to all birds; but in the case of crustaceans, such definition
    has hitherto been found impossible. There are crustaceans at the
    opposite ends of the series, which have hardly a character in common;
    yet the species at both ends, from being plainly allied to others, and
    these to others, and so onwards, can be recognised as unequivocally
    belonging to this, and to no other class of the Articulata.

    Geographical distribution has often been used, though perhaps not quite
    logically, in classification, more especially in very large groups of
    closely allied forms. Temminck insists on the utility or even necessity
    of this practice in certain groups of birds; and it has been followed
    by several entomologists and botanists.

    Finally, with respect to the comparative value of the various groups of
    species, such as orders, sub-orders, families, sub-families, and
    genera, they seem to be, at least at present, almost arbitrary. Several
    of the best botanists, such as Mr. Bentham and others, have strongly
    insisted on their arbitrary value. Instances could be given amongst
    plants and insects, of a group of forms, first ranked by practised
    naturalists as only a genus, and then raised to the rank of a
    sub-family or family; and this has been done, not because further
    research has detected important structural differences, at first
    overlooked, but because numerous allied species, with slightly
    different grades of difference, have been subsequently discovered.

    All the foregoing rules and aids and difficulties in classification are
    explained, if I do not greatly deceive myself, on the view that the
    natural system is founded on descent with modification; that the
    characters which naturalists consider as showing true affinity between
    any two or more species, are those which have been inherited from a
    common parent, and, in so far, all true classification is genealogical;
    that community of descent is the hidden bond which naturalists have
    been unconsciously seeking, and not some unknown plan of creation, or
    the enunciation of general propositions, and the mere putting together
    and separating objects more or less alike.

    But I must explain my meaning more fully. I believe that the
    arrangement of the groups within each class, in due subordination and
    relation to the other groups, must be strictly genealogical in order to
    be natural; but that the amount of difference in the several branches
    or groups, though allied in the same degree in blood to their common
    progenitor, may differ greatly, being due to the different degrees of
    modification which they have undergone; and this is expressed by the
    forms being ranked under different genera, families, sections, or
    orders. The reader will best understand what is meant, if he will take
    the trouble of referring to the diagram in the fourth chapter. We will
    suppose the letters A to L to represent allied genera, which lived
    during the Silurian epoch, and these have descended from a species
    which existed at an unknown anterior period. Species of three of these
    genera (A, F, and I) have transmitted modified descendants to the
    present day, represented by the fifteen genera (a_14 to _z_14) on the uppermost horizontal line. Now all these modified descendants from a single species, are represented as related in blood or descent to the same degree; they may metaphorically be called cousins to the same millionth degree; yet they differ widely and in different degrees from each other. The forms descended from A, now broken up into two or three families, constitute a distinct order from those descended from I, also broken up into two families. Nor can the existing species, descended from A, be ranked in the same genus with the parent A; or those from I, with the parent I. But the existing genus F14 may be supposed to have been but slightly modified; and it will then rank with the parent-genus F; just as some few still living organic beings belong to Silurian genera. So that the amount or value of the differences between organic beings all related to each other in the same degree in blood, has come to be widely different. Nevertheless their genealogical _arrangement
    remains strictly true, not only at the present time, but at each
    successive period of descent. All the modified descendants from A will
    have inherited something in common from their common parent, as will
    all the descendants from I; so will it be with each subordinate branch
    of descendants, at each successive period. If, however, we choose to
    suppose that any of the descendants of A or of I have been so much
    modified as to have more or less completely lost traces of their
    parentage, in this case, their places in a natural classification will
    have been more or less completely lost,—as sometimes seems to have
    occurred with existing organisms. All the descendants of the genus F,
    along its whole line of descent, are supposed to have been but little
    modified, and they yet form a single genus. But this genus, though much
    isolated, will still occupy its proper intermediate position; for F
    originally was intermediate in character between A and I, and the
    several genera descended from these two genera will
    have inherited to a certain extent their characters. This natural
    arrangement is shown, as far as is possible on paper, in the diagram,
    but in much too simple a manner. If a branching diagram had not been
    used, and only the names of the groups had been written in a linear
    series, it would have been still less possible to have given a natural
    arrangement; and it is notoriously not possible to represent in a
    series, on a flat surface, the affinities which we discover in nature
    amongst the beings of the same group. Thus, on the view which I hold,
    the natural system is genealogical in its arrangement, like a pedigree;
    but the degrees of modification which the different groups have
    undergone, have to be expressed by ranking them under different
    so-called genera, sub-families, families, sections, orders, and
    classes.

    It may be worth while to illustrate this view of classification, by
    taking the case of languages. If we possessed a perfect pedigree of
    mankind, a genealogical arrangement of the races of man would afford
    the best classification of the various languages now spoken throughout
    the world; and if all extinct languages, and all intermediate and
    slowly changing dialects, had to be included, such an arrangement
    would, I think, be the only possible one. Yet it might be that some
    very ancient language had altered little, and had given rise to few new
    languages, whilst others (owing to the spreading and subsequent
    isolation and states of civilisation of the several races, descended
    from a common race) had altered much, and had given rise to many new
    languages and dialects. The various degrees of difference in the
    languages from the same stock, would have to be expressed by groups
    subordinate to groups; but the proper or even only possible arrangement
    would still be genealogical; and this would be strictly natural, as
    it would connect together all languages, extinct and modern, by the
    closest affinities, and would give the filiation and origin of each
    tongue.

    In confirmation of this view, let us glance at the classification of
    varieties, which are believed or known to have descended from one
    species. These are grouped under species, with sub-varieties under
    varieties; and with our domestic productions, several other grades of
    difference are requisite, as we have seen with pigeons. The origin of
    the existence of groups subordinate to groups, is the same with
    varieties as with species, namely, closeness of descent with various
    degrees of modification. Nearly the same rules are followed in
    classifying varieties, as with species. Authors have insisted on the
    necessity of classing varieties on a natural instead of an artificial
    system; we are cautioned, for instance, not to class two varieties of
    the pine-apple together, merely because their fruit, though the most
    important part, happens to be nearly identical; no one puts the swedish
    and common turnips together, though the esculent and thickened stems
    are so similar. Whatever part is found to be most constant, is used in
    classing varieties: thus the great agriculturist Marshall says the
    horns are very useful for this purpose with cattle, because they are
    less variable than the shape or colour of the body, etc.; whereas with
    sheep the horns are much less serviceable, because less constant. In
    classing varieties, I apprehend if we had a real pedigree, a
    genealogical classification would be universally preferred; and it has
    been attempted by some authors. For we might feel sure, whether there
    had been more or less modification, the principle of inheritance would
    keep the forms together which were allied in the greatest number of
    points. In tumbler pigeons, though some sub-varieties differ from the
    others
    in the important character of having a longer beak, yet all are kept
    together from having the common habit of tumbling; but the short-faced
    breed has nearly or quite lost this habit; nevertheless, without any
    reasoning or thinking on the subject, these tumblers are kept in the
    same group, because allied in blood and alike in some other respects.
    If it could be proved that the Hottentot had descended from the Negro,
    I think he would be classed under the Negro group, however much he
    might differ in colour and other important characters from negroes.

    With species in a state of nature, every naturalist has in fact brought
    descent into his classification; for he includes in his lowest grade,
    or that of a species, the two sexes; and how enormously these sometimes
    differ in the most important characters, is known to every naturalist:
    scarcely a single fact can be predicated in common of the males and
    hermaphrodites of certain cirripedes, when adult, and yet no one dreams
    of separating them. The naturalist includes as one species the several
    larval stages of the same individual, however much they may differ from
    each other and from the adult; as he likewise includes the so-called
    alternate generations of Steenstrup, which can only in a technical
    sense be considered as the same individual. He includes monsters; he
    includes varieties, not solely because they closely resemble the
    parent-form, but because they are descended from it. He who believes
    that the cowslip is descended from the primrose, or conversely, ranks
    them together as a single species, and gives a single definition. As
    soon as three Orchidean forms (Monochanthus, Myanthus, and Catasetum),
    which had previously been ranked as three distinct genera, were known
    to be sometimes produced on the same spike, they were immediately
    included as a single species.
    But it may be asked, what ought we to do, if it could be proved that
    one species of kangaroo had been produced, by a long course of
    modification, from a bear? Ought we to rank this one species with
    bears, and what should we do with the other species? The supposition is
    of course preposterous; and I might answer by the argumentum ad hominem, and ask what should be done if a perfect kangaroo were seen
    to come out of the womb of a bear? According to all analogy, it would
    be ranked with bears; but then assuredly all the other species of the
    kangaroo family would have to be classed under the bear genus. The
    whole case is preposterous; for where there has been close descent in
    common, there will certainly be close resemblance or affinity.

    As descent has universally been used in classing together the
    individuals of the same species, though the males and females and larvæ
    are sometimes extremely different; and as it has been used in classing
    varieties which have undergone a certain, and sometimes a considerable
    amount of modification, may not this same element of descent have been
    unconsciously used in grouping species under genera, and genera under
    higher groups, though in these cases the modification has been greater
    in degree, and has taken a longer time to complete? I believe it has
    thus been unconsciously used; and only thus can I understand the
    several rules and guides which have been followed by our best
    systematists. We have no written pedigrees; we have to make out
    community of descent by resemblances of any kind. Therefore we choose
    those characters which, as far as we can judge, are the least likely to
    have been modified in relation to the conditions of life to which each
    species has been recently exposed. Rudimentary structures on this view
    are as good as, or even sometimes better than, other parts of the
    organisation. We
    care not how trifling a character may be—let it be the mere inflection
    of the angle of the jaw, the manner in which an insect’s wing is
    folded, whether the skin be covered by hair or feathers—if it prevail
    throughout many and different species, especially those having very
    different habits of life, it assumes high value; for we can account for
    its presence in so many forms with such different habits, only by its
    inheritance from a common parent. We may err in this respect in regard
    to single points of structure, but when several characters, let them be
    ever so trifling, occur together throughout a large group of beings
    having different habits, we may feel almost sure, on the theory of
    descent, that these characters have been inherited from a common
    ancestor. And we know that such correlated or aggregated characters
    have especial value in classification.

    We can understand why a species or a group of species may depart, in
    several of its most important characteristics, from its allies, and yet
    be safely classed with them. This may be safely done, and is often
    done, as long as a sufficient number of characters, let them be ever so
    unimportant, betrays the hidden bond of community of descent. Let two
    forms have not a single character in common, yet if these extreme forms
    are connected together by a chain of intermediate groups, we may at
    once infer their community of descent, and we put them all into the
    same class. As we find organs of high physiological importance—those
    which serve to preserve life under the most diverse conditions of
    existence—are generally the most constant, we attach especial value to
    them; but if these same organs, in another group or section of a group,
    are found to differ much, we at once value them less in our
    classification. We shall hereafter, I think, clearly see why
    embryological characters are of such high classificatory importance.
    Geographical distribution may sometimes be brought usefully into play
    in classing large and widely-distributed genera, because all the
    species of the same genus, inhabiting any distinct and isolated region,
    have in all probability descended from the same parents.

    We can understand, on these views, the very important distinction
    between real affinities and analogical or adaptive resemblances.
    Lamarck first called attention to this distinction, and he has been
    ably followed by Macleay and others. The resemblance, in the shape of
    the body and in the fin-like anterior limbs, between the dugong, which
    is a pachydermatous animal, and the whale, and between both these
    mammals and fishes, is analogical. Amongst insects there are
    innumerable instances: thus Linnæus, misled by external appearances,
    actually classed an homopterous insect as a moth. We see something of
    the same kind even in our domestic varieties, as in the thickened stems
    of the common and swedish turnip. The resemblance of the greyhound and
    racehorse is hardly more fanciful than the analogies which have been
    drawn by some authors between very distinct animals. On my view of
    characters being of real importance for classification, only in so far
    as they reveal descent, we can clearly understand why analogical or
    adaptive character, although of the utmost importance to the welfare of
    the being, are almost valueless to the systematist. For animals,
    belonging to two most distinct lines of descent, may readily become
    adapted to similar conditions, and thus assume a close external
    resemblance; but such resemblances will not reveal—will rather tend to
    conceal their blood-relationship to their proper lines of descent. We
    can also understand the apparent paradox, that the very same characters
    are analogical when one class or order is compared with another, but
    give true affinities when the members of
    the same class or order are compared one with another: thus the shape
    of the body and fin-like limbs are only analogical when whales are
    compared with fishes, being adaptations in both classes for swimming
    through the water; but the shape of the body and fin-like limbs serve
    as characters exhibiting true affinity between the several members of
    the whale family; for these cetaceans agree in so many characters,
    great and small, that we cannot doubt that they have inherited their
    general shape of body and structure of limbs from a common ancestor. So
    it is with fishes.

    As members of distinct classes have often been adapted by successive
    slight modifications to live under nearly similar circumstances,—to
    inhabit for instance the three elements of land, air, and water,—we can
    perhaps understand how it is that a numerical parallelism has sometimes
    been observed between the sub-groups in distinct classes. A naturalist,
    struck by a parallelism of this nature in any one class, by arbitrarily
    raising or sinking the value of the groups in other classes (and all
    our experience shows that this valuation has hitherto been arbitrary),
    could easily extend the parallelism over a wide range; and thus the
    septenary, quinary, quaternary, and ternary classifications have
    probably arisen.

    As the modified descendants of dominant species, belonging to the
    larger genera, tend to inherit the advantages, which made the groups to
    which they belong large and their parents dominant, they are almost
    sure to spread widely, and to seize on more and more places in the
    economy of nature. The larger and more dominant groups thus tend to go
    on increasing in size; and they consequently supplant many smaller and
    feebler groups. Thus we can account for the fact that all organisms,
    recent and extinct, are included under a few great
    orders, under still fewer classes, and all in one great natural system.
    As showing how few the higher groups are in number, and how widely
    spread they are throughout the world, the fact is striking, that the
    discovery of Australia has not added a single insect belonging to a new
    order; and that in the vegetable kingdom, as I learn from Dr. Hooker,
    it has added only two or three orders of small size.

    In the chapter on geological succession I attempted to show, on the
    principle of each group having generally diverged much in character
    during the long-continued process of modification, how it is that the
    more ancient forms of life often present characters in some slight
    degree intermediate between existing groups. A few old and intermediate
    parent-forms having occasionally transmitted to the present day
    descendants but little modified, will give to us our so-called osculant
    or aberrant groups. The more aberrant any form is, the greater must be
    the number of connecting forms which on my theory have been
    exterminated and utterly lost. And we have some evidence of aberrant
    forms having suffered severely from extinction, for they are generally
    represented by extremely few species; and such species as do occur are
    generally very distinct from each other, which again implies
    extinction. The genera Ornithorhynchus and Lepidosiren, for example,
    would not have been less aberrant had each been represented by a dozen
    species instead of by a single one; but such richness in species, as I
    find after some investigation, does not commonly fall to the lot of
    aberrant genera. We can, I think, account for this fact only by looking
    at aberrant forms as failing groups conquered by more successful
    competitors, with a few members preserved by some unusual coincidence
    of favourable circumstances.

    Mr. Waterhouse has remarked that, when a member
    belonging to one group of animals exhibits an affinity to a quite
    distinct group, this affinity in most cases is general and not special:
    thus, according to Mr. Waterhouse, of all Rodents, the bizcacha is most
    nearly related to Marsupials; but in the points in which it approaches
    this order, its relations are general, and not to any one marsupial
    species more than to another. As the points of affinity of the bizcacha
    to Marsupials are believed to be real and not merely adaptive, they are
    due on my theory to inheritance in common. Therefore we must suppose
    either that all Rodents, including the bizcacha, branched off from some
    very ancient Marsupial, which will have had a character in some degree
    intermediate with respect to all existing Marsupials; or that both
    Rodents and Marsupials branched off from a common progenitor, and that
    both groups have since undergone much modification in divergent
    directions. On either view we may suppose that the bizcacha has
    retained, by inheritance, more of the character of its ancient
    progenitor than have other Rodents; and therefore it will not be
    specially related to any one existing Marsupial, but indirectly to all
    or nearly all Marsupials, from having partially retained the character
    of their common progenitor, or of an early member of the group. On the
    other hand, of all Marsupials, as Mr. Waterhouse has remarked, the
    phascolomys resembles most nearly, not any one species, but the general
    order of Rodents. In this case, however, it may be strongly suspected
    that the resemblance is only analogical, owing to the phascolomys
    having become adapted to habits like those of a Rodent. The elder De
    Candolle has made nearly similar observations on the general nature of
    the affinities of distinct orders of plants.

    On the principle of the multiplication and gradual divergence in
    character of the species descended from
    a common parent, together with their retention by inheritance of some
    characters in common, we can understand the excessively complex and
    radiating affinities by which all the members of the same family or
    higher group are connected together. For the common parent of a whole
    family of species, now broken up by extinction into distinct groups and
    sub-groups, will have transmitted some of its characters, modified in
    various ways and degrees, to all; and the several species will
    consequently be related to each other by circuitous lines of affinity
    of various lengths (as may be seen in the diagram so often referred
    to), mounting up through many predecessors. As it is difficult to show
    the blood-relationship between the numerous kindred of any ancient and
    noble family, even by the aid of a genealogical tree, and almost
    impossible to do this without this aid, we can understand the
    extraordinary difficulty which naturalists have experienced in
    describing, without the aid of a diagram, the various affinities which
    they perceive between the many living and extinct members of the same
    great natural class.

    Extinction, as we have seen in the fourth chapter, has played an
    important part in defining and widening the intervals between the
    several groups in each class. We may thus account even for the
    distinctness of whole classes from each other—for instance, of birds
    from all other vertebrate animals—by the belief that many ancient forms
    of life have been utterly lost, through which the early progenitors of
    birds were formerly connected with the early progenitors of the other
    vertebrate classes. There has been less entire extinction of the forms
    of life which once connected fishes with batrachians. There has been
    still less in some other classes, as in that of the Crustacea, for here
    the most wonderfully diverse forms are still tied
    together by a long, but broken, chain of affinities. Extinction has
    only separated groups: it has by no means made them; for if every form
    which has ever lived on this earth were suddenly to reappear, though it
    would be quite impossible to give definitions by which each group could
    be distinguished from other groups, as all would blend together by
    steps as fine as those between the finest existing varieties,
    nevertheless a natural classification, or at least a natural
    arrangement, would be possible. We shall see this by turning to the
    diagram: the letters, A to L, may represent eleven Silurian genera,
    some of which have produced large groups of modified descendants. Every
    intermediate link between these eleven genera and their primordial
    parent, and every intermediate link in each branch and sub-branch of
    their descendants, may be supposed to be still alive; and the links to
    be as fine as those between the finest varieties. In this case it would
    be quite impossible to give any definition by which the several members
    of the several groups could be distinguished from their more immediate
    parents; or these parents from their ancient and unknown progenitor.
    Yet the natural arrangement in the diagram would still hold good; and,
    on the principle of inheritance, all the forms descended from A, or
    from I, would have something in common. In a tree we can specify this
    or that branch, though at the actual fork the two unite and blend
    together. We could not, as I have said, define the several groups; but
    we could pick out types, or forms, representing most of the characters
    of each group, whether large or small, and thus give a general idea of
    the value of the differences between them. This is what we should be
    driven to, if we were ever to succeed in collecting all the forms in
    any class which have lived throughout all time and space. We shall
    certainly never succeed in making
    so perfect a collection: nevertheless, in certain classes, we are
    tending in this direction; and Milne Edwards has lately insisted, in an
    able paper, on the high importance of looking to types, whether or not
    we can separate and define the groups to which such types belong.

    Finally, we have seen that natural selection, which results from the
    struggle for existence, and which almost inevitably induces extinction
    and divergence of character in the many descendants from one dominant
    parent-species, explains that great and universal feature in the
    affinities of all organic beings, namely, their subordination in group
    under group. We use the element of descent in classing the individuals
    of both sexes and of all ages, although having few characters in
    common, under one species; we use descent in classing acknowledged
    varieties, however different they may be from their parent; and I
    believe this element of descent is the hidden bond of connexion which
    naturalists have sought under the term of the Natural System. On this
    idea of the natural system being, in so far as it has been perfected,
    genealogical in its arrangement, with the grades of difference between
    the descendants from a common parent, expressed by the terms genera,
    families, orders, etc., we can understand the rules which we are
    compelled to follow in our classification. We can understand why we
    value certain resemblances far more than others; why we are permitted
    to use rudimentary and useless organs, or others of trifling
    physiological importance; why, in comparing one group with a distinct
    group, we summarily reject analogical or adaptive characters, and yet
    use these same characters within the limits of the same group. We can
    clearly see how it is that all living and extinct forms can be grouped
    together in one great system; and how the several members of each class
    are connected together by the most complex and radiating
    lines of affinities. We shall never, probably, disentangle the
    inextricable web of affinities between the members of any one class;
    but when we have a distinct object in view, and do not look to some
    unknown plan of creation, we may hope to make sure but slow progress.

    Morphology.—We have seen that the members of the same class,
    independently of their habits of life, resemble each other in the
    general plan of their organisation. This resemblance is often expressed
    by the term “unity of type;” or by saying that the several parts and
    organs in the different species of the class are homologous. The whole
    subject is included under the general name of Morphology. This is the
    most interesting department of natural history, and may be said to be
    its very soul. What can be more curious than that the hand of a man,
    formed for grasping, that of a mole for digging, the leg of the horse,
    the paddle of the porpoise, and the wing of the bat, should all be
    constructed on the same pattern, and should include the same bones, in
    the same relative positions? Geoffroy St. Hilaire has insisted strongly
    on the high importance of relative connexion in homologous organs: the
    parts may change to almost any extent in form and size, and yet they
    always remain connected together in the same order. We never find, for
    instance, the bones of the arm and forearm, or of the thigh and leg,
    transposed. Hence the same names can be given to the homologous bones
    in widely different animals. We see the same great law in the
    construction of the mouths of insects: what can be more different than
    the immensely long spiral proboscis of a sphinx-moth, the curious
    folded one of a bee or bug, and the great jaws of a beetle?—yet all
    these organs, serving for such different
    purposes, are formed by infinitely numerous modifications of an upper
    lip, mandibles, and two pairs of maxillæ. Analogous laws govern the
    construction of the mouths and limbs of crustaceans. So it is with the
    flowers of plants.

    Nothing can be more hopeless than to attempt to explain this similarity
    of pattern in members of the same class, by utility or by the doctrine
    of final causes. The hopelessness of the attempt has been expressly
    admitted by Owen in his most interesting work on the ‘Nature of Limbs.’
    On the ordinary view of the independent creation of each being, we can
    only say that so it is;—that it has so pleased the Creator to construct
    each animal and plant.

    The explanation is manifest on the theory of the natural selection of
    successive slight modifications,—each modification being profitable in
    some way to the modified form, but often affecting by correlation of
    growth other parts of the organisation. In changes of this nature,
    there will be little or no tendency to modify the original pattern, or
    to transpose parts. The bones of a limb might be shortened and widened
    to any extent, and become gradually enveloped in thick membrane, so as
    to serve as a fin; or a webbed foot might have all its bones, or
    certain bones, lengthened to any extent, and the membrane connecting
    them increased to any extent, so as to serve as a wing: yet in all this
    great amount of modification there will be no tendency to alter the
    framework of bones or the relative connexion of the several parts. If
    we suppose that the ancient progenitor, the archetype as it may be
    called, of all mammals, had its limbs constructed on the existing
    general pattern, for whatever purpose they served, we can at once
    perceive the plain signification of the homologous construction of the
    limbs throughout the whole class. So with the mouths of insects, we
    have only to
    suppose that their common progenitor had an upper lip, mandibles, and
    two pair of maxillæ, these parts being perhaps very simple in form; and
    then natural selection will account for the infinite diversity in
    structure and function of the mouths of insects. Nevertheless, it is
    conceivable that the general pattern of an organ might become so much
    obscured as to be finally lost, by the atrophy and ultimately by the
    complete abortion of certain parts, by the soldering together of other
    parts, and by the doubling or multiplication of others,—variations
    which we know to be within the limits of possibility. In the paddles of
    the extinct gigantic sea-lizards, and in the mouths of certain
    suctorial crustaceans, the general pattern seems to have been thus to a
    certain extent obscured.

    There is another and equally curious branch of the present subject;
    namely, the comparison not of the same part in different members of a
    class, but of the different parts or organs in the same individual.
    Most physiologists believe that the bones of the skull are homologous
    with—that is correspond in number and in relative connexion with—the
    elemental parts of a certain number of vertebræ. The anterior and
    posterior limbs in each member of the vertebrate and articulate classes
    are plainly homologous. We see the same law in comparing the
    wonderfully complex jaws and legs in crustaceans. It is familiar to
    almost every one, that in a flower the relative position of the sepals,
    petals, stamens, and pistils, as well as their intimate structure, are
    intelligible on the view that they consist of metamorphosed leaves,
    arranged in a spire. In monstrous plants, we often get direct evidence
    of the possibility of one organ being transformed into another; and we
    can actually see in embryonic crustaceans and in many other animals,
    and in flowers, that organs, which when mature
    become extremely different, are at an early stage of growth exactly
    alike.

    How inexplicable are these facts on the ordinary view of creation! Why
    should the brain be enclosed in a box composed of such numerous and
    such extraordinarily shaped pieces of bone? As Owen has remarked, the
    benefit derived from the yielding of the separate pieces in the act of
    parturition of mammals, will by no means explain the same construction
    in the skulls of birds. Why should similar bones have been created in
    the formation of the wing and leg of a bat, used as they are for such
    totally different purposes? Why should one crustacean, which has an
    extremely complex mouth formed of many parts, consequently always have
    fewer legs; or conversely, those with many legs have simpler mouths?
    Why should the sepals, petals, stamens, and pistils in any individual
    flower, though fitted for such widely different purposes, be all
    constructed on the same pattern?

    On the theory of natural selection, we can satisfactorily answer these
    questions. In the vertebrata, we see a series of internal vertebræ
    bearing certain processes and appendages; in the articulata, we see the
    body divided into a series of segments, bearing external appendages;
    and in flowering plants, we see a series of successive spiral whorls of
    leaves. An indefinite repetition of the same part or organ is the
    common characteristic (as Owen has observed) of all low or
    little-modified forms; therefore we may readily believe that the
    unknown progenitor of the vertebrata possessed many vertebræ; the
    unknown progenitor of the articulata, many segments; and the unknown
    progenitor of flowering plants, many spiral whorls of leaves. We have
    formerly seen that parts many times repeated are eminently liable to
    vary in number and structure; consequently it is quite probable that
    natural selection, during a long-continued course of modification,
    should have seized on a certain number of the primordially similar
    elements, many times repeated, and have adapted them to the most
    diverse purposes. And as the whole amount of modification will have
    been effected by slight successive steps, we need not wonder at
    discovering in such parts or organs, a certain degree of fundamental
    resemblance, retained by the strong principle of inheritance.

    In the great class of molluscs, though we can homologise the parts of
    one species with those of another and distinct species, we can indicate
    but few serial homologies; that is, we are seldom enabled to say that
    one part or organ is homologous with another in the same individual.
    And we can understand this fact; for in molluscs, even in the lowest
    members of the class, we do not find nearly so much indefinite
    repetition of any one part, as we find in the other great classes of
    the animal and vegetable kingdoms.

    Naturalists frequently speak of the skull as formed of metamorphosed
    vertebræ: the jaws of crabs as metamorphosed legs; the stamens and
    pistils of flowers as metamorphosed leaves; but it would in these cases
    probably be more correct, as Professor Huxley has remarked, to speak of
    both skull and vertebræ, both jaws and legs, etc.,—as having been
    metamorphosed, not one from the other, but from some common element.
    Naturalists, however, use such language only in a metaphorical sense:
    they are far from meaning that during a long course of descent,
    primordial organs of any kind—vertebræ in the one case and legs in the
    other—have actually been modified into skulls or jaws. Yet so strong is
    the appearance of a modification of this nature having occurred, that
    naturalists can hardly avoid employing language having this plain
    signification. On my view
    these terms may be used literally; and the wonderful fact of the jaws,
    for instance, of a crab retaining numerous characters, which they would
    probably have retained through inheritance, if they had really been
    metamorphosed during a long course of descent from true legs, or from
    some simple appendage, is explained.

    Embryology.—It has already been casually remarked that certain organs
    in the individual, which when mature become widely different and serve
    for different purposes, are in the embryo exactly alike. The embryos,
    also, of distinct animals within the same class are often strikingly
    similar: a better proof of this cannot be given, than a circumstance
    mentioned by Agassiz, namely, that having forgotten to ticket the
    embryo of some vertebrate animal, he cannot now tell whether it be that
    of a mammal, bird, or reptile. The vermiform larvæ of moths, flies,
    beetles, etc., resemble each other much more closely than do the mature
    insects; but in the case of larvæ, the embryos are active, and have
    been adapted for special lines of life. A trace of the law of embryonic
    resemblance, sometimes lasts till a rather late age: thus birds of the
    same genus, and of closely allied genera, often resemble each other in
    their first and second plumage; as we see in the spotted feathers in
    the thrush group. In the cat tribe, most of the species are striped or
    spotted in lines; and stripes can be plainly distinguished in the whelp
    of the lion. We occasionally though rarely see something of this kind
    in plants: thus the embryonic leaves of the ulex or furze, and the
    first leaves of the phyllodineous acaceas, are pinnate or divided like
    the ordinary leaves of the leguminosæ.

    The points of structure, in which the embryos of widely different
    animals of the same class resemble each other, often have no direct
    relation to their conditions
    of existence. We cannot, for instance, suppose that in the embryos of
    the vertebrata the peculiar loop-like course of the arteries near the
    branchial slits are related to similar conditions,—in the young mammal
    which is nourished in the womb of its mother, in the egg of the bird
    which is hatched in a nest, and in the spawn of a frog under water. We
    have no more reason to believe in such a relation, than we have to
    believe that the same bones in the hand of a man, wing of a bat, and
    fin of a porpoise, are related to similar conditions of life. No one
    will suppose that the stripes on the whelp of a lion, or the spots on
    the young blackbird, are of any use to these animals, or are related to
    the conditions to which they are exposed.

    The case, however, is different when an animal during any part of its
    embryonic career is active, and has to provide for itself. The period
    of activity may come on earlier or later in life; but whenever it comes
    on, the adaptation of the larva to its conditions of life is just as
    perfect and as beautiful as in the adult animal. From such special
    adaptations, the similarity of the larvæ or active embryos of allied
    animals is sometimes much obscured; and cases could be given of the
    larvæ of two species, or of two groups of species, differing quite as
    much, or even more, from each other than do their adult parents. In
    most cases, however, the larvæ, though active, still obey more or less
    closely the law of common embryonic resemblance. Cirripedes afford a
    good instance of this: even the illustrious Cuvier did not perceive
    that a barnacle was, as it certainly is, a crustacean; but a glance at
    the larva shows this to be the case in an unmistakeable manner. So
    again the two main divisions of cirripedes, the pedunculated and
    sessile, which differ widely in external appearance, have larvæ in all
    their several stages barely distinguishable.

    The embryo in the course of development generally rises in
    organisation: I use this expression, though I am aware that it is
    hardly possible to define clearly what is meant by the organisation
    being higher or lower. But no one probably will dispute that the
    butterfly is higher than the caterpillar. In some cases, however, the
    mature animal is generally considered as lower in the scale than the
    larva, as with certain parasitic crustaceans. To refer once again to
    cirripedes: the larvæ in the first stage have three pairs of legs, a
    very simple single eye, and a probosciformed mouth, with which they
    feed largely, for they increase much in size. In the second stage,
    answering to the chrysalis stage of butterflies, they have six pairs of
    beautifully constructed natatory legs, a pair of magnificent compound
    eyes, and extremely complex antennæ; but they have a closed and
    imperfect mouth, and cannot feed: their function at this stage is, to
    search by their well-developed organs of sense, and to reach by their
    active powers of swimming, a proper place on which to become attached
    and to undergo their final metamorphosis. When this is completed they
    are fixed for life: their legs are now converted into prehensile
    organs; they again obtain a well-constructed mouth; but they have no
    antennæ, and their two eyes are now reconverted into a minute, single,
    and very simple eye-spot. In this last and complete state, cirripedes
    may be considered as either more highly or more lowly organised than
    they were in the larval condition. But in some genera the larvæ become
    developed either into hermaphrodites having the ordinary structure, or
    into what I have called complemental males: and in the latter, the
    development has assuredly been retrograde; for the male is a mere sack,
    which lives for a short time, and is destitute of mouth, stomach, or
    other organ of importance, excepting for reproduction.

    We are so much accustomed to see differences in structure between the
    embryo and the adult, and likewise a close similarity in the embryos of
    widely different animals within the same class, that we might be led to
    look at these facts as necessarily contingent in some manner on growth.
    But there is no obvious reason why, for instance, the wing of a bat, or
    the fin of a porpoise, should not have been sketched out with all the
    parts in proper proportion, as soon as any structure became visible in
    the embryo. And in some whole groups of animals and in certain members
    of other groups, the embryo does not at any period differ widely from
    the adult: thus Owen has remarked in regard to cuttle-fish, “there is
    no metamorphosis; the cephalopodic character is manifested long before
    the parts of the embryo are completed;” and again in spiders, “there is
    nothing worthy to be called a metamorphosis.” The larvæ of insects,
    whether adapted to the most diverse and active habits, or quite
    inactive, being fed by their parents or placed in the midst of proper
    nutriment, yet nearly all pass through a similar worm-like stage of
    development; but in some few cases, as in that of Aphis, if we look to
    the admirable drawings by Professor Huxley of the development of this
    insect, we see no trace of the vermiform stage.

    How, then, can we explain these several facts in embryology,—namely the
    very general, but not universal difference in structure between the
    embryo and the adult;—of parts in the same individual embryo, which
    ultimately become very unlike and serve for diverse purposes, being at
    this early period of growth alike;—of embryos of different species
    within the same class, generally, but not universally, resembling each
    other;—of the structure of the embryo not being closely related to its
    conditions of existence, except when the
    embryo becomes at any period of life active and has to provide for
    itself;—of the embryo apparently having sometimes a higher organisation
    than the mature animal, into which it is developed. I believe that all
    these facts can be explained, as follows, on the view of descent with
    modification.

    It is commonly assumed, perhaps from monstrosities often affecting the
    embryo at a very early period, that slight variations necessarily
    appear at an equally early period. But we have little evidence on this
    head—indeed the evidence rather points the other way; for it is
    notorious that breeders of cattle, horses, and various fancy animals,
    cannot positively tell, until some time after the animal has been born,
    what its merits or form will ultimately turn out. We see this plainly
    in our own children; we cannot always tell whether the child will be
    tall or short, or what its precise features will be. The question is
    not, at what period of life any variation has been caused, but at what
    period it is fully displayed. The cause may have acted, and I believe
    generally has acted, even before the embryo is formed; and the
    variation may be due to the male and female sexual elements having been
    affected by the conditions to which either parent, or their ancestors,
    have been exposed. Nevertheless an effect thus caused at a very early
    period, even before the formation of the embryo, may appear late in
    life; as when an hereditary disease, which appears in old age alone,
    has been communicated to the offspring from the reproductive element of
    one parent. Or again, as when the horns of cross-bred cattle have been
    affected by the shape of the horns of either parent. For the welfare of
    a very young animal, as long as it remains in its mother’s womb, or in
    the egg, or as long as it is nourished and protected by its parent, it
    must be quite unimportant whether most of its characters are fully
    acquired a little earlier or later in life. It would not signify, for
    instance, to a bird which obtained its food best by having a long beak,
    whether or not it assumed a beak of this particular length, as long as
    it was fed by its parents. Hence, I conclude, that it is quite
    possible, that each of the many successive modifications, by which each
    species has acquired its present structure, may have supervened at a
    not very early period of life; and some direct evidence from our
    domestic animals supports this view. But in other cases it is quite
    possible that each successive modification, or most of them, may have
    appeared at an extremely early period.

    I have stated in the first chapter, that there is some evidence to
    render it probable, that at whatever age any variation first appears in
    the parent, it tends to reappear at a corresponding age in the
    offspring. Certain variations can only appear at corresponding ages,
    for instance, peculiarities in the caterpillar, cocoon, or imago states
    of the silk-moth; or, again, in the horns of almost full-grown cattle.
    But further than this, variations which, for all that we can see, might
    have appeared earlier or later in life, tend to appear at a
    corresponding age in the offspring and parent. I am far from meaning
    that this is invariably the case; and I could give a good many cases of
    variations (taking the word in the largest sense) which have supervened
    at an earlier age in the child than in the parent.

    These two principles, if their truth be admitted, will, I believe,
    explain all the above specified leading facts in embryology. But first
    let us look at a few analogous cases in domestic varieties. Some
    authors who have written on Dogs, maintain that the greyhound and
    bulldog, though appearing so different, are really varieties most
    closely allied, and have probably descended from
    the same wild stock; hence I was curious to see how far their puppies
    differed from each other: I was told by breeders that they differed
    just as much as their parents, and this, judging by the eye, seemed
    almost to be the case; but on actually measuring the old dogs and their
    six-days old puppies, I found that the puppies had not nearly acquired
    their full amount of proportional difference. So, again, I was told
    that the foals of cart and race-horses differed as much as the
    full-grown animals; and this surprised me greatly, as I think it
    probable that the difference between these two breeds has been wholly
    caused by selection under domestication; but having had careful
    measurements made of the dam and of a three-days old colt of a race and
    heavy cart-horse, I find that the colts have by no means acquired their
    full amount of proportional difference.

    As the evidence appears to me conclusive, that the several domestic
    breeds of Pigeon have descended from one wild species, I compared young
    pigeons of various breeds, within twelve hours after being hatched; I
    carefully measured the proportions (but will not here give details) of
    the beak, width of mouth, length of nostril and of eyelid, size of feet
    and length of leg, in the wild stock, in pouters, fantails, runts,
    barbs, dragons, carriers, and tumblers. Now some of these birds, when
    mature, differ so extraordinarily in length and form of beak, that they
    would, I cannot doubt, be ranked in distinct genera, had they been
    natural productions. But when the nestling birds of these several
    breeds were placed in a row, though most of them could be distinguished
    from each other, yet their proportional differences in the above
    specified several points were incomparably less than in the full-grown
    birds. Some characteristic points of difference—for instance, that of
    the width of mouth—could hardly be detected in the young.
    But there was one remarkable exception to this rule, for the young of
    the short-faced tumbler differed from the young of the wild rock-pigeon
    and of the other breeds, in all its proportions, almost exactly as much
    as in the adult state.

    The two principles above given seem to me to explain these facts in
    regard to the later embryonic stages of our domestic varieties.
    Fanciers select their horses, dogs, and pigeons, for breeding, when
    they are nearly grown up: they are indifferent whether the desired
    qualities and structures have been acquired earlier or later in life,
    if the full-grown animal possesses them. And the cases just given, more
    especially that of pigeons, seem to show that the characteristic
    differences which give value to each breed, and which have been
    accumulated by man’s selection, have not generally first appeared at an
    early period of life, and have been inherited by the offspring at a
    corresponding not early period. But the case of the short-faced
    tumbler, which when twelve hours old had acquired its proper
    proportions, proves that this is not the universal rule; for here the
    characteristic differences must either have appeared at an earlier
    period than usual, or, if not so, the differences must have been
    inherited, not at the corresponding, but at an earlier age.

    Now let us apply these facts and the above two principles—which latter,
    though not proved true, can be shown to be in some degree probable—to
    species in a state of nature. Let us take a genus of birds, descended
    on my theory from some one parent-species, and of which the several new
    species have become modified through natural selection in accordance
    with their diverse habits. Then, from the many slight successive steps
    of variation having supervened at a rather late age, and having been
    inherited at a corresponding
    age, the young of the new species of our supposed genus will manifestly
    tend to resemble each other much more closely than do the adults, just
    as we have seen in the case of pigeons. We may extend this view to
    whole families or even classes. The fore-limbs, for instance, which
    served as legs in the parent-species, may become, by a long course of
    modification, adapted in one descendant to act as hands, in another as
    paddles, in another as wings; and on the above two principles—namely of
    each successive modification supervening at a rather late age, and
    being inherited at a corresponding late age—the fore-limbs in the
    embryos of the several descendants of the parent-species will still
    resemble each other closely, for they will not have been modified. But
    in each individual new species, the embryonic fore-limbs will differ
    greatly from the fore-limbs in the mature animal; the limbs in the
    latter having undergone much modification at a rather late period of
    life, and having thus been converted into hands, or paddles, or wings.
    Whatever influence long-continued exercise or use on the one hand, and
    disuse on the other, may have in modifying an organ, such influence
    will mainly affect the mature animal, which has come to its full powers
    of activity and has to gain its own living; and the effects thus
    produced will be inherited at a corresponding mature age. Whereas the
    young will remain unmodified, or be modified in a lesser degree, by the
    effects of use and disuse.

    In certain cases the successive steps of variation might supervene,
    from causes of which we are wholly ignorant, at a very early period of
    life, or each step might be inherited at an earlier period than that at
    which it first appeared. In either case (as with the short-faced
    tumbler) the young or embryo would closely
    resemble the mature parent-form. We have seen that this is the rule of
    development in certain whole groups of animals, as with cuttle-fish and
    spiders, and with a few members of the great class of insects, as with
    Aphis. With respect to the final cause of the young in these cases not
    undergoing any metamorphosis, or closely resembling their parents from
    their earliest age, we can see that this would result from the two
    following contingencies; firstly, from the young, during a course of
    modification carried on for many generations, having to provide for
    their own wants at a very early stage of development, and secondly,
    from their following exactly the same habits of life with their
    parents; for in this case, it would be indispensable for the existence
    of the species, that the child should be modified at a very early age
    in the same manner with its parents, in accordance with their similar
    habits. Some further explanation, however, of the embryo not undergoing
    any metamorphosis is perhaps requisite. If, on the other hand, it
    profited the young to follow habits of life in any degree different
    from those of their parent, and consequently to be constructed in a
    slightly different manner, then, on the principle of inheritance at
    corresponding ages, the active young or larvæ might easily be rendered
    by natural selection different to any conceivable extent from their
    parents. Such differences might, also, become correlated with
    successive stages of development; so that the larvæ, in the first
    stage, might differ greatly from the larvæ in the second stage, as we
    have seen to be the case with cirripedes. The adult might become fitted
    for sites or habits, in which organs of locomotion or of the senses,
    etc., would be useless; and in this case the final metamorphosis would
    be said to be retrograde.

    As all the organic beings, extinct and recent, which
    have ever lived on this earth have to be classed together, and as all
    have been connected by the finest gradations, the best, or indeed, if
    our collections were nearly perfect, the only possible arrangement,
    would be genealogical. Descent being on my view the hidden bond of
    connexion which naturalists have been seeking under the term of the
    natural system. On this view we can understand how it is that, in the
    eyes of most naturalists, the structure of the embryo is even more
    important for classification than that of the adult. For the embryo is
    the animal in its less modified state; and in so far it reveals the
    structure of its progenitor. In two groups of animal, however much they
    may at present differ from each other in structure and habits, if they
    pass through the same or similar embryonic stages, we may feel assured
    that they have both descended from the same or nearly similar parents,
    and are therefore in that degree closely related. Thus, community in
    embryonic structure reveals community of descent. It will reveal this
    community of descent, however much the structure of the adult may have
    been modified and obscured; we have seen, for instance, that cirripedes
    can at once be recognised by their larvæ as belonging to the great
    class of crustaceans. As the embryonic state of each species and group
    of species partially shows us the structure of their less modified
    ancient progenitors, we can clearly see why ancient and extinct forms
    of life should resemble the embryos of their descendants,—our existing
    species. Agassiz believes this to be a law of nature; but I am bound to
    confess that I only hope to see the law hereafter proved true. It can
    be proved true in those cases alone in which the ancient state, now
    supposed to be represented in many embryos, has not been obliterated,
    either by the successive variations in a long course of modification
    having supervened
    at a very early age, or by the variations having been inherited at an
    earlier period than that at which they first appeared. It should also
    be borne in mind, that the supposed law of resemblance of ancient forms
    of life to the embryonic stages of recent forms, may be true, but yet,
    owing to the geological record not extending far enough back in time,
    may remain for a long period, or for ever, incapable of demonstration.

    Thus, as it seems to me, the leading facts in embryology, which are
    second in importance to none in natural history, are explained on the
    principle of slight modifications not appearing, in the many
    descendants from some one ancient progenitor, at a very early period in
    the life of each, though perhaps caused at the earliest, and being
    inherited at a corresponding not early period. Embryology rises greatly
    in interest, when we thus look at the embryo as a picture, more or less
    obscured, of the common parent-form of each great class of animals.

    Rudimentary, atrophied, or aborted organs.—Organs or parts in this
    strange condition, bearing the stamp of inutility, are extremely common
    throughout nature. For instance, rudimentary mammæ are very general in
    the males of mammals: I presume that the “bastard-wing” in birds may be
    safely considered as a digit in a rudimentary state: in very many
    snakes one lobe of the lungs is rudimentary; in other snakes there are
    rudiments of the pelvis and hind limbs. Some of the cases of
    rudimentary organs are extremely curious; for instance, the presence of
    teeth in foetal whales, which when grown up have not a tooth in their
    heads; and the presence of teeth, which never cut through the gums, in
    the upper jaws of our unborn calves. It has even been stated on good
    authority that rudiments of teeth can be detected
    in the beaks of certain embryonic birds. Nothing can be plainer than
    that wings are formed for flight, yet in how many insects do we see
    wings so reduced in size as to be utterly incapable of flight, and not
    rarely lying under wing-cases, firmly soldered together!

    The meaning of rudimentary organs is often quite unmistakeable: for
    instance there are beetles of the same genus (and even of the same
    species) resembling each other most closely in all respects, one of
    which will have full-sized wings, and another mere rudiments of
    membrane; and here it is impossible to doubt, that the rudiments
    represent wings. Rudimentary organs sometimes retain their
    potentiality, and are merely not developed: this seems to be the case
    with the mammæ of male mammals, for many instances are on record of
    these organs having become well developed in full-grown males, and
    having secreted milk. So again there are normally four developed and
    two rudimentary teats in the udders of the genus Bos, but in our
    domestic cows the two sometimes become developed and give milk. In
    individual plants of the same species the petals sometimes occur as
    mere rudiments, and sometimes in a well-developed state. In plants with
    separated sexes, the male flowers often have a rudiment of a pistil;
    and Kölreuter found that by crossing such male plants with an
    hermaphrodite species, the rudiment of the pistil in the hybrid
    offspring was much increased in size; and this shows that the rudiment
    and the perfect pistil are essentially alike in nature.

    An organ serving for two purposes, may become rudimentary or utterly
    aborted for one, even the more important purpose; and remain perfectly
    efficient for the other. Thus in plants, the office of the pistil is to
    allow the pollen-tubes to reach the ovules protected in the ovarium at
    its base. The pistil consists of a stigma
    supported on the style; but in some Compositæ, the male florets, which
    of course cannot be fecundated, have a pistil, which is in a
    rudimentary state, for it is not crowned with a stigma; but the style
    remains well developed, and is clothed with hairs as in other
    compositæ, for the purpose of brushing the pollen out of the
    surrounding anthers. Again, an organ may become rudimentary for its
    proper purpose, and be used for a distinct object: in certain fish the
    swim-bladder seems to be rudimentary for its proper function of giving
    buoyancy, but has become converted into a nascent breathing organ or
    lung. Other similar instances could be given.

    Rudimentary organs in the individuals of the same species are very
    liable to vary in degree of development and in other respects.
    Moreover, in closely allied species, the degree to which the same organ
    has been rendered rudimentary occasionally differs much. This latter
    fact is well exemplified in the state of the wings of the female moths
    in certain groups. Rudimentary organs may be utterly aborted; and this
    implies, that we find in an animal or plant no trace of an organ, which
    analogy would lead us to expect to find, and which is occasionally
    found in monstrous individuals of the species. Thus in the snapdragon
    (antirrhinum) we generally do not find a rudiment of a fifth stamen;
    but this may sometimes be seen. In tracing the homologies of the same
    part in different members of a class, nothing is more common, or more
    necessary, than the use and discovery of rudiments. This is well shown
    in the drawings given by Owen of the bones of the leg of the horse, ox,
    and rhinoceros.

    It is an important fact that rudimentary organs, such as teeth in the
    upper jaws of whales and ruminants, can often be detected in the
    embryo, but afterwards wholly disappear. It is also, I believe, a
    universal
    rule, that a rudimentary part or organ is of greater size relatively to
    the adjoining parts in the embryo, than in the adult; so that the organ
    at this early age is less rudimentary, or even cannot be said to be in
    any degree rudimentary. Hence, also, a rudimentary organ in the adult,
    is often said to have retained its embryonic condition.

    I have now given the leading facts with respect to rudimentary organs.
    In reflecting on them, every one must be struck with astonishment: for
    the same reasoning power which tells us plainly that most parts and
    organs are exquisitely adapted for certain purposes, tells us with
    equal plainness that these rudimentary or atrophied organs, are
    imperfect and useless. In works on natural history rudimentary organs
    are generally said to have been created “for the sake of symmetry,” or
    in order “to complete the scheme of nature;” but this seems to me no
    explanation, merely a restatement of the fact. Would it be thought
    sufficient to say that because planets revolve in elliptic courses
    round the sun, satellites follow the same course round the planets, for
    the sake of symmetry, and to complete the scheme of nature? An eminent
    physiologist accounts for the presence of rudimentary organs, by
    supposing that they serve to excrete matter in excess, or injurious to
    the system; but can we suppose that the minute papilla, which often
    represents the pistil in male flowers, and which is formed merely of
    cellular tissue, can thus act? Can we suppose that the formation of
    rudimentary teeth which are subsequently absorbed, can be of any
    service to the rapidly growing embryonic calf by the excretion of
    precious phosphate of lime? When a man’s fingers have been amputated,
    imperfect nails sometimes appear on the stumps: I could as soon believe
    that these vestiges of nails have appeared, not from unknown laws
    of growth, but in order to excrete horny matter, as that the
    rudimentary nails on the fin of the manatee were formed for this
    purpose.

    On my view of descent with modification, the origin of rudimentary
    organs is simple. We have plenty of cases of rudimentary organs in our
    domestic productions,—as the stump of a tail in tailless breeds,—the
    vestige of an ear in earless breeds,—the reappearance of minute
    dangling horns in hornless breeds of cattle, more especially, according
    to Youatt, in young animals,—and the state of the whole flower in the
    cauliflower. We often see rudiments of various parts in monsters. But I
    doubt whether any of these cases throw light on the origin of
    rudimentary organs in a state of nature, further than by showing that
    rudiments can be produced; for I doubt whether species under nature
    ever undergo abrupt changes. I believe that disuse has been the main
    agency; that it has led in successive generations to the gradual
    reduction of various organs, until they have become rudimentary,—as in
    the case of the eyes of animals inhabiting dark caverns, and of the
    wings of birds inhabiting oceanic islands, which have seldom been
    forced to take flight, and have ultimately lost the power of flying.
    Again, an organ useful under certain conditions, might become injurious
    under others, as with the wings of beetles living on small and exposed
    islands; and in this case natural selection would continue slowly to
    reduce the organ, until it was rendered harmless and rudimentary.

    Any change in function, which can be effected by insensibly small
    steps, is within the power of natural selection; so that an organ
    rendered, during changed habits of life, useless or injurious for one
    purpose, might easily be modified and used for another purpose. Or an
    organ might be retained for one alone of its
    former functions. An organ, when rendered useless, may well be
    variable, for its variations cannot be checked by natural selection. At
    whatever period of life disuse or selection reduces an organ, and this
    will generally be when the being has come to maturity and to its full
    powers of action, the principle of inheritance at corresponding ages
    will reproduce the organ in its reduced state at the same age, and
    consequently will seldom affect or reduce it in the embryo. Thus we can
    understand the greater relative size of rudimentary organs in the
    embryo, and their lesser relative size in the adult. But if each step
    of the process of reduction were to be inherited, not at the
    corresponding age, but at an extremely early period of life (as we have
    good reason to believe to be possible) the rudimentary part would tend
    to be wholly lost, and we should have a case of complete abortion. The
    principle, also, of economy, explained in a former chapter, by which
    the materials forming any part or structure, if not useful to the
    possessor, will be saved as far as is possible, will probably often
    come into play; and this will tend to cause the entire obliteration of
    a rudimentary organ.

    As the presence of rudimentary organs is thus due to the tendency in
    every part of the organisation, which has long existed, to be
    inherited—we can understand, on the genealogical view of
    classification, how it is that systematists have found rudimentary
    parts as useful as, or even sometimes more useful than, parts of high
    physiological importance. Rudimentary organs may be compared with the
    letters in a word, still retained in the spelling, but become useless
    in the pronunciation, but which serve as a clue in seeking for its
    derivation. On the view of descent with modification, we may conclude
    that the existence of organs in a rudimentary, imperfect, and useless
    condition, or quite aborted, far
    from presenting a strange difficulty, as they assuredly do on the
    ordinary doctrine of creation, might even have been anticipated, and
    can be accounted for by the laws of inheritance.

    Summary.—In this chapter I have attempted to show, that the
    subordination of group to group in all organisms throughout all time;
    that the nature of the relationship, by which all living and extinct
    beings are united by complex, radiating, and circuitous lines of
    affinities into one grand system; the rules followed and the
    difficulties encountered by naturalists in their classifications; the
    value set upon characters, if constant and prevalent, whether of high
    vital importance, or of the most trifling importance, or, as in
    rudimentary organs, of no importance; the wide opposition in value
    between analogical or adaptive characters, and characters of true
    affinity; and other such rules;—all naturally follow on the view of the
    common parentage of those forms which are considered by naturalists as
    allied, together with their modification through natural selection,
    with its contingencies of extinction and divergence of character. In
    considering this view of classification, it should be borne in mind
    that the element of descent has been universally used in ranking
    together the sexes, ages, and acknowledged varieties of the same
    species, however different they may be in structure. If we extend the
    use of this element of descent,—the only certainly known cause of
    similarity in organic beings,—we shall understand what is meant by the
    natural system: it is genealogical in its attempted arrangement, with
    the grades of acquired difference marked by the terms varieties,
    species, genera, families, orders, and classes.

    On this same view of descent with modification, all the great facts in
    Morphology become intelligible,—whether
    we look to the same pattern displayed in the homologous organs, to
    whatever purpose applied, of the different species of a class; or to
    the homologous parts constructed on the same pattern in each individual
    animal and plant.

    On the principle of successive slight variations, not necessarily or
    generally supervening at a very early period of life, and being
    inherited at a corresponding period, we can understand the great
    leading facts in Embryology; namely, the resemblance in an individual
    embryo of the homologous parts, which when matured will become widely
    different from each other in structure and function; and the
    resemblance in different species of a class of the homologous parts or
    organs, though fitted in the adult members for purposes as different as
    possible. Larvæ are active embryos, which have become specially
    modified in relation to their habits of life, through the principle of
    modifications being inherited at corresponding ages. On this same
    principle—and bearing in mind, that when organs are reduced in size,
    either from disuse or selection, it will generally be at that period of
    life when the being has to provide for its own wants, and bearing in
    mind how strong is the principle of inheritance—the occurrence of
    rudimentary organs and their final abortion, present to us no
    inexplicable difficulties; on the contrary, their presence might have
    been even anticipated. The importance of embryological characters and
    of rudimentary organs in classification is intelligible, on the view
    that an arrangement is only so far natural as it is genealogical.

    Finally, the several classes of facts which have been considered in
    this chapter, seem to me to proclaim so plainly, that the innumerable
    species, genera, and families of organic beings, with which this world
    is
    peopled, have all descended, each within its own class or group, from
    common parents, and have all been modified in the course of descent,
    that I should without hesitation adopt this view, even if it were
    unsupported by other facts or arguments.

    CHAPTER XIV.
    RECAPITULATION AND CONCLUSION.

    Recapitulation of the difficulties on the theory of Natural Selection.
    Recapitulation of the general and special circumstances in its favour.
    Causes of the general belief in the immutability of species. How far
    the theory of natural selection may be extended. Effects of its
    adoption on the study of Natural history. Concluding remarks.

    As this whole volume is one long argument, it may be convenient to the
    reader to have the leading facts and inferences briefly recapitulated.

    That many and grave objections may be advanced against the theory of
    descent with modification through natural selection, I do not deny. I
    have endeavoured to give to them their full force. Nothing at first can
    appear more difficult to believe than that the more complex organs and
    instincts should have been perfected, not by means superior to, though
    analogous with, human reason, but by the accumulation of innumerable
    slight variations, each good for the individual possessor.
    Nevertheless, this difficulty, though appearing to our imagination
    insuperably great, cannot be considered real if we admit the following
    propositions, namely,—that gradations in the perfection of any organ or
    instinct, which we may consider, either do now exist or could have
    existed, each good of its kind,—that all organs and instincts are, in
    ever so slight a degree, variable,—and, lastly, that there is a
    struggle for existence leading to the preservation of each profitable
    deviation of structure or instinct. The truth of these propositions
    cannot, I think, be disputed.

    It is, no doubt, extremely difficult even to conjecture by what
    gradations many structures have been perfected, more especially amongst
    broken and failing groups of organic beings; but we see so many strange
    gradations in nature, as is proclaimed by the canon, “Natura non facit
    saltum,” that we ought to be extremely cautious in saying that any
    organ or instinct, or any whole being, could not have arrived at its
    present state by many graduated steps. There are, it must be admitted,
    cases of special difficulty on the theory of natural selection; and one
    of the most curious of these is the existence of two or three defined
    castes of workers or sterile females in the same community of ants; but
    I have attempted to show how this difficulty can be mastered.

    With respect to the almost universal sterility of species when first
    crossed, which forms so remarkable a contrast with the almost universal
    fertility of varieties when crossed, I must refer the reader to the
    recapitulation of the facts given at the end of the eighth chapter,
    which seem to me conclusively to show that this sterility is no more a
    special endowment than is the incapacity of two trees to be grafted
    together, but that it is incidental on constitutional differences in
    the reproductive systems of the intercrossed species. We see the truth
    of this conclusion in the vast difference in the result, when the same
    two species are crossed reciprocally; that is, when one species is
    first used as the father and then as the mother.

    The fertility of varieties when intercrossed and of their mongrel
    offspring cannot be considered as universal; nor is their very general
    fertility surprising when we remember that it is not likely that either
    their constitutions or their reproductive systems should have been
    profoundly modified. Moreover, most of the
    varieties which have been experimentised on have been produced under
    domestication; and as domestication apparently tends to eliminate
    sterility, we ought not to expect it also to produce sterility.

    The sterility of hybrids is a very different case from that of first
    crosses, for their reproductive organs are more or less functionally
    impotent; whereas in first crosses the organs on both sides are in a
    perfect condition. As we continually see that organisms of all kinds
    are rendered in some degree sterile from their constitutions having
    been disturbed by slightly different and new conditions of life, we
    need not feel surprise at hybrids being in some degree sterile, for
    their constitutions can hardly fail to have been disturbed from being
    compounded of two distinct organisations. This parallelism is supported
    by another parallel, but directly opposite, class of facts; namely,
    that the vigour and fertility of all organic beings are increased by
    slight changes in their conditions of life, and that the offspring of
    slightly modified forms or varieties acquire from being crossed
    increased vigour and fertility. So that, on the one hand, considerable
    changes in the conditions of life and crosses between greatly modified
    forms, lessen fertility; and on the other hand, lesser changes in the
    conditions of life and crosses between less modified forms, increase
    fertility.

    Turning to geographical distribution, the difficulties encountered on
    the theory of descent with modification are grave enough. All the
    individuals of the same species, and all the species of the same genus,
    or even higher group, must have descended from common parents; and
    therefore, in however distant and isolated parts of the world they are
    now found, they must in the course of successive generations have
    passed from some one part to the others. We are often wholly unable
    even to conjecture how this could have been effected. Yet, as we have
    reason to believe that some species have retained the same specific
    form for very long periods, enormously long as measured by years, too
    much stress ought not to be laid on the occasional wide diffusion of
    the same species; for during very long periods of time there will
    always be a good chance for wide migration by many means. A broken or
    interrupted range may often be accounted for by the extinction of the
    species in the intermediate regions. It cannot be denied that we are as
    yet very ignorant of the full extent of the various climatal and
    geographical changes which have affected the earth during modern
    periods; and such changes will obviously have greatly facilitated
    migration. As an example, I have attempted to show how potent has been
    the influence of the Glacial period on the distribution both of the
    same and of representative species throughout the world. We are as yet
    profoundly ignorant of the many occasional means of transport. With
    respect to distinct species of the same genus inhabiting very distant
    and isolated regions, as the process of modification has necessarily
    been slow, all the means of migration will have been possible during a
    very long period; and consequently the difficulty of the wide diffusion
    of species of the same genus is in some degree lessened.

    As on the theory of natural selection an interminable number of
    intermediate forms must have existed, linking together all the species
    in each group by gradations as fine as our present varieties, it may be
    asked, Why do we not see these linking forms all around us? Why are not
    all organic beings blended together in an inextricable chaos? With
    respect to existing forms, we should remember that we have no right to
    expect (excepting in rare cases) to discover directly connecting
    links between them, but only between each and some extinct and
    supplanted form. Even on a wide area, which has during a long period
    remained continuous, and of which the climate and other conditions of
    life change insensibly in going from a district occupied by one species
    into another district occupied by a closely allied species, we have no
    just right to expect often to find intermediate varieties in the
    intermediate zone. For we have reason to believe that only a few
    species are undergoing change at any one period; and all changes are
    slowly effected. I have also shown that the intermediate varieties
    which will at first probably exist in the intermediate zones, will be
    liable to be supplanted by the allied forms on either hand; and the
    latter, from existing in greater numbers, will generally be modified
    and improved at a quicker rate than the intermediate varieties, which
    exist in lesser numbers; so that the intermediate varieties will, in
    the long run, be supplanted and exterminated.

    On this doctrine of the extermination of an infinitude of connecting
    links, between the living and extinct inhabitants of the world, and at
    each successive period between the extinct and still older species, why
    is not every geological formation charged with such links? Why does not
    every collection of fossil remains afford plain evidence of the
    gradation and mutation of the forms of life? We meet with no such
    evidence, and this is the most obvious and forcible of the many
    objections which may be urged against my theory. Why, again, do whole
    groups of allied species appear, though certainly they often falsely
    appear, to have come in suddenly on the several geological stages? Why
    do we not find great piles of strata beneath the Silurian system,
    stored with the remains of the progenitors of the Silurian groups of
    fossils? For certainly on my theory such
    strata must somewhere have been deposited at these ancient and utterly
    unknown epochs in the world’s history.

    I can answer these questions and grave objections only on the
    supposition that the geological record is far more imperfect than most
    geologists believe. It cannot be objected that there has not been time
    sufficient for any amount of organic change; for the lapse of time has
    been so great as to be utterly inappreciable by the human intellect.
    The number of specimens in all our museums is absolutely as nothing
    compared with the countless generations of countless species which
    certainly have existed. We should not be able to recognise a species as
    the parent of any one or more species if we were to examine them ever
    so closely, unless we likewise possessed many of the intermediate links
    between their past or parent and present states; and these many links
    we could hardly ever expect to discover, owing to the imperfection of
    the geological record. Numerous existing doubtful forms could be named
    which are probably varieties; but who will pretend that in future ages
    so many fossil links will be discovered, that naturalists will be able
    to decide, on the common view, whether or not these doubtful forms are
    varieties? As long as most of the links between any two species are
    unknown, if any one link or intermediate variety be discovered, it will
    simply be classed as another and distinct species. Only a small portion
    of the world has been geologically explored. Only organic beings of
    certain classes can be preserved in a fossil condition, at least in any
    great number. Widely ranging species vary most, and varieties are often
    at first local,—both causes rendering the discovery of intermediate
    links less likely. Local varieties will not spread into other and
    distant regions until they are considerably modified and improved;
    and when they do spread, if discovered in a geological formation, they
    will appear as if suddenly created there, and will be simply classed as
    new species. Most formations have been intermittent in their
    accumulation; and their duration, I am inclined to believe, has been
    shorter than the average duration of specific forms. Successive
    formations are separated from each other by enormous blank intervals of
    time; for fossiliferous formations, thick enough to resist future
    degradation, can be accumulated only where much sediment is deposited
    on the subsiding bed of the sea. During the alternate periods of
    elevation and of stationary level the record will be blank. During
    these latter periods there will probably be more variability in the
    forms of life; during periods of subsidence, more extinction.

    With respect to the absence of fossiliferous formations beneath the
    lowest Silurian strata, I can only recur to the hypothesis given in the
    ninth chapter. That the geological record is imperfect all will admit;
    but that it is imperfect to the degree which I require, few will be
    inclined to admit. If we look to long enough intervals of time, geology
    plainly declares that all species have changed; and they have changed
    in the manner which my theory requires, for they have changed slowly
    and in a graduated manner. We clearly see this in the fossil remains
    from consecutive formations invariably being much more closely related
    to each other, than are the fossils from formations distant from each
    other in time.

    Such is the sum of the several chief objections and difficulties which
    may justly be urged against my theory; and I have now briefly
    recapitulated the answers and explanations which can be given to them.
    I have felt these difficulties far too heavily during many years to
    doubt their weight. But it deserves especial notice that the more
    important objections relate to questions on which we are confessedly
    ignorant; nor do we know how ignorant we are. We do not know all the
    possible transitional gradations between the simplest and the most
    perfect organs; it cannot be pretended that we know all the varied
    means of Distribution during the long lapse of years, or that we know
    how imperfect the Geological Record is. Grave as these several
    difficulties are, in my judgment they do not overthrow the theory of
    descent with modification.

    Now let us turn to the other side of the argument. Under domestication
    we see much variability. This seems to be mainly due to the
    reproductive system being eminently susceptible to changes in the
    conditions of life; so that this system, when not rendered impotent,
    fails to reproduce offspring exactly like the parent-form. Variability
    is governed by many complex laws,—by correlation of growth, by use and
    disuse, and by the direct action of the physical conditions of life.
    There is much difficulty in ascertaining how much modification our
    domestic productions have undergone; but we may safely infer that the
    amount has been large, and that modifications can be inherited for long
    periods. As long as the conditions of life remain the same, we have
    reason to believe that a modification, which has already been inherited
    for many generations, may continue to be inherited for an almost
    infinite number of generations. On the other hand we have evidence that
    variability, when it has once come into play, does not wholly cease;
    for new varieties are still occasionally produced by our most anciently
    domesticated productions.

    Man does not actually produce variability; he only
    unintentionally exposes organic beings to new conditions of life, and
    then nature acts on the organisation, and causes variability. But man
    can and does select the variations given to him by nature, and thus
    accumulate them in any desired manner. He thus adapts animals and
    plants for his own benefit or pleasure. He may do this methodically, or
    he may do it unconsciously by preserving the individuals most useful to
    him at the time, without any thought of altering the breed. It is
    certain that he can largely influence the character of a breed by
    selecting, in each successive generation, individual differences so
    slight as to be quite inappreciable by an uneducated eye. This process
    of selection has been the great agency in the production of the most
    distinct and useful domestic breeds. That many of the breeds produced
    by man have to a large extent the character of natural species, is
    shown by the inextricable doubts whether very many of them are
    varieties or aboriginal species.

    There is no obvious reason why the principles which have acted so
    efficiently under domestication should not have acted under nature. In
    the preservation of favoured individuals and races, during the
    constantly-recurrent Struggle for Existence, we see the most powerful
    and ever-acting means of selection. The struggle for existence
    inevitably follows from the high geometrical ratio of increase which is
    common to all organic beings. This high rate of increase is proved by
    calculation, by the effects of a succession of peculiar seasons, and by
    the results of naturalisation, as explained in the third chapter. More
    individuals are born than can possibly survive. A grain in the balance
    will determine which individual shall live and which shall die,—which
    variety or species shall increase in number, and which shall decrease,
    or finally become extinct. As the individuals
    of the same species come in all respects into the closest competition
    with each other, the struggle will generally be most severe between
    them; it will be almost equally severe between the varieties of the
    same species, and next in severity between the species of the same
    genus. But the struggle will often be very severe between beings most
    remote in the scale of nature. The slightest advantage in one being, at
    any age or during any season, over those with which it comes into
    competition, or better adaptation in however slight a degree to the
    surrounding physical conditions, will turn the balance.

    With animals having separated sexes there will in most cases be a
    struggle between the males for possession of the females. The most
    vigorous individuals, or those which have most successfully struggled
    with their conditions of life, will generally leave most progeny. But
    success will often depend on having special weapons or means of
    defence, or on the charms of the males; and the slightest advantage
    will lead to victory.

    As geology plainly proclaims that each land has undergone great
    physical changes, we might have expected that organic beings would have
    varied under nature, in the same way as they generally have varied
    under the changed conditions of domestication. And if there be any
    variability under nature, it would be an unaccountable fact if natural
    selection had not come into play. It has often been asserted, but the
    assertion is quite incapable of proof, that the amount of variation
    under nature is a strictly limited quantity. Man, though acting on
    external characters alone and often capriciously, can produce within a
    short period a great result by adding up mere individual differences in
    his domestic productions; and every one admits that there are at least
    individual differences in species under nature. But, besides such
    differences, all naturalists
    have admitted the existence of varieties, which they think sufficiently
    distinct to be worthy of record in systematic works. No one can draw
    any clear distinction between individual differences and slight
    varieties; or between more plainly marked varieties and sub-species,
    and species. Let it be observed how naturalists differ in the rank
    which they assign to the many representative forms in Europe and North
    America.

    If then we have under nature variability and a powerful agent always
    ready to act and select, why should we doubt that variations in any way
    useful to beings, under their excessively complex relations of life,
    would be preserved, accumulated, and inherited? Why, if man can by
    patience select variations most useful to himself, should nature fail
    in selecting variations useful, under changing conditions of life, to
    her living products? What limit can be put to this power, acting during
    long ages and rigidly scrutinising the whole constitution, structure,
    and habits of each creature,—favouring the good and rejecting the bad?
    I can see no limit to this power, in slowly and beautifully adapting
    each form to the most complex relations of life. The theory of natural
    selection, even if we looked no further than this, seems to me to be in
    itself probable. I have already recapitulated, as fairly as I could,
    the opposed difficulties and objections: now let us turn to the special
    facts and arguments in favour of the theory.

    On the view that species are only strongly marked and permanent
    varieties, and that each species first existed as a variety, we can see
    why it is that no line of demarcation can be drawn between species,
    commonly supposed to have been produced by special acts of creation,
    and varieties which are acknowledged to have been produced by secondary
    laws. On this same view we can understand how it is that in each region
    where many species of a genus have been produced, and where they now
    flourish, these same species should present many varieties; for where
    the manufactory of species has been active, we might expect, as a
    general rule, to find it still in action; and this is the case if
    varieties be incipient species. Moreover, the species of the larger
    genera, which afford the greater number of varieties or incipient
    species, retain to a certain degree the character of varieties; for
    they differ from each other by a less amount of difference than do the
    species of smaller genera. The closely allied species also of the
    larger genera apparently have restricted ranges, and they are clustered
    in little groups round other species—in which respects they resemble
    varieties. These are strange relations on the view of each species
    having been independently created, but are intelligible if all species
    first existed as varieties.

    As each species tends by its geometrical ratio of reproduction to
    increase inordinately in number; and as the modified descendants of
    each species will be enabled to increase by so much the more as they
    become more diversified in habits and structure, so as to be enabled to
    seize on many and widely different places in the economy of nature,
    there will be a constant tendency in natural selection to preserve the
    most divergent offspring of any one species. Hence during a
    long-continued course of modification, the slight differences,
    characteristic of varieties of the same species, tend to be augmented
    into the greater differences characteristic of species of the same
    genus. New and improved varieties will inevitably supplant and
    exterminate the older, less improved and intermediate varieties; and
    thus species are rendered to a large extent defined and distinct
    objects. Dominant species belonging to the larger groups tend to give
    birth to new and dominant
    forms; so that each large group tends to become still larger, and at
    the same time more divergent in character. But as all groups cannot
    thus succeed in increasing in size, for the world would not hold them,
    the more dominant groups beat the less dominant. This tendency in the
    large groups to go on increasing in size and diverging in character,
    together with the almost inevitable contingency of much extinction,
    explains the arrangement of all the forms of life, in groups
    subordinate to groups, all within a few great classes, which we now see
    everywhere around us, and which has prevailed throughout all time. This
    grand fact of the grouping of all organic beings seems to me utterly
    inexplicable on the theory of creation.

    As natural selection acts solely by accumulating slight, successive,
    favourable variations, it can produce no great or sudden modification;
    it can act only by very short and slow steps. Hence the canon of
    “Natura non facit saltum,” which every fresh addition to our knowledge
    tends to make more strictly correct, is on this theory simply
    intelligible. We can plainly see why nature is prodigal in variety,
    though niggard in innovation. But why this should be a law of nature if
    each species has been independently created, no man can explain.

    Many other facts are, as it seems to me, explicable on this theory. How
    strange it is that a bird, under the form of woodpecker, should have
    been created to prey on insects on the ground; that upland geese, which
    never or rarely swim, should have been created with webbed feet; that a
    thrush should have been created to dive and feed on sub-aquatic
    insects; and that a petrel should have been created with habits and
    structure fitting it for the life of an auk or grebe! and so on in
    endless other cases. But on the view of each
    species constantly trying to increase in number, with natural selection
    always ready to adapt the slowly varying descendants of each to any
    unoccupied or ill-occupied place in nature, these facts cease to be
    strange, or perhaps might even have been anticipated.

    As natural selection acts by competition, it adapts the inhabitants of
    each country only in relation to the degree of perfection of their
    associates; so that we need feel no surprise at the inhabitants of any
    one country, although on the ordinary view supposed to have been
    specially created and adapted for that country, being beaten and
    supplanted by the naturalised productions from another land. Nor ought
    we to marvel if all the contrivances in nature be not, as far as we can
    judge, absolutely perfect; and if some of them be abhorrent to our
    ideas of fitness. We need not marvel at the sting of the bee causing
    the bee’s own death; at drones being produced in such vast numbers for
    one single act, and being then slaughtered by their sterile sisters; at
    the astonishing waste of pollen by our fir-trees; at the instinctive
    hatred of the queen bee for her own fertile daughters; at ichneumonidæ
    feeding within the live bodies of caterpillars; and at other such
    cases. The wonder indeed is, on the theory of natural selection, that
    more cases of the want of absolute perfection have not been observed.

    The complex and little known laws governing variation are the same, as
    far as we can see, with the laws which have governed the production of
    so-called specific forms. In both cases physical conditions seem to
    have produced but little direct effect; yet when varieties enter any
    zone, they occasionally assume some of the characters of the species
    proper to that zone. In both varieties and species, use and disuse seem
    to have produced some effect; for it is difficult to resist this
    conclusion
    when we look, for instance, at the logger-headed duck, which has wings
    incapable of flight, in nearly the same condition as in the domestic
    duck; or when we look at the burrowing tucutucu, which is occasionally
    blind, and then at certain moles, which are habitually blind and have
    their eyes covered with skin; or when we look at the blind animals
    inhabiting the dark caves of America and Europe. In both varieties and
    species correlation of growth seems to have played a most important
    part, so that when one part has been modified other parts are
    necessarily modified. In both varieties and species reversions to
    long-lost characters occur. How inexplicable on the theory of creation
    is the occasional appearance of stripes on the shoulder and legs of the
    several species of the horse-genus and in their hybrids! How simply is
    this fact explained if we believe that these species have descended
    from a striped progenitor, in the same manner as the several domestic
    breeds of pigeon have descended from the blue and barred rock-pigeon!

    On the ordinary view of each species having been independently created,
    why should the specific characters, or those by which the species of
    the same genus differ from each other, be more variable than the
    generic characters in which they all agree? Why, for instance, should
    the colour of a flower be more likely to vary in any one species of a
    genus, if the other species, supposed to have been created
    independently, have differently coloured flowers, than if all the
    species of the genus have the same coloured flowers? If species are
    only well-marked varieties, of which the characters have become in a
    high degree permanent, we can understand this fact; for they have
    already varied since they branched off from a common progenitor in
    certain characters, by which they have come to be specifically distinct
    from each other;
    and therefore these same characters would be more likely still to be
    variable than the generic characters which have been inherited without
    change for an enormous period. It is inexplicable on the theory of
    creation why a part developed in a very unusual manner in any one
    species of a genus, and therefore, as we may naturally infer, of great
    importance to the species, should be eminently liable to variation;
    but, on my view, this part has undergone, since the several species
    branched off from a common progenitor, an unusual amount of variability
    and modification, and therefore we might expect this part generally to
    be still variable. But a part may be developed in the most unusual
    manner, like the wing of a bat, and yet not be more variable than any
    other structure, if the part be common to many subordinate forms, that
    is, if it has been inherited for a very long period; for in this case
    it will have been rendered constant by long-continued natural
    selection.

    Glancing at instincts, marvellous as some are, they offer no greater
    difficulty than does corporeal structure on the theory of the natural
    selection of successive, slight, but profitable modifications. We can
    thus understand why nature moves by graduated steps in endowing
    different animals of the same class with their several instincts. I
    have attempted to show how much light the principle of gradation throws
    on the admirable architectural powers of the hive-bee. Habit no doubt
    sometimes comes into play in modifying instincts; but it certainly is
    not indispensable, as we see, in the case of neuter insects, which
    leave no progeny to inherit the effects of long-continued habit. On the
    view of all the species of the same genus having descended from a
    common parent, and having inherited much in common, we can understand
    how it is that allied species, when placed under considerably different
    conditions of life,
    yet should follow nearly the same instincts; why the thrush of South
    America, for instance, lines her nest with mud like our British
    species. On the view of instincts having been slowly acquired through
    natural selection we need not marvel at some instincts being apparently
    not perfect and liable to mistakes, and at many instincts causing other
    animals to suffer.

    If species be only well-marked and permanent varieties, we can at once
    see why their crossed offspring should follow the same complex laws in
    their degrees and kinds of resemblance to their parents,—in being
    absorbed into each other by successive crosses, and in other such
    points,—as do the crossed offspring of acknowledged varieties. On the
    other hand, these would be strange facts if species have been
    independently created, and varieties have been produced by secondary
    laws.

    If we admit that the geological record is imperfect in an extreme
    degree, then such facts as the record gives, support the theory of
    descent with modification. New species have come on the stage slowly
    and at successive intervals; and the amount of change, after equal
    intervals of time, is widely different in different groups. The
    extinction of species and of whole groups of species, which has played
    so conspicuous a part in the history of the organic world, almost
    inevitably follows on the principle of natural selection; for old forms
    will be supplanted by new and improved forms. Neither single species
    nor groups of species reappear when the chain of ordinary generation
    has once been broken. The gradual diffusion of dominant forms, with the
    slow modification of their descendants, causes the forms of life, after
    long intervals of time, to appear as if they had changed simultaneously
    throughout the world. The fact of the fossil remains of each formation
    being in some degree intermediate in character between the
    fossils in the formations above and below, is simply explained by their
    intermediate position in the chain of descent. The grand fact that all
    extinct organic beings belong to the same system with recent beings,
    falling either into the same or into intermediate groups, follows from
    the living and the extinct being the offspring of common parents. As
    the groups which have descended from an ancient progenitor have
    generally diverged in character, the progenitor with its early
    descendants will often be intermediate in character in comparison with
    its later descendants; and thus we can see why the more ancient a
    fossil is, the oftener it stands in some degree intermediate between
    existing and allied groups. Recent forms are generally looked at as
    being, in some vague sense, higher than ancient and extinct forms; and
    they are in so far higher as the later and more improved forms have
    conquered the older and less improved organic beings in the struggle
    for life. Lastly, the law of the long endurance of allied forms on the
    same continent,—of marsupials in Australia, of edentata in America, and
    other such cases,—is intelligible, for within a confined country, the
    recent and the extinct will naturally be allied by descent.

    Looking to geographical distribution, if we admit that there has been
    during the long course of ages much migration from one part of the
    world to another, owing to former climatal and geographical changes and
    to the many occasional and unknown means of dispersal, then we can
    understand, on the theory of descent with modification, most of the
    great leading facts in Distribution. We can see why there should be so
    striking a parallelism in the distribution of organic beings throughout
    space, and in their geological succession throughout time; for in both
    cases the beings have been connected by the bond of ordinary
    generation, and the means of
    modification have been the same. We see the full meaning of the
    wonderful fact, which must have struck every traveller, namely, that on
    the same continent, under the most diverse conditions, under heat and
    cold, on mountain and lowland, on deserts and marshes, most of the
    inhabitants within each great class are plainly related; for they will
    generally be descendants of the same progenitors and early colonists.
    On this same principle of former migration, combined in most cases with
    modification, we can understand, by the aid of the Glacial period, the
    identity of some few plants, and the close alliance of many others, on
    the most distant mountains, under the most different climates; and
    likewise the close alliance of some of the inhabitants of the sea in
    the northern and southern temperate zones, though separated by the
    whole intertropical ocean. Although two areas may present the same
    physical conditions of life, we need feel no surprise at their
    inhabitants being widely different, if they have been for a long period
    completely separated from each other; for as the relation of organism
    to organism is the most important of all relations, and as the two
    areas will have received colonists from some third source or from each
    other, at various periods and in different proportions, the course of
    modification in the two areas will inevitably be different.

    On this view of migration, with subsequent modification, we can see why
    oceanic islands should be inhabited by few species, but of these, that
    many should be peculiar. We can clearly see why those animals which
    cannot cross wide spaces of ocean, as frogs and terrestrial mammals,
    should not inhabit oceanic islands; and why, on the other hand, new and
    peculiar species of bats, which can traverse the ocean, should so often
    be found on islands far distant from any continent. Such facts
    as the presence of peculiar species of bats, and the absence of all
    other mammals, on oceanic islands, are utterly inexplicable on the
    theory of independent acts of creation.

    The existence of closely allied or representative species in any two
    areas, implies, on the theory of descent with modification, that the
    same parents formerly inhabited both areas; and we almost invariably
    find that wherever many closely allied species inhabit two areas, some
    identical species common to both still exist. Wherever many closely
    allied yet distinct species occur, many doubtful forms and varieties of
    the same species likewise occur. It is a rule of high generality that
    the inhabitants of each area are related to the inhabitants of the
    nearest source whence immigrants might have been derived. We see this
    in nearly all the plants and animals of the Galapagos archipelago, of
    Juan Fernandez, and of the other American islands being related in the
    most striking manner to the plants and animals of the neighbouring
    American mainland; and those of the Cape de Verde archipelago and other
    African islands to the African mainland. It must be admitted that these
    facts receive no explanation on the theory of creation.

    The fact, as we have seen, that all past and present organic beings
    constitute one grand natural system, with group subordinate to group,
    and with extinct groups often falling in between recent groups, is
    intelligible on the theory of natural selection with its contingencies
    of extinction and divergence of character. On these same principles we
    see how it is, that the mutual affinities of the species and genera
    within each class are so complex and circuitous. We see why certain
    characters are far more serviceable than others for classification;—why
    adaptive characters, though of paramount importance to the being, are
    of hardly any
    importance in classification; why characters derived from rudimentary
    parts, though of no service to the being, are often of high
    classificatory value; and why embryological characters are the most
    valuable of all. The real affinities of all organic beings are due to
    inheritance or community of descent. The natural system is a
    genealogical arrangement, in which we have to discover the lines of
    descent by the most permanent characters, however slight their vital
    importance may be.

    The framework of bones being the same in the hand of a man, wing of a
    bat, fin of the porpoise, and leg of the horse,—the same number of
    vertebræ forming the neck of the giraffe and of the elephant,—and
    innumerable other such facts, at once explain themselves on the theory
    of descent with slow and slight successive modifications. The
    similarity of pattern in the wing and leg of a bat, though used for
    such different purpose,—in the jaws and legs of a crab,—in the petals,
    stamens, and pistils of a flower, is likewise intelligible on the view
    of the gradual modification of parts or organs, which were alike in the
    early progenitor of each class. On the principle of successive
    variations not always supervening at an early age, and being inherited
    at a corresponding not early period of life, we can clearly see why the
    embryos of mammals, birds, reptiles, and fishes should be so closely
    alike, and should be so unlike the adult forms. We may cease marvelling
    at the embryo of an air-breathing mammal or bird having branchial slits
    and arteries running in loops, like those in a fish which has to
    breathe the air dissolved in water, by the aid of well-developed
    branchiæ.

    Disuse, aided sometimes by natural selection, will often tend to reduce
    an organ, when it has become useless by changed habits or under changed
    conditions
    of life; and we can clearly understand on this view the meaning of
    rudimentary organs. But disuse and selection will generally act on each
    creature, when it has come to maturity and has to play its full part in
    the struggle for existence, and will thus have little power of acting
    on an organ during early life; hence the organ will not be much reduced
    or rendered rudimentary at this early age. The calf, for instance, has
    inherited teeth, which never cut through the gums of the upper jaw,
    from an early progenitor having well-developed teeth; and we may
    believe, that the teeth in the mature animal were reduced, during
    successive generations, by disuse or by the tongue and palate having
    been fitted by natural selection to browse without their aid; whereas
    in the calf, the teeth have been left untouched by selection or disuse,
    and on the principle of inheritance at corresponding ages have been
    inherited from a remote period to the present day. On the view of each
    organic being and each separate organ having been specially created,
    how utterly inexplicable it is that parts, like the teeth in the
    embryonic calf or like the shrivelled wings under the soldered
    wing-covers of some beetles, should thus so frequently bear the plain
    stamp of inutility! Nature may be said to have taken pains to reveal,
    by rudimentary organs and by homologous structures, her scheme of
    modification, which it seems that we wilfully will not understand.

    I have now recapitulated the chief facts and considerations which have
    thoroughly convinced me that species have changed, and are still slowly
    changing by the preservation and accumulation of successive slight
    favourable variations. Why, it may be asked, have all the most eminent
    living naturalists and geologists rejected this view of the mutability
    of species? It cannot be
    asserted that organic beings in a state of nature are subject to no
    variation; it cannot be proved that the amount of variation in the
    course of long ages is a limited quantity; no clear distinction has
    been, or can be, drawn between species and well-marked varieties. It
    cannot be maintained that species when intercrossed are invariably
    sterile, and varieties invariably fertile; or that sterility is a
    special endowment and sign of creation. The belief that species were
    immutable productions was almost unavoidable as long as the history of
    the world was thought to be of short duration; and now that we have
    acquired some idea of the lapse of time, we are too apt to assume,
    without proof, that the geological record is so perfect that it would
    have afforded us plain evidence of the mutation of species, if they had
    undergone mutation.

    But the chief cause of our natural unwillingness to admit that one
    species has given birth to other and distinct species, is that we are
    always slow in admitting any great change of which we do not see the
    intermediate steps. The difficulty is the same as that felt by so many
    geologists, when Lyell first insisted that long lines of inland cliffs
    had been formed, and great valleys excavated, by the slow action of the
    coast-waves. The mind cannot possibly grasp the full meaning of the
    term of a hundred million years; it cannot add up and perceive the full
    effects of many slight variations, accumulated during an almost
    infinite number of generations.

    Although I am fully convinced of the truth of the views given in this
    volume under the form of an abstract, I by no means expect to convince
    experienced naturalists whose minds are stocked with a multitude of
    facts all viewed, during a long course of years, from a point of view
    directly opposite to mine. It is so easy
    to hide our ignorance under such expressions as the “plan of creation,”
    “unity of design,” etc., and to think that we give an explanation when
    we only restate a fact. Any one whose disposition leads him to attach
    more weight to unexplained difficulties than to the explanation of a
    certain number of facts will certainly reject my theory. A few
    naturalists, endowed with much flexibility of mind, and who have
    already begun to doubt on the immutability of species, may be
    influenced by this volume; but I look with confidence to the future, to
    young and rising naturalists, who will be able to view both sides of
    the question with impartiality. Whoever is led to believe that species
    are mutable will do good service by conscientiously expressing his
    conviction; for only thus can the load of prejudice by which this
    subject is overwhelmed be removed.

    Several eminent naturalists have of late published their belief that a
    multitude of reputed species in each genus are not real species; but
    that other species are real, that is, have been independently created.
    This seems to me a strange conclusion to arrive at. They admit that a
    multitude of forms, which till lately they themselves thought were
    special creations, and which are still thus looked at by the majority
    of naturalists, and which consequently have every external
    characteristic feature of true species,—they admit that these have been
    produced by variation, but they refuse to extend the same view to other
    and very slightly different forms. Nevertheless they do not pretend
    that they can define, or even conjecture, which are the created forms
    of life, and which are those produced by secondary laws. They admit
    variation as a vera causa in one case, they arbitrarily reject it in
    another, without assigning any distinction in the two cases. The day
    will come when this will be given as a curious illustration of
    the blindness of preconceived opinion. These authors seem no more
    startled at a miraculous act of creation than at an ordinary birth. But
    do they really believe that at innumerable periods in the earth’s
    history certain elemental atoms have been commanded suddenly to flash
    into living tissues? Do they believe that at each supposed act of
    creation one individual or many were produced? Were all the infinitely
    numerous kinds of animals and plants created as eggs or seed, or as
    full grown? and in the case of mammals, were they created bearing the
    false marks of nourishment from the mother’s womb? Although naturalists
    very properly demand a full explanation of every difficulty from those
    who believe in the mutability of species, on their own side they ignore
    the whole subject of the first appearance of species in what they
    consider reverent silence.

    It may be asked how far I extend the doctrine of the modification of
    species. The question is difficult to answer, because the more distinct
    the forms are which we may consider, by so much the arguments fall away
    in force. But some arguments of the greatest weight extend very far.
    All the members of whole classes can be connected together by chains of
    affinities, and all can be classified on the same principle, in groups
    subordinate to groups. Fossil remains sometimes tend to fill up very
    wide intervals between existing orders. Organs in a rudimentary
    condition plainly show that an early progenitor had the organ in a
    fully developed state; and this in some instances necessarily implies
    an enormous amount of modification in the descendants. Throughout whole
    classes various structures are formed on the same pattern, and at an
    embryonic age the species closely resemble each other. Therefore I
    cannot doubt that the theory of descent with modification
    embraces all the members of the same class. I believe that animals have
    descended from at most only four or five progenitors, and plants from
    an equal or lesser number.

    Analogy would lead me one step further, namely, to the belief that all
    animals and plants have descended from some one prototype. But analogy
    may be a deceitful guide. Nevertheless all living things have much in
    common, in their chemical composition, their germinal vesicles, their
    cellular structure, and their laws of growth and reproduction. We see
    this even in so trifling a circumstance as that the same poison often
    similarly affects plants and animals; or that the poison secreted by
    the gall-fly produces monstrous growths on the wild rose or oak-tree.
    Therefore I should infer from analogy that probably all the organic
    beings which have ever lived on this earth have descended from some one
    primordial form, into which life was first breathed.

    When the views entertained in this volume on the origin of species, or
    when analogous views are generally admitted, we can dimly foresee that
    there will be a considerable revolution in natural history.
    Systematists will be able to pursue their labours as at present; but
    they will not be incessantly haunted by the shadowy doubt whether this
    or that form be in essence a species. This I feel sure, and I speak
    after experience, will be no slight relief. The endless disputes
    whether or not some fifty species of British brambles are true species
    will cease. Systematists will have only to decide (not that this will
    be easy) whether any form be sufficiently constant and distinct from
    other forms, to be capable of definition; and if definable, whether the
    differences be sufficiently important to deserve a specific name. This
    latter point will become a far more essential consideration
    than it is at present; for differences, however slight, between any two
    forms, if not blended by intermediate gradations, are looked at by most
    naturalists as sufficient to raise both forms to the rank of species.
    Hereafter we shall be compelled to acknowledge that the only
    distinction between species and well-marked varieties is, that the
    latter are known, or believed, to be connected at the present day by
    intermediate gradations, whereas species were formerly thus connected.
    Hence, without quite rejecting the consideration of the present
    existence of intermediate gradations between any two forms, we shall be
    led to weigh more carefully and to value higher the actual amount of
    difference between them. It is quite possible that forms now generally
    acknowledged to be merely varieties may hereafter be thought worthy of
    specific names, as with the primrose and cowslip; and in this case
    scientific and common language will come into accordance. In short, we
    shall have to treat species in the same manner as those naturalists
    treat genera, who admit that genera are merely artificial combinations
    made for convenience. This may not be a cheering prospect; but we shall
    at least be freed from the vain search for the undiscovered and
    undiscoverable essence of the term species.

    The other and more general departments of natural history will rise
    greatly in interest. The terms used by naturalists of affinity,
    relationship, community of type, paternity, morphology, adaptive
    characters, rudimentary and aborted organs, etc., will cease to be
    metaphorical, and will have a plain signification. When we no longer
    look at an organic being as a savage looks at a ship, as at something
    wholly beyond his comprehension; when we regard every production of
    nature as one which has had a history; when we contemplate every
    complex structure
    and instinct as the summing up of many contrivances, each useful to the
    possessor, nearly in the same way as when we look at any great
    mechanical invention as the summing up of the labour, the experience,
    the reason, and even the blunders of numerous workmen; when we thus
    view each organic being, how far more interesting, I speak from
    experience, will the study of natural history become!

    A grand and almost untrodden field of inquiry will be opened, on the
    causes and laws of variation, on correlation of growth, on the effects
    of use and disuse, on the direct action of external conditions, and so
    forth. The study of domestic productions will rise immensely in value.
    A new variety raised by man will be a far more important and
    interesting subject for study than one more species added to the
    infinitude of already recorded species. Our classifications will come
    to be, as far as they can be so made, genealogies; and will then truly
    give what may be called the plan of creation. The rules for classifying
    will no doubt become simpler when we have a definite object in view. We
    possess no pedigrees or armorial bearings; and we have to discover and
    trace the many diverging lines of descent in our natural genealogies,
    by characters of any kind which have long been inherited. Rudimentary
    organs will speak infallibly with respect to the nature of long-lost
    structures. Species and groups of species, which are called aberrant,
    and which may fancifully be called living fossils, will aid us in
    forming a picture of the ancient forms of life. Embryology will reveal
    to us the structure, in some degree obscured, of the prototypes of each
    great class.

    When we can feel assured that all the individuals of the same species,
    and all the closely allied species of most genera, have within a not
    very remote period descended
    from one parent, and have migrated from some one birthplace; and when
    we better know the many means of migration, then, by the light which
    geology now throws, and will continue to throw, on former changes of
    climate and of the level of the land, we shall surely be enabled to
    trace in an admirable manner the former migrations of the inhabitants
    of the whole world. Even at present, by comparing the differences of
    the inhabitants of the sea on the opposite sides of a continent, and
    the nature of the various inhabitants of that continent in relation to
    their apparent means of immigration, some light can be thrown on
    ancient geography.

    The noble science of Geology loses glory from the extreme imperfection
    of the record. The crust of the earth with its embedded remains must
    not be looked at as a well-filled museum, but as a poor collection made
    at hazard and at rare intervals. The accumulation of each great
    fossiliferous formation will be recognised as having depended on an
    unusual concurrence of circumstances, and the blank intervals between
    the successive stages as having been of vast duration. But we shall be
    able to gauge with some security the duration of these intervals by a
    comparison of the preceding and succeeding organic forms. We must be
    cautious in attempting to correlate as strictly contemporaneous two
    formations, which include few identical species, by the general
    succession of their forms of life. As species are produced and
    exterminated by slowly acting and still existing causes, and not by
    miraculous acts of creation and by catastrophes; and as the most
    important of all causes of organic change is one which is almost
    independent of altered and perhaps suddenly altered physical
    conditions, namely, the mutual relation of organism to organism,—the
    improvement of one being entailing the improvement or the extermination
    of
    others; it follows, that the amount of organic change in the fossils of
    consecutive formations probably serves as a fair measure of the lapse
    of actual time. A number of species, however, keeping in a body might
    remain for a long period unchanged, whilst within this same period,
    several of these species, by migrating into new countries and coming
    into competition with foreign associates, might become modified; so
    that we must not overrate the accuracy of organic change as a measure
    of time. During early periods of the earth’s history, when the forms of
    life were probably fewer and simpler, the rate of change was probably
    slower; and at the first dawn of life, when very few forms of the
    simplest structure existed, the rate of change may have been slow in an
    extreme degree. The whole history of the world, as at present known,
    although of a length quite incomprehensible by us, will hereafter be
    recognised as a mere fragment of time, compared with the ages which
    have elapsed since the first creature, the progenitor of innumerable
    extinct and living descendants, was created.

    In the distant future I see open fields for far more important
    researches. Psychology will be based on a new foundation, that of the
    necessary acquirement of each mental power and capacity by gradation.
    Light will be thrown on the origin of man and his history.

    Authors of the highest eminence seem to be fully satisfied with the
    view that each species has been independently created. To my mind it
    accords better with what we know of the laws impressed on matter by the
    Creator, that the production and extinction of the past and present
    inhabitants of the world should have been due to secondary causes, like
    those determining the birth and death of the individual. When I view
    all beings not as special creations, but as the lineal descendants of
    some few beings which lived long before the
    first bed of the Silurian system was deposited, they seem to me to
    become ennobled. Judging from the past, we may safely infer that not
    one living species will transmit its unaltered likeness to a distant
    futurity. And of the species now living very few will transmit progeny
    of any kind to a far distant futurity; for the manner in which all
    organic beings are grouped, shows that the greater number of species of
    each genus, and all the species of many genera, have left no
    descendants, but have become utterly extinct. We can so far take a
    prophetic glance into futurity as to foretel that it will be the common
    and widely-spread species, belonging to the larger and dominant groups,
    which will ultimately prevail and procreate new and dominant species.
    As all the living forms of life are the lineal descendants of those
    which lived long before the Silurian epoch, we may feel certain that
    the ordinary succession by generation has never once been broken, and
    that no cataclysm has desolated the whole world. Hence we may look with
    some confidence to a secure future of equally inappreciable length. And
    as natural selection works solely by and for the good of each being,
    all corporeal and mental endowments will tend to progress towards
    perfection.

    It is interesting to contemplate an entangled bank, clothed with many
    plants of many kinds, with birds singing on the bushes, with various
    insects flitting about, and with worms crawling through the damp earth,
    and to reflect that these elaborately constructed forms, so different
    from each other, and dependent on each other in so complex a manner,
    have all been produced by laws acting around us. These laws, taken in
    the largest sense, being Growth with Reproduction; Inheritance which is
    almost implied by reproduction; Variability from the indirect and
    direct action of the external conditions
    of life, and from use and disuse; a Ratio of Increase so high as to
    lead to a Struggle for Life, and as a consequence to Natural Selection,
    entailing Divergence of Character and the Extinction of less-improved
    forms. Thus, from the war of nature, from famine and death, the most
    exalted object which we are capable of conceiving, namely, the
    production of the higher animals, directly follows. There is grandeur
    in this view of life, with its several powers, having been originally
    breathed into a few forms or into one; and that, whilst this planet has
    gone cycling on according to the fixed law of gravity, from so simple a
    beginning endless forms most beautiful and most wonderful have been,
    and are being, evolved.

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    2022年5月2日,网络披露一份长达98页的判决稿,曝光美国联邦最高法院拟推翻罗伊诉韦德案的判决。2022年6月24日,美国最高法院今天裁定,取消宪法规定的堕胎权,推翻1973年“罗伊诉韦德案”的裁决(此案裁决使堕胎在美国合法化),并将堕胎的合法性问题留给了各州应对。以下为流出稿译文。

    第一版草案

    通知:在《美国法院报告》首印版公开出版之前,本意见会进行正式修订。如有任何印刷或其他形式上的错误,请读者联系美国最高法院裁决报告人(华盛顿特区20543),以便在出版付印之前进行更正。

    美国联邦最高法院 No. 19-1392
    托马斯 E. 多布斯,密西西比州卫生部官员诉美国杰克逊妇女健康组织案
    向美国第五巡回上诉法院发出的调卷令 2022年2月__日

    阿利托大法官发表法院意见

    在美国,堕胎一直是一个深刻的道德问题,美国人民之间一直就此持有截然对立的观点。一些人坚持认为生命始于受孕,堕胎就是杀死一个无辜的生命;另一些人则同样坚定地认为,任何对堕胎的管控都侵犯了女性控制自己身体的权利,并且阻碍女性完全实现平等。还有一些人则认为,应当在特定情况下允许堕胎,但是特定情况的范围一直存在争议。
    在宪法通过后的185年内,每个州都可以根据其公民的意见处理堕胎问题。1973年,本院对罗伊诉韦德案(Roe v. Wade, 410 U.S. 113.)做出裁决。尽管宪法没有提到堕胎权,但本院认为宪法赋予公民的广泛权利中包含这一权利。1973年判决中确实没有声称美国法律或普通法曾经承认过所谓的“堕胎权”,并且其意见陈述了从认为堕胎与宪法无关(例如古代的堕胎问题),到认为完全不应当否定堕胎权(例如在普通法中堕胎可能从来都不构成犯罪)等各种观点。在罗列了大量与宪法无关的其他信息后,这份判决像立法机关制定法规一样以一连串规则作结。
    根据罗伊案的方案,孕期以三个月为单位分成三个阶段,每个阶段都有不同规定,最关键的界限大约划定在第六个月的末尾,即认为胎儿具有在子宫外生存的“体外存活能力(viability)”。尽管本院承认国家有保护“潜在生命”的合法利益,但也认为这种利益不能证成对具备体外生存能力前(pre-viability)堕胎的限制。本院并没有解释这种界限划定方式的依据,甚至堕胎的支持者们也很难为罗伊案的论证辩护。一位知名宪法学者写道,如果他是“立法者”,他“会投票支持类似此前本院判决的法规”,但他对罗伊案的评价却令人难忘并且十分残酷:罗伊案根本“不符合宪法”,并且“几乎不觉得合宪是一种义务”。
    罗伊案时,美国有30个州仍然禁止在怀孕的任何阶段堕胎。在该裁决之前几年里,约有三分之一的州已经放宽了堕胎法律,但罗伊案以十分突然的方式结束了这一政治进程。该案给整个国家强加了严厉的约束,推翻了每个州的堕胎法。正如拜伦·怀特(Byron White)法官的反对意见中所说,这一裁决代表了“司法权力的粗放行使(exercise of raw judicial power)”(410 U. S., at 222),它引发了一场全国性的争论,这场争论困扰了我们的政治文化半个世纪之久。
    最终,在宾夕法尼亚州东南部计划生育协会诉凯西案(505 U. S. 833 (1992))中,法院重新审视了罗伊案,九位法官分成了三派。两位大法官表示不希望以任何方式改变罗伊案判决。其他四位大法官希望完全推翻该判决。而剩下三位共同签署了多数意见,大法官则采纳了第三种立场。他们并不赞同罗伊案的推理,甚至暗示其中一位或多位裁判法官可能对宪法是否保护堕胎权持 “保留意见”。但意见书的结论遵守了遵循先例原则,这一原则要求在大多数情况下遵循先前的决定,也即凯西案要遵循罗伊案的“核心主张”——尚未具备“体外生存能力(viability)”的胎儿不受宪法保护——即使这一观点是错误的。意见书称,如果不这样做,就会破坏对本院先例和法治的尊重。
    矛盾的是,凯西案的判决否定了很多东西。它全盘推翻了几个重要的堕胎判决,也部分推翻了罗伊案本身。凯西案放弃了罗伊案的三期分界法,代之以一条来源不明的新规则,据此各州不得通过任何对女性堕胎权造成“不当负担”。凯西案判决并未就什么是“适当的”和“不适当的”负担提供明确的指导。但是签署了多数意见的三位大法官“要求这一全国性争论的双方结束他们的全国性分歧”,将这一判决视为堕胎权宪法权利属性问题的最终解决方案。
    随后几年的情况越来越清楚地表明,凯西案并没有实现它的目标。美国人民仍然十分关注堕胎问题,而且分歧极大,各州的立法机构也采取了相应的行动。一些州最近立法允许在怀孕的各个阶段堕胎,限制很少。另一些州则严格限制堕胎,即使胎儿还远不具备体外生存能力(viability)。而在本案中,有26个州明确要求本院推翻罗伊案和凯西案,允许各州自行管理或禁止胎儿具备体外生存能力前的堕胎行为。
    现在在我们面前的是这样一部州法律。密西西比州要求我们判决一条禁止在怀孕15周后堕胎的法律合宪,而依照现行观点,15周的胎儿再过几周才能具备体外生存能力。密西西比州的主要论点是,我们应该重新考虑并推翻罗伊案和凯西案,重新允许每个州按照其公民的意愿来管理堕胎问题。被告和副检察长则要求本院维持罗伊案和凯西案,认为依照先例,密西西比州的主张不能成立。被告和副检察长还辩称,如果允许密西西比州禁止在怀孕15周后堕胎,“与完全推翻凯西案和罗伊案没有区别。”(被告意见摘要43)。他们认为“不存在折衷的办法”,我们只能维持或推翻罗伊案和凯西案。Id., at 50.
    我们认为,罗伊案和凯西案必须被推翻。宪法没有提到堕胎权,并且任何宪法条款都无法解释出对这一权利的保护,包括罗伊和凯西的辩护人所依据的条款——第十四修正案的正当程序条款。该条款可以保护宪法中没有提到的一些权利,但任何能够依此条款得到保护的权利必须“厚植于这个国家的历史和传统之中”,并且“隐含在井然有序的自由这一概念中”。华盛顿诉格鲁兹堡案(Washington v. Glucksberg,521 U. S. 702, 721(1997))(省略内部引号)。
    堕胎权并不属于上述范畴。20世纪后半叶以前,美国法律中从未规定过堕胎权。事实上,第十四条修正案通过时,美国四分之三的州规定在怀孕的任何阶段堕胎都是犯罪。堕胎权也与本院认为的其他属于第十四修正案保护范围的“自由”存在重大差别。罗伊案的辩护人主张堕胎权与先例中所承认的亲密性关系、避孕和婚姻等权利具有同样特性,但堕胎权与这些权利的本质不同,因为正如罗伊案和凯西案所承认,堕胎权否定了先前判决认定的“胎儿生命”和本案中要处理的密西西比州法律所描述的“未出生的人类”。
    凯西案中多数意见所坚持的遵循先例原则并不能消除对罗伊案滥用司法权力的质疑。罗伊案从一开始就异乎寻常地错误。它的推理十分薄弱,并且其判决产生了破坏性的后果。罗伊案和凯西案不仅未能给堕胎问题提供全国性的解决方案,反而激化了讨论,加深了分歧。
    现在是时候听从宪法,并将堕胎问题交还给人民选出的代表了。“允许还是限制堕胎,应该像我们民主制度中最重要的问题一样来解决:由公民们相互说服,然后投票做出决定”。凯西案(Casey, 505 U. S., at 979)(斯卡利亚大法官对判决结果部分持协同意见部分持反对意见)。这就是宪法和法治的要求。

    I

    本案的争议法律,密西西比州《妊娠年龄法》,参见Miss. Code Ann. §41-41-191,的一个核心条款是:“除紧急医疗情况或严重的胎儿畸形情况外,如果胎儿超过15周,任何人不得故意或明知实施或诱使他人堕胎。”§4(b).
    为了支持这项法案,密西西比州立法机构做出了一系列事实认定。它首先指出,在颁布该法时,除美国外只有六个国家 “允许在妊娠20周后按需进行非治疗性或自愿选择堕胎”。§2(a)。该州立法机关还指出,在第五或第六周时,“胎儿的心脏开始跳动”;第八周时,“胎儿开始可以在子宫内活动”;第九周时,“胎儿已具备所有基本的生理功能。”第十周时,“重要器官开始运作”,“头发、手指甲和脚趾甲开始形成”;第十一周时,“胎儿的横膈膜开始发育”,“可以在子宫内自由活动”;十二周时,“胎儿”已经“在所有相关方面具备了人的形态”。§2(b)(i)(引自冈萨雷斯诉卡哈尔案(Cf. Gonzales v. Carharl,550 U. S. 124, 160 (2007))。该州立法机构又指出,大多数第15周后的堕胎都采用了宫颈扩张钳刮术(dilation and extraction),使用手术器械粉碎和撕裂未出生的胎儿,”最终得出结论,“非治疗性或自愿选择堕胎的行为是一种野蛮的做法,既危害产妇,也侮辱医疗行业”。§2(b)(ii)。
    被告是一家堕胎诊所杰克逊妇女健康组织和它的一名医生。在《妊娠年龄法》颁布当天,被告在联邦地区法院起诉密西西比州的多名官员,声称该法违反了最高法院关于宪法规定堕胎权的先例。地区法院做出了有利于被告的简易判决(summary judgement),并永久禁止执行该法案,理由是“体外生存能力标明了国家存在保护胎儿的宪法利益的最早开始点,此时立法机关禁止非治疗性堕胎具有正当性”,而发育到15周的胎儿尚未达到具备“体外生存能力”。349 F. Supp. 3d 536, 539-540(SD Miss 2019) (内部引号和引文省略)。第五巡回上诉法院维持原判。(945 F. 3d 265 (CA5 2019))。
    本院批准了调卷令以解决“是否所有禁止具备体外生存能力前的自愿堕胎行为都是违宪的”这一问题。Pet. Foe Cert. At i. 对《密西西比州妊娠年龄法》的主要辩护在于,罗伊案和凯西案是错误的,“本法案是合宪的,因为它满足了合理基础审查” (被告意见摘要49)。被告辩称,允许密西西比州禁止具备体外生存能力前的堕胎“将与完全推翻罗伊案和凯西案没有区别。”(被告意见摘要43)。被告主张“不存在折衷的方法”:我们必须维持或推翻罗伊案和凯西案。Id., at 50。

    II

    我们首先考虑一个关键问题,即正确理解宪法是否赋予公民获得堕胎的权利。凯西案的控制性意见跳过了这一问题,仅基于先例遵循原则维持了罗伊案的“核心观点”。但是正如我们将要解释的那样,正确适用遵循先例原则要求对罗伊案所依据的理由的强度做出评估。见下文。
    因此,我们转向凯西案中过半数法官没有考虑的一个问题,并将分三步解决这个问题。首先,我们将解释第十四修正案中的“自由”条款是否保护某项特定权利的判定标准。其次,我们将检验本案议争的权利是否植根于我们国家的历史和传统,以及它是否属于我们所描述的“井然有序的自由”的必要组成部分。最后,我们将考虑获得堕胎的权利是否得到其他先例的支持。

    A

    1

    宪法分析必须从“文本的语言”开始,吉本斯诉奥格登案(Gibbons v. Ogden, 9 Wheat. I, 186-189 (1824)),文本可以为我们探求宪法含义提供一个“确定的标准”。宪法没有明确提到公民有堕胎的权利,因此,那些声称宪法保护这种权利的人必须证明宪法的文本中隐含了这样的意思。
    然而,罗伊案对待宪法文本的态度异常不严谨。该案认为,宪法中没有提到的堕胎权,属于宪法中同样没有提到的隐私权的一部分。参见410 U. S., at 152-153. 罗伊案注意到,该隐私权至少来源于宪法第一、第四、第五、第九和第十四修正案等五个条款。Id., at 152.
    法院的讨论包含了至少三种组合这些条款来保护堕胎权的方法。一种可能性是认为该权利“建立……在第九修正案对人民权利的保留中”。Id., at 153. 另一种可能性是这项权利植根于第一、第四或第五修正案,或这些条款的某种组合中,并且和许多其他权利法案一样,已“纳入”第十四修正案的正当程序条款(Due Process Clause)。Ibid; 参见麦克唐纳诉芝加哥案(McDonald v. Chicago, 561 U.S. 742, 763-766 (2010))(相对多数意见)(讨论并入)。第三种方式是认为第一、第四和第五修正案没有发挥任何作用,该权利只是受第十四修正案的正当程序条款保护的“自由”的一个组成部分。罗伊案(410 U.S., at 153)。罗伊案表达了这样一种“感觉”,即第十四修正案是起作用的条款,但它传递的信息似乎是,堕胎权可以在宪法的某个地方找到,而明确其准确的位置并不重要。凯西法院没有为这种模糊不清的分析辩护,而是将其判决完全建立在这样一种理论之上:堕胎权是受第十四修正案所保护的“自由”的一部分。
    我们将在下文深入讨论这一理论。但在此之前,我们先简要介绍一下一些被告的法庭之友现已提出的另一项宪法条款,认为其可以提供堕胎权的另一个潜在根据:第四修正案的平等保护条款(Equal Protection Clause)。参见美国作为法庭之友意见摘要24;亦参见平等保护宪法学者作为法庭之友的的意见摘要。这一理论宣称,国家对堕胎的规定不是基于性别分类的,因此不受适用于该分类的“严格审查标准(heightened scrutiny)”的约束。无论是罗伊案还是凯西案都认为这一理论不适合援引,并且该理论已被我们的先例完全排除。对只有一种性别才能接受的医疗程序的监管不会引发更严格的宪法审查,除非该法规“仅仅是一个借口,旨在对一种性别或另一种性别的成员进行令人反感的歧视”。参见吉道蒂格诉艾洛案(Geduldig v. Aillo, 417 U. S. 484, 496 n. 20(1974))。此外,正如法院所言,“防止堕胎的目标”并不构成“对妇女的令人反感的歧视性敌意”,参见布雷诉亚历山大女子健康诊所案(Bray v. Alexandria Women’s Health Clinic, 506 U. S. 263, 273-274 (1993)(省略内部引用))。因此,管制或禁止堕胎的法律不受严格审查标准的约束。相反,它们受到与其他健康和安全措施相同的审查标准的约束。
    有了这一新理论,我们转向凯西案的大胆主张,即堕胎权是受第十四修正案的正当程序条款(the Due Process Clause)保护的“自由”的一个方面(505 U. S., at 846);被告意见摘要17;美国法庭之友摘要21-22。

    2

    这一论点所依据的基本理论——即第十四修正案的正当程序条款为“自由”提供了实体性以及程序性保护——长期以来一直存在争议。但我们决议认为,正当程序条款保护两类实体权利。
    第一类包括前八条修正案所保障的权利。这些修正案最初只适用于联邦政府,见巴伦诉巴尔的摩市长案(Barron ex rel. Tiernan v. Mayor of Baltimore, 7 Pet. 243, 247-251 (1833))(马歇尔大法官意见),但本法院认为,第十四修正案的正当程序条款“包含”了这些权利的绝大部分,从而使它们同样适用于各州,见麦克唐纳案(McDonald, 561 U. S., at 763- 767 & nn. 12-13)。第二类——即此处讨论的——包括了一系列宪法中没有提到的基本权利。
    在决定一项权利是否属于这两类中的任何一类时,法院长期以来一直在调查该权利是否“深深扎根于[我们的]历史和传统”,以及其是否对我们国家的“井然有序的自由的体系(scheme of ordered liberty)”至关重要,见蒂姆斯诉印第安纳州案(Timbs v. Indiana, 586 U.S. (2019) (slip op., at 3) (省略内部引号));麦克唐纳案(McDonald, 561 U. S., at 764);格鲁克伯格案(Glucksberg, 521 U. S. , at 721 (1997))。并且在进行这一调查时,我们对有争议的权利的历史做出了仔细的分析。
    金斯伯格大法官在蒂姆斯诉印第安纳州案(Timbs v. Indiana, Id)中为法院提供的判决意见就是一个新近的例子。其结论为,第八修正案对过度罚款的保护是“我们井然有序的自由的体系之基础”,并且“深深扎根于这个国家的历史和传统”,568 U.S., at__(slip op., at 7)(引文省略),她的意见将这项权利追溯到《大宪章》(Magna Carta)、《布莱克斯通释义》和第十四修正案批准时生效的37部州宪法中的35部。Id., at__(slip op., at 3-7).
    法院在麦克唐纳案中也进行了类似的审查。该案认为,第十四修正案保护了持有并携带武器的权利。多数意见考查了第二修正案的起源,国会关于通过第十四修正案的讨论,该修正案批准时有效的州宪法(37个州中至少有22个州保护持有并携带武器的权利)。561 U. S., at 767-777。然后,该意见才总结道:“第十四修正案的制定者和批准者将持有并携带武器的权利视为我们井然有序的自由的体系所必需的基本权利之一。”561 U. S., at 778; 也参见id., at 822-850 (托马斯大法官部分对推理部分同意,对判决持协同意见)(调查历史并根据第十四修正案的特权或豁免条款得出同样的结果)。
    蒂姆斯案(Timbs)和麦克唐纳案(McDonald)涉及了第十四修正案是否保护权利法案中明确规定的权利的问题,并且,如果一项宪法中没有提到的推定权利不需要类似的历史支持,那将是不妥的。因此,在判决正当程序条款没有授予协助自杀的权利的格鲁克伯格案中,法院调查了700多年的“英美普通法传统”,521 U. S., at 710,并明确提出,一项基本权利必须“客观地、深刻地扎根于这个国家的历史和传统中”,id., at 720-721。
    当我们被要求承认正当程序条款保护的“自由”的新组成部分时,这种性质的历史调查是必不可少的,因为“自由”这一术语本身并没有提供什么指导。“自由”是一个宽泛的术语。正如林肯曾说:“我们都宣扬自由;但是在使用相同的词汇时,我们不一定都有相同的意味。”正如赛亚·伯林(Isaiah Berlin)在一篇著名的文章中所言,“思想史家”已经记载了200多种这一术语的不同使用含义。
    在解释第十四修正案提到的“自由”的含义时,我们必须防止人类的自然倾向,即把该修正案保护的内容同我们自己对美国人应享有的自由的热切观念相混淆。这就是为什么法院长期以来一直“不情愿”承认宪法中没有提到的权利。柯林斯诉哈克高地案(Collins v. Harker Heights, 503 U. S. 115, 125(1992))。“实质性正当程序原则有时对本法院来说是一个危险的领域”,参见摩尔诉东克利夫兰案(Moore v. East Cleveland, 431 U. S. 494, 503 (1977) )(相对多数意见),并且它有时会导致法院侵犯宪法赋予公民的选举众议员的权利,见密歇根州大学董事诉尤因案(Regents of Univ. of Mich. v. Ewing, 474 U.S. 214, 225-226 (1985))。正如法院在格鲁克斯伯格案中提醒的那样,“我们必须……在被要求于这个领域开辟新天地时保持最大的谨慎,以免正当程序条款保护的自由被巧妙转化为本法院成员的政策偏好。”521 U.S., at 720(省略内部引用)。
    有时,当法院无视“尊重历史教训”所施加的“适当限制”时,摩尔案(Moore, 431 U.S., at 503)),它就会陷入无约束的司法政策制定中,就像洛克纳诉纽约州案(Lochner v. New York, 198 U. S. 45, 25 (1905))中呈现的不可信判决的特点。法院决不能被这种无原则的做法所迷惑。相反,在历史和传统的指导下,我们必须询问第十四修正案中“自由”一词的含义。当我们在本案中进行这一审查时,明确的答案是,第十四修正案不保护堕胎的权利。

    B

    1

    直到20世纪后半叶,美国法律中还没有支持堕胎的宪法权利,完全没有任何一个州的宪法条款承认这种权利。直到罗伊案宣判的前几年,也仍没有一个联邦或州法院承认这样的权利。我们所知的学术论文中也没有。并且,虽然法学评论文章在主张新权利时从不缄默,我们注意到的最早主张堕胎宪法权利的文章也仅仅在罗伊案之前几年才发表。
    不仅在罗伊案发生前不久,这种宪法权利都还未得到支持,并且长期以来堕胎在各州都是一种犯罪。在普通法中,至少在怀孕的某些阶段堕胎是一种犯罪行为,在怀孕的所有阶段堕胎都是不合法的行为,并可能产生非常严重的后果。美国法律一直遵循着这些普通法,直到19世纪的一批法定限制扩大了堕胎的刑事责任。到第十四修正案通过时,四分之三的州已将在任何怀孕阶段的堕胎都定为犯罪,其余州也很快跟进。
    罗伊案要么忽略了这段历史,要么错误地陈述了这段历史,而凯西案拒绝重新考虑罗伊案的错误历史分析。因此澄清此历史事实是重要的。

    2

    i

    我们从普通法开始,根据普通法,至少在“首次胎动(quickening)”——胎儿在子宫内第一次被感觉到的运动,通常发生在怀孕的第16至18周之间——之后的堕胎就是犯罪。
    “知名的普通法权威(布莱克斯通、科克、黑尔等)”,卡勒诉堪萨斯案(Kahler v. Kansas, 589 U. S. __,__(2020) (slip op., at 7),全都将首次胎动后的堕胎视为犯罪。布莱克顿(Henry de Bracton)在其13世纪的论文中解释道,如果一个人“攻击一位孕妇,或者给她下毒药,从而导致流产,如果胎儿已经成形并有生命力,尤其是胎儿有了生命力,他就犯了杀人罪”。H. Bracton, De Legibus et Consuetudinibus Angliae 279 (T. Twiss ed. 1879); 也见1 Fletach. 20, reprinted in 53 Sel den Soc’y 60-61 (H.G.Richardson & G.O Sayles eds. 1953) (13th century treatise))。
    爱德华·科克爵士在17世纪的论文中同样指出,如果“孩子活着出生”,堕胎就是“谋杀”;如果“孩子死在她的身体里”,就是“恶性犯罪(misprision)”。Institutes of the Laws of England 50-51(1644)。(“恶性犯罪”指“重罪程度下的一些令人发指的罪行”。Id., at 139. )马修·黑尔爵士的两篇论文同样将对死于子宫中的胎动儿童的堕胎描述为“重大犯罪”或“恶性犯罪”。参见M. Hale, Pleas of the Crown:Or, A Me thodical Summary of the Principal Matters Relating to that Subject 53 (1673)(P. R. Glazebrook, ed. 1973); 1 M.Hale, History of Pleas of the Crown 433 (1736) (Hale)。此外,在与我国宪法通过时间相近的时候,布莱克斯通写道,堕“已胎动”的孩子“根据古代法律是杀人或过失杀人”(引自布莱克顿),并且至少是“极其可憎的不法行为”(引自科克),1 Blackstone, Commentaries on the Laws of England*129- *130 (7th ed. 1775) (布莱克斯通)。
    可追溯到13世纪的英国案例证实了这些论文中堕胎是一种犯罪的说法。典型见J. Dellapenna, Dispelling the Myths of Abortion History 126 & n. 16,134-142, 188-194 & nn.84-86 (2005) (Dellapenna); J. Keown, Abortion, Doctors, and the Law 3- 12 (1988) (Keown)。例如,在1732年,埃利诺·比尔(Eleanor Beare)被宣判犯有“摧毁另一个女人子宫内的胎儿”和“因此导致她流产”的罪行。由于此罪和另一个“轻罪”,比尔被判颈手枷刑与三年监禁。
    尽管胎动前堕胎本身不被视为谋杀,但这并不意味着堕胎在普通法中是被允许的——更不意味着堕胎是一项合法权利。华盛顿诉格鲁兹堡案(Cf.  Washington v. Glucksberg, 521 U.S. 702, 713 (1997))(取消“普通法的严厉制裁并不代表对自杀的接受”)。恰恰相反,在上述1732年的案件中,法官在谈到对堕胎的指控(没有提到胎动)时说,他“从未遇到过如此野蛮和反常的案件”。类似地,1602年的一份起诉书没有区分胎动前和胎动后堕胎,将堕胎描述为“有害的”和“有损我们女王安宁、王权和尊严的”。Ke­own 7 (discussing R. v. Webb, Calendar of Assize Records, Surrey Indictments 512 (1980))。
    普通法甚至不赦免胎动前堕胎,这一点可以被所谓的原重罪谋杀规则所证实。黑尔(Hale)和布莱克斯通(Blackstone)解释了胎动前堕胎如何上升到谋杀的程度。黑尔(Hale)写道,如果一名执业医师给一名“怀着孩子”的妇女服用“药剂”使其流产,而该妇女死亡,这就是“谋杀”,因为“药剂是非法给予的,目的是毁掉她腹中的孩子”。1 Hale 429-430(emphasis added)。正如布莱克斯通( Blackstone)所解释的,要成为“谋杀”,杀人必须带有“事先恶意,无论是明示的还是暗示的”。4 Blackstone 198, 199。在堕胎者的案件中,布莱克斯通( Blackstone)写道,“法律将暗示[恶意]”,其原因与一个意图杀死一个人的人意外杀死了另一个人时,法律会暗示恶意的原因相同:
    “如果一个人向A开枪,没有打中他,但却打死了B,这就是谋杀;因为法律把之前的犯罪意图从一个人身上转移到另一个人身上。同样的情况是,如果一个人为A准备了毒药;而B——犯人对他没有主观恶意——服用了毒药,并杀死了他;这同样是谋杀。同样,如果一个人给一名怀有孩子的妇女服用药物让其流产,而药物的作用如此猛烈以至于杀死了该妇女,那么下药的人也是谋杀。”4 Blackstone 200(emphasis added)
    值得注意的是,与黑尔(Hale)一样,布莱克斯通(Blackstone)并未说明这一原重罪谋杀规则要求女性“怀有已胎动的孩子”,而仅仅是“怀有孩子”。同上。它揭示了在该案中,黑尔和布莱克斯通对待堕胎者的方式不同于其他内科或外科医生。其他内科医生或外科医生“无意对患者造成任何身体伤害”而导致患者死亡。Hale 429;参见 4 Blackstone 197。这些其他医生即使“没有执照”,也不会“犯谋杀或过失杀人罪”。Hale 429。但是,一个进行堕胎手术的执业医师就是犯罪,因为他的目的是“非法的”。
    总而言之,尽管普通法当局对在怀孕的不同阶段实施堕胎的惩罚力度有所不同,但没有一个当局赞同这种做法。此外,我们不知道有任何普通法案例或权威,而且双方也没有指出任何案例或权威,暗示在怀孕的任何阶段都有获得堕胎的积极权利。

    ii

    在这个国家,历史记录也是类似的。“最重要的早期美国版布莱克斯通释义”,哥伦比亚特区诉海勒案(District of Columbia v. Heller, 554 U.S. 570, 594 (2008)),报告了布莱克斯通的声明,即堕已胎动的孩子至少是“令人发指的轻罪”,1 St. George Tucker, Blackstone’s Commentaries 129-130 (1803) (Tucker’s Blackstone),而该版本还包括布莱克斯通对原重罪谋杀规则的讨论,4 Tucker’s Blackstone 200-201。18世纪在殖民地印刷的治安官手册典型地维持了普通法关于堕胎的规则,一些手册重复了黑尔和布莱克斯通的声明,即如果妇女死亡,任何开出“非法摧毁孩子”的药物的人都将犯有谋杀罪。见 e.g., J. Parker, Conductor Generalis: Or the Office, Duty and Authority of Justices of the Peace 220 (1788); 2 R. Burn, Justice of the Peace, and Parish Officer 221-222 (7th ed.1762)(English manual stating the same)。
    早期殖民地时期的少数案例证实了堕胎是一种犯罪。典型见Dellapenna 215-228 (collecting cases)。例如,1652年在马里兰州,一份起诉书指控一名男子“残忍地试图毁掉或谋杀被他受精而在子宫中的孩子”。私人诉米切尔案(Proprietary v. Mitchell, 10 Md. Archives 183 (W. H. Browne, ed., 1891))。而到了19世纪,法院经常解释说普通法规定堕胎已胎动的孩子为犯罪。例如,参见史密斯诉加法尔案(Smith v. Gaffard, 31 Ala. 45, 51 (1857));史密斯诉州政府案(Smith v. State, 33 Me. 48, 55 (1851));州政府诉库珀案(State v. Cooper, N. J. L. 52, 52-55 (1849));美利坚合众国诉帕克案(Commonwealth v. Parker, 50 Mass. 263, 264-268 (1845))。

    iii

    区分胎动前和胎动后堕胎的最初理由并不完全清楚,但有些人将这一规则归结为难以证明胎动前的胎儿是活着的。在当时,没有科学的方法来检测怀孕的早期阶段,因此,正如1872年一个法院所指出的,“在胎动期之前,没有任何生命存在的证据;无论对胎儿存在什么看法,法律都将这一妊娠期固定为孩子被赋予生命的时间”,因为“胎儿的运动是生命的第一个明确标志和明确定义的证据”。埃文斯诉美利坚合众国(Evans v. People, 49 N. Y. 86, 90 (1872))(emphasis added);州政府诉库珀(State v. Cooper, 22 N. J. L: 52, 56 (1849))(“从法律的角度来看,生命始于胎动的那一刻,即胚胎第一次给予生命的物理证明的时刻,不管它是什么时候接受的。”(emphasis added)。
    副检察长对胎动规则的理由提出了不同的解释,即在胎动之前,普通法并不认为胎儿“具有‘单独和独立的存在’”。美国作为法庭之友的简报26(引自美利坚合众国诉帕克案(Commonwealth v. Parker, 50 Mass. 263, 266 (1848))。但是,副检察长提出这一主张所依据的案例也表明,刑法的胎动规则与其他法律领域对出生前期生命的处理不一致。他指出,“在许多方面,就公民权利而言,腹中的胎儿被认为是一个人”。帕克案(Parker, 50 Mass., at 266))(引自1 Blackstone 129);又见埃文斯诉美利坚合众国案(Evans v. People, 49 N. Y. 86, 89 (1872));米尔斯诉美利坚合众国案(Mills v. Commonwealth, 13 Pa. 631, 633 (1850));莫罗诉斯科特案(Morrow v. Scott, 7 Ga. 535, 537 (1849));哈尔诉汉考克案(Hall v. Hancock, 32 Mass. 255, 258 (1834));特鲁松诉伍德福德案(Thellusson v. Woodford, 31 Eng. Rep. 117, 163 (1789))。
    无论如何,胎动规则的最初依据对于当前的目的来说已经无关紧要,因为这一规则在19世纪就被抛弃了。在这一时期,论文作者和评论家批评胎动的区别“既不符合医学经验的结果,也不符合普通法的原则”。1 F. Wharton, The Criminal Law of the United States,§1220, at 606 (4th rev. ed.1857);另见 J. B. Beck, Studies in Medicine and Medical Jurisprudence 26-28 (2nd ed. 1835)(将胎动的区别描述“荒谬的”和“有害的”)。1803年,英国议会规定在怀孕的所有阶段堕胎都属于犯罪,并授权实施严厉的惩罚。见 Lord Ellenborough’s Act, 43 Geo. 3 c. 58    。一位学者认为,议会的决定“可能部分归因于医学家的担忧,即胎儿的生命在怀孕的所有阶段都应受到法律的保护”。Keown 22。
    在19世纪的这个国家,绝大多数州都颁布了法规,将怀孕各阶段的堕胎定为犯罪。见附录A(按时间顺序列出各州的法定条款)。到1868年,当第十四修正案得到批准时,四分之三的州,即37个州中的28个,已经颁布了法规,规定堕胎为犯罪,即使是在胎动前进行。见附录A。在尚未将所有阶段的堕胎定为犯罪的9个州中,除1个州外,其余在1910年前也都这样规定了。Id.
    后来成为了最后13个州的领土也有类似的趋势:在1850年(夏威夷王国)和1919年(新墨西哥州)之间,所有的领土都将怀孕的各个阶段的堕胎定为犯罪。见附录B;又见凯西案(Casey, 505 U. S., at 952),(伦奎斯特大法官的反对意见);Dellapenna 317-319。到20世纪50年代末,根据罗伊案法院自己的统计,除4个州和哥伦比亚特区外,其他所有州的法规都禁止堕胎,“无论何时何地进行,除非是为了挽救或保护母亲的生命”。410 U. S., at 139.
    这种压倒性的共识一直持续到罗伊案裁决的那一天。当时,根据罗伊案法院自己的统计,绝大多数州——30个州——仍然禁止所有阶段的堕胎,除非是为了挽救母亲的生命。见罗伊案(Roe, 410 U.S., at 118 & n. 2))(被列举出来的州)。尽管罗伊案在大约“三分之一的州”发现了“自由化的趋势”,但这些州仍然将一些堕胎定为犯罪,并对其进行比罗伊案所允许的更为严格的监管。见罗伊案(Roe, 410 U. S., at 140 & n.37; Tribe 2.) 简而言之,“法院在罗伊案中的意见本身就令人信服地驳斥了堕胎自由深深扎根于我们人民的历史或传统中的说法”。索恩伯格案(Thornburgh, 476 U. S., at 793) (怀特大法官的反对意见)。

    iv

    必然的结论是,堕胎权并没有深深扎根于国家的历史和传统。相反,从普通法的最早时期到1973年,禁止堕胎的传统从未中断过,违者将受到刑事处罚。法院在罗伊案中对堕胎的说法与格鲁兹堡(Glucksberg)对协助性自杀的说法完全相同:“自布莱克顿(Bracton)以来,人们对[堕胎]的态度发生了变化,但我们的法律一直谴责并继续禁止[这种做法]。”。Glucksberg, 521 U. S., at 719.

    3

    被告和他们的律师对这一历史证据没有具有说服力的回答。
    被告和副检察长都没有对以下事实提出异议:即到1868年,绝大多数州都将怀孕各阶段的堕胎定为犯罪。参见原告意见摘要12-13;又见美国历史协会和美国历史学家组织作为法庭之友的意见摘要27-28 & nn. 14-15(承认37个州中有26个州禁止在胎动前堕胎);口头辩论Tr. 74-75(被告的律师也承认了这一点)。相反,被告不得不争辩说,“一些州在罗伊案裁决时或第十四修正案通过时禁止堕胎并不重要”。被告方摘要21。但这一论点与我们在确定宪法中没有提到的而被宣称的权利是否受第十四修正案保护的标准背道而驰。
    被告和他们的律师不仅无法证明在第十四修正案通过时已经确立了堕胎的宪法权利,而且他们也没有发现任何证据支持早在20世纪后半叶就存在堕胎权——没有州宪法规定、没有法规、没有司法裁决、没有学术论文。最早提请我们注意的资料来源是一些地区法院和州法院在罗伊案之前不久作出的裁决,以及同一时期的少量法律评论文章。
    一些被告的律师收集了历史论据,但这些论据非常薄弱。副检察长重复了罗伊案的主张,即“堕胎是否曾被牢固地确立为普通法上的犯罪是值得怀疑的,即使是在摧毁胎动前胎儿方面”。美国作为法庭之友的简报26(引用Roe, 410 U.S., at 136)。但正如我们所看到的,伟大的普通法权威,如布莱克顿(Bracton)、柯克(Coke)、黑尔(Hale)和布莱克斯通(Blackston)都写道,胎动后堕胎是一种犯罪,而且是一种严重的犯罪。此外,黑尔和布莱克斯通(以及他们之后的许多其他权威人士)声称,即使是胎动前的堕胎也是“非法的”,因此,如果妇女因堕胎而死亡,堕胎者就犯有谋杀罪。
    罗伊案没有遵循这些权威,而是主要依赖于一位支持堕胎的倡导者的两篇文章,他声称科克(Coke)因为强烈的反堕胎观点而故意误述了普通法。这些文章已被证明是不可信的,而且人们发现,即使是简-罗伊的法律团队成员也没有将其视为严肃的学术研究。一份内部备忘录将这位作者的工作描述为打着“公正的学术幌子,同时推进适当的意识形态目标”。继续依赖这种学术研究是不靠谱的。
    副检察长接着提出,历史支持堕胎权,因为普通法没有将胎动前的堕胎定为犯罪,这意味着“在建国之初及此后的几十年里,妇女通常可以终止妊娠,至少在其早期阶段”。Id., at 26-27;又见被告意见摘要21。但是,对胎动前堕胎的坚持并不普遍,参见米尔斯案(Mills, 13 Pa., at 633);州政府政府诉斯莱格尔案(State v. Slagle, 83 N. C. 630, 632 (N. C. 1880)),而且,无论如何,在18世纪末和19世纪初许多州没有将胎动前堕胎定为犯罪的事实并不意味着任何人认为各州没有这样做的权力。随着世纪的推移,立法机关开始行使这种权力,据我们所知,没有人认为他们制定的法律侵犯了一项基本权利。这并不奇怪,因为普通法当局曾多次谴责堕胎,并将其描述为一种“非法的”行为,而不考虑它是发生在胎动前还是胎动后。See supra, at__.
    被告依据的另一份法庭之友的意见陈述(参见被告意见摘要21)试图反驳第十四修正案通过时生效的州刑事法规的重要性,暗示这些法规的颁布是出于不正当的原因。这种说法几乎完全基于一位著名支持者的陈述。根据这种说法,这些法规的重要动机是担心天主教移民生的孩子比新教徒更多,(合法)堕胎的可行性会导致新教白人女性“逃避她们的生育职责”,参见美国历史协会和美国历史学家作为法庭之友的意见摘要20。
    诉诸这一论点,证明了罗伊案和凯西案所承认的权利缺乏任何真正的历史支持。本院长期以来一直反对基于所谓立法动机的论点。参见,例如,伊利市诉帕普案(City of Erie v. Pap’s A.M., 529 U. S. 277, 292 (2000))(相对多数意见);特纳广播系统公司诉联邦通信委员会案(Turner Broadcasting System, Inc. v. F.C.C., 512 U. S. 622, 652 (1994));美利坚合众国诉奥布莱恩案(United States v. O’Brien, 391 U. S. 367, 383 (1968));亚利桑那诉加利福尼亚案(Arizona v. California, 283 U.S. 423, 455 (1931))(collecting cases)。最高法院已经认识到,对立法动机的调查“是一件危险的事情”,参见奥布莱恩案(391 U. S. 367, 383)。即使关于立法动机的争论得到了投票支持一项法律的立法者的明示支持,我们也不愿意将这些动机归于整个立法机构。“促使一名立法者就一项法规发表演讲的因素,未必是促使其他数十名立法者颁布该法规的因素”。Ibid.
    在这里,关于立法动机的争论甚至不是基于立法者的陈述,而是基于19世纪新堕胎法的少数支持者的陈述,将这些动机归咎于所有投票促成这些法律通过的立法者,这是相当武断的。回顾第十四修正案通过之时,超过四分之三的州通过了将堕胎(通常在怀孕的所有阶段)定为犯罪的法规,从20世纪初到罗伊案判决之日,每个州都有了这样的法律。那么我们是否应该认为,数百名立法者的投票是出于对天主教徒和妇女的敌意?
    有充分的证据表明,这些法律的通过仅仅是出于一种真诚信念的驱动,即认为堕胎是在杀害人类。19世纪末20世纪初的许多司法判决都表明了这一点。参见,例如,纳什诉梅耶案(Nash v. Meyer, 54 Idaho 283, 301 (1934));州政府诉奥普斯普伦德案(State v. Aupsplund, 86 Ore. 121, 131-132 (1917));特伦特诉州政府案(Trent v. State, 15 Ala. App. 485, 488 (1916));州政府诉米勒案(State v. Miller, 90 Kan. 230, 233 (1913));州政府诉蒂皮案(State v. Tippie, 89 Ohio St. 35, 39-40 (1913));州政府诉格迪克案(State v. Gedicke, 43 N. J. L. 86, 90 (N. J. Sup. Ct. 1881));多尔蒂诉美利坚合众国案(Dougherty v. People, 1 Colo. 514, 522-523 (1873));州政府诉摩尔案(State v. Moore, 25 Iowa 128, 131- 132 (1868));史密斯诉州政府案(Smith v. State, 33 Me. 48, 57 (1851));另参见孟菲斯生殖健康中心案(Memphis Center for Reproductive Health, 14 F.4th, at 446 & n. 11)(塔帕尔法官对判决结果部分持协同意见部分持反对意见)(引用案例)。
    有人可能不同意这种信念(而且我们的决定并不是基于这样的观点,即一个州何时应该将产前生命视为拥有权利或者法律认可的利益),但即使是罗伊案和凯西案也没有质疑反对堕胎者的善念。参见,例如,凯西案(Casey, 505 U. S., at 850)(“有良知的男人和女人可以不同意……即使是在怀孕的最初阶段终止妊娠也具有深刻的道德和精神涵义。”)而且这些州法律的重要性并不因法庭之友对立法动机的推测而遭到减损。

    C

    1

    罗伊案和凯西案的支持者并没有严肃强调堕胎权本身深深根植于历史和传统之中,而是主张堕胎权是更为广泛的固有权利所内在蕴含的一部分。罗伊案将这种权利称为隐私权,410 U. S., at 154,凯西案将其描述为做出“亲密的和私人的选择”的自由,这是“个人尊严和自主权的核心”,505 U.S., at 851。凯西案解释说:“自由的核心是一种权利,人可以自己去定义,关于存在、关于意义、关乎宇宙、关于人类生命的奇迹的概念。”Id., at 851.
    法院并没有声称这种宽泛的权利是绝对的,并且这样的主张也不可信。虽然每个个体都可以自由地思考和表达他们所期望的关于“存在”、“意义”、“宇宙”和“人类生命的奇迹”的想法,但他们并不总是可以自由地按照这些想法行事。允许按照这些信念行事可能符合对“自由”的诸多理解之一,但肯定不是“井然有序的自由”。
    井然有序的自由为绝对的自由作出限制,并划清相冲突的利益之间的界限。罗伊案和凯西案都在想要堕胎的女性的利益和所谓“可能的生命”的利益之间作出特定权衡,参见罗伊案(Roe, 410 U. S., at 150);凯西案(Casey, 505 U. S., at 852)。但是,各州的人民对这些利益可能有着不同的评估。在一些州,选民可能认为堕胎权甚至应该比罗伊案和凯西案所认可的权利更为广泛。其他州的选民可能希望实施严格的限制,因为他们相信堕胎会毁掉一个“未出生的人”,见柯德安小姐案(Miss. Code Ann. §41-41-191(4)(b))。我们国家对井然有序的自由的历史性理解并没有阻碍人民选出的代表来决定堕胎应该如何被限制。
    获取堕胎的权利也没有可靠的先例基础。凯西案所依赖的案件涉及这样一些权利:与不同种族的人结婚的权利,参见拉文诉弗吉尼亚州案(Loving v. Virginia, 388 U. S. 1 (1967));在狱中结婚的权利,参见特纳诉萨夫利案(Turner v.Safley, 482 U. S. 78 (1987));取得避孕药的权利,参见格里斯沃尔德诉康涅狄格案(Griswold v. Connecticut, 381 U. S. 479 (1965)), 艾森施塔特诉贝尔德案(Eisenstadt v. Baird, 405 U. S. 438 (1972)), 凯里诉国际人口服务案(Carey v. Population Services International, 431 U. S. 678 (1977));与亲属同住的权利,参见摩尔诉东克利夫兰案(Moore v. East Cleveland, 431 U. S. 494 (1977));决定子女教育的权利, 参见皮尔斯诉姐妹会案(Pierce v. Society of Sisters, 268 U. S. 510 (1925)), 梅耶诉内布拉斯加州案(Meyer v. Nebraska, 262 U. S. 390 (1923));未经同意不得要求绝育的权利,参见斯金纳诉俄克拉荷马州威廉姆森案(Skinner v. Oklahoma ex rel. Williamson, 316 U. S. 535 (1942));以及在某些情况下不接受非自愿手术、强制用药或其他实质上类似的程序的权利,参见温斯顿诉李案(Winston v. Lee, 470 U. S. 753 (1985)), 华盛顿诉哈珀案(Washington v. Harper, 494 U. S. 210 (1990)), 罗钦诉加利福尼亚州案(Rochin v. California, 342 U. S. 165 (1952))。被告和副检察长也依赖于凯西案之后的判决,如劳伦斯诉德克萨斯案(Lawrence v. Texas, 539 U. S. 558 (2003))(进行私人的、双方同意的性行为的权利),以及奥伯格费尔诉霍奇斯案(Obergefell v. Hodges, 576 U. S. 644 (2015) (与同性结婚的权利)。参见被告意见摘要18;美国法庭之友意见摘要23-24。
    事实证明,已经有了太多这样的尝试,通过呼吁更广泛的自主权并定义一个人“存在的概念”来正当化堕胎权。凯西案(Casey, 505 U. S., at 851))。这些具有高度普遍性的依据可以允许非法使用药物、卖淫等类似的基本权利。参见临终同情机构诉华盛顿州案(Compassion in Dying v. Washington, 85 F. 3d 1440, 1444 (CA9 1996) )(奥斯坎兰大法官对拒绝再审持反对意见)。没有任何一项这种权利声称自己深植于历史和传统之中。Id., at 1440, 1445.
    使得堕胎权与罗伊案和凯西案所依据的案例中承认的权利显著区别开来的,是这两个案件的判决都承认的东西:堕胎摧毁的是判决中所谓的“可能的生命”,以及本案所涉法律所认为的“未出生的人”的生命。参见罗伊案(Roe, 410 U. S., at 159) (堕胎是“本质上不同的”);凯西案(Casey, 505 U. S., at 852)(堕胎是“一种独特的行为”)。罗伊案和凯西案引用的其他判决都没有涉及堕胎带来的重要道德问题。因此,这些判决是不合适的。它们无法支持堕胎权,同样地,我们关于宪法没有赋予堕胎权的结论也并未以任何方式削弱这些判决。

    2

    在对堕胎权和其他权利进行这种关键区分时,凯西案声称(我们接受这一说法只是为了辩论)“国家在通过第十四修正案时的具体做法”并不“标志着第十四修正案所保护的实质性自由领域的外部限制”,对此我们没有必要提出异议505 U.S., at 848。堕胎并不是什么新鲜事。几个世纪以来,立法者一直在解决这个问题,并且它提出的基本道德问题是永恒的。
    罗伊案和凯西案的辩护者并没有声称任何新的科学知识都需要对潜在的道德问题给出不同的答案,但他们确实主张,社会的变革要求将堕胎确认为一种宪法性权利。他们认为,如果没有堕胎,人们就不能自由地选择自己想要进入的关系类型,女性也将无法在职场和其他方面与男性竞争。
    认为应该限制堕胎的美国人在媒体上反驳有关现代发展的说法。他们注意到,对于未婚女性怀孕的态度已经发生了巨大的变化;联邦和州法律禁止基于怀孕的歧视,怀孕和分娩的假期现在在许多情况下得到了法律的保障,与怀孕有关的医疗费用由保险或政府援助支付;各州越来越多地采用“安全港”法案,一般允许妇女匿名抛弃婴儿;如今,将自己的新生儿送人收养的妇女不必担心孩子找不到合适的收养家庭。他们还声称,许多人现在对胎儿的生命有了新的认识,并且当想要孩子的准父母观看超声波图时,他们通常不会怀疑自己看到的不是他们的女儿或儿子。
    双方都提出了重要的政策观点,但罗伊案和凯西案的拥护者必须证明,法院有这样的权威来衡量这些观点并决定堕胎在各州如何被限制。这些拥护者们无法证明,因此我们把权衡这些观点的权力交还给人民和他们选举出的代表。

    III

    接下来我们考虑遵循先例原则的学说是否继续接受罗伊案和凯西案。遵循先例原则在我们的判例法中扮演着重要的角色,我们已经解释过它服务于许多有价值的目的。它保护那些依靠过往判决而采取行动的人的利益。参见凯西案(Casey, 505 U. S., at 856)(相对多数意见);也可以参见佩恩诉田纳西州案(Payne v. Tennessee, 501 U. S. 808, 828 (1991))。它“减少了挑战既定先例的动机,节省了当事人和法院无休止重复诉讼的费用”。参见金布尔诉漫威娱乐案(Kimble v. Marvel Entertainment, LLC, 576 U. S. 446, 455 (2015))。它要求以类似的方式裁决类似的案件,从而促进“公平的”决策,参见佩恩诉田纳西州案(Payne v. Tennessee, 501 U. S. 808, 827 (1991))。它“有助于司法程序实际的和可感知到的完整性”,同上。它抑制了司法傲慢,并提醒我们尊重过去那些努力解决重要问题之人的判断。“先例是积累和传承过往历代知识的方式,是一种既定智慧的结晶,比在任何一位或一群法官中所能找到的智慧都要丰富。”(N. Gorsuch, A Republic If You Can Keep It 217 (2019))。
    然而,我们早就认识到,先例“并非不可抗拒的命令”,参见皮尔逊诉卡拉汉案(Pearson v. Callahan, 555 U.S. 223, 233 (2009) )(省略内部引号和引文),并且“当我们解释宪法时,它处于其最薄弱的状态”,参见阿戈斯蒂尼诉费尔顿案(Agostini v. Felton, 521 U.S. 203, 235 (1997))。有人认为,有时一个问题“被解决比被正确地解决”更重要,参见金布尔案(Kimble, 576 U. S., at 455)(emphasis added)(引自伯内特诉科罗纳多石油天然气公司案Burnet v. Coronado Oil & Gas Co., 285 U.S. 393, 406 (1932))(布兰代斯法官的反对意见)。但是,当谈到对宪法——“我们自由的伟大宪章”,它的意思是“经久不衰”,参见马丁诉亨特案(Martin v. Hunter’s Lessee, 1 Wheat. 304, 326 (1816) (斯特瑞大法官的意见)——的解释时,我们高度重视“正确解决”问题。此外,当我们的一项宪法决定误入歧途时,除非我们纠正自己的错误,否则这个国家通常会被错误的决定所困扰。错误的宪法决定可以通过修改宪法来解决,但是众所周知,我们的宪法很难修改。参见美国宪法第五条(U. S. Const., art. V);金布尔案(Kimble, 576 U. S., at 456)。因此,在适当的情况下,我们必须愿意重新考虑并在必要时推翻宪法判决。
    一些我们最重要的宪法判决已经推翻了以前的先例。我们在这里提出三个:在布朗诉教育委员会案中,法院驳回了允许各州维持种族隔离学校和其他设施的“隔离但平等”原则(347 U. S. 483, 488 (1954))。这样,法院就推翻了普莱西诉弗格森案(Plessy v. Ferguson, 163 U. S. 537 (1896))中臭名昭著的判决,以及其他六个适用“隔离但平等”原则的最高法院判例,参见布朗案(Brown, 347 U. S.,at 491)。
    在西海岸酒店公司诉帕里什案(West Coast Hotel Co. v. Parrish, 300 U. S. 379 (1937))中,法院驳回了阿德金斯诉哥伦比亚特区儿童医院案(Adkins v. Children’s Hospital of D. C., 261U. S. 525 (1923)),该案认为给妇女设定最低工资的法律违反了第五修正案正当程序条款所保护的“自由”,同上,第545页。西海岸酒店公司诉帕里什案标志着一系列重要先例的消亡,这些先例保护个人自由权利不受州和联邦关于健康和福利立法的影响,参见洛克纳诉纽约州案(Lochner v. New York, 198 U.S. 45 (1905))(认为设定最长工作时间的法律无效);科佩奇诉堪萨斯案(Coppage v. Kansas, 236 U.S. 1 (1915))(认为禁止雇员加入工会的禁止性合同法律无效);杰·伯恩斯烘焙公司诉布莱恩案(Jay Burns Baking Co. v. Bryan, 264 U.S. 504 (1924))(认为固定面包重量的法律无效)。
    最后,在西弗吉尼法院亚州教育委员会诉巴尼特案(West Virginia Bd. of Ed. v. Barnette, 319 U. S. 624 (1943) )中,法院推翻了距今仅三年的米纳斯维尔学区诉戈比提斯(Minersville School Dist. v. Gobitis, 310 U. S. 586 (1940))一案,并认为公立学校的学生不能在违反其真诚信仰的情况下,被强迫向国旗致敬。巴内特案(Barnette)之所以引人注目,是因为在这段时间里,除了法院承认其先前裁决有严重错误之外,客观事实没有发生任何变化。
    在其他很多情况下,本院也推翻过重要的宪法判决。(我们在下面的脚注中列出了一部分清单)。如果没有这些判决,我们所熟知的美国宪法将变得难以辨认,美国将会变成一个截然不同的国家。
    本院法官从未认为宪法判决是不能被推翻的,但是推翻先例的确是一件严肃的事情。我们必须慎重行事。我们的案例试图提供一个框架来明确何时应推翻先例,并确定做出此类决定时应该考虑的因素。 雅努斯诉州政府案(Janus v. State), 美国州县和市政工人案(County, and Municipal Employees, 585 U. S. __, __ (2018) (slip op., at 34-55));拉莫斯诉美国路易斯安那州案(Romas v. Louisiana, 590 U. S. __ (2020))(卡瓦诺部分的协同意见) (slip op., at 7-9)。
    在本案中,五个重要因素强烈支持推翻罗伊案和凯西案的判决:判决本身(nature)的错误;判决书论证的质量;判决所确立的不当负担原则的“可操作性(workability)”;判决对法律其他领域带来的破坏性影响;确切的信赖(reliance)的缺失。

    A

    法院判决本身有误。对宪法的任何错误解释都需要引起重视,但是有些错误的危害比其他错误更严重。
    普莱西诉弗格森案(Plessy v. Ferguson, supra)中臭名昭著的判决就是如此,它有违我们对“法律面前人人平等”的承诺。Id., at 562(哈兰大法官的反对意见)。它自判决当日就是“极其错误的”,参见拉莫斯案(Ramos, supra)(卡瓦诺大法官部分持协同意见) (slip op., at 7), 就像副检察长在口头辩论环节同意的那样,这个判决本就该尽早被推翻。参见口头辩论 Tr. 92:20-93:17。
    罗伊案同样是极其错误的,而且具有严重的破坏性。如前文所述,该案的宪法分析远远超出了对其模糊指出的各种宪法规定的任何合理解释的范围。
    罗伊案自宣判之日起就和宪法相冲突,而凯西案延续了这种错误。这些错误并不涉及一些对美国人民来说无关紧要的艰深法律;相反,法院仅仅运用了“原始的司法权力”, Roe, 410 U.S., at 222(怀特大法官的反对意见),却篡夺了宪法明确赋予其人民的权力,用以处理一个在道德和社会层面都具有深刻影响的问题。凯西案自称呼吁这场全国性争议的双方共同解决争论,但这样做的同时,凯西案又必须宣布一个赢家。而失败的一方——那些为胎儿权益争取更多国家保护的人——再也无法说服他们选出的代表采取和他们的观点相一致的政策。法院对大量反对罗伊案的美国民众关闭了民主进程的通道,从而绕过了民主程序。“这本来就是美国国内一点就燃的政治议题,罗伊案更是火上浇油;不仅如此,它的影响力甚至还波及到本院法官的选择上。”凯西案(Casey, 505 U.S., at 995-996)(斯卡利亚大法官对判决推理部分持协同意见部分持反对意见)。总的来说,罗伊案和凯西案犯的是一类无法被接受的错误。
    正如本院具有里程碑意义的西海岸宾馆诉帕里什案(West Coast Hotel)所呈现的那样,法院此前就已经推翻过不恰当地剥夺人民权利、阻断民主进程的判决。就如怀特大法官 (Justice White)随后指出的那样:“法院的决定,如果是根据宪法的原则或价值作出的,却又无法在其文本中明确找到,那它就是篡夺了人民的主权。因为这些决定代表了人民从未做出过的选择,而且他们不能通过相关的法律方式予以否认。因此,对那些经反思被发现是错误的宪法判决,法院应当保留纠正错误的权力,使其正当的处理者重建威信,这是至关重要的。”

    B

    法院论证的质量。在先例中,前案的说理质量是影响我们是否重新考虑其判决的重要因素。参见雅努斯诉美国州、县和市政工人案(Janus v. State, Country, and Municipal Employees, 585 U.S., at__(slip op., at 38);拉莫斯案(Ramos 590 U. S. __ (2020) (卡瓦诺大法官的协同意见) (slip op., at 7-8)等。在这份意见的第二部分,我们解释了为什么罗伊案的判决是错误的,但它已经不仅仅是错误的。它的基础摇摇欲坠。
    罗伊案认为,宪法含蓄地授予人们堕胎的权利,但它未能将其建立在文本、历史或先例的基础上。它依赖一套错误的历史叙述;它对与宪法无关的事项给予了极大的关注并且预先依赖于它;它无视了其参考的先例与法院本身处理的问题之间存在的根本性差别;它杜撰了一套精巧的规则,给怀孕的三个阶段设置不同的限制,却不说如何从宪法中、从堕胎法的历史里、从先例中、甚至从任何其他能够引用的出处中把这套规则提炼出来。它最核心的规则(即国家不能在“体外存活”之前保障胎儿的生命)从未被任何一方提出,也从未得到合理的解释。罗伊案的论证很快就受到了严厉的学术批评,即使在支持妇女堕胎自由的群体中也是如此。
    凯西案的相对多数意见,在维持罗伊案观点的同时,敏锐地回避了原案绝大部分说理。它修改了堕胎权的文本依据,悄悄地舍弃了罗伊案错误的历史叙述,并且也不再使用孕期“三阶段法”。但是,它用一个专断的“不当负担”的说法取而代之,并且依赖于遵循先例原则的一个罕见模式。而正如下文所述,法院此前从未如此使用过这种模式,此后也再未使用过。

    1

    i

    罗伊案的说理弱点是众所周知的。在没有任何宪法文本、历史或先例的基础上,它给整个国家强加了一套详细的规则,这套规则很像是人们期望在法规或条例中找到的那些。参见罗伊案(Roe, 410 U.S., at163-164)。法院将孕期分为三个阶段,并且在每个阶段适用不同的规定。在第一阶段,法院宣布“堕胎的决定及其生效必须由孕妇的主治医师来进行医学判断”。Id., at 164. 在此阶段之后,国家以妇女健康为主导来规制堕胎的活动。相应地,国家可以“按照与产妇健康合理相关的方式规范堕胎程序”。Ibid. 最后,“在体外存活阶段之后”,1973年法院一致认为这是第三个阶段的开始,国家更加重视“潜在的生命”,因此国家可以“在适当的医疗条件下规范甚至禁止堕胎,除非是在必要的情况下、根据合理的医疗判断、并且是为了产妇的健康甚至生命着想才可进行堕胎”。Ibid.
    这一精心设计的方案完全是法院自己的创想。双方均不主张三阶段的孕期划分,也没有任何一方或者任何一位法庭之友认为“体外存活能力”应当构成一个标准,堕胎权的范围和国家监管权力应该相应地发生实质性的变化。参见上诉人意见摘要70-18;被上诉人意见摘要70-18; 也见 C. Forsythe, Abuse of Discretion: The Inside Story of Roe v. Wade 127, 141 (2012)。

    ii

    这一方案不仅做了类似立法机构的工作,而且法院几乎没有试图解释如何从宪法判决通常所依据的任何来源推导出这些规则。我们已经讨论过罗伊案对于宪法文本的说理内容,而这个案例的意见并不能体现出有任何历史的、先例的、或者其他来源支持了这种划分方案。
    罗伊案的特点是它对历史的详尽调研,但其中大部分讨论是无关紧要的,而法院完全没有解释为什么要把这些内容囊括进来。例如,法院用了很多段落来介绍一些广泛接受杀婴行为的古代文明的观点和实践,参见罗伊案(Roe, 410 U.S., at130-132)(讨论古希腊和罗马的实践)。而对于最重要的历史事实——当第十四修正案通过时,各州如何监管堕胎——法院却几乎只字未提。它承认“在十九世纪中后期”各州收紧了堕胎法,id., at 139,同时却隐隐暗示实施这些法律不是为了保障婴儿的生命,而是为了促进“维多利亚时代的社会关注”,即“非法性行为”。id., at 148.
    令人吃惊的是,罗伊案的判决甚至没有意识到1868年生效的州法律的压倒性共识,它关于普通法所说的一切都完全错误。仅仅根据一位堕胎倡议者所撰写的两篇完全不可信的文章,法院就错误地认为——与布拉克顿(Bracton)、科克(Coke)、黑尔(Hale)、布莱克斯通(Blackstone)和其他许多权威相反——普通法从未真正把在胎儿出现胎动后的堕胎行为视为犯罪。参见id., at 136(“如今看来,即使是对于一个已经出现胎动的胎儿来说,堕胎是否真的曾被确立为犯罪,也是值得怀疑的。”)。看起来,这个错误理解在法院的思考中起到了重要的作用,因为这份意见曾将“普通法的宽松性”作为形成其判决的四个决定性因素之一。Id., at 165.
    在考察了历史之后,法院大量着墨于那些本该由立法委员会来完成的事实调查。其中包括了一份长篇报告,涵盖了“美国医学协会的立场”和“美国公共卫生协会的立场”,以及美国律师协会众议院在1972年2月对拟议的堕胎立法进行的投票过程。Id., at 141, 143, 145. 报告还提到了英国在1939年作出的一份司法判决,以及其在1967年新颁布的堕胎法案。Id., at 137-138. 法院并没有任何解释,说明这些资料为什么能够揭示美国宪法的含义,而且任何一份资料都没有采取过甚至倡导过类似于罗伊案强加给全国的这样一种设计方案。
    最后,在这一切之后,法院求助于先例。通过广泛引用案例,法院为宪法的“个人隐私权”找到了支持,id., at 152, 但是它混淆了这个术语相当不同的两个含义:保护信息不被披露的权利与不受政府干预的情况下作出并实施重要个人决定的权利。参见惠伦诉罗伊案(Whalen v. Roe, 429 U.S. 589, 599-600 (1977))。只有涉及该术语第二种含义的案件才有可能与堕胎问题相关,其中部分案件涉及的是自我决策,显然与本案风马牛不相及。见皮尔斯诉姐妹会案(Pierce v. Society of Sisters, 268 U. S. 510 (1925))(送小孩上宗教学校的权利);迈耶诉内布拉斯加案(Meyer v. Nebraska, 262 U.S. 390 (1937))(让孩子接受德语教学的权利)。
    剩下的是少数与婚姻有关的案件,劳福诉弗吉尼亚案(Louving v. Virginia, 388 U.S. 1 (1967))(和不同种族的人结婚的权利),或者生育权,斯金纳诉俄克拉何马威廉姆森案(Skinner v. Oklahoma, 316 U.S. 535 (1942))(不被绝育的权利);格里斯沃尔德诉康涅狄格案(Griswold v. Connecticut, 381 U. S. 479 (1965) (已婚人士获得避孕用品的权利));艾森斯塔特诉贝尔德案(Eisenstadt v. Baird, 405 U. S. 438 (1972))(同上,针对未婚人士)。但是,没有任何一个判决明确涉及到堕胎的独特之处:它对于罗伊案所谓的“潜在的生命”的影响。
    当法院总结它强加给整个国家的方案的基础之时,它声称这些规定与以下内容“一致”:(1)“相关利益各自的权重”,(2)“医药和法律历史里的教训和例子”,(3)“普通法的宽松性”以及(4)“当今深刻问题的要求”。Id., at 165. 撇开第二和第三个因素不谈,这些因素是法院基于对历史的粗略统计而形成的;剩下的恰好是立法机构在划定适应竞争利益的界限时所需要考虑的那类因素。罗伊案所产生的方案看起来像是在立法,并且法院还提供了一种立法机关可能会被期待提供的论证。

    iii

    罗伊案没能为其划界标准提供一个令人信服的解释。例如,为什么国家无权出于保护妇女健康的目的来规制第一阶段的堕胎行为?法院仅有的解释是,该阶段妇女堕胎的死亡率低于生育的死亡率。罗伊案(Roe, 410 U.S., AT 163)。但是法院并没有说明,为什么死亡率是国家应当考虑的唯一正当因素。有许多健康和安全法规都旨在避免除死亡以外的不良健康后果。而且法院也没有解释为什么这个案件背离了法院在“涉及医疗和科学不确定性的领域”要服从立法机关的一般原则。马歇尔诉美利坚合众国案(Marshall v. United States, 414 U. S. 417, 427 (1974))。
    一个甚至更加明显的不足是,罗伊案未能判断在体外存活前堕胎和体外存活后堕胎的关键区别。法院所有的解释说明如下:
    关于国家对潜在生命的重要而合法的利益关切,“有说服力的”论点是胎儿的体外存活能力。这是因为在那个阶段,胎儿理应拥有在子宫外存活的能力。罗伊案(Roe, 410 U.S., at 163)。
    正如劳伦斯·却伯教授 (Laurence Tribe) 所言,“很显然,这误解了‘三段论定义’”。 Tribe 4 (引自Ely 924)。“体外存活”的定义是胎儿在子宫外能够生存下来,但是,为什么这是决定国家利益起主导作用的时间点呢?如果如同罗伊案所言,保护胎儿生命的国家利益是在“体外存活后”,410 U.S., at 163, 那为什么这一利益不是“在体外存活前同样重要”呢? 韦伯斯特诉生殖健康服务中心(Cf. Webster v. Reproductive Health Servs., 492 U.S. 490, 519 (1989))(相对多数意见) (引用索恩伯格诉美国妇产科医师学会(Thornburgh v. American College of Obstetricians and Gynecologists, 476 U.S. 747, 795 (1986))(怀特大法官的反对意见) 。罗伊案对此并没有提及,也没有明显的解释。
    这种武断的划分在试图为堕胎辩护的哲学家和伦理学家中间没有得到太多支持。一些人反对这个观点,认为在胎儿满足了“人”所必要的特点之前是无权获得法律保护的。“人”所不可或缺的特性包括意识、自我认知、逻辑能力,或者它们的组合。从这个逻辑上讲,即使是已经出生的个人,包括低龄儿童或者罹患某种生长发育或医学疾病的儿童,是否能被当作“人”来保护,都是一个问题。但即使人们接受成为“人”需要满足一种或多种条件,我们也很难得出结论认为“体外存活”可以标志着“人”的出现。
    在诸多争议中,最为明显的问题是,胎儿的体外生存能力高度依赖于那些与胎儿的特征无关的因素。其中之一便是在某一特定时间点上新生儿的护理状况。由于新设备的发展和医疗实践的进步,胎儿具有体外生存能力的时间点在数年来不断变化。在19世纪,一个胎儿可能要到受孕后的第32周或第33周甚至更晚才具有生存能力。当罗伊案判决生效时,这个时间点被提前到大约第28周。参见罗伊案(Roe, 410 U.S., at 160)。现在,被告将这个时间点提前到第23周或第24周。被告人意见书第8页。那么,按照罗伊案的逻辑,联邦法院如今声称其在保护26周的胎儿方面有令人信服的利益,但在1973年,联邦却在保护同等胎龄的胎儿上没有该利益。这怎么可能呢?
    胎儿的体外生存能力同样依赖于“现有医疗设备的质量”,科劳蒂诉富兰克林案(Colautti v. Franklin, 439 U.S. 379, 396(1979))。因此,如果一位母亲诞下婴儿的城市里有着提供先进的医疗护理的医院,一个24周大的早产儿也有可能存活;但如果这位母亲处于距离这样的医院十分遥远的地方,这个早产儿便可能无法存活。一个腹中胎儿所有的宪法地位竟然因孕妇所处的地理位置而不同,这样的法律依据何在?如果说体外生存能力应当划定一个具有普遍道德意义的界限,那么,一个出生在美国大城市而存活的胎儿是否可以享有一个出生在贫穷国家偏远地区的相同胎儿所没有的道德特权地位?
    除此之外,正如法庭所解释的那样,体外生存能力并非是一个可靠且快捷的方案,科劳蒂案(Colautti, 439 U.S., 396)。一个要确定特定胎儿在子宫外生存概率的医生必须考虑到“大量的条件”,包括“胎龄”、“胎儿体重”、母亲的“总体健康与营养水平”、“现存的医疗设备”在内的诸多因素。Id., at 395-396. 因此,医生去评估胎儿的生存可能性是非常困难的。Id., at 396. 即使每个胎儿的生存可能性都被准确无疑的确定下来,将这种确立在生存可能性之上的标准作为“体外生存标准”便又是另外一码事了。胎儿的生存概率是10%?25%?50%?法庭能够做出这样的判决吗?法庭能够据此确立一个标准而适用于所有类似的案件中吗?还是说,这些棘手的问题应当被留给面对这个具体临床病例的全部具体情况的医生个人来裁断?Id., at 388.
    凯西案声称的罗伊案所确立的核心判决规则——体外生存能力是没有道理的,并且其他国家一致避开了这个标准。而我们的法院却动用原始的立法权力,将其作为一种宪法事实,强行实行了统一的体外生存能力规则,这一规则使得美国较之大多数西方民主国家享有更少的堕胎管制自由。

    iv

    总而言之,罗伊案的判决理由是极其不可靠的,包括那些在政策事实上支持这一判决的学者都十分严厉地批评它。约翰·哈特·伊利(John Hart Ely)的名言宣称“罗伊案不是宪法性法律,而且几乎没有尝试成为宪法性法律的义务感”Ely 947。肯尼迪政府的副检察长阿奇博尔德·科克斯(Archibald Cox)评论道,“罗伊案读着像是一条医院规章”,“无法说服历史学家、非法律人士或者律师……它是宪法的一部分”。Archibald Cox, The role of the Supreme Court in American Government 113-114(1976)。劳伦斯·特赖布(Laurence Tribe)写道,如果有必要通过将妇女妊娠期用某个标准划分成数段来清楚地界定政府的权力,“利益平衡”也并不能为这个标准提供任何实际理由。Tribe 5. 马克·图施耐特教授(Mark Tushnet)称罗伊案的司法规定是完全不合理的。M. Tushnet,Red, White, and Blue: A Critical Analysis of Constitutional Law 54(1988). 也见P. Bobbitt, Constitutional Fate 157(1982); A, Amer, Foreword: The Document and the Doctrine, 114 Harv. L. Rev. 26, 110(2000)。
    尽管罗伊案具有缺陷,但是其影响力在随后的几年内稳固增长——法院驳回了一系列要求:要求中期流产必须在医院中进行,亚克朗市诉亚克朗生殖健康中心公司案(Akron v. Akron Center for Reproductive Health, Inc., 462 U. S. 416, 433-439(1983));未成年人需要征得父母的同意,计划生育公司诉丹福思案(Planned Parenthood of Central Mo. v. Danforth, 428 U. S. 416, 433-439(1983));女性必须在被告知手术风险的情况下书面同意,亚克朗市案(Akron, 462 U. S., at 442-445);女性必须在堕胎前等待24个小时,id., at 339-451。医生能够以一种独特方式确认体外生存可能,科劳蒂案(Colautti, 439 U. S 309-397);在胎儿不能体外生存的阶段,医生必须以最能保护胎儿的科学技术来进行手术,同上,at 397-401;胎儿必须被以人道和卫生的方式对待,亚克朗市案(Akron, 462 U. S. , at 451-452)。
    怀特大法官(Justice White)抱怨道,联邦法院无限制地将自身超宪法的价值强加于人。索恩伯格案(Thornburgh, 467 U.S., at 794)(怀特大法官的反对意见)。并且,在计划生育诉凯西案(Planned Parenthood v. Casey, at 505 U. S., at 844)(相对多数意见)之后的十年里,美国法庭之友曾五次要求最高法院推翻罗伊案,并要求最高法院再次推翻凯西案本身。

    2

    近二十年后,当凯西案重新审视罗伊案时,罗伊案的推理几乎没有得到捍卫或者保留,最高法院放弃了对隐私权的依赖,而是将堕胎权完全基于第十四条修正案的正当程序条款(Due Process Clause),法院没有维持罗伊案判决对于堕胎历史的错误描述,事实上,大多数大法官并未提起过堕胎权的历史。至于先例,最高法院基本上依赖于罗伊案判决所引用的同一组案件。因此,关于宪法判决的标准依据——文本、先例与历史——凯西案没有试图支持罗伊案的推理。
    最高法院也没有做出真正的努力来弥补罗伊案件判决中最大的弱点之一——备受批评的体外生存能力。最高法院称它保留罗伊案的核心原则,即出于保护胎儿生命的目的,只能在胎儿达到体外存活标准之前堕胎,但是它没有为体外存活能力原则的确立提供理由。相反,它只是改变了罗伊案的措辞,称体外生存能力意味着“出于合理和公平的考虑,相比于妇女的权利,能够独立存活的胎儿生命现在更是国家保护的对象”的时间点。但是为什么“合理和公平的考虑”要求以体外生存能力为界限,法院没有做出解释。并且,撰写多数意见的法官显然没有说他们同意现行规则,相反,他们坦率地承认“我们中的一些人可能在维持罗伊案上持有保留意见”。
    这个多数意见批评且拒绝了罗伊案的三阶段规定(trimeter scheme),同上,第872页,并且用一个新的“不当负担”标准替换了它,但是这个标准是模糊不清的,正如我们所解释的,它充满了模棱两可的歧义并且难以应用。
    简而言之,凯西案既没有维持也没有否定罗伊案的重要分析,未能纠正罗伊案推理中的明显缺陷,它支持所谓的罗伊案中的核心观点,与此同时却表明大多数法官可能并不同意它是正确的,除了罗伊案的先例之外没有为堕胎权提供新的支持。并且,凯西案强加了一个新的、有问题的标准,在宪法文本、先例与历史中都没有坚实的基础。
    正如下面所讨论的,凯西案还利用了一种新的遵循先例原则,参见Part Ⅲ-E, infta。这种新的原则并没有解释罗伊案判决的严重错误,还对一种几乎没有任何先前判例法基础的无形信赖给予了很高的权重。遵循先例原则并不要求维持这样一个判决。

    C

    可操作性(Workability)。我们讨论一个判决先例是否要被推翻的另外一个因素,是它所施加的规则是否可操作——也就是说,它是否可以以可预测和一致的方式被人们理解且使用。蒙特霍诉美国路易斯安那州案(Montejo v. Louisiana 556 U.S. 778, 792(2009)); 帕特森诉麦克莱恩信用社(Patterson v. McLean Credit Union, 491 U.S. 164, 173(1989)); 海湾蒸汽航空公司诉马亚卡马斯公司(Gulfsteam Aerospace Corp. v. Mayacamas Corp., 485 U. S. 271, 283 – 284(1988))。凯西案的不当负担的标准在可操作性中表现不佳。

    1

    问题源于这个“不当负担”的概念,正如斯卡利亚大法官(Scalia)在凯西案中所指出的那样,确定一项负担是“适当的”还是“不当的”是没有内在标准的,505 U.S., at 992(斯卡利亚大法官的反对意见);也见六月医疗服务有限公司案(June Medical Services, LLC, 591 U. S., at__)(戈萨奇大法官的反对意见)((slip op., at17)(“一种负担是否被认为是不恰当的,很大程度上取决于法官考虑了哪些因素。”)(省略内部引号和修改)。凯西案通过列举三条附属规则,试图为“不当负担”赋予明确的意义,但规则本身就是问题。第一条规则是:如果某一项法律规定的目的是为了限制在胎儿达到“体外生存标准”之前对妇女的流产设置实质性障碍,那么该规定无效。505 U.S., 878 (emphasis added);也见Id., at 877。但是某一相关规则是否有实质性的障碍,往往会引发辩论,在于“实质性”相关联的意义上,实质性指的是“大量的、客观的数量、或者大小”。Random House Weberter’s Unabridged Dictionary 1897(2d ed. 2001)。不当负担显然是实质性的,但是非不当的负担却不是,在这两者之间,有着广阔的地带。
    这种模棱两可是一个问题,第二条规则则用于所有阶段,这造成了更大的混乱。它指出,在“确保妇女的选择知情权”的措施,只要是没有带来不当负担便是合宪的。凯西案(Casey, 505 U. S., at 878)。在同样能规范未达“体外生存标准”的时间段这一方面而言,这条规则与第一条规则重叠,却提供了一个不同的标准。该规则强加了一个无形的障碍却没有任何实质性效用。适用前体外存活标准而进行流产的时候,这样的规定是否因为不造成实质性障碍而符合宪法规定?或者它是否会因为有不适当的负担而违反宪法?这一规定所造成的负担固然为不足道,但是否符合比例原则?凯西案没有说,这种含糊不清会导致今后的混乱。类似案件参见六月医疗公司案(June Medical, 591 U.S., at____(slip op., at1-2), with id., at__)(罗伯茨大法官的协同意见)(slip op., at 5-6)。
    第三条规则的应用将变得更加复杂,根据该规定,“不得规定不必要的对寻求堕胎的妇女造成权利负担的卫生管理规范”。505 U. S., at 878(emphasis added)。这个规范至少包含了三条模糊不清的术语。包括我们已经讨论过的两个问题——不当负担和实质性障碍——尽管他们是不一致的。而且它还增加了第三个含糊的术语——不必要的卫生管理规范。术语“必要的”有一系列含义——从“本质的”到仅仅是“有用的”。参见Black’s Law Dictionary 928 (5th ed. 1979); American Heritage Dictionary of the English Language 877 (1975)。凯西案没有解决这个术语在这条法律中的意义。
    除了这些问题,还有一个问题适用于这三条规则——他们都呼吁法院审查法律对于妇女的影响,但是由于各种原因,一项法规可能对不同的妇女产生非常不同的影响,包括她们的居住地、经济资源、家庭状况、工作和个人义务、关于胎儿发育和堕胎的知识、心理和情感的倾向和状况、以及他们想要堕胎的愿望的坚定性。为了确定一项规定是否对女性造成实质性障碍,法院需要知道它应该考虑哪一类女性,以及在这一类女性中有多少人必须认定某个障碍是“实质性”的。
    凯西案对这些问题并没有给出一个明确的答案。它指出,如果一个规定在“大部分与它相关的案例”中施加了实质性障碍,那么它就是违宪的,505 U.S., at 895,但显然,在“大”部分与非大部分之间并没有一个明确的界限,法院所说的与某项规定“相关”的案件指的是什么也并不清楚。这些含糊不清造成了混乱和分歧。类似案件见全国妇女健康中心诉赫勒斯泰特案(Whole Woman Healh v. Hellerstedt, 579U.S. 582,___(2016)(slip op., at 39)), with id., at___(阿利托大法官的反对意见)(slip op., 24-25 & n.11)。

    2

    运用凯西案的新标准的困难就出现在这个案件中。多数意见认为,宾夕法尼亚州的24小时堕胎冷静期要求以及知情且同意的条款并没有造成“不当负担”,Casey, 550 U.S., at 881-888(相对多数意见),但是史蒂文斯大法官应用同样的标准得出了相反的结果。Id., at 20-922(史蒂文斯大法官对判决推理部分持协同意见部分持反对意见)。这并不是一个好的征兆,当时的首席大法官伦奎斯特恰当地指出,“不当负担标准不如三阶段标准更加可行”。Id., at 964-966(伦奎斯特大法官的反对意见)。
    不当负担标准的模糊性也在后来的案件中造成了分歧。在全国妇女健康中心诉赫勒斯泰特案(Whole women health v. Hellerstedt)中,法庭采用了成本收益的解释路径,并指出“在凯西案中确立的规则……要求法院考虑一项法律给堕胎施加的负担以及它带来的收益”。579 U.S.___,____(2016)(slip on., at 19-20)(emphasis added)。但是五年后,大多数大法官拒绝了这一解释,参见六月医疗组织案(June medical , 591 U.S.___(2020))。四位法官维持了妇女健康组织关于“权衡”一项法律的“收益”与“它给堕胎施加的负担”的解释。Id., at___(布雷耶大法官意见)(slip op., at )(内部引用省略)。但是投出了关键性一票的首席大法官认为“在类似的堕胎权案件中权衡利弊是法院的工作”。Id., at___(罗伯茨大法官的协同意见)(slip op.,at 6)。四名持反对意见的法官拒绝了多数意见对凯西案的解释,参见id., at___(阿利托大法官的反对意见,加入了托马斯大法官的相关意见,戈萨奇大法官和卡瓦诺大法官也加入)(slip on ., at 15-18);(卡瓦诺大法官的反对意见)(slip op.,at 1-2)(“五个最高法院法官拒绝了全国妇女健康中心案中所确立的成本收益标准”)。
    本院运用凯西案的经验证实了首席大法官伦奎斯特的先见之明,即不当负担标准“不可能长久”。凯西案(Casey, 505 U.S. at 965)(伦奎斯特大法官部分持反对意见)。

    3

    上诉法院的经验提供了进一步的证据,证明凯西案在可允许的限制与违宪的限制“之间的界限”是“不可能被明确划分的”。雅努斯案(Janus, 585 U.S., at___(slip op., at 38))。
    凯西案已经导致了一连串的循环矛盾。最近,上诉法院对妇女健康组织的平衡测试是否正确说明了不当负担产生了分歧。他们在父母通知规则方面存在分歧。他们在禁止宫颈扩张钳刮术(dilation and extraction)方面存在分歧。他们在到达诊所所需时间的增加何时构成不当负担方面存在分歧。他们在州政府是否可以因胎儿的种族、性别或残疾而对堕胎进行监管方面存在分歧。
    上诉法院在应用大比例相关案例测试时遇到了特别的困难。他们在得出不可预测的结果的同时,也批判了这种权利转让的情况,并坦率地概述了凯西案中的许多其他问题。凯西的“不当负担”标准已被证明并不可行。
    凯西案的“不当负担”标准被证明是“不可操作的”。“不知道从哪里来的”,505 U.S., at 965(伦奎斯特大法官部分的反对意见)。他指出,法官们被分配一项难处理的且不适当的任务“似乎只是为了使‘试一试’诉讼永久化”。莱纳特诉费里斯协会案(Lehnert v. Ferris Facully Assn., 500 U.S. 507, 551(1991))(斯卡利亚大法官对判决结果部分持协同意见部分持反对意见)。如果继续坚持这一标准,将会破坏而不是促进“法律原则的公平性、可预测性和可持续发展性”。佩恩案(Payne, 501 U.S., at 827)。

    D

    对其他法律领域的影响。罗伊案和凯西案扭曲了许多重要但并不相关的法律理论,并且这种影响为推翻那些判决提供了进一步的支撑。参见拉莫斯案(Ramos, 590 U.S., at _)(卡瓦诺大法官的协同意见)(slip op., at 8);雅努斯案(Janus, 585 U.S., at_)(slip op., at 34)。
    最高法院的法官们一再感慨:“在任何涉及国家堕胎监管的案件中,如果法院有理由适用法律规则或理论,那么任何法律规则或理论都不会被法院拒绝适用。”索恩伯勒案(Thornburgh, 476 U.S.)(奥康纳法官的反对意见);麦德森诉妇女健康中心案(Madsen v.Women’s Health Center, 512 U.S.753,785(1994))(斯卡利亚法官的协同意见);全美妇女健康组织诉黑勒施泰特案(Whole Woman’s Health, 579 U.S.,at_)(托马斯法官的反对意见);(slip op., at 4-24, 37-43);琼医疗服务中心诉罗素案(June Medical,591 U.S., at_)(戈萨奇法官的反对意见)(slip op., at 1-15)。
    最高法院的堕胎案件削弱了面对合宪性异议的严格标准。受理案件的法官们忽视了最高法院第三方立场原则(third-party standing doctrine)。他们抛弃了标准的既判力原则(res judicata principles)。他们无视了关于违宪条款的可分割性的一般规则,以及应尽可能避免得出违宪结论去解读法律的原则。并且,他们在事实上扭曲了第一修正案的原则。
    当维护一项理论创新要求法院对长期存在的基础规则设计例外时,这种理论“已经不能适应要使法律‘具有原则性和可理解性’的发展了,而这种发展正是遵循先例原则的意旨所要确保的。”琼医疗服务中心诉罗素案(June Medical,591 U.S., at_-_(托马斯法官的反对意见)(slip op., at 19)(引用瓦斯克斯诉希勒里案(Vasquez v. Hillery,474 U.S. 254, 265(1986))。

    E

    确切的信赖利益。我们最后考虑的是,推翻罗伊案和凯西案是否会颠覆实质性信赖利益。参见拉莫斯案(Ramos, 590 U.S. ,at__(卡瓦诺法官的协同意见)(slip op.at 15))中,以及第585卷杰纳斯案(Janus, 585 U.S. , at__(slip op., at 34-35))。

    1

    传统的信赖利益是在“十分精确的预先规划最为必要时”产生的。凯西案(Casey, 505 U.S., at 856)(相对多数意见);也见佩恩案(Payne, 501 U.S., at 828)。凯西案的多数意见承认这些传统信赖利益并没有受到影响,因为堕胎行为一般是“非计划性活动”,并且“生育计划几乎可以使人立即考虑到国家突然恢复禁止堕胎的权力”。505 U.S., at 856. 基于这些原因,我们同意凯西案的相对多数意见,即这里不存在传统且确切的信赖利益。

    2

    由于无法找到传统意义上的信赖,占主导地位的观点在凯西案中呈现一种更无形的信赖形式。它写道:“人们基于对在避孕失败的情况下可以进行堕胎的信赖而结成亲密关系,并做出决定了他们对自身的看法和他们的社会地位的选择”。并且提到“对自己生育的控制提升了妇女平等地参与国家经济和社会生活的能力”。Ibid. 但本法院没有能力评估“关于国民心理的一般性断言”。Id., at957(伦奎斯特法官部分持协同意见部分持反对意见)。因此,凯西案中信赖的概念在我们的判例中几乎没有得到支持,相反,我们的判例强调非常确切的信赖利益,如那些从“涉及财产和合同权利的案件”中发展而来的信赖利益。佩恩案(Payne, 501 U.S., at 829)。
    当一种确切的信赖利益被主张时,法院有权对主张进行评估,但评估凯西案中相对多数意见认可的那种新的无形信赖形式是另一回事。这种形式的信赖取决于一个经验问题,这是任何人——尤其是法院——难以评估的问题,即堕胎权对社会,尤其是对妇女生活的影响。类似可见原告意见摘要34-36;作为法庭之友的妇女学者和专业人士等的意见摘要13-20及29-41,被告意见摘要36-41;全国妇女法律中心等作为法庭之友的意见摘要15-32。争辩双方还对胎儿的地位提出了相互对立的论点,法院既没有权威也没有专业知识去解决这些争议,并且凯西案中的相对多数意见对胎儿和母亲相对重要性的猜测与权衡代表了对“原教旨宪法主张(original constitutional proposition)”的背离,即“法院不能以其社会和经济信仰取代立法机构的判断”。弗格森诉施鲁帕案(Ferguson v. Shrupa, 372 U.S. 726, 729-739 (1963))。
    我们判决将堕胎问题归还给那些立法机构,并允许对堕胎问题持不同立场的妇女通过影响公众舆论、游说立法者、投票和竞选公职去影响立法程序。妇女并非没有选举权或政治权利。值得注意的是,登记投票和投票的女性比例一直高于登记投票和投票的男性比例。在上次2020年11月的选举中,占密西西比州人口51.5%的女性在投票选民中占55.5%。

    3

    由于罗伊案和凯西案案件本身无法展现出确切的信赖,副检察长认为推翻这些判决将“威胁到法院判决用正当程序条款保护其他权利的先例”。美国作为法庭之友的摘要意见26(引用了奥贝格费尔诉霍奇思案(Obergefell v. Hodges, 576 U.S. 644(2015));劳伦斯诉得克萨斯州案(Lawrence v. Texas, 539 U.S. 558(2003));斯沃尔德诉康涅狄格州案(Griswold v. Connnecticut, 381 U.S.479(1965))。这是不正确的,原因我们已经讨论过了,就连凯西案中的相对多数意见也承认,“堕胎是一项特殊的行为”,因为它结束了“生命或潜在的生命”。也参见罗伊案( Roe, 410 U.S., at 159)(堕胎“本质上不同于婚姻的亲密关系”、“婚姻”或“生育”)。为了确保我们的判决不被误解或曲解,我们在此强调,我们的判决仅涉及宪法规定的堕胎权利,而不是其他的权利。本草案中的任何意见都没有对那些不关涉堕胎的判例产生质疑。

    IV

    在证明了传统的遵循先例原则不支持维持罗伊案和凯西案后,我们必须强调在凯西案的相对多数意见中占据突出地位的最后一个论点。
    该论点多以不同的术语进行表述,但是简单地说,本质上陈述如下。如果美国人民失去了对最高法院的尊重,作为一个根据原则而不是“社会和政治压力”来裁决重要案件的机构,他们对法治的信念就会动摇。凯西案(Casey, 505 U.S., at 865)。特别危险的是,当法院否决一个有争议的“分水岭”判决时,公众会认为这一判决是基于无原则的理由作出的,例如罗伊案。Id. At 866-867. 推翻罗伊案的判决将被视为“在炮火下”做出的,是“屈服于政治压力”,id., at 867, 因此,若想保持公众对法院权威的认可,对罗伊案件判决的保留是至关重要的。参见id., at 869.
    这一分析的出发点是正确的,但最终还是偏离了轨道。凯西案的相对多数意见无疑是正确的,因为让公众认识到法院的裁判是基于原则的十分重要,并且我们发表的判决应当仔细地向公众展示,我们得出的结论是如何基于对法律的正确理解之上,从而尽一切努力实现这一目标。但是我们不能超越宪法所规定的权力范围,也不能让我们的决议受到任何外在因素的影响,例如关注公众对我们工作的反应。德克萨斯州诉约翰逊案(Cf.Texas v. Johnson, 491 U.S.397(1989));布朗诉美国教育委员会案(Brown v. Board of Education), 347 U.S. 483(1954)。无论是当我们最初决定一个宪法问题的时候,还是当我们考虑是否推翻先前的决议的时候,都是如此。正如首席大法官伦奎斯特所解释的,“司法部门的合法性不是来源于对公众舆论的追随,而是来源于根据其最佳角度来判断政府各部门的立法是否符合宪法。遵循先例原则的学说是这一职责的附属物,它不应比基本的司法任务更受制于反复无常的公众舆论”。凯西案(Casey, 505 U.S., at 963)(伦奎斯特大法官)。在提出其他建议时,凯西案的相对多数意见超越了法院在我们宪法体系中的作用。
    凯西案的相对多数意见“呼吁这场全国性争论中的对立双方结束他们的全国性分歧”,并要求官方通过宣布此事了结,强制推动宪法上的堕胎权问题的永久解决。Id., at 867. 这个前所未有的要求超出了宪法赋予我们的权力。正如汉密尔顿那句著名的话所说,宪法“既没有赋予司法机关力量,也没有赋予司法机关意志”。The Federalist No. 78, p. 523(J . Cooke ed. 1961). 我们唯一的权力是判断法律的含义以及它应该如何适用于案件。Ibid. 法院无权裁决一个错误的先例在传统的遵循先例原则下得到永久的审查豁免。本法庭的先例服从遵循先例的一般原则,在这种原则下,遵守先例是一种规范,但并不是一种不可抗拒的命令。否则的话,像普莱西案和洛克纳案等错误的判决将依然是法律。这并不是遵循先例原则运行的方式。
    凯西案的相对多数意见也误判了本法院影响力的实际范围。罗伊案没有成功地结束在堕胎问题上的分歧。相反,罗伊案“激化”了在过去半个世纪里一直存在严重分歧的全国性问题。参见凯西案(Casey, 505 U.S., at 995)(斯卡利亚大法官的反对意见);又参见 R.B.Ginsburg, Speaking in a Judicial Voice, 67 N.Y.U. L. Rev. 1185. 1208(1992))(罗伊案的判决可能已经“中止了政治进程”,“延长了分歧”,“推迟了问题的稳定解决”)。并且,在过去的30年间,凯西案也产生了同样的影响。
    这两项决定都没有结束关于获得宪法上的堕胎权问题的争论。事实上,在该案中,有26个州明确要求我们推翻罗伊案和凯西案,并提出要将堕胎问题的决定权交还给人民和他们选出的代表。显然,本法院无法结束关于这一问题的争论,这并不令人感到惊讶。因为本法院不能仅仅通过决定一个解决方案并告诉人们继续前行,就永久解决一个激烈的全国性争议问题。罗伊案中怀特法官的反对观点中表明,无论最高法院对公众态度有什么影响,都必须是源于我们的观点,而不是试图行使“原始的司法权”。罗伊案(Roe, 410 U.S., at 222)(怀特大法官的反对意见)。
    我们不会假装知道我们的政治体系或社会将如何回应今天推翻罗伊案和凯西案的判决,即使我们能预见将会发生什么,我们也没有权力让这些知识影响我们的决议。我们能做的只有我们的本职工作,即解释法律,适用长期以来遵循先例的原则,并据此作出相应的裁决。 
    因此,我们认为,宪法并没有赋予堕胎的权利,罗伊案和凯西案的判决必须被推翻,而且规范堕胎的权力必须归还给民众和他们选出的代表。

    V

    我们现在必须决定,如果各州的堕胎法规受到合宪性异议,将以何种标准为依据,以及我们面前的法律是否符合适当的标准。

    A

    按照先例,合理性审查是这类挑战的适当标准,正如我们已经解释过的,堕胎不是一项基本的宪法权利,因为这种权利在宪法文本或我国历史上都没有相应的依据。See supra, at__-__.
    国家可以出于合法理由对堕胎进行管制,当这种监管受到宪法的挑战时,法院不能“以其社会和经济信念代替立法机构的判决”。弗格森案(Ferguson, 372 U.S. at 729-739); 也可参见丹德里奇诉威廉斯案(Dandridge v. Williams, 397 U.S. 471, 484-486(1970)); 美利坚合众国诉卡罗琳食品公司案(United States v. Carolene Products Co., 304 U.S. 144, 152(1938))。即使关涉在重大社会意义和道德实质问题上有争议的法律时,立法机关的判决的尊重也应适用。例如,阿拉巴马州大学董事会诉加勒特案(Board of Trustees of Univ. of Ala. v. Garrett, 531 U.S. 356, 365-368(2001))(“对残疾人的治疗”);格鲁克斯伯格案(Glucksberg, 521 U.S. at 728)(“协助自杀”);圣安东尼奥独立学区诉罗德里格斯案(San Antonio Independent School Dist. v. Rodriguez, 411 U.S. 1, 32-35, 55(1973))(“公共教育的财政支持”)。
    像其他卫生和福利方面的法律一样,监管堕胎的法律有权获得“强有力的有效性推定”,海勒案(Heller, 509U.S., at 319)。如果有一个合理的基础,立法机关本可以认为它将服务于合法的国家利益,那么它就必须得到支持。Id., at 320;美国联邦通信委员会诉比奇通讯股份有限公司案(FCC v. Beach Communications, Inc., 508 U.S. 307, 313(1993);新奥尔良案(New Orleans, 427 U.S., at 303);威廉姆森公司诉奥克拉李氏光学公司案(Williamson v. Lee Optical of Okla., Inc., 348 U.S. 483, 491(1995))。这些正当利益包括:尊重和保护各个发展阶段的胎儿,冈萨雷斯案(Gonzales, 550 U.S., at 157-158);保护产妇健康和安全;消除特别可怕或野蛮的医疗程序;维护医疗职业的职业操守;减轻胎儿疼痛;以及防止基于种族、性别或残疾的歧视。参见同上,at 156-157;参见罗伊案(Roe, 410 U.S., at 150);格鲁克斯伯格案(cf. Gluksberg, 521 U.S., at 728-731)(确认相似的利益)。

    B

    这些正当利益证明了密西西比州《胎龄法案》的合理性。除非“医疗突发事件或胎儿严重畸形”,否则无论出现何种情形,“如果未出生胎儿的胎龄被确定大于15周”,该法案都禁止堕胎。Miss, Code Ann. § 41-41-191(4)(b)。密西西比州立法机关的调查结果叙述了“人类产前发育”的阶段,并主张该州在“保护未出生婴儿的生命”方面的利益。Id. §2(b)(i)(2)。立法机关还发现,15周后的堕胎通常会采取扩张和排空两种方式,因此,立法机关认为“出于非治疗性或选择性原因使用这种方法是野蛮的,对孕妇而言是危险的,对医疗行业而言是侮辱性的。”Id. §2(b)(i)(8);也可参见冈萨雷斯案(Gonzales, 550 U.S., at 135-143)(描述了此种程序)。这些合法利益为《胎龄法案》提供了合理性依据,因此,被告的合宪性异议必然面临失败的结局。

    VI

    我们从开始的地方结束这个判决。堕胎关涉一个深刻的道德问题。宪法并没有禁止各州公民监管或禁止堕胎。罗伊案和凯西案僭越了这一权力。我们现在推翻那些判决,把权力交还给民众和他们选出的代表。
    推翻第五巡回上诉法院的判决,案件发回重审,以进行进一步符合本意见的诉讼程序。

    翻译组:
    何 琪  中国人民大学 
    王励恒  河南师范大学
    罗颖琦  北京大学
    李梅萍  西安交通大学
    阙灵昀  复旦大学
    刘书阳  黑龙江大学
    徐小芳  湖南师范大学
    校对组:
    苏汉廷  中国政法大学
    彭 悦  中国海洋大学
    田燕菲  西北政法大学
    赵铭杨  中国政法大学
    李小兰  湖南工商大学
    肖子良  甘肃政法大学
    多晓奇  香港中文大学
    统稿组:
    罗颖琦  北京大学
    李梅萍  西安交通大学
    阙灵昀  复旦大学
    王耿琳  上海大学
    翻译为判决书前67页的正文内容,第68—98页的附录内容暂未译出。脚注略。

  • 临泉照影:异木棉和一首歌

    “有时候对于一树花的思念,就好像对于一个人的思念。见过了它们之后,就会想着下一次什么时候能够再见,再一次见到它们的时候,就会回忆起第一次见到它们时的情景”。

    到了啊!羊城微凉的,短暂、舒适,异常珍贵的秋天。

    道旁开始不时地出现那一树树的粉色的云,纯净的空气中疏花密影缓缓流动,如时光不觉间一寸寸的幻为不可追的昨天。

    这美丽异木棉的花期也来了。

    没有亲见过披覆繁花的异木棉的人,很难想象它的美。被称为美人树的“她”,明艳却孤傲,遗世独立。与高大俊朗,花型硕大的木棉迥异。

    南方的秋是她的季节,如能偶遇一颗较为高大繁茂的异木棉花树,便能立刻明白什么叫做惊艳。花开之时,树上几乎没有树叶,只是满树缀着深粉或浅粉的花朵,半个手掌大小的花儿,薄薄的花瓣,如波而微卷的边缘,花心为黄或白色,还带着些许斑纹。舒展而出尘,娇嫩而明艳,美的无可名状。在蓝天的映衬下,周围的一切都变得梦幻般,甚至不真实起来。待一树繁花肆意盛放,如锦绣铺陈,即便是没有多少闲情的人们也会为之震撼。

    但她是不易亲近的,尖锐而高挑的身姿,让人不可摧折,只能仰望。爱花之人大都只能如我一般在树旁赞叹、徘徊,留连、求索。

    忽然想起少年时曾听过一首歌Wind flowers(风之花):

    Wind flowers 风之花

    My father told me not to go near them 父亲告诉我不要接近它们

    He fear them always, 他害怕它们

    as they carried him away…它们带他走了,

    I couldn’t wait to touch them我急切地要抚摸它们

    To smell them I held them closely 闻着它们、靠近它们

    Now, I cannot break away如今我已无法离开

    Their sweet bouquet disappears 它们的芳香消失了

    Like the vapor in the desert 如在沙漠中蒸发的水气

    Take a warning, son孩子,听听劝告吧

    Their beauty captures every young dreamer 它们的美丽捕获了每一个年轻的梦想者

    Who lingers near them 他们徘徊在它的身旁

    Ancient windflowers, I love you我爱你,古老的风之花

    少年时,喜欢这歌声里的叹息,和那背后悲伤的神话。年少的我不认为世间真的有风之花,只觉得这曲调有异域的神秘,还有宿命的味道,并不为“真”。即便自己彼时也曾拥有一些似是而非的感情,但其实是不懂得何以让人不能自拔的。风之花,正如面前的异木棉,世间的一切遇见方知其存在,即便是那些难以获得、不可停留的情感。

    羊城半年为夏,常常潮湿闷热,冬天也总有一小段寒冷难熬的日子。好在植物种类繁多且四季葱茏,各种花儿依时令次第开放,冬季的洋紫荆、春天的黄花风铃、夏天的凤凰木火焰木,各擅其美,提示着季候的变换。然后就等来了一年最美的秋季,和异木棉。

    美丽异木棉,无花之时沉默、遗世,花开之际,极尽繁华,但仍那么孤傲。如我之所爱,总是有着狂狷之内核。我也总会记得,在某一年,秋的阳光下,花儿初开,那不知归期的白衣少年和这绚烂的永恒的等待。

  • 居住与地产

    党国英:人类的住房梦是拥有独栋住宅

      人类倾向于居住什么样的房屋?《美国梦魇》作者奥图尔的分析认为,是独栋住宅。他所引用迈尔斯和吉尔林的“1999年全国住房建筑商协会的住宅增长调查”的数据揭示,83%的调查对象偏好郊区独立式独户住宅。另在1998年佛蒙特州选民对外迁的态度调查中发现,74%的调查对象偏好边远地区大地块上的住宅。在1995年美国人生活在新城市主义中的研究中,73%的被调查者偏爱大宅地的郊区开发区。这当然与交通条件改善有关。

      “美国梦”是有独栋房屋

      拥有一所独栋房屋有显著的社会意义。独栋房屋对于保护隐私,教育儿童,消除紧张感,增进邻里友情,都有明显的积极作用,被环境心理学所证实。

      认为人们倾向于居住在集合住宅里,是一个谎言。但这个谎言被重复多了,竟然成了现实。人们被灌输这样一个理念:低密度住宅会增加人们出行的交通成本,带来生活不便、空气污染等一系列烦恼。但是,华盛顿大学的一份研究发现,高密度住宅并没有解决人们担心的问题。西雅图是美国集合住宅比重较大的城市,而研究发现,这个地区85%的居民主要在平均距离超过离家最近的超市两倍的杂货店中购物,引起更高的消费成本,以及更为拥堵的交通。经济学者科尔曼· 伍德伯里的研究证明,多户集合住宅流行与交通发达是弱相关,也不是人们的品味追求。人们之所以选择集合住宅小区实际上是住房价格提升造成的,而价格提升与分区规划制度有关,并非人们更乐意居住在高密度住宅社区。

      拥有一所独栋房屋,是典型的“美国梦”。历史学者威廉·沃利评论说,“从16世纪开始直到19世纪后很长一段时间,土地所有权的诱惑就像磁铁一样,成为吸引英国和欧洲移民最重要的东西”,“在19世纪最后的30多年中,这种渴望转变为拥有城镇的宅地。”这不只是中产阶级与上流社会的愿望,同样也是底层普通百姓的愿望。玛格丽特·嘉布在2005年出版的关于芝加哥的《美国梦之城》;以及关于其他城市的类似著作都已经证明,对独户住宅的渴望的真正来源是工人阶级移民,而不只是上流社会。

      美国人独栋房屋梦碎

      尽管研究发现人类倾向于在独栋房屋居住,但现实情况与心理期待反差甚大。集合住宅大量出现在经济不发达国家。有的极端落后国家的百姓大量居于没有基本水电路气设施的贫民窟中。经济发达国家人口密度总体比较高,但其国民大部分居住在独栋或联排房屋中。这是一种国家对土地利用干预较少的情形下长期自然演化的结果。但是,发达国家这种情形在第二次世界大战之后逐渐发生了变化,集合住宅的比例有所提高。

      美国人的住房梦从19世纪末期开始,逐渐走向破灭。在1890至1930年之间出现了多项意义深远的重大变革,它们改变了美国人的生活方式,也改变了住房在中产和工人阶级家庭扮演的角色。这些变革包括信用的扩张;新兴的交通技术,如有轨电车和汽车;新兴的工业技术,如流水生产线;一个新兴的住房建筑商阶层,他们将地块划分和住房建设合二为一;以及使用保护性协议和分区规划以保护住房的价值——往往是保护中产阶级街区免遭工人阶级的入侵。

      建筑师、规划师、环保主义者与一部分土地规划官员联合起来推动美国梦成为“美国梦魇”。他们一直都在对郊区独栋住宅建设进行妖魔化,向人类的基本住房观念发起挑战。这种挑战眼见得取得了一定“胜利”。如今,第三世界的先进国家的住宅建设基本上以集合住宅为主,例如中国城市的集合住宅占总住房单元的比重估计在90%以上。就连美国这样的国家,也不易抵御反人性的住宅建设规划推动者势力,在一部分州和城市建造了大量集合住宅。

      中国人热衷独栋房屋

      中国人同样更热衷独栋房屋。这个判断不应受到怀疑。对于同一地域同样使用面积的住房,在建筑安装成本相近的情况下,独栋房屋的售价远超单元楼房,就可以看出人们对独栋房屋的偏好。这方面的需求没有国情差异,只有价格才能影响人们的购买行为,而价格与土地制度之间有密切关系。

      中国的国土资源不妨碍中国人拥有独栋房屋。这里可以匡算一笔大帐。按地理学调查资料,我国至少有50亿亩土地适合人类居住。为了更好地建立现代农业基础,降低农业成本,假设建立30亿亩的农业保护区(包含其中的河流道路占地),区内的非农建设用地只能逐步减少,不能增加。剩余土地中去掉河流道路占地最多2亿亩,还有18亿亩土地(120万平方公里)可做城市建设可选用地,城市人口密度取每平方公里4000人标准,城市远景人口取11亿,实际城市建设用地需要27.5万平方公里(4.125亿亩)。在18亿亩的地域里,即使按照美国的城市人口标准,也不可能全部被“城市”占用。政府可以用税收杠杆及建筑标准等参数,将建设占地控制在4.125亿亩左右。要明白,这18亿亩是一个可选择的范围,即使政府不做控制性的分区规划,也不会全部被城市占用。假设在中国建设3000座城市,可以保证农业现代化的需要,也可以保证全国城市居民有多半居住在独栋房屋里,开发强度不过是23%!这种情形可以保证绝大部分城市周边有足够的森林及都市农业用地,每一个城市都会是花园城市。

      上面的分析表明,中国人对高品质居住的需求以及土地资源对这种需求的满足能力,都是客观事实。

    黄奇帆:关于建立房地产基础性制度和长效机制的若干思考

    本文为2017年5月26日,黄奇帆(时任全国人大财经委副主任委员)在复旦大学的演讲。

    中国的房地产,和世界一样,是国民经济的支柱产业,说它是支柱,不管一个城市在高速发展阶段,还是成熟老化阶段,房地产每年产生的GDP至少占这个城市的5.3%,所以它当然是支柱产业。

    同时,房地产业涉及到几十个工业产品、工业材料的关联,房地产兴旺与否跟一个很长的产业链联系在一起,是一个龙头产业。

    我们对房地产的重视,是因为它是支柱产业、龙头产业,更因为它是民生产业, 老百姓衣食住行,跟房地产息息相关,中产阶层很重要的财产特征跟房产联系在一起,所以它又是财富的象征。

    房地产因为与庞大的资本和金融相伴,兴衰往往会带来金融资产的膨胀或者坏账,所以从防风险的角度,各国政府都很重视房地产的稳定,因为很多世界级的经济危机总是和房地产泡沫崩盘联系在一起。

    那么当下的中国房地产,用习总书记去年经济工作会的一段指示、评论,作为我下面讲的内容的主导面是很重要的。

    习总书记指出,中国经济存在着结构性失衡的问题,主要表现在产业结构上供需失衡;实体经济和金融业失衡;房地产和实体经济之间存在严重的失衡。

    我今天就是要论证和阐述一下房地产和实体经济失衡的问题。我自己感觉,这种失衡表现在10个方面。

    失衡之一:土地供应

    房地产业当然需要大量的土地做基础,在国内经济中,目前对房地产的土地供应有失衡之处。

    宏观上看,国内每年都要供应城市开发用地,要把农业用地、耕地转化为城市建设用地。几十年来,大体上平均每年要用800万亩耕地征地动迁,转化为国有建设用地。

    每年800万亩,每10年就是8000万亩,加上地方政府或者地方上的各种企业,总会有一些计划外的征地,这样的话,国家一年800万亩,下边有个百分之十几多征的地,实际上,每十年国家要用掉1亿亩耕地。

    我们改革开放30多年,国家的耕地少了3亿多亩,1980年的时候,国家的耕地是23亿亩,到了去年,是20亿亩左右,再过30年就不可避免地要降到18亿亩以下了。

    我们国家有个判断,无论如何,十三四亿人口,吃饭问题至少需要18亿亩耕地。

    一亩地满打满算产1000斤粮食,每年1万亿斤粮就需要10亿亩解决吃饭问题,五六亿亩种蔬菜水果,但是我们还需要饲料,我们吃的肉类,人均一年要吃40公斤左右,13亿人,就是5000万吨,按照1:4算饲料,就是几亿吨,这几亿吨需要五六亿亩地,所以中国的地是不够的,每年都要进口饲料或者粮食。

    总之,18亿亩耕地红线要守住,这是中国的客观需要和国家安全所在。

    现在的土地供应,已经不是过去30年每年800万亩了, 2015年供应了770万亩,2016年供应了700万亩,今年,还没到年底,实际供应还不知道,但是计划是供应600万亩。

    土地供应的总量在减少,城市里的用地会紧张一点,这是第一个问题。

    第二个问题是,这600万亩土地,分成四个方面的用途。

    这个地说起来是城市建设用地,但是农村也同样有建设性用地的需求,比如农村修一个水库,搞农村基础设施,或者城市和城市之间修1000公里高速铁路,途中经过农村的地变成建设性用地。

    这样的话,600万亩土地,会有35%左右实际上是用在农村里的建设用地。真正到了城市里面,剩下2/3,600万亩里还有400万亩。

    这400万亩又一分为三:有50%几,用于城市里的基础设施比如城市的道路、绿化、市政建设;

    第二块是工业,在国家改革开放最初的二三十年,大家都高度重视第二产业,招商引资没有本钱,就用土地做本钱,工业用地便宜。

    如果来了一个搞100亿产值的老板,可能不是供应1平方公里,而是2平方公里都给他了,供地比较慷慨,投入产出率低,不那么集约、节约。

    过去几十年形成的,城市土地中工业用地占比差不多30%。现在我们每年增加的,比如今年的600万亩土地,大体上会有多少给了工业呢?22%左右。

    剩下来住宅可以拿多少?10%。就是说总分母600万亩中,10%给了房地产。

    这个比例是不平衡的,老百姓的住房用地,一般占这个城市所有土地的25%,我们呢,只占10%,这就显得少了。

    好不容易有了这点地,可以作为城市居住用地使用拍卖,那么是不是大城市人多就应该多供应点?人少的就应该少供应一点呢?

    政府做事呢,会有点,不叫长官意志,而是想调控。城市太大了,我有意控制你几个点,土地不能再增加了,人也不能再增加了;反过来,中小城市,200万-300万人口级的城市,他们想发展,比较容易得到上级部门支持,指标拿到的时候,假如说平均一刀切,结果大城市人口集中多,流入多,结果土地拿的少。

    每个城市的10%里面,可能越大的城市眼下每年新增的供地,住宅用地反而更少一点,反倒是中等城市、小城市会更多一点。

    供不应求,土地越拍越贵。

    这是我要讲的供地失衡的问题,很多失衡的状况,一旦了解了底细,就会发现逻辑上是想得通的,我们在经济调控中,应该有更务实更合理的调控方式。

    失衡之二:土地价格

    这十年,一线城市的房价几乎涨了10倍以上,有时候大家会说这是通货膨胀现象,十多年前,中国GDP 10多万亿的时候,贷款余额也就是10多万亿,现在是150多万亿,货币增加了十几倍,房价有的地方也涨了8倍、10倍、12倍。

    到底是货币涨,房价涨,还是土地涨,房价涨呢?

    我个人认为,一切物价上涨都是通货膨胀现象,这么笼统的一个经济规律是没错的,但是为什么货币通货膨胀了三倍,有的东西涨了,有的东西掉价呢?说明还是跟具体的供求有关,如果真的是一个供过于求的东西,货币哪怕泛滥,这东西价格跌掉一半也是有可能。

    房地产之所以涨价,一个很重要的因素是和地价有关。

    地价涨了,房价跟着涨,房子本身是会贬值的,每年折旧,用个几十年可能就会拆掉,但是在城市里,土地每年都会升值,最后这个房子哪怕拆掉了还会值几百万甚至上千万,是因为这块土地升值了,我们土地升值有点畸形,长得特别高。

    有三个原因:第一个原因当然是我们土地买卖的方式,我们从香港学来的土地拍卖制度,应该是上世纪80年代后期90年代初期,我当时在浦东新区,我们一起到香港学习土地拍卖制度,几个月学了回来,中国第一轮的土地批租拍卖是从上海上开始的,我对这件事,应该说了解得特别清晰。

    总的来说,拍卖有它的好处,在政府主导的机制里,拍卖是阳光的市场机制,能够避免腐败和灰色交易。如果是协议出让,居间交易中搞不清的事,不知道会害了多少干部。

    拍卖制是好的,但是拍卖制的规则是价高者得,很多家来叫这块地,就可能几十轮甚至上百轮地叫价,越拍越高,拍卖的上限怎么封顶缺少一个有效的制度安排,光靠行政手段,比如拍到3000万一亩的时候,拍上去的不算,到此封顶,这又有点和规则不合。

    这是第一点原因,拍卖制本身会推高地价。

    第二个原因是土地本身就供不应求,假如说我们供应城市的土地,平均在供地量的20%,情况就会比较平衡,现在供应的只有10%,少了一点,而且是不均衡的,对一线城市供应不足,越供应不足,拍卖地价越高,最后倒过来,地价越来越高,房价越来越高。

    这是第二个问题,供不应求短缺,总的供应上短缺,有缺口产生的问题。

    第三个原因是,城市发展并不是每年大城市、中等城市、小城市都在城市边缘地带征收农民的地,新增土地扩张来发展,新增土地扩张是跟国家要的指标。

    每一个城市的市长,另外有个手,它在干的一个活呢,是不要指标了,把这个城市几十年上百年留下来的棚户区、贫民窟、破房子拆掉,叫旧城改造。旧城改造不要指标,本来就是城市建设用地。

    拆迁会有什么情况呢?如果这个地区的房价大体是7000元一平方米,你来拆1000户,每户有个100平方米,这10万平方米怎么补偿?大体上按照这个地区的均价来补偿,这是拆迁的基本逻辑。

    所以拆迁10万平方米的土地,地价7000元/平方米,造出来的房子一定到一万五六,拆迁会带来巨大的土地成本。

    过了一年两年,这块地旁边的地要拆迁,拆迁的成本就不是六七千,而是一万五、两万,这很正常,以这个地价成本拆出来的房子,造出来的就会卖三万四万。

    这个意义上,城市的土地如果都是靠拆迁而来,造新房子滚动开发,房价容易高。

    所以我们现在的城市,在拍卖机制下,在一个总体上新供的土地短缺的情况下,老城改造,拆迁循环,这三个机制叠加在一起,就会导致房价往上升。

    一定要说这里面哪个人负责,这里面是一种机制,几乎所有人都在埋怨,开发商埋怨土地价高,老百姓埋怨房价高,官员埋怨投资环境破坏了,所有人都不满意,似乎无法改变它。

    失衡之三:房地产占用的社会资源

    每年的固定资产投资比重太大,消耗的金融资源比重太大,房地产在财政税收的比重中太大,这是三个失衡。

    从投资来说,一般经济学、城市学有个基本的经验,一个城市的固定资产投资中,房地产投资每年不要超过25%,这个话呢,10年前我在重庆管这个事情定了这个原则后就在说,我看到网上有一个专家说,黄奇帆这个人有时候会拿出一些很武断的结论,使用效果不错,但是到底是什么地方来的理论?就定了很武断的结论。

    我当时看到,想了想,我似乎因为不是教授,不会整天写报告,为什么这么做那么做。实际上有个理论,很简单,就是六分之一的理论。

    一个人正常的家庭,如果是租房子,最好月收入的1/6以内付房租,如果你用了1/3的钱在付房租,你的生活会很困难,比例失调了,如果你不是租房住,而是买房住,用你一生的工作正常收入,三十六七年的六分之一,六七年的家庭收入买套房,这个1/6是这么来的。

    一个城市的GDP如果有1000亿,这个城市搞房地产投资,最好在GDP的1/6以内,就是150亿。

    意思就是,GDP不能都用来投资造房,否则就像一个家庭无法正常持续健康地生活一样的道理。

    一个正常的城市,每年的固定资产投资不要超过GDP总量的60%,否则就不可持续。

    我们现在国家32个中心城市和直辖市,有5个城市,已经连续多年,房地产投资每年占整个GDP的60%以上,然后有16个城市比例偏高,当然也有少数五六个城市在10%几,这些城市发育不足。

    房子卖得多,基础设施没有跟进,工商产业没有跟进,空城鬼城便会出现,各种情况都有。

    这是第三个失衡,固定资产投资绑架经济发展成为增长的撒手锏。

    失衡之四:绑架金融

    2016年,中国100多万亿的贷款,有百分之二十七八,是房地产相关的,开发贷加按揭贷,也就是说,房地产用了全部金融资金量的百分之二十七八。

    大家知道房地产在国民经济中产生的GDP是7%,绑架的资金量是百分之二十七八,去年,工农中建交等主要银行,新增贷款的百分之七八十是房地产,全国而言,到去年年底,全国新增贷款量的46%是房地产。

    从这个角度讲,房地产绑架了太多的金融资源,也可以说,脱实就虚,这么多金融资源没有进入实体经济,都在房地产。

    失衡之五:税收

    这些年,中央加地方的财政收入,房地产差不多占了35%,听起来还好,但是因为中央没有房地产的收入,房地产收入属地化,所以这一块房地产的收入、土地出让金、预算外资金有3.7万亿。

    在地方的税里面,有40%是房地产关联的税收。我们整个国家的税收是17万亿,地方税总的10万亿,有4万亿与房地产关联,再加上土地出让金,预算外资金,叠加起来,将近8万亿。

    讲这段话的意思是,整个地方的收入是多少呢?一共是13万亿、14万亿,里面有接近8万亿,是和房地产有关的,如果地方政府离了房地产,是会断粮的,所以这也是太依赖房地产。

    失衡之六:销售租赁比例

    在美国和欧洲,所有的商业性房屋,50%左右销售,50%租赁。租赁有两类,一类是房产商自己开发的房产租赁,第二类是小业主老百姓有很多套房,自己住一套,其他的租赁,这就形成了50%的租赁市场。

    新加坡接近80%都是公租房。有点像改革开放前,我们都住在政府集体企业的公房中,产权归公家,分配的房子归你租用,不是你的产权,也不能买卖。

    这十年开发的房屋,每年十几亿平方米,作为租用的,不到10%,90%以上的商品房都是买卖,这个市场是畸形的。

    租赁市场有4个不足:第一,租赁者是弱势群体,没有谈判的能力,租房的人和企业,可以随心所欲地调租金;

    第二,随意把房子收走;

    第三,各种重要的公权部门,没把租赁房屋的住户当做同等公民待遇,租了房子的上不了这个学区的学校,必须买房,医疗也是这样,医保的服务都和产权房有关,入户也是,买房满几年可以入户,租房就不行。

    老百姓有了这个心态之后,会觉得我现在租房子是没办法,只要有一天,稍微有条件就买产权房,总之把租赁当成短暂的没办法的办法。

    失衡之七:房价收入比

    六七年家庭收入买套房是个合理的年限,我们现在实际情况,均价对均价,一线城市一般都在40年左右。

    纽约、伦敦市中心的房子也不便宜,但是按伦敦房子的均价,家庭户均收入10年以内也可以买到房。

    总得来说,我们高得离谱。

    一般的二线城市,在20多年,当然也有边缘一些的地方,五六年。

    失衡之八:房地产内部结构

    一二线城市土地供不应求,房产开发量供不应求,这些地方只够卖三四个月,而且是在限卖限购的情况下,不需要去库存。有些地方是三年四年都卖不掉。

    这是一种失衡,资源错配。

    供不应求的地方应该多供一些土地多造点房子,供过于求的地方应该不再批土地给它。

    这就要把错配的资源调配回来。

    具体而言,房地产开发是个供给端的概念,不是等到市场需求端来调控,一定是在供给端,政府和企业可以有明确的信息,进行调整的。

    比如,一个城市人均住宅是多少,大账上说40平方米,如果只有100万人,这个城市造4000万平方米就够了,过去几十年,留了2000万平方米,结果每年又去开发1000万平方米,五年一过,有个七八千万平方米,人均住宅面积就变成70平,80平,肯定过剩。

    所以这是可以预测的,应该有规划数的,上下波动个10%、15%,不得了,不能由着开发商想盖多少盖多少,政府短期效应,这会儿开发的多,GDP投资拉动的多,短期效应,然后拍拍屁股走了,这个地方容易烂尾,后面的人收拾烂尾。

    一个地方应该建多少写字楼?各个地方都在盖写字楼,作为城市中央商务区造的写字楼,为全社会的贸易公司服务的,一般中等城市以下,每两万元GDP一平方米,如果你的城市有1000亿的GDP,说穿了,500万平方米的写字楼到极限了,多造一定是过剩的。

    如果是像上海这样的大城市呢,资源利用率高,其实GDP,4万元左右一个平方,上海一年有25000亿的GDP,第三方造的为所有人用的写字楼,6000万平方米足矣。

    上海商业零售额在1万亿左右,这1万亿盖多少商场、零售商店呢?大账上说,2万元一平方米,1万亿造5000万平方米;上海还有一种方法,一个人2平方米,上海现在2400万人,打造5000万平方米,这种算法内在都有规则。

    如果你一平方米的商业零售只有1万元,这一平方米的房子的价格在大城市里倒要几万元,赔死了。

    有些城市,开发商一进来,搞一个五十万方的大卖场,不是一个老板搞的,这个老板搞两个,那个老板搞两个,政府有兴致批,都是空城鬼城的代表,好大喜功的代表。

    这些都是要吸取教训的。

    失衡之九:市场秩序

    比如原来规划用途是写字楼的去造住宅,原来是工业后来做商业,随便转化用途,随意变换容积率,可能政府知道了,罚款一下。

    各种乱象很多。房产销售时,商铺的面积切碎了卖,卖不掉了,售后返租,实际上是高息揽储,最后坏账,变成社会不稳定的源头。

    房产商在融资的时候,高利贷,职工系统乱集资,社会上骗老百姓乱集资,都是房产商在开发中的乱象。

    还有一种,批了土地后,两年必须启动开发,三五年完成,太多的房产商囤积了地十年没有开发,这十年来,房价涨了10倍,什么活也不干,利润增加10倍。

    政府土地储备很少,开发商土地多多,囤地,囤房,卖不掉的房,切碎了卖,售后返租,当股票一样的当成标准化的再卖。

    这些都是要加强管理。

    失衡之十:调控方向

    失衡是政府本身在管理房地产时,经济下行希望刺激房地产,往东调,房地产泡沫来了以后,希望压住它,稳住它,不让它乱涨价,往西调。

    现在房地产调控是有这种不东不西的状态。

    再有呢,采取的办法行政性的居多,短期的措施缺少理性的长周期措施,缺少法律性措施,缺少经济逻辑、经济杠杆措施。

    比较多的是需求侧的调调控控,紧紧松松,在供给上进行有效的结构性调控比较少。

    这就是我们在调控方面的缺陷,也是习总书记批评的,这种政府长周期的法制性的问题。

    以上十项,是房地产失衡的具体表现,这种失衡会带来三个后果:

    实体经济脱实就虚,土地成本高,房价高,对搞实体经济的投资肯定是不划算的。

    实体经济看到搞房地产那么轻松,卖套房比它好几年赚的都多,有点钱就不再往实体投,都投到房地产。

    实体经济的职工,也因为房地产价格过高,招来的人才买不起房,没地方住。

    从长周期来说,房地产是必须要有的,但是高房价造成的后果,对实体经济的伤害是不言而喻的。

    怎么样建立长效机制?围绕总书记说的,要从土地、金融、财税、投资、法制五个方面采取长效的机制,形成制度化的安排,系统地做好房地产的调控。

    总书记的要求非常深刻,我要说的就是学习总书记关于房地产调控的五个方面要求的一些思考。

    长效机制之一:土地

    我觉得对土地的调控需要那么四个五个刚性的措施。

    一个城市土地供应总量,按一人100平方米,100万人就供100平方公里,一千万人就供1000平方公里。

    爬行钉住,后发制人。

    什么意思?你这个城市有本事,把这个人口搞到500万,那我以前只给了你350万平方米,现在每年补你几十万平方米。

    不能根据长官意志,计划未来有500万人,现在才两百万,就要500平方公里土地,结果我在10年里,真的给你300平方公里土地,你300万人没来,只来了100万人,甚至原来的200万人还走了,这个土地的错配,谁负责。

    土地要爬行钉住,而不是说要你去臆想调控,长官意志,违反经济规律。

    就按这个逻辑,不复杂,如果上海到了2500万人,一定要2500平方公里,不是没有地啊,上海有6000多平方公里,还有很多农业,农业在上海只占1%的GDP,农民人口也只有三四十万,在这个意义上,一定维持农业也是要做城市绿色农业,示范农业。由此而言,如果这个城市本身的土地不足了,不到人均100平方米了,就应该补上去。

    所以在这个意义上,不是拿到指标,三四百个城市大家平分,而是看谁人口多。

    人口怎么多起来呢?有句话叫产业跟着规划功能走,人口跟着产业走,二产、三产发达了,人口就多,土地跟着人口和产业走。

    当你把前面的几个环节做成了,我爬行钉住就行了。最笨的办法也是最有效的办法。

    长效机制之二:法律

    用法律,或者非常刚性的约束。

    人均100平方米干嘛的?绝对不是100平方米都去搞住宅。作为城市来说,100平方大体上55平方米城市基础设施,公共设施,包括学校医院,城市绿地;工业20平方米。

    如果一个城市有1000平方公里,就有200平方公里搞工业,1平方公里可以搞100亿,那200平方公里,那就是2万亿啊,很大的工业体量。

    像金桥,90年代浦东开发的时候,规划了10平方公里,我们当时就定下来每平方公里至少100亿,到了2000年,朱晓明是金桥开发区老总,他说,金桥已经有1500亿。10平方公里里面,7平方公里的工业园区,每平方公里干了200亿。

    我讲这段话意思是,工业就是要约束性强一点,要把过去太慷慨的工业用地再高压紧逼下把土地置换一些出来,或者在产业结构、工业结构里做一些调控,把低利用率的换成高利用率的,使工业更加节约。

    剩下的25平方米,就是土地批租,商品房的开发,20平方米给居民开发,5平方米给商业。

    如果1000万人的城市,可以搞一个50平方公里的商业区,大家知道曼哈顿的商业区多繁华,只用了10平方公里。

    原来上海的南京路,多繁华的商业,整个土地的建筑面积几平方公里,非常节约。

    地价方面呢,总的供应量起到了保障作用之后,拍卖土地的时候也要有限价措施,大体上讲,楼面地价不要超过当期房价的1/3。

    如果周围房价是1万,这会儿动迁产生的土地拍卖,拍到3300,就应该适可而止,不能说我征地花到6000,我就要拍到6000。

    限价不是长官随意的限制,其实政府不在土地上去推高地价,地价跟着房价慢慢走。

    如果你是旧城改造拆下来的,成本的确很高,不能由着这个成本,由着拍卖覆盖成本不亏本这样的小心眼,应该把政府给你的城乡结合部的,供应比较充分的土地资源,那个地方可能会得到的土地出让金,补充平衡市中心旧城改造的土地出让金。

    这么平衡之后,看起来你可能吃了点小亏,但是城市投资环境好了,工商经济发展了,实体经济和房地产不失衡了,你是可持续发展,税收、金融、投资都跟实体经济更多地连在一起,城市会更好地发展。

    金融方面的措施要坚决守住底线,任何开发商买土地的钱,必须自有资金,上世纪90年代我在浦东开发的时候,就是这个约定。

    这里面有个原理,开发商对房地产的总投资理论上1:3,自己的资本金是1的话,社会的融资可以是3,就是总资产的25%是资本金。对工业企业,我们是1:2,1/3的资本金。

    房地产商呢,融通量大一点,1:3,也就是25%的资本金,当然是拿来买地了,地如果是你自己买的,可以抵押了融资,拿到钱造房子,封顶的时候,可以预售,老百姓已经把预售定金或者按揭贷款的资金转过来,最终是土地的自有资金加房屋开发的融资资金开发贷,再加预售过程中老百姓的按揭贷。

    现在全国房地产商的融通量是多少呢?1:9,我这么说可能还是保守的,有的开发商可能1:50。

    你听他有几千亿的资产,债务95%,万一有坏账,银行倒霉。

    买地皮的时候,来个三七开,如果这块地皮是10个亿,他自己拿3个亿,借了7个亿,拿到地了去银行抵押,抵押至少六七个亿,造房子,卖楼花,把预售的钱拿到了。

    这个地是10亿买来的,三年后,地价涨到20亿,真的要开发的时候,20亿作为抵押物,可以拿到15亿的钱,整个开发流程中的融资,到了1:9,这就是房产绑架金融的情况。

    地王不断出现,是房产商跟金融系统的关系,谁融资能力强谁就拿到地王,融资再多也不担心,地价一炒高,什么问题都解决了。

    地王现象不仅是土地短缺,拍卖机制的问题,还和融资的无限透支,缺乏隔离墙有关。

    为什么那么多资金都往房地产里面走,如果有一个防火墙,一切买地的钱通通不能借债,只要做到这一条,M2跟你有什么关系?进不来的嘛。

    我在重庆,一直是管住融资的,但有时也会露项。

    来个房产商,买了15个亿的一块地,把房子造起来又花了15个亿,30个亿全是借来的,而且借的高利贷利息是17%,五年时间,30亿债务变成60多亿,房子造好实际上也只能卖个四十亿,五十亿,当然破产了。

    一查账,是三个很有名的工业企业,看着房地产热,工厂还可以,搞汽车的,跟信托公司去借钱,这个事情一协调,我说三令五申不许借钱买地,借了高利贷还来买地,这是个教训。国土局说这三个公司老板都是有名的工商联副主席,去信托借钱都是用工业企业的产权抵押的,所以就疏漏了,没查。我说一切房产商批租土地,别的不用查,就查资金血统,只要是借来的,通通不允许进入。这样一来,地王会消失大半。

    第二个是房产商在开发过程中,如果一个房产商,有几十个上百个金融单位的账户,总的债务,高利息的占了全部融资的50%以上,对不起了,资金账户是危机状态,这种房产商,对它的运营,都要当心。

    第三要管住老百姓买房的融资,首套房是百分之二十到三十的首付,第二套房百分之五十六十的首付,第三套房,通通全首付,只要全首付了,不管他买三套五套,不用担心他会带来金融危机,危机是他自己家里的事情。

    这条要坚决做到,但是在中国做到比较难,美国做得比较到位,美国不是所有的商业银行都可以搞按揭贷款,美国的按揭贷款,就在5个金融机构,对50个州全部覆盖,这样的话,老百姓的按揭一目了然。

    我们银行对老百姓的按揭贷款造假账非常粗放,老百姓在其他国家是交税单,根据这个来测算能付多少按揭,我们叫单位开收入证明,一个私人老板,现在就帮员工开五万块一个月的收入证明,有啥关系?甚至银行自己有萝卜章给客户开收入证明。

    长效机制之三:税收

    税制从来都是重要的调控手段。

    第一条,高端有遏制,中端有鼓励,终端有保障。

    比如,你如果想买一个5000万元的高端别墅,交易契税,可能要交5%,普通住宅交1%,保障房0.2%,还可以抵扣,这样的话,就叫差别化税率。

    别墅买了以后,两年或者五年就要炒掉,我就把交易税从5%,递增到8%,香港就这么干的,不断在印花税上递增,加到没人敢炒。

    中端有鼓励,老百姓买的是自己住,总的有各种抵扣,我甚至认为,住房首套房,按揭贷款的钱,可以抵扣个人所得税,我相信中国政府搞税制改革,分类税改成综合税的时候,是可以按揭贷款抵扣所得税的。

    全世界都是这么抵扣的,美国个人所得税,账面上39%,实际上25%,就这么抵扣掉了。

    低端的有保障,不仅不收税,政府出钱帮你解决住房问题。

    这是三端调控的体系。

    第二个是要把物业税、房产税或者以后总体上叫房地产税搞上去。

    什么叫房地产税?一是对这个社会存在的各种存量、增量都要收税,不是说只收增量,试点的时候可以;

    二是如果物业价值上升了,根据升值的额度来收税;

    三是越高档的房子持有的成本越高;

    四是低端、中端和合理的住房需求,房地产税里是有许多可以抵扣的,最后这个社会百分之七八十的老百姓,尽管房地产税是普遍实施的,但是最后的结果是压力不大,一定是对高端的炒房持有者会有巨大的压力;

    五是大家会说,房地产税收了,土地出让金是不是就不收了?你不能前道到,后道也收。国外土地是私有的,没有土地出让金,国内土地是国有的,有出让金是合理的,并不是有房地产税就要否掉土地出让金。

    出让之后,是不是70年以后再要第二次出让呢?有房地产税覆盖,淡入淡出,就不用补交土地出让金了,这也是一种逻辑上的必然。

    房地产税有什么好处呢?第一让税制健全,中国普遍是间接税,缺少直接税,房地产税是一种持有环节的直接税,在美国欧洲,直接税占总税收的40%,中国连10% 都没有,这是税法体系、国际惯例的一个方向性实践。

    第二,房地产税对炒房是有一定的遏制作用的。说房地产税对炒房没作用,要么是弱智,要么是闭着眼睛说瞎话。

    第三,有了房地产税以后,持有环节成本提高,对资源优化配置、对租赁市场的形成有好处。

    第四,对社会在房屋领域的意识形态有意义,所以2009年、2010年在财政部领取了这项任务,在重庆做了试点。

    税收方面还有一个事,三中全会提出,农村的集体土地和城市的国有土地,如果在一个地方拍卖,现在的办法是非要把农村土地征用,然后一起拍,征地的时候,一般地价比较低,这样就减少了农民的利益。

    三中全会提出,同地同权同价,要把这件事落实到位,税收要跟进。因为地价,拍卖的时候很可能卖出500万元一亩,明明是农田,怎么会变500万一亩,因为地价并不是征地成本决定的,它和基础设施相关,有地铁当然高,基础设施配套好地价会高,这些土地的地价高,是社会资源的投入。国有土地拍来的高价,当然去盖这些公共资源,集体土地拍了高价,全部归集体家庭所有,这个不公平。

    所以在美国、台湾、马尼拉有个税收,不管哪一类土地,成本算掉以后,增值部分,增值50%,收40%的税,增值100%,收50%的税,增值200%以上收60%的税。

    这个增值税现在还没有出台。

    没出台呢,真要把现在的土地同股同权同地价去拍,拍出来之后农民就拿钱吗?也不一定。

    这块地正好在金融区边上,拍了个500万一亩,那个农民同样的地,在学校旁边,拍下来就是造学校,50万一亩,这个农民不就吃亏了吗?

    这个意义上讲,拍的低的,土地增值税交的很少,拍的高的,土地增值税交得高,也是一种平衡。

    长效机制之四:租赁市场

    习总书记在2014年城市工作会议上讲过,每个城市特别是大城市,总有20%人买不起房子,政府要造公租房配置给他们。

    如果一个社会有1000万人,200万人租了公租房。另外有200万人住了房产商造的住宅持有出租的房子,商业性的租赁房,还有10%的人住了小业主出租的房子,如果我们能有50%的租赁市场,那住房系统就比较平衡了。

    公租房,这几年政府都造了一批,我觉得政府的公租房有五个要点:

    一是,大体上不能造太多,一个城市覆盖20%的人口,如果100万人的城市,公租房的投放对象是农民工、学生和城市的住房困难户。我们以前帮困呢,总是看人家的家庭收入两千块三千块,其实只要看人均住房面积,三口之家,十年来人均住房在30平方米以下,他也许年收入有10万元,也许小孩在美国读书,或者老人生病,住房困难户造不了假,收入困难户很容易造假。学生不会造假,农民工造不了假。这个不要靠收入证明,现在的收入证明搞不清。

    第二,要三配套,房子造好了,公共设施学校医院的配套,公共基础设施的配套,户籍管理的派出所、居委会的配套。

    第三,管理上,公租房是国家的,不能有二房东赚外快。

    第四,不能造成贫民窟,应该和商品房集聚区行成1/4,3/4的比例,地区的公共设施配套是给所有人的。

    第五,租金应该是商品房租金的百分之五十到六十,符合低收入公租房对象家庭收入六分之一的房租。

    实际上,公租房,60%的左右的贷款,收到的租金利息足够平衡贷款利息,五年以后,老百姓可以把房子买过去,共有产权房。

    共有产权房可以按市场价卖,卖的时候,政府回购。美国、新加坡都是这样。

    我和美国的住房保障局局长交流过,他们的保障房造出来以后,老百姓想要退出去,只能退给政府,由他们再出给新时期的保障对象,这件事应该持之以恒,以民为本地去做。

    房地产商不是不愿意持有,而是融资结构害了整个中国的房产商,永远做不了持有房子的出租者。他一比九的融资结构,逼得他房子一造好,就急吼吼地要回笼资金。

    李嘉诚不是这种状况,他在浦东拿的地,1993年拿的地,1997、1998年造好,出租,协议都是10年期,到了2008年、2009年的时候,全部回收,重新装修,2009年、2010年开始变成销售,房价从一万多变成10万,这就是发了横财了。

    中国租赁这么少,跟房产的租赁结构有关,政府要让开发商进入1:3的融资结构,到了持有环节,能够出租的,必须60%的资本金,40%的贷款,这样的话,收来的租金一定能够平衡40%的贷款的本息还款计划。

    政府对这种,三年五年十年租赁的房产公司,有一套鼓励政策,包括租房的公积金,应该尽可能地提供给房客,公积金拿来付房租,房租抵扣个人所得税,拿出房子出租的也应该有鼓励。

    对租房者,要从法律上保护产权房的居民同等的公共服务地位。

    长效机制之五:地票

    最后一点我特别要说的是,整个房地产的调控还有一个措施就是地票。

    地票是在讲什么呢?

    我就说中国土地制度有两件事。

    一件事,我们这么多人,耕地总的不充分。要做两件事,第一是集约节约使用土地指标,不要造成每10年少1亿亩的需求,应该每10年,少5000万亩,4000万亩。

    还有20年就用到18亿亩土地红线了,如果这2亿亩,可以变成40年,50年用到,这样可以把时间拉长,可持续发展势头更猛。

    最重要的是工业用地要节约,同时农村的建筑性用地要集约节约,商品房的住房用地不能太苛刻,要多给。

    第二个要讲个更深入的问题,一百年、两百年,城市化大规模推进过程中出现的现象,城市化进程没有减少耕地,耕地有所增加,人在在农村居住的时候比较分散,人均建筑用地,要用到250平方米到300平方米,城市比较节约和集约,人均是100平方米,所以当1亿人进城,真要在城市中生活,城里边肯定要给他1万平方公里的土地,那么农村里面可以退出2.5万平方公里土地,但是中国的农民呢,两头占,所以我们才会出现10年少1亿亩,30年少3亿亩,否则的话,应该是大体平衡,平衡还有余。

    要化解这件事,我自己认为有三个原理。

    第一,宪法上规定的三个底线,农村的土地是集体的,你不能把它变成私人的,农村的土地变化中间要保护农民的利益,农村的土地有用途管制,搞农业的搞农业,搞建设的搞建设,这三个是游戏规则,不能改变。

    第二,耕地的转换,要使得农村退出来的地,大于进城的地,这是世界城市化运动中的一个现象,我们没有这个现象,要把它体现出来。

    第三,你不能光说城乡结合部的那点郊区进行这样的转换,要让1000公里外的农村,分享城市增值的级差地租。

    按照这三个原理,我们想了一个地票的招,就是要把农民进城以后的宅基地,或者集体组织废弃的乡镇企业的土地,废弃的小学土地,废弃的粮站的公共用地,复垦为耕地。

    农民进了城了,房子空在那里,租不出去,卖也卖不了几万块钱,把农房农地复垦为耕地。

    这件事有四个环节:一是复垦;二是有关部门验收;三是给你一个地票可以到交易所交易,房产商要买城乡结合部的土地,需要指标,就来买这个指标;四是城郊结合部的土地就去掉了。

    这个过程中就可以看到,农民进城了,农村闲置的宅基地建设用地变成耕地了,城郊结合部增的耕地,小于农村复垦的耕地,最后增减挂钩,全社会的耕地总量增加。

    这样的一个工作可以产生几个好处:

    一是耕地保护。

    现在出现了先征后补,我们现在每年征600万亩耕地,国家也要求各地想办法去造600万亩耕地出来,你征了600万亩,要造600万亩,大家都同意,等到我把地征了以后,五年十年,是不是能造出耕地出来,不知道,或者造出来一半,没完成。

    另外,几千年农耕文化早就把可以造农田的地用了,所谓的造耕地,是把山坡上,一个25度、30度的地造成梯田,破坏生态嘛,把树林子地造成种菜的地,或者把弯弯的河道拉直,弯弯就变成良田,破坏生态,没办法的办法,大家都装糊涂了。

    所以地票制是把农村缺少充分的耕地复垦的后备资源的这件事给解决了,我不复垦生态里的野地,复垦的是废弃了的宅基地,公建用地,这就是一种集约节约。

    腾出来的地票指标,让房产商造房子去了,这不是平衡了吗?这是一个好处。

    第二个好处是反哺农村。

    房产商买地,一亩花个几百万块,花几十万块来买这个指标,这个钱给了农民,可以反哺农村,这个反哺不是反哺5公里、10公里外的近郊,100公里,1000公里也可以的。

    黑龙江的农田产生的地票,上海如果几十万一亩买过来,上海征上海郊区的地,这个钱就到黑龙江去了,地票几千公里就可以辐射了。它的虚拟性,票据性,使它有辐射性。

    第三是增加农民有收入。

    我们这些年,一共卖了20多万亩地票,每亩地票十多万元,差不多四五百亿,农民拿到了,农民拿了这个钱,在农村造房子,进城都可以。

    第四,农民进城,有了公租房,这笔钱可以改善城市的生活。

    地票这种制度,对城乡之间的土地交易是有帮助的,但是我认为,这都是以城补农,对农村的好处,最最重要的是在城市化过程中,对平抑城市中土地不足造成房价畸高的这种根源,起到遏制作用,能帮助大城市增加土地的有效供给。

    重庆在过去这些年,每年从国家这儿拿来的土地指标,20万亩,也的确50%几,城市、基础设施用掉了,工业上用掉20%几,商业去掉5%,也只有10%了,我们这10%通通给了中小城市,万州、涪陵等,他们实力比较弱,开发过程中拿国家的指标,国家的指标不花钱。

    主城重庆这个大城市,800万、1000万人口的,每年2万多亩的房地产开发地皮周转指标都没有用国家指标,基本上每年2万亩的地票就在主城,主城的房产商,在主城动迁一概用地票,地票不受国家约束。

    这样的话,土地供应量实际上增加了一倍,就比较宽松了。

    这就是我要讲的,总的来说,分两个部分,10大失衡和5个方面的制度安排,如果通过制度的安排,按照中央的要求,不仅是行政化的安排,不仅是供给侧改革基本面的安排,比如中国最终应该有房地产税法,应该有住房法,老百姓租赁房的法律,其实我刚刚说的所有的事情,都应该在这三个法律的框架下。

  • 教育思考

    姚洋:中考分流过早,建议十年义务教育

    建议推行十年制义务教育

    第一财经:您一直以来都非常关注义务教育改革的话题,此前曾提出把义务教育年限提高到12年,在15年的时间内普及高中教育,最近您又进一步提出实行十年制义务教育。是什么原因让您改变看法?这种做法可以解决现实中的什么问题?

    姚洋:最近社会上关于内卷的讨论非常多,中央也出台了高规格的“双减”政策,对课外补习、择校都作出了一些规定,但政策体系现在还不完整,对高中这一非义务教育阶段的规定尚不明确。

    我国中小学教育的主要问题是学生无谓的学习太多了,这就是内卷。没有几个人愿意内卷,但每个人又被迫内卷。因为资源有限,升学不能光看自己的努力,还要看别人的努力,每个家长都被迫把自己的孩子放到“跑步机”上越跑越快。

    大量没有意义的刷题浪费了孩子太多的时间,扼杀了孩子的创造力,这种教育制度不利于建立创新型社会。

    对于科学创造来说,智商是基本的,努力也很重要,但死记硬背的教育进一步扼杀了孩子的创造力,导致一些智商较高而情商不高的孩子在这个过程中被打击,难以发挥出他的潜力。

    教育把一些本来有过人才能的孩子培养成了碌碌无为的普通人,这是当前必须要反思的问题。培养创新型的人才首要的是把学生从这些无用的内卷中拯救出来,给孩子、家长减负。但仅靠打击课外班是没有办法实现减负的,课外补习很快会化整为零,转入地下。

    减负的关键是要对教育制度进行系统改革,推行十年制义务教育,初中高中合并为一贯制中学,并严格规定不能择校,而且不能再有超级中学。

    择校在美国的实验也是失败的,在中国这种考试社会中更是“毒瘤”,超级中学是一种很坏的制度,它们通过“掐尖”将好学生都“掐”走,追求超高的升学率,也让那些没有进入超级中学的孩子觉得自己是二流的,影响了他们学习的动力。

    第一财经:您认为推行十年制义务教育能够解决当前的教育内卷吗?

    姚洋:是的。走出内卷必须从教育制度改革上入手,普及高中是必须的,如果我国的财力做不到12年,那么可以考虑缩减为十年制义务教育,一旦推行十年制义务教育,家长想“卷”也“卷”不成了。

    在具体的制度设计上,十年义务教育可以这样安排:小学五年,实行中学一贯制,初中和高中合并成五年,上初中随机分配学校,从根本上杜绝择校。这样,学生分布也较为均匀,好学生可以带动后进生。孩子上小学之前可以加一个学前班,这样七岁开始读小学,十七岁中学毕业,上大学没有问题。对于绝大多数高校来说,十年义务教育的知识储备足够了。一些顶尖的高校如果对学生有额外的要求,可以增加一年预科。不上大学的孩子可以上中级专科学校,两到三年时间,然后就业。这样就可以从制度上彻底解决中学、小学和幼儿园的内卷。

    不宜过早分流学生

    第一财经:近来有关部门提出要坚持高中阶段的教育“职普比”大体相当,认为这一举措可为给社会提供必要劳动力,使得经济能够保持合理的增长趋势。家长对此的理解是,通过中考分流之后,将有一半的孩子上不了普通高中,反而进一步加深了教育的焦虑和内卷,您认为中考分流是否能够达到政策设计的初衷?

    姚洋:过早地对孩子进行分流,将他们按照学习成绩分为三六九等是错误的。应该承认每个十四五岁的孩子都有自我发展的希望,不要通过分流打击他们,而是要给他们希望,让所有的孩子读完普通高中,到时他们的心智也较为成熟,再选择走职业技术路线还是大学路线。

    未来我国产业升级都需要开数控机床,工厂要求有技术学院的大专文凭,初中毕业之后就进入职业教育,学生的知识储备是不足的,达不到高级蓝领的要求。

    第一财经:德国学生在小学阶段就要决定做技术工人还是考大学。相比而言,为什么您认为我国学生在初中毕业后向职业高中分流还是过早?

    姚洋:首先德国的制度本身也受到了其国内的很多批评,更重要的是我们职业教育的水平和德国相差非常大,也学不了德国。德国技校的教育是非常好的,技校的学生每周五天的时间,有三天是在普高上的,只有两天在工厂上,这样下来,普通高中的知识也学到了,而且还实实在在地学到了技术。

    我国的情况是技校教育水平比较低,农村地区百分之六七十的技校学不到真技术,技校所教的知识和工厂需要的技能严重脱节。在德国,技术工人和大学生之间的通道是打通的,做了工人之后还可以去上技术大学,德国高中毕业生考上大学的比例还不如中国,只有约40%的学生升入大学,但到了30多岁,则有百分之六七十的人接受了高等教育。然而,在我国这条通道是关闭的,绝大部分人当了工人之后就一辈子都是工人了。

    在德国做一个普通工人没关系,过几年就可以上技术大学,就转变为有社会地位和可观薪酬的高级蓝领。我们学到了德国的分流,但没有学到德国制度的后一半。现在学生被分流后做蓝领是没有升迁通道的,这对于初中阶段学习成绩不太好的孩子,特别是农民家庭的孩子来说是一种不公平的制度安排。

    我一直呼吁工人也要有职级,应该向工人开放适合他们的技术大学,比如像过去那种半日制半脱产大学,给他们再次接受教育的机会。

    第一财经:您如何看待近来一些三本院校向职业教育学院的转型尝试?我国该如何改变学历教育与职业教育错位的这种困境?

    姚洋:方向是对的,关键是怎么去做。我去德国看过,德国的技术大学一定要一到两个大公司合作,大公司与这些大学有紧密的合作,不仅提供资金支持,公司的很多实验室也设在大学里。

    技术大学属于工科教育,办技术大学比办普通大学的成本高多了。办技术大学必须有设备,需要大量资金的支持,三本学校没有这个条件。这些院校向技术大学转型时必须有与大企业联合办学的思路,改变职业教育与企业需求脱节的状态。

    缓解焦虑关键在教育体制改革

    第一财经:中央近日出台的“双减”文件提出,有效缓解家长焦虑情绪,促进学生全面发展、健康成长。规范课外补习是缓解家长焦虑的一剂良方吗?

    姚洋:教育焦虑是当前社会非常普遍的情况,不仅大城市的家长焦虑,边远地区刚脱贫的贫困户也焦虑,由于本地的公立中学升学率不理想,有脱贫户拼尽了全力把孩子送到学费昂贵的私立高中去读书。现在全社会都非常重视教育,如果不从根本上解决教育焦虑的问题,这么下去甚至会将刚脱贫的家庭再一次拉入贫困。

    我们的教育改革不能再只抓皮毛,只是采取一些治标不治本的政策,而是要从制度上来解决问题。如果教育制度中的一些根本性改革没有推进,而只是严查辅导班,那么家长就会选择化整为零、请私教,推高“一对一”价格,一些家庭愿意付这个成本而且能够付得起,但经济差一点的家庭就负担不起了。

    从国际上来看,韩国、日本等都曾经禁止过辅导班,效果并不好,最后也只能又放开了。最终解决这一问题的办法并不是政府的约束,而是这些地区的大学成了普及教育,孩子们都可以上大学之后,去上补习班的孩子自然就少了,只有那些想上最好大学的孩子才上补习班,补习班的规模也就大幅缩减了。

    减负要让孩子发挥天性,让每个孩子都有自己的特长和专长。如果大学普及了,百分之六七十的孩子能上大学,高考就可以改革,一般学校不只看高考分数,特长生也可以被找出来,有天赋的孩子可以冒出来,这对于我国建立创新型社会是非常重要的。

    第一财经:一直以来您都非常关注我国的教育均衡问题,尤其是农村教育的发展状况,您认为,提高农村的教育水平,当前需要做哪些工作?

    姚洋:农村教育首要面临的是农村地区教师资源不足的问题,应激励更多的免费师范生到农村去,并增加财政投入来提高农村地区教师的待遇。

    现在师范生是免学费的,但学费本来就很低,对于学生没有太大的激励,下一步应该提高待遇,对学生的奖学金高一点,减轻家庭的负担,这些学生毕业后如果到农村工作,除了正常的工资之外,国家还能额外给一部分工资,让学生安心在农村地区工作三五年,缓解农村师资缺乏的现状。

    现在教育制度中还有很多对农村孩子不友好的政策,比较典型的是高考中的英语考试,加重了城乡之间教育的不公平。

    现在高等教育收费,越好的大学收费越低,清华北大每年只有5000元的学费,而三本大学收费高达好几万元,大部分去上这些学校的是农村的孩子。其中一个重要的原因就是他们英语成绩不高,导致他们在与城里的孩子竞争中处于劣势,难以考入学费低廉的一二本大学,让本来经济条件不太好农村家庭承受了高昂的学费。因此,取消高考英语考试,将英语成绩作为参考分数,在促进城乡教育均衡上能够发挥积极的作用。

    高考语文是否有必要考作文

    现代社会以海德格尔的一句“一切实践传统都已经瓦解完了”为嚆矢。滥觞于家庭与社会传统的期望正失去它们的借鉴意义。但面对看似无垠的未来天空,我想循卡尔维诺“树上的男爵”的生活好过过早地振翮。
    我们怀揣热忱的灵魂天然被赋予对超越性的追求,不屑于古旧坐标的约束,钟情于在别处的芬芳。但当这种期望流于对过去观念不假思索的批判,乃至走向虚无与达达主义时,便值得警惕了。与秩序的落差、错位向来不能为越矩的行为张本。而纵然我们已有翔实的蓝图,仍不能自持已在浪潮之巅立下了自己的沉锚。
    “我的生活故事始终内嵌在那些我由之获得自身身份共同体的故事之中。”麦金太尔之言可谓切中了肯綮。人的社会性是不可祓除的,而我们欲上青云也无时无刻不在因风借力。社会与家庭暂且被我们把握为一个薄脊的符号客体,一定程度上是因为我们尚缺乏体验与阅历去支撑自己的认知。而这种偏见的傲慢更远在知性的傲慢之上。
    在孜孜矻矻以求生活意义的道路上,对自己的期望本就是在与家庭与社会对接中塑型的动态过程。而我们的底料便是对不同生活方式、不同角色的觉感与体认。生活在树上的柯希莫为强盗送书,兴修水利,又维系自己的爱情。他的生活观念是厚实的,也是实践的。倘若我们在对过往借韦伯之言“祓魅”后,又对不断膨胀的自我进行“赋魅”,那么在丢失外界预期的同时,未尝也不是丢了自我。
    毫无疑问,从家庭与社会角度一觇的自我有偏狭过时的成分。但我们所应摒弃的不是对此的批判,而是其批判的廉价,其对批判投诚中的反智倾向。在尼采的观念中,如果在成为狮子与孩子之前,略去了像骆驼一样背负前人遗产的过程,那其“永远重复”洵不能成立。何况当矿工诗人陈年喜顺从编辑的意愿,选择写迎合读者的都市小说,将他十六年的地底生涯降格为桥段素材时,我们没资格斥之以媚俗。
    蓝图上的落差终归只是理念上的区分,在实践场域的分野也未必明晰。譬如当我们追寻心之所向时,在途中涉足权力的玉墀,这究竟是伴随着期望的泯灭还是期望的达成?在我们塑造生活的同时,生活也在浇铸我们。既不可否认原生的家庭性与社会性,又承认自己的图景有轻狂的失真,不妨让体验走在言语之前。用不被禁锢的头脑去体味切斯瓦夫·米沃什的大海与风帆,并效维特根斯坦之言,对无法言说之事保持沉默。
    用在树上的生活方式体现个体的超越性,保持婞直却又不拘泥于所谓“遗世独立”的单向度形象。这便是卡尔维诺为我们提供的理想期望范式。生活在树上——始终热爱大地——升上天空。

    嚆矢(hāo shǐ):响箭。因发射时声先于箭而到,故常用以比喻事物的开端。
    滥觞(làn shāng):滥觞原指江河发源之处水极浅小,仅能浮起酒杯,后比喻事物的起源和发端。
    振翮(zhèn hé):常用来形容人志向远大、努力奋发向上或经济正高速发展、在腾飞等。翮指鸟的翅膀。
    肯綮(kěn qìng):典出《庄子·内篇·养生主》“肯,著骨肉。綮,犹结处也。” 后遂以“肯綮”指筋骨结合的地方,比喻要害或关键之处。
    孜孜矻矻(kū):勤勉不懈的样子,出自唐·韩愈《争臣论》。
    玉墀(chí):指宫殿前的石阶,亦借指朝廷,出自汉武帝《落叶哀蝉曲》。
    婞(xìng)直:指倔强;刚直。

        以上题为《生活在树上》的一名浙江高考考生创作的作文,于2020年7月7日完成。该作文获2020年高考作文满分。

        从本质上看,这无非是一篇由西方人文术语凑成的杂烩,除了应对考试,几乎没有任何精神上的价值。

        从历时千年的科举考试来看,那些立足宏泛之论的应试文章从来没有产生过有意义的精神创造,所以当下高考作文不宜以议论文作一般学业能力的考察方式,高考作文应以应用文考察为主,以免陷入新的西式八股文之窠臼。

    为什么要写课程论文

    很多高校师生都觉得现在国内大学文科课程有个很大问题,就是滋味无可名状的课程论文。从大学高年级开始到研究生阶段,别的考核方式都消失了,基本上就是课程论文作为期末分数的主要依据,有的课程可能还会有期中小论文。

    表面上看,这种做法是在向国外大学接轨,算是高等教育的国际化,也是鼓励学生自由独立的思考和写作。

    但是,比如美国大学生一学期修几门课,我们大学生一学期修几门课?国外英文系研究生一学期修2-3门课,写2-3篇像样的课程论文已经很吃力的作业量。但我们学生多的一周四十个课时,必修课选修课都要交论文。

    最后的结果是——每篇论文都是鬼打墙糊弄出来,或者以一种具有欺骗性的方式糊弄出来,甚至学生以为学术生产就是如此。

    从老师的方面看,需要一个好的过程管理(从选题到一稿二稿三稿),或者用研究综述来代替。

    从学生方面来看,其他格式要规范。

    可以参照以下格式规范。

    一、题目

    论文第一步就是选题。所谓的论文选题就是要确定自己整篇论文的研究方向,论文的选题需要结合课本中已经学过的内容,而论文是为了发现一个问题,并分析解决一个问题的,故大家在论文选题时可以用已经学过的某个理论来解决生活、工作和学习中遇到的一个问题。

    所谓的论文命题就是在选题之后如何来为自己的论文起一个名字。故论文的题目应该能够反映自己所要解决的问题,而对于自己所要解决的问题进行不同层次的分析,所以论文标题可以用“浅谈…”、“浅析…”、“探析…”、“关于…的探析或探究或研究”、“试论…”、“试谈…”和“…的难点和对策”等词语组成。

    题目应能概括整个论文最重要的内容,言简意赅,引人注目,一般不宜超过20个字。二号黑体加粗、居中,论文副标题小二号字,紧挨正标题下居中,文字前加破折号。

    二、姓名

    填写姓名、专业、学号等内容时用三号楷体,分行写。

    三、摘要

    摘要主要是大致的告诉读者在论文中你将解决什么问题,有什么结论。说明本论文的目的、研究方法、成果和结论。尽可能保留原论文的基本信息,突出论文的创造性成果和新见解。摘要100-300字左右即可。

    “摘要:”黑体四号,后面内容采用宋体小四号。

    四、关键词

    关键词是能反映论文主旨最关键的词,也是为了让他人搜索到你文章的词,故关键词要是和论文有关且大家在搜索时最常使用的词语,一般3-4个。

    “关键词:”四号黑体,内容为小四号黑体。

    五、正文

    是论文的主体,包括论据和论证,通过提出问题、分析问题和解决问题。阐明问题的来龙去脉并表达出自己的观点。正文文字应另起页,每段首起空两个格,一般用小四号宋体,每段首起空两个格,1.25倍行距。

    正文文中标题

    一级标题:标题序号为“一、”, 四号黑体文字,独占行,末尾不加标点符号。

    二级标题:标题序号为“(一)”与正文字号相同,独占行,末尾不加标点符号。

    三级标题:标题序号为“ 1. ”与正文字号、字体相同。

    四级标题:标题序号为“(1)”与正文字号、字体相同。

    五级标题:标题序号为“①”与正文字号、字体相同。

    正文就是开始展开对于你的选题的研究,在正文中首先要说明的是你的研究的问题是什么?为什么要研究这个问题?这个问题的重要性等,并对相关的概念进行界定。

    正文的第二部分开始对第一部分中提出的问题进行分析。

    正文的第三部分就是解决问题的方法和具体的解决过程。

    论文结论要求明确、精炼、完整,阐明自己的创造性成果或新见解,对正文各种观点进行综合评价,提出自己的看法,指出问题及发展方向。与正文字号、字体相同。

    最后,再写一个小的段落对于存在的问题,以及问题的解决对策进行总结和拓展即可。

    六、图、表、注释和参考文献

    图表或数据必须注明来源和出处。

    注释一般按论文中所引用的顺序列在本页下方或论文正文之后参考文献之前。“注释:”4号黑体,内容为5号宋体。

    参考文献是要阐述清楚你在写论文的过程中看了那些论文,那些书,那些网站等,并用国家统一的规定的标准把你在写论文中看的一切东西表述出来。

    参考文献要放在正文后,可另起一页。“参考文献:”4号黑体,内容为5号宋体。

    参考文献类型:专著[M],会议论文集[C],报纸文章[N],期刊文章[J],学位论文[D],报告[R],标准[S],专利[P],论文集中的析出文献[A];

    电子文献类型:数据库[DB],计算机[CP],电子公告[EB]

    电子文献的载体类型:互联网[OL],光盘[CD],磁带[MT],磁盘[DK]

    格式范例

    1.专著、论文集、报告

    [序号]主要责任者.文献题名[文献类型标识].出版地:出版者,出版年:起止页码(可选).

    例如:[1]刘国钧,陈绍业.图书馆目录[M].北京:高等教育出版社,1957:15-18.

    2.期刊文章

    [序号]主要责任者.文献题名[J].刊名,年,卷(期):起止页码.

    例如:[1]何龄修.读南明史[J].中国史研究,1998,(3):167-173.

    [2]OU J P,SOONG T T,et al.Recent advance in research on applications of passive energy dissipation systems[J].Earthquack Eng,1997,38(3):358-361.

    3.论文集中的析出文献

    [序号]析出文献主要责任者.析出文献题名[A].原文献主要责任者(可选)原文献题名[C].出版地:出版者,出版年:起止页码.

    例如:[7]钟文发.非线性规划在可燃毒物配置中的应用[A].赵炜.运筹学的理论与应用–中国运筹学会第五届大会论文集[C].西安:西安电子科技大学出版社,1996:468.

    4.学位论文

    [序号]主要责任者.文献题名[D].出版地:出版单位,出版年:起止页码(可选).

    例如:[4]赵天书.诺西肽分阶段补料分批发酵过程优化研究[D].沈阳:东北大学,2013.

    5.报纸文章

    [序号]主要责任者.文献题名[N].报纸名,出版日期(版次).

    例如:[8]谢希德.创造学习的新思路[N].人民日报,1998-12-25(10)

    8、附录
    包括放在正文内过份冗长的公式推导,以备他人阅读方便所需的辅助性数学工具、重复性数据图表、论文使用的符号意义、单位缩写、程序全文及有关说明等。“附录:”4号黑体,内容为5号宋体。

    文件名
    可按 “学号 xxxx级 姓名 论文题目” 顺序写。
    当然,你还要知道本学科基本的数据库叫什么名字,比如“知网”,以免犯和某些知名演员同样错。

  • 文化符号的失落

    从轻功到特异功能、从武术到传统医学、从成功学到国学、从天才少年江湖异人、从心灵鸡汤到道德至上、从审丑到抄袭……华语文化的现代化转型过程中沉渣不断泛起,浮夸的、反智的、压迫的……或多或少有意无意的带着欺骗的成分,收割着一代又一代韭菜的智商税——激情之后的反讽。当然,现代文明必然如此,包容与自由之下,精神与思想的产品必将接受竞争与时间的淘洗,而每个参与者也将接受最后的审判。

    给北大中文系博导张颐武改作文

    贾平凹和贾浅浅

    2016年4月14日下午,贾平凹长篇小说《极花》新书发布会在京召开,和《北青报》有过一段对话。部分内容如下:

    北青报:那么在社会问题越来越复杂的情况下,作家写现实和媒体做报道的关系是什么?
    贾平凹:80年代文学的兴盛,在我看来,并不是因为文学的力量,当时的社会闭塞,是新闻元素在其中发力,大众从文学作品中获得离奇的故事。但是今天媒体发展,任何角落发生的故事都可以快读告诉大家。对于作家来说是一种挑战,现实中的故事永远比虚构的丰富。但文学不是新闻作品,文学的功能不只是把离奇的故事讲给大家,而是要写更深层的社会危机。我希望写最偏远的农村实际情况,中国社会的危机,这些人的精神状态里最隐秘的东西。
    北青报:但您把城市化进程中农村男性娶不到媳妇的事,安放在一个妇女被拐卖的事情中,您是否认为太男性视角了?
    贾平凹:字面上是女性唠唠叨叨说自己的经历,但作家是男性,也有男性的视角。之所以说要深入生活中去,是有道理的。如果不走近人贩子,你肯定是愤怒的,恨不得把人贩子和买这个女人的人千刀万剐。但是为什么从被拐卖的胡蝶眼中观察这群生活在最底层的乡村的人,他们生活的困难,村里没有女人的情况是我们没法了解的。

    北青报:遭遇被拐卖,还要怪女性太善良?
    贾平凹:我是说,要有防范能力,不为了金钱相信别人,就可能不会有这样的遭遇。这个人贩子,黑亮这个人物,从法律角度是不对的,但是如果他不买媳妇,就永远没有媳妇,如果这个村子永远不买媳妇,这个村子就消亡了。
    北青报:您的意思是,为了村庄不消亡,买卖是可以被接受的?
    贾平凹:法律和人情常常是相悖的。而小说中往往要写的是感情的东西。没有买卖自然就没有伤害。但为什么打击拐卖几十年,还是不能杜绝?这只是表面危机,社会深层的危机是社会结构、社会分配发生变化,产生了很多城市和农村的不协调,导致了各种的情况。这些危机,作家可以思考,但是如果想解决单靠作家是没有用的。(文字记录者:《北青报》记者张知依)

    2022年初,如贾所言,社会深层的一面被掀开了,江苏徐州丰县被链条锁住的8孩母亲,让普通民众感受到自我——离谷爱凌太远,离八孩妈太近!

    读错字的大学校长们

    2005年,清华大学前校长顾秉林教授向来访的宋楚瑜赠送了一幅小篆书法。内容是一首诗:寸寸河山寸寸金,(亻瓜)瓠离分裂力谁任?杜鹃再拜忧天泪,精卫无穷填海心!顾校长为显示自己的热情,开口为宋楚瑜读这首诗,在读到“ 瓠”(hu)字上,尴尬地停顿下来了,经旁人提醒方才磕巴过关。

    2005年7月12日,中国人民大学原校长纪宝成在欢迎郁慕明的致辞中,用了“七月流火”,让不少旁观者心凉如水。 2006年,连战大陆行,在厦门大学题下了:“泱泱大学止至善,巍巍黉宫立东南”。厦大校长朱崇实教授在现场把“黉(音:hóng)宫”念成了“皇宫”,场下一片赞叹之声。

    2018年“五四”青年节那天,北大校长林建华在纪念建校120周年的讲话中频频读错字,把“鸿鹄”(hóng hú)念成“hóng hào”,把“乳臭未干”的臭(xiù)读成了“chòu”,把“谆谆教诲”的谆(zhūn)读成了“dūn”。

    汉字繁难,偶尔读错亦无伤大雅。但大众习惯于把大学校长尤其是名校校长视为重要的文化符号,因而舆论哗然,这其实是对大学校长身份的错误建构。

    树立新一代“样板”:余秋雨

    1991年7月,余秋雨辞去上海戏剧学院院长的职务从西北高原开始,考察中国文化的重要遗址。5年前他风光地成为全国最年轻的高校校长,在仕途一片光明的时候,生活却在谷底挣扎——住在上海龙华一个简陋的两居室,一下雨家里就漏雨。有因亦有果。

    1992年,他考察归来写成的几篇散文登在《收获》杂志上,后来想结集成书,却几乎没有出版社愿意出版,拒稿理由是“散文不是这么写的”。 有出版社想将其做成旅游景点卖的小册子,余秋雨非常生气,拒绝了。直到上海文艺出版社的编辑“慧眼识珠”,把它做成精装本,还在上海最大的新华书店举办新书首发式,才有了后来的《文化苦旅》。

    市场反应非常热烈,首印1万册在3个月内售完。余光中说:“中国散文,在朱自清和钱钟书之后,出了余秋雨。”很快,这书成了中小学阅读推荐书目,不少篇目还选入语文教材,一代又一代学生变成了稳定的购买群体。 《文化苦旅》最畅销的时候,图书零售商都得搭配着买进其他书,才能抢到《文化苦旅》的配额。当时上海文化圈流行一个段子,说上海有一次“扫黄打非”行动中,警方从失足妇女的手袋里搜出来三样东西:口红、避孕套和《文化苦旅》。

    或许正是如此,随之而来的批评者顺势将他的散文喻为“文化口红”

    1999年前后,余秋雨开始积极拥抱了各类媒体,参加凤凰卫视牵头的千禧之旅;每天写一篇专栏;担任《秋雨时分》主持人;青歌赛评委,文化学者的知名度进一步扩大了。

    就在千禧之旅结束没多久,余杰(北大中文系学生)发表了一篇《余秋雨,你为什么不忏悔》的文章,称余秋雨参加过“写作组”是“文革余孽”“文化流氓”——余秋雨迟迟不愿回应此事。

    有人开始调查他在特殊年代做了什么,有人起底他跟两任妻子的私生活……一次他和妻子马兰上街买菜,经过报摊的时候,马兰拽着他赶紧往前走。 他觉得不对劲,在报亭扫了一眼,看到无数惊悚的标题:

    《余秋雨是文化杀手》
    《艺术的敌人余秋雨》
    《余秋雨为什么不忏悔》
    《剥余秋雨的皮》
    …… 

    上海《咬文嚼字》的一位编辑金文明找出他书里一百多处文史差错,余秋雨认为自己没错,只是双方理解不同罢了,再次引发舆论声讨。但即便如此,他依然不允许编辑改他的稿子,敢改一个字就换出版社。而在《文化苦旅》的编辑眼里,曾经的余秋雨不是这样的:“那个时候我给他改稿子,有错就改,跟他说什么都肯的。”

    2008年灾难不幸降临汶川大地。余秋雨在其2008年6月5日发表的博客文章《含泪劝告请愿灾民》中含泪劝告要求惩处豆腐渣校舍责任人的请愿灾民,说他们在地震中死亡的孩子全都成了菩萨,已经安宁,不要因为请愿而横生枝节。“秋雨含泪”一词遂成经典。

    余秋雨也奠定了中国文化网红的样板。

    他的专业领域是戏剧,而为公众所熟知的是文化散文,并因泛文化的内容被人贴上“大师”的称号。

    他每一次都聪明地站在时代传媒的风口——图书、电视、音频,因为一两部著作快速声名鹊起,然后出镜、赚钱、签售、演讲……

    在他之后,一代代网红踏着他的足迹,开启新的征程……

    当一个人不恰当的坐在“文化学者”的王座上,渐渐成熟的曾经的拥趸或许还有些对既往情感上的留念,而真正有决定意义的态度或许只在于新一代人的隔膜。

    精神安慰剂:于丹

    2006年8月,于丹到《百家讲坛》试录了一期《论语》,迅速红遍大江南北。

    她熟练地引用各种典籍和名言警句,从儒释道佛到尼采雪莱泰戈尔,出口成章,句句经典。

    “《论语》的真谛,就是告诉大家,怎么样才能过上我们心灵所需要的那种快乐的生活。”

    同年,《于丹<论语>心得》的签售会中关村图书大厦举办,排队的人从5楼顶层一直排到了1楼外的大街上,当天签售超过1万册,首印60万册,刷新了出版社和北京所有书店的记录。据说《于丹<论语>心得》的利润,是中华书局自建国以来挣的所有钱的总和。

    然而到了《于丹<庄子>心得》签售的时候,风向开始发生了变化。十几个穿着白衫的男子,衣服上印着“孔子很着急,庄子很生气”冲进会场,振臂高喊:“捍卫国学!于丹认错!百家争鸣!”在场外,清华、北大、中山大学等高校的学子组成“十博士”团,发文《我们为何要不遗余力地将反对于丹之流进行到底》,要求于丹从《百家讲坛》下课,向全国电视观众道歉。还联合起来写了一本《解“毒”于丹》,指出于丹讲述《论语》《庄子》当中的诸多硬伤,还有她对经典的严重误读。

    有学者统计过,《论语》全书与“快乐的生活”有关的篇章,只占《论语》的十分之一左右,于丹全面放大了这一部分。而且,就在于丹所讲的这1/10里,也有很多的曲解之处。

    如:子贡问政,问孔子如何治理国家。

    孔子的回答是三点:足食、足兵、民信。

    孔子补充说:“自古皆有死,民无信不立。”

    对于“民无信不立”,于丹的解释是:最可怕的是国民对这个国家失去信仰以后的崩溃和涣散。事实上,“民信”不是指“百姓的信仰”,而是“国家取信于民”,主体是“国家”,不是“百姓”。“民无信不立”的含义是:如果老百姓对统治者不信任,那么国家就不能存在了(中华书局版《论语》释义)。取信于民是治国理政的基础之一,而信仰显然是更高的要求。

    类似的“曲解”和误读,被十博士和其他专业学者挑出来几十上百处。

    2012年11月17日晚,北大昆曲专场,受主办方邀请的于丹刚刚登台就遭到起哄,她说了一句“我代表所有观众感谢老艺术家们……”,就被在场观众高声呛到:“不用你代表”“下去吧”“快滚,你根本没资格跟台上的先生们站在一起”。于丹只好尴尬地走向后台,临走还不忘加上“很于丹”的一句:“一切尽在不言中。”

    于丹作为一个文化网红的坠落,在于其精神内核从一开始就出了问题。

    很多学者一针见血地指出于丹解读《论语》的弊病,如北大的钱理群就曾尖锐地批评:于丹所说“我们之所以不快乐,就是因为‘我们的眼睛,看外界太多,看心灵太少’,她告诫人们:‘幸福只是一种感觉,与贫富无关,同内心相连。’于丹教人们面对生活中的不如意,一要‘学会克制’,‘该放下时且放下’;二是切记不可抱怨,‘其实与其怨天尤人,不如反躬自省’,‘不要苛责外在世界,而要苛责内心。’一切烦恼都可以自动地在内心化解,化解不了的也要尽力克制”,于丹的《〈论语〉心得》看似不涉政治,恰恰是遮蔽了孔子作为“激进的社会批评家”的这一面,“忽略儒家思想的批评性传统”。这恰如鲁迅说的——无不平、无不满、无抱怨、无反抗的四无“太平”世界。面对社会矛盾,一味地诱惑老百姓“逃避社会,退回内心”,倡导人们安于现状、支持现状。表面上看,于丹似乎把《论语》“去政治化”了,但她的演讲恰恰在最深的层次上,是为政治服务的。

    钱理群认为,于丹是在公开“叫卖精神安慰剂”。

    当你“服用”太久,发现屁用没有的时候,你自然会对“卖药”之人心生厌恶——这是于丹“失灵”的真正原因。

    没有独立精神内核的文化网红要想成为经典确实有难度。

    与一切和解:陈果

    作为复旦大学思修课的老师,陈果早年的课堂视频、语录被学生上传到网上,后来就开始走红网络。陈果也凭着哲学博士的身份,被捧成了“哲学女神”。

    她的书在单一网店单本评价人数接近40万,全国销量超过百万册。

    读完了陈果老师的大作,有人摘录“金句”如下:

    无知源于知识的匮乏,即弱于“智”。
    爱像一束光,照亮一切阴霾。
    我们大可以活成我们自己,活得更本色一点、更真实一些,反正还是会有人喜欢你、有人不喜欢你。但至少你会更喜欢你自己。这才像“自爱”,不是吗?
    真正的正能量是什么呢?那就是你活成了一个光源,你把自己活成了一束光。
    你不需要刻意跟别人说什么,当你活成一束光的时候,他要是接近你,就是接近光。
    学会与黑暗和解,当你与黑暗和解的时候,黑暗已经不那么黑了。
    爱情是无用的,道德是无用的,友情是无用的!因为这些无法带来面包。

     

    她的“幸福哲学课”有着海量次的播放,据说是于丹望尘莫及的。陈果连于丹式“引经据典”都免了,鸡汤直接端上来。

    趁着名气暴涨,陈果开起了抖音卖起书来。

    在陈果眼里,什么是成功?

    如果我们看看当前社会大众趋之若鹜的种种风尚:人们一掷千金、购买昂贵的健身卡来强健自己的体质,参加五花八门的舞蹈课、瑜伽班来塑造自己的形体,用护肤品、去美容院来保养自己的面容,报名各种各样的情商课、国学班来提升自己的气质、培养自己的仪表风度,就足以见得大家其实在不知不觉中,已然发自内心将“修身养性”作为了一种值得追求的“成功”。

    在陈果眼里,什么是“成熟的幸福”?
    成熟的开心,接近于“不以物喜、不以己悲”的从容淡定。
    对于成熟者,有糖吃挺开心,吃不到糖也不难过;赢了人家挺开心,输了也不难过;美味佳肴不拒绝,粗茶淡饭不计较;得意之时不显摆,失意之时不抱怨。
    就像一位禅师所说:“幸福不在于得到多少,而在于计较多少,计较得越少越幸福。”
    最高的成功,莫过于内心的幸福。
    当世界不值得尊敬的时候,至少我们还可以尊敬自己。

    到此,不禁让人要发问:那些占据着舆论的中心,做出煞有介事却漏洞百出的判断,“倒卖观念的二道贩子”(哈耶克语)的文化网红们,到底在说些什么,权力?资本?还是不再需要知识、不再需要思考、不再需要真相而只需要甜蜜蜜的梦境的那些人?

    抄袭有理:郭敬明……

    2006年5月,北京市高院终审判决认定,郭敬明的小说《梦里花落知多少》剽窃作家庄羽作品《圈里圈外》,郭敬明和春风文艺出版社共同赔偿庄羽经济损失20万元,追赔精神损害抚慰金1万元,停止销售《梦里花落知多少》、公开道歉等,限期15日执行。

    2020年12月31日凌晨,郭敬明在微博发文正式向庄羽道歉,表示后悔在法院判决后不肯承认错误。

    当然,同日中午,于正在其个人微博上发布文章,向琼瑶道歉。

    当然,对于郭敬明还有其他作者,众多与其他作者的作品的暧昧“剪不断理还乱”。

    如:《幻城》v.s.《圣传》,《梦里花落知多少》v.s.《圈里圈外》,《夏至未至》v.s.《NANA》,《悲伤逆流成河》v.s.《年华是无效信》;

    《梦里花落知多少》更是与已去世多少年的三毛的名作同名。

    郭敬明是幸运的,也不够幸运,因为道德之下有法律;在命运轨道上相向而行的韩寒是幸运的,也不够幸运,因为被人提着耳朵要“假以时日成为当今的鲁迅”。

    一切皆基因:吴军

    2012年3月2号,佳能在上海举行春季发布会,发布了一款全新的单反相机——佳能5D Mark III。能长时间拍摄高清视频的5D Mark III,让原来500万一套的专业摄录系统,降低到5万块钱以下就能置办齐全。

    这开启了一个新的时代:知识付费。

    其中,吴军是一个代表性的人物。

    很多人说知识付费是“收智商税”:

    一方面很多音频课,听了都跟没听差不多;

    二是音频更完了,作者摘点内容拿去出书,又能挣一波钱。

    吴军的课就是这样,但他的课里还藏着一些“别的东西”。

    在他把课印成的新书《见识》和《态度》里,多处透露着“个人命运决定论”的思想,跟他的“公司基因决定论”一脉相承。

    比如开篇题目就是:“命”和“运”决定人的一生。

    “人最后的前途是由什么决定的?实际上某种程度上是命中注定。”

    他告诉大家:

    找聪明女生的好处有很多,从优生学上考虑,母亲的智力水平对孩子的智力影响比父亲更大。如果大家希望孩子比较聪明,最好找个聪明的女生。

    在中国,北大和清华的地位在接下来的50年都很难撼动。

    无论是个人,还是公司、大学,“基因”早就把一切都安排好了。

    而让他给你些职场建议,说的都是些正确的废话。

    他还告诉大家,要提高自己的修养:

    今天的人并不用太担心物质的匮乏,如果我们能够在每天出门时想到“责任”“荣誉”“从容”“优雅”“镇定”这10个字,就能过得比18世纪的贵族更好。

    知识是买来的还是学来的,这个问题的答案不言而喻;但知识的证明是可以买的来,正因为如此,有一个“成功的企业家”就曾说过“我的成功可以复制”,或许他当年买学历时的价格策略是最成功。

    可以复制的成功与可以复印的学历:唐骏

    2010年7月1日晚上8时20分,方舟子一连在自家的微博上发出21条记录,把矛头指向“打工皇帝”唐骏。

    在这一系列微博中,方舟子针对唐骏在《我的成功可以复制》一书中透露的其个人学位、求学及工作经历,提出了多个质疑,并出示了部分查证证据,提出“唐骏的‘加州理工学院博士学位’是假的,是不是也要大家跟着复制如何造假?”

    方舟子接着怀疑唐骏所读的美国西太平洋大学“是一家著名的卖文凭的野鸡大学,此校在夏威夷注册,没有得到美国认证机构的认证”。

    此后,这所被称为“野鸡大学”的美国高校,被翻出了一大批博士毕业生名单,国内多家国企、事业单位的管理人员赫然在列。

    精英与大多数无用的人:吴晓波

    财经作家、媒体人吴晓波在接受一档访谈节目时称:“我是个挺精英主义者的。我认为这个世界不需要那么多人去同时思考那么多问题”“我只服务于少数的几十万人就够了。”

  • 科研不端记录

    2023.5.29 陈大伟论文被撤稿

    《肿瘤的基因治疗》(cancer gene therapy)发布撤稿说明称,因论文图片中一把可疑的带有划痕的钢尺图像,该期刊3年前发表的1篇论文中的研究数据遭到质疑。这把钢尺还先后出现在另外3篇不同署名作者、不同期刊的论文中。该论文题目:《环状rna (circrna) circ_001504通过吸附microrna-149来增加nucb2 从而促进肾细胞癌的发展》(circ_001504 promotes the development of renal cell carcinoma by sponging microrna-149 to increase nucb2),2020年10月27日在线发表,通讯作者吉林大学公共卫生学院放射医学系辐射防护学教研室教授、中华预防医学会放射卫生专业委员会第五届常务委员、吉林省核学会理事长陈大伟。
    另一篇被撤回的论文通讯作者是兰州大学第一医院肿瘤外科主任医师、教授关泉林,论文标题是《circ_002117结合microrna-370,促进内质网应激诱导的胃癌细胞凋亡》(circ_002117 binds to microrna-370 and promotes endoplasmic reticulum stress-induced apoptosis in gastric cancer),于2020年9月25日在线发表在国际学术期刊《国际癌细胞》(cancer cell international)上,于2022年12月13日被撤回。
    第3篇被撤回论文通讯作者青岛大学附属医院泌尿外科病区副主任、副教授、副主任医师杨学成,论文标题是《间充质干细胞来源的外泌体 microrna-139-5p 通过靶向 prc1 抑制膀胱癌的肿瘤发生》(mesenchymal stem cells-derived exosomal microrna-139-5p restrains tumorigenesis in bladder cancer by targeting prc1),于2020年10月29日在线发表在国际学术期刊《致癌基因》(oncogen)上,于2023年5月30日被撤回。
    说明提及但尚未撤回的论文署名通讯作者是“兰州大学第一医院普外科”、“兰州大学第一临床医学院”周文策,现任兰州大学第二医院(第二临床医学院)副书记、院长,兼任中华医学会消化内镜学分会大数据协作组委员、《中华消化内镜杂志》、《world journal of gastrointestinal endoscopy》、《癌症杂志》、《肿瘤防治研究杂志》、《临床肝胆病杂志》、《肝胆胰外科杂志》等期刊编委或审稿人,论文的标题是《m2巨噬细胞来源的细胞外囊泡分泌的mir-365通过btg2/fak/akt轴促进胰腺导管腺癌进展》(mir-365 secreted from m2 macrophage-derived extracellular vesicles promotes pancreatic ductal adenocarcinoma progression through the btg2/fak/akt axis),于2021年4月3日在线发表在国际学术期刊《细胞与分子医学杂志》(journal of cellular and molecular medicine)上。

    2023年5月16日 曹婷、李丽红论文被撤回

    2019年3月,Medical Science Monitor(IF:3.386/4区)期刊上在线发表的题为“Caffeine Treatment Promotes Differentiation and Maturation of Hypoxic Oligodendrocytes via Counterbalancing Adenosine 1 Adenosine Receptor-Induced Calcium Overload”(咖啡因通过平衡腺苷1 -腺苷受体诱导的钙超载促进缺氧少突胶质细胞的分化和成熟)的论文因研究可信度和原创性欠缺被撤回,第一作者联合陆军医大学第二附属医院(新桥医院)Ting Cao(音译 曹婷)、通讯作者陆军军医大学Hongli Li(音译 李红丽)。

    2023年5月10日 范存义、吴氢凯论文被撤回

    《干细胞研究与治疗》(Stem Cell Research & Therapy) 发布撤稿说明,“主编们已经撤回了这篇论文……作者表示,论文的图4f和6g确实包含错误,且论文中的蛋白质印迹图不是以其原始状态呈现的。他们提供了原始数据来解决这些问题;然而,这些新数据更加不一致,且包含高度相似的图像。因此,主编们对这篇文章的数据和结论不再有信心。”该论文于2018年12月13日在线发表,论文标题是《长非编码RNA HIF1A-AS2通过miR-665/IL6轴经PI3K/Akt信号通路促进脂肪源干细胞成骨分化》(Long non-coding RNA HIF1A-AS2 facilitates adipose-derived stem cells (ASCs) osteogenic differentiation through miR-665/IL6 axis via PI3K/Akt signaling pathway),上海交通大学医学院附属第六人民医院副院长范存义、上海交通大学附属第六人民医院妇产科主任医师吴氢凯共同作为通讯作者。

    2022.12.16 苏州大学撤销邵某历史学博士学位

    邵宝,2014年6月获苏州大学历史学博士学位(中国近现代史专业),苏州大学学位评定委员会审定撤销邵历史学博士学位,注销其博士学位证书(证书编号:1028522014000016)。邵论文涉嫌抄袭酒井順一郎著作,该论文以《大江歌罢掉头东–清末留日学生留学实态研究》为名2021年5月由郑州大学出版社出版。

    2022.11.29 Ruyao Gong论文被撤稿

     2022 年发表在期刊《Advances in Materials Science and Engineering》上的题为《Monitoring of Sports Health Indicators Based on Wearable Nanobiosensors》的论文被发现用字母T代替误差棒等系列错误被撤稿。论文的第一作者为临沂大学运动健康学院的Ruyao Gong。
    该期刊出版商 Hindawi是全球知名开放获取期刊出版商之一,旗下期刊接受率很高且审稿和出版很快。2022.9.28,Hindawi 宣布将对对旗下 16 家期刊的共计 511 篇文章予以撤稿,其中中国学者占多数。
    2016 年,Hindawi 旗下期刊 《The Scientific World Journal》 一口气撤稿了 5 篇来自特刊的文章。不同寻常的是,这期特刊的客座编辑 Xavier Delorme 向期刊反映,自己的身份被他人盗用。此外,来自来剑桥大学研究人员 Nick Wise曾对Hindawi旗下的期刊Wireless Communications and Mobile Computing 进行了调查,发现这本期刊的发文量从每年约 200 篇暴涨至2022 年的 2429 篇论文,并且这些增量主要来自于特刊征稿。

    《经济学》(季刊)编辑部202年4月18日在官网发布《不端行为的处理决定》

    认定厦门大学法学院2019级博士生杨彦龙2022年2月20日所投论文《跨国技术授权、出口贸易策略选择与社会福利效果》在理论模型、论文结构、模型主要结论等多个方面,明显剽窃蔡明芳和杨雅博2016年发表在台湾某刊物上发表的一篇文章,期刊编委会对其处理包括:10年内禁止其在《经济学》(季刊)投稿;处理决定其刊主页https://ceq.ccer.pku.edu.cn展示至少2年(自2022年4月起)。

    科技部通报部分教育、医疗机构医学科研诚信案件调查处理结果(2022年3月17日)

      一、哈尔滨医科大学附属肿瘤医院于凯江为通讯作者、黄巍为第一作者的论文“Long non-coding RNA PVT1 promote LPS-induced septic acute kidneyinjury by regulating TNFαand JNK/NF-κB pathways in HK-2 cells”。经调查,该论文存在篡改数据、不当署名等行为。对黄巍作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升职务职称资格3年;对于凯江作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、评奖资格3年,取消学术学位研究生招生资格3年。  (通报链接:https://www.hrbmu.edu.cn/kyc/info/1026/1252.htm)
      二、哈尔滨医科大学附属第一医院刘万鹏为通讯作者、金承俊为第一作者的论文“Silencing circular RNA circZNF609 restrains growth, migration and invasion by up-regulating microRNA-186-5p in prostate cancer”。经调查,该论文存在代写代投、买卖论文的行为。对金承俊作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格3年,取消晋升研究生导师资格3年,取消晋升职务职称资格2年;对刘万鹏作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升研究生导师资格4年,取消晋升职务职称资格3年。  (通报链接:https://www.hrbmu.edu.cn/kyc/info/1026/1253.htm)
      三、哈尔滨医科大学附属第二医院张瑶为通讯作者、姚远为第一作者的论文“Knockdown of long noncoding RNA Malat1 aggravates hypoxia-induced cardiomyocyte injury targeting miR-217”。经调查,该论文存在不当署名的行为。对姚远作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升职务职称资格3年,延期博士毕业2年;对张瑶作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、评奖资格3年,取消学术学位研究生招生资格3年。  (通报链接:https://www.hrbmu.edu.cn/kyc/info/1026/1254.htm)
      四、哈尔滨医科大学附属第一医院曹杨为通讯作者、吴滨奇为第一作者的论文“Suppression of adriamycin resistance in osteosarcoma by blocking Wnt/β-catenin signal pathway”。经调查,该论文存在代写代投、买卖论文的行为。对吴滨奇作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升研究生导师资格4年,取消晋升职务职称资格3年;对曹杨作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格3年,取消学术学位研究生招生资格3年。  (通报链接:https://www.hrbmu.edu.cn/kyc/info/1026/1255.htm)

      五、哈尔滨医科大学附属第二医院刘倩为通讯作者、王菲为第一作者的论文“Effects of miR-214 on cervical cancer cell proliferation, apoptosis and invasion via modulating PI3K/Akt/mTOR signal pathway”。经调查,该论文存在篡改数据的行为。对王菲作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升研究生导师资格4年,取消晋升职务职称资格3年;对刘倩作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、评奖资格3年,取消学术学位研究生招生资格3年。  (通报链接:https://www.hrbmu.edu.cn/kyc/info/1026/1256.htm)
      六、山东大学第二医院徐晖为通讯作者、李跃为第一作者的论文“Long noncoding RNA LINP1 promoted proliferation and invasion of ovarian cancer via inhibiting KLF6”。经调查,该论文存在买卖论文、不当署名的行为。徐晖对论文撰写、投稿和发表过程不知情;对李跃作出如下处理:党内严重警告,降低岗位等级,由医师十一级岗将至医师十二级岗,取消晋升专业技术职务资格3年,取消申报科技计划(专项、基金等)项目资格5年。  (通报链接:http://www.ac.sdu.edu.cn/info/1073/1262.htm)

      七、山东大学齐鲁医院张志勉为通讯作者、济宁市第一人民医院徐晓萌(山东大学在职申请临床医学博士专业学位研究生)、田力为并列第一作者的论文“Triptolide inhibits angiogenesis in microvascular endothelial cellsthrough regulation of miR-92a”。经调查,该论文存在伪造、篡改研究数据、图表及不当署名的行为。对徐晓萌作出如下处理:取消博士学位申请资格,3年内不接受其学位申请,取消科研项目、科研奖励、科技成果、科技人才计划等申报资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,取消已获得的学会、协会等学术工作机构的委员或成员资格,暂缓高一级专业技术职务1年;对张志勉作出如下处理:暂停研究生招生资格1年;对田力作出如下处理:科研诚信诫勉谈话,一定范围内通报批评。  (通报链接:http://www.ac.sdu.edu.cn/info/1073/1262.htm)

      八、黑龙江中医药大学附属第二医院孔菲为第一作者、附属第一医院金娟为通讯作者的论文“Long noncoding RNA RMRP upregulation aggravates myocardial ischemiareperfusion injury by sponging miR206 to target ATG3 expression”。经调查,该论文存在图片造假、不当署名的行为。对孔菲作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、奖励资格3年,取消研究生导师招生资格1年,取消晋升职务职称资格2年;对金娟作出如下处理:科研诚信诫勉谈话,取消申报科技计划(专项、基金等)项目、评奖资格3年,取消研究生导师招生资格1年。  (通报链接:http://kjc.hljucm.net/info/1094/1243.htm)

      九、中山大学附属第五医院吕宝军为通讯作者、卜巨源和吕维泽为共同第一作者的论文“Long non-coding RNA LINC00978 promotes cell proliferation and tumorigenesis via regulating microRNA-497/NTRK3 axis in gastric cancer”。经调查,该论文存在代写、伪造研究数据、违反科研伦理、一稿多投行为。对吕宝军作出如下处理:取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格5年,不予聘任教师职务,终身不得申请认定研究生导师资格,降低岗位等级一级;对卜巨源(与另外1篇论文合并处理)作出如下处理:撤销急诊科副主任职务,取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格7年,终身不得申请认定研究生导师资格,不予聘任教师职务,留党察看2年,降低岗位等级两级;对吕维泽作出如下处理:取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格5年,终身不得申请认定研究生导师资格,不予聘任教师职务,降低岗位等级一级。  (通报链接:http://xuefeng.sysu.edu.cn/gzdt/1398704.htm)

      十、中山大学附属第五医院林志东为通讯作者、朱耿隆为第一作者的论文“Kaempferol inhibits proliferation, migration, and invasion of liver cancer HepG2 cells by down-regulation of microRNA-21”。经调查,该论文存在代写、伪造研究数据行为。对林志东作出如下处理:取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格5年,终身不得申请认定研究生导师资格,不予聘任教师职务,留党察看1年,降低岗位等级一级;对朱耿隆作出如下处理:取消研究生导师任职资格,不予聘任教师职务,取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格7年,撤销副主任医师专业技术职务任职资格,留党察看1年,降低岗位等级一级。(通报链接:http://xuefeng.sysu.edu.cn/gzdt/1398704.htm)

      十一、中山大学附属第五医院杨中萌为通讯作者兼第一作者的论文“Down-regulation of microRNA-23b aggravates LPS-induced inflammatory injury in chondrogenic ATDC5 cells by targeting PDCD4”。经调查,该论文存在代写、伪造研究数据行为。对杨中萌作出如下处理:取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格5年,终身不得申请认定研究生导师资格,不予聘任教师职务,降低岗位等级一级。  (通报链接:http://xuefeng.sysu.edu.cn/gzdt/1398704.htm)

      十二、中山大学附属第三医院黄江龙、金亦为共同通讯作者、梁彩倩和符永玫为共同第一作者的论文“The effect of miR-224 down-regulation on SW80 cell proliferation and apoptosis and weakening of ADM drug resistance”。经调查,该论文存在代写、伪造实验数据行为。对黄江龙作出如下处理:取消研究生导师任职资格,不予聘任教师职务,取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格10年,留党察看2年,降低岗位等级两级;对金亦作出如下处理:取消研究生导师任职资格,不予聘任教师职务,取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格7年,撤销主任医师专业技术任职资格,降低岗位等级一级;对梁彩倩作出如下处理:取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格5年,终身不得申请认定研究生导师资格,不予聘任教师职务,降低岗位等级一级;对符永玫作出如下处理:取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格5年,终身不得申请认定研究生导师资格,不予聘任教师职务,降低岗位等级一级。  (通报链接:http://xuefeng.sysu.edu.cn/gzdt/1398704.htm)

      十三、中山大学附属第三医院司徒杰为通讯作者、李名钊为第一作者的论文“SOCS3 overexpression enhances ADM resistance in bladder cancer T24 cells”。经调查,该论文存在代写、伪造研究数据、虚假标注基金行为。对司徒杰作出如下处理:取消研究生导师任职资格,不予聘任教师职务,取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格7年,撤销主任医师专业技术职务任职资格,留党察看1年,降低岗位等级一级;对李名钊作出如下处理:取消晋升职务职称、申报科技计划(专项、基金等)项目、考核评优等资格7年,撤销主治医师专业技术职务任职资格,终身不得申请认定研究生导师资格,不予聘任教师职务。  (通报链接:http://xuefeng.sysu.edu.cn/gzdt/1398704.htm)

      十四、武汉大学中南医院王行环为通讯作者、陈乐仲为第一作者的论文“MiR-203 over-expression promotes prostate cancer cell apoptosis and reduces ADM resistance”。经调查,该论文存在买卖论文、不当署名的行为。王行环对论文投稿、撰写等不知情;对陈乐仲作出如下处理:科研诚信诫勉谈话,暂停国家财政资助科研项目申请资格2年,撤销临床医学博士专业学位。  (通报链接:http://xkjspt.znhospital.cn/tzgg/8840.jhtml)

      十五、武汉大学人民医院杨菁为通讯作者、杨晓红为第一作者的论文“Involvement ofNORAD/miR-608/STAT3 axis in carcinostasis effects of physcion 8-O-β-GlucopyRanoside on ovarian cancer cells”。经调查,该论文存在买卖论文、不当署名的行为。对杨菁作出如下处理:科研诚信诫勉谈话,不得将此论文用于职称职务晋升、获得学位、项目申报、人才计划、论文奖励、奖金、报销以及其他通过此论文获取利益行为,减招研究生1年;对杨晓红作出如下处理:科研诚信诫勉谈话,撤销临床医学博士学位。  (通报链接:http://www.rmhospital.com/a_overview/08_3_05.html)

      十六、武汉大学人民医院宋启斌为通讯作者、周金为第一作者的论文“MicroRNA-641 inhibits lung cancer cells proliferation, metastasis but promotes apoptosis in cells by targeting PDCD4”。经调查,该论文存在篡改图片、不当署名的行为。对周金作出如下处理:科研诚信诫勉谈话,不得将此论文用于获得学位、职称职务晋升、项目申报、人才计划、论文奖励、奖金、报销以及其他通过此论文获取其他利益行为,取消承担财政资金支持的科技项目资格3年;对宋启斌作出如下处理:科研诚信诫勉谈话,不得将此论文用于获得学位、职称职务晋升、项目申报、人才计划、论文奖励、奖金、报销以及其他通过此论文获取其他利益行为,减招研究生1年,停止申报各级科技奖励1年。

      (通报链接:http://www.rmhospital.com/a_overview/08_3_05.html)

      十七、吉林大学中日联谊医院于莉莉为通讯作者、韩凝为第一作者的论文“circSMAD2 governs migration and epithelial–mesenchymal transition by inhibiting micro RNA‐9”。经调查,该论文存在买卖论文数据的行为。对韩凝(与另外1篇论文合并处理)、于莉莉(与另外1篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。对其他作者范李(与另外2篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,撤销博士学位。

      (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1441)

      十八、吉林大学中日联谊医院孙大军、尹德馨为通讯作者,吉林大学第二医院李亚萍为第一作者的论文“Ras–ERK1/2 signaling promotes the development of uveal melanoma by downregulating H3K14ac”。经调查,该论文存在编造研究过程的行为。对孙大军(与另外4篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格8年,取消2年内各类评奖评优资格,取消职务、职称晋升申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。对尹德馨(与另外6篇论文合并处理)作出如下处理:通报批评,终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查3年,撤销副主任医师、副教授职务。对李亚萍(与另外3篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格8年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。

      (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1441)

      十九、吉林大学中日联谊医院魏鑫为通讯作者、范李为第一作者的论文“Carcinogenic role of K-Ras-ERK1/2 signaling in bladder cancer via inhibition of H1.2 phosphorylation at T146”。经调查,该论文存在买卖论文数据的行为。对范李(与另外2篇文章合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,撤销博士学位;对魏鑫(与另外2篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年。

      (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1441)

      二十、吉林大学中日联谊医院刘乃杰为通讯作者、梁华新为第一作者的论文“Neferine inhibits proliferation, migration and invasion of U251 glioma cells by down-regulation of miR-10b”。经调查,该论文存在买卖论文数据的行为。对梁华新、刘乃杰作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年,撤销梁华新副主任医师职务,撤销刘乃杰副主任医师、副教授职务。

      (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十一、吉林大学第二医院韩宁、孙唯轩为共同通讯作者、李亚萍为第一作者的论文“KRas-ERK signalling promotes the onset and maintenance of uveal melanoma through regulating JMJD6-mediated H2A.X phosphorylation at tyrosine 39”。经调查,该论文存在篡改数据、代投的行为。对李亚萍(与另外3篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格8年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年;对韩宁作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年;对孙唯轩(与另外3篇论文合并处理)作出如下处理:作为在籍研究生,给予留校察看处分。  (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十二、吉林大学中日联谊医院于莉莉为通讯作者、韩凝为第一作者的论文“The inhibitory function of icariin in cell model of benign prostatic hyperplasia by upregulation of miR-7”。经调查,该论文存在买卖论文数据的行为。对韩凝(与另外1篇论文合并处理)、于莉莉(与另外1篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。对其他作者魏鑫(与另外2篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年。  (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十三、吉林大学中日联谊医院王杨为通讯作者、孔大亮为第一作者发表论文“Knockdown of lncRNA HULC inhibits proliferation, migration, invasion and promotes apoptosis by sponging miR-122 in osteosarcoma”。经调查,该论文存在买卖论文数据的行为。对王杨(与另外11篇论文合并处理)作出如下处理:通报批评,终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,终身禁止参加研究生招生资格审查;对孔大亮(与另外4篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,撤销副主任医师、副教授职务。  (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十四、吉林大学中日联谊医院尹德馨、孙唯轩为通讯作者,吉林大学第二医院李亚萍为第一作者的论文“Ras-PI3K-AKT signaling promotes the occurrence and development of uveal melanoma by downregulating H3K56ac expression”。经调查,该论文存在编造研究过程的行为。对李亚萍(与另外3篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格8年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年;对尹德馨(与另外6篇论文合并处理)作出如下处理:通报批评,终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查3年,撤销副主任医师、副教授职务;对孙唯轩(与另外3篇论文合并处理)作出如下处理:作为在籍研究生,给予留校察看处分。  (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十五、吉林大学中日联谊医院范李为通讯作者、姜福全为第一作者的论文“IncRNA PEG10 promotes cell survival,invasion and migration by sponging miR-134 in human bladder cancer”。经调查,该论文存在买卖论文数据的行为。对姜福全作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年,撤销副主任医师职务,已启动相关程序,撤销其博士学位;对范李(与另外2篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,撤销博士学位。  (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十六、吉林大学中日联谊医院宋彬为通讯作者、张闻宇为第一作者的论文“Propofol inhibits proliferation, migration and invasion of gastric cancer cells by up-regulating microRNA-195”。经调查,该论文存在买卖论文数据的行为。对张闻宇(与另外1篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,撤销副主任医师职务;对宋彬作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年,撤销副主任医师职务;对其他作者王杨(与另外11篇论文合并处理)作出如下处理:通报批评,终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,终身禁止参加研究生招生资格审查。  (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十七、吉林大学中日联谊医院王文军为通讯作者、刘美含为第一作者的论文“Salidroside protects ATDC5 cells against lipopolysaccharide-induced injury through up-regulation of microRNA-145 in osteoarthritis”。经调查,该论文存在买卖论文数据的行为。对刘美含(与另外5篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格7年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,撤销副主任医师职务;对王文军(与另外3篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格8年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年;对其他作者张静哲(与另外5篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。  (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十八、吉林大学中日联谊医院张翘为通讯作者、应洪亮为第一作者的论文“Long non-coding RNA activated by transforming growth factor beta alleviates lipopolysaccharide-induced inflammatory injury via regulating microRNA-223 in ATDC5 cells”。经调查,该论文存在编造研究过程,伪造研究数据、图表行为的行为。对应洪亮(与另外2篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格7年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年;对张翘(与另外2篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格7年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年;对其他作者王永琨(与其他5篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格7年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。

      (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      二十九、吉林大学中日联谊医院王永琨为通讯作者、姜睿为第一作者的论文“Kaempferol protects chondrogenic ATDC5 cells against inflammatory injury triggered by lipopolysaccharide through down-regulating miR-146a”。经调查,该论文存在编造研究过程,伪造研究数据、图表的行为。对姜睿(与另外4篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格9年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查3年,撤销副主任医师职务;对王永琨(与另外5篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格7年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。

      (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      三十、吉林大学中日联谊医院于涛为通讯作者、赵长福为第一作者的论文“Knockdown of microRNA-203 alleviates LPS-induced injury by targeting MCL-1 in C28/I2 chondrocytes”。经调查,该论文存在买卖论文数据的行为。对赵长福(与另外1篇论文合并处理)、于涛(与另外1篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年,撤销主任医师职务。

      (通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

      三十一、新乡医学院第一附属医院胡俊喜为通讯作者、王小敏为第一作者的论文“Silence of lncRNA ANRIL represses cell growth and promotes apoptosis in retinoblastoma cells through regulating miR-99a and cMyc”。经调查,该论文存在代写、伪造通讯作者邮箱的行为。胡俊喜对论文投稿、撰写等不知情;对王小敏作出如下处理:科研诚信诫勉谈话,取消评先评优资格2年,取消专业技术职务晋升资格2年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格2年。

      (通报链接:https://www.xxmu.edu.cn/kjc/info/1016/2427.htm)

      三十二、新乡医学院第一附属医院梁秋冬为通讯作者、吴大鹏为第一作者的论文“MiR-1246 Promotes LPS-Induced Inflammatory Injury in Chondrogenic Cells ATDC5 by Targeting HNF4γ”。经调查,该论文存在伪造通讯作者邮箱、篡改数据和图片的行为。梁秋冬对论文投稿、撰写等不知情;对吴大鹏作出如下处理:科研诚信诫勉谈话,取消评先评优资格2年,取消专业技术职务晋升资格2年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格2年。

      (通报链接:https://www.xxmu.edu.cn/kjc/info/1016/2427.htm)

      三十三、新乡医学院第一附属医院赵斌为通讯作者、贾金领为第一作者的论文“MiR-125b Inhibits LPS-Induced Inflammatory Injury via Targeting MIP-1α in Chondrogenic Cell ATDC5”。经调查,该论文存在伪造通讯作者邮箱、篡改数据和图片的行为。赵斌对论文投稿、撰写等不知情;对贾金领作出如下处理:科研诚信诫勉谈话,取消评先评优资格2年,取消专业技术职务晋升资格2年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格2年。

      (通报链接:https://www.xxmu.edu.cn/kjc/info/1016/2427.htm)

      三十四、新乡医学院第一附属医院王宁为通讯作者和第一作者的论文“Euxanthone suppresses tumor growth and metastasis in colorectal cancer via targeting CIP2A/PP2A pathway”。经调查,该论文存在篡改数据和图片的行为。对王宁作出如下处理:科研诚信诫勉谈话,取消评先评优资格2年,取消专业技术职务晋升资格2年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格2年。

      (通报链接:https://www.xxmu.edu.cn/kjc/info/1016/2427.htm)

      三十五、新乡医学院第一附属医院赵国安为通讯作者、新乡医学院第三附属医院杨秀丽为第一作者的论文“Physcion 8-O-β-glucopyranoside alleviates oxidized low-density lipoprotein-induced human umbilical vein endothelial cells injury by inducing autophagy via AMPK/SIRT1 signaling”。经调查,该论文存在伪造通讯作者邮箱、篡改数据和图片的行为。赵国安对论文投稿、撰写等不知情;对杨秀丽作出如下处理:科研诚信诫勉谈话,取消评先评优资格2年,取消专业技术职务晋升资格2年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格2年。

      (通报链接:https://www.xxmu.edu.cn/kjc/info/1016/2427.htm)

      三十六、河南大学淮河医院李诗杰为通讯作者,郭俊强、杨志家为第一作者的论文“LncRNA SNHG16 functions as an oncogene by sponging miR-200a-3p in pancreatic cancer”。经调查,该论文存在买卖论文、不当署名的行为。对郭俊强(与另外1篇论文合并处理)作出如下处理:科研诚信诫勉谈话,推迟职称晋升资格2年,取消承担财政资金支持项目资格,申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,评优评先资格,提名或推荐人、被提名或推荐人、评审专家等资格5年;李诗杰、杨志家对论文投稿、撰写等不知情,对李诗杰、杨志家作出如下处理:科研诚信诫勉谈话,取消评优评先资格1年。

      (通报网址:https://kyc.henu.edu.cn/info/1289/11812.htm)

      三十七、河南大学淮河医院郭俊强为通讯作者兼第一作者的论文“PHD2 acts as an oncogene through activation of Ras/Raf/MEK/ERK and JAK1/STAT3 pathways in human hepatocellular carcinoma cells”。经调查,该论文存在买卖论文行为。对郭俊强(与另外1篇论文合并处理)作出如下处理:科研诚信诫勉谈话,推迟职称晋升资格2年,取消承担财政资金支持项目资格,申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,评优评先资格,提名或推荐人、被提名或推荐人、评审专家等资格5年。

      (通报网址:https://kyc.henu.edu.cn/info/1289/11812.htm)

      三十八、河南大学淮河医院刘辉为通讯作者兼第一作者、常俊锴为并列第一作者的论文“Inhibition of miR-221 influences bladder cancer cell proliferation and apoptosis”。经调查,该论文存在买卖论文、不当署名的行为。对刘辉作出如下处理:科研诚信诫勉谈话,降低岗位聘任等级(由副主任医师降聘为主治医师)2年,推迟职称晋升资格2年,取消承担财政资金支持项目资格,申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,评优评先资格,提名或推荐人、被提名或推荐人、评审专家等资格3年。常俊锴对论文投稿、撰写等不知情,对常俊锴作出如下处理:科研诚信诫勉谈话,取消评优评先资格1年。

      (通报网址:https://kyc.henu.edu.cn/info/1289/11812.htm)

      三十九、河南大学基础医学院丁勇为通讯作者、河南大学淮河医院马骥为第一作者的论文“Geniposide suppresses growth, migration and invasion of MKN45 cells by down-regulation of lncRNA HULC”。经调查,该论文存在买卖论文的行为。对马骥作出如下处理:科研诚信诫勉谈话,降低岗位聘任等级(由主治医师降聘为住院医师)2年,推迟职称晋升资格2年,取消承担财政资金支持项目资格,申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,评优评先资格,提名或推荐人、被提名或推荐人、评审专家等资格3年;对丁勇作出如下处理:科研诚信诫勉谈话,取消评优评先资格、职称晋升资格1年。

      (通报网址:https://kyc.henu.edu.cn/info/1289/11812.htm)

      四十、河南大学淮河医院徐海霞、马传根为通讯作者,杨晴、张挚为第一作者的论文“Lidocaine alleviates cytotoxicity-resistance in lung cancer A549/DDP cell via down-regulation of miR-21”。经调查,该论文存在买卖论文、不当署名的行为。对杨晴作出如下处理:科研诚信诫勉谈话,降低一级岗位聘任(由副主任医师降聘为主治医师)2年,推迟职称晋升资格2年,取消承担财政资金支持项目资格,申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,评优评先资格,提名或推荐人、被提名或推荐人、评审专家等资格3年。徐海霞、马传根和张挚对论文投稿、撰写等不知情,对徐海霞、马传根、张挚作出如下处理:科研诚信诫勉谈话,取消评优评先资格1年。

      (通报网址:https://kyc.henu.edu.cn/info/1289/11812.htm)

      四十一、河南大学淮河医院李爱香为通讯作者、于沙双为第一作者的论文“Propofol exerts neuroprotective functions by down-regulating microRNA-19a in glutamic acid-induced PC12 cells”。经调查,该论文存在买卖论文、不当署名的行为。对于沙双作出如下处理:科研诚信诫勉谈话,推迟职称晋升资格1年,取消承担财政资金支持项目资格,申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,评优评先资格,提名或推荐人、被提名或推荐人、评审专家等资格3年。李爱香对论文投稿、撰写等不知情,对李爱香作出如下处理:科研诚信诫勉谈话,取消评优评先资格1年。

      (通报网址:https://kyc.henu.edu.cn/info/1289/11812.htm)

      四十二、河南大学淮河医院张晓红为第一作者兼通讯作者,肖灿为并列第一作者的论文“Ganoderic Acid A Protects Rat H9c2 Cardiomyocytes from Hypoxia-Induced Injury via Up-Regulating miR-182-5p”。经调查,该论文存在买卖论文、不当署名的行为。对张晓红作出如下处理:科研诚信诫勉谈话,推迟职称晋升资格2年,取消承担财政资金支持项目资格,申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,评优评先资格,提名或推荐人、被提名或推荐人、评审专家等资格3年。肖灿对论文投稿、撰写等不知情,对肖灿作出如下处理:科研诚信诫勉谈话,取消评优评先资格1年。

      (通报网址:https://kyc.henu.edu.cn/info/1289/11812.htm)

      四十三、郑州大学第二附属医院法宪恩为通讯作者、王喜明为第一作者的论文“MicroRNA-145 Aggravates Hypoxia-Induced Injury by Targeting Rac1 in H9c2 Cells”。经调查,该论文存在代写代投、不当署名的行为。对王喜明作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,推迟晋升3年,取消申请科技计划项目、评优评先资格5年,撤销其依托论文获取的博士学位、副主任医师职称、科研奖励、科研项目;对法宪恩作出如下处理:暂停研究生导师招生资格1年,取消申请科技计划项目1年。

      (通报网址:http://www.zzusah.com/2021/xuefengzhuanlan_0929/4276.html)

      四十四、郑州大学第五附属医院王建平为通讯作者、崔明为第一作者的论文“Effects of microRNA-21 targetingPITX2 on proliferation and apoptosis of pituitary tumor cells”。经调查,该论文存在不当署名的行为。对崔明作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格3年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格3年,取消专业技术职务晋升资格3年,取消参与硕士研究生导师的评选资格3年;对王建平作出如下处理:科研诚信诫勉谈话,取消评优评先资格3年,暂停招收研究生3年。

      (通报网址:http://www.ztzy.com/NewsDetail-10569.html)

      四十五、郑州大学第一附属医院邢钰为通讯作者和第一作者的论文“Gastrodin protects rat cardiomyocytes H9c2 from hypoxia-induced injury by up-regulation of microRNA-21”。经调查,该论文存在伪造图片、不当署名的行为。对邢钰作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,取消其副主任医师职称,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年,撤销获批的省级项目。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041531056387700)

      四十六、郑州大学第一附属医院韩新巍为通讯作者、袁慧锋为第一作者的论文“MiR-29b aggravates lipopolysaccharide-induced endothelial cells inflammatory damage by regulation of NF-kappa B and JNK signaling pathways”。经调查,该论文存在买卖数据、不当署名的行为。对袁慧锋作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库, 取消评优评先资格5年,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年;对韩新巍作出如下处理:取消评优评先资格1年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格1年,取消研究生招生资格1年。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041531576382946)

      四十七、郑州大学第一附属医院王家祥为通讯作者、苗超峰为第一作者的论文“LncRNA DIGIT Accelerates Tube Formation of Vascular Endothelial Cells by Sponging miR-134”。经调查,该论文存在伪造论文、不当署名的行为。对苗超峰作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,撤销其副主任医师职称,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年,撤销博士学位;对王家祥作出如下处理:取消评优评先资格1年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格1年,取消研究生招生资格1年。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041535086387349)

      四十八、郑州大学第一附属医院韩新巍为通讯作者、马骥为第一作者的论文“MicroRNA-29a inhibits proliferation and motility of schwannoma cells by targeting CDK6”。经调查,该论文存在买卖数据、不当署名的行为。对马骥作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年;对韩新巍作出如下处理:取消评优评先资格1年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格1年,取消研究生招生资格1年。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041536286381244)

      四十九、郑州大学第一附属医院李峰为通讯作者和第一作者、皮国富为并列通讯作者的论文“LncRNA GAS5 Overexpression Reverses LPS-Induced Inflammatory Injury and Apoptosis Through Up-Regulating KLF2 Expression in ATDC5 Chondrocytes”。经调查,该论文存在伪造论文、不当署名的行为。对李峰作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年,取消研究生招生资格5年;对皮国富作出如下处理:取消评优评先资格1年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格1年,取消研究生招生资格1年,撤销获批的省级项目。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041537416384257)

      五十、郑州大学第一附属医院曹祥明为通讯作者、许锋为第一作者的论文“Sinomenine inhibits proliferation, migration, invasion and promotes apoptosis of prostate cancer cells by regulation of miR-23a”。经调查,该论文存在买卖数据、不当署名的行为。对许锋作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年,取消研究生招生资格5年;对曹祥明作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041541426382996)

      五十一、郑州大学第一附属医院王文战为通讯作者、赵文博为第一作者的论文“Arbutin attenuates hydrogen peroxide-induced oxidative injury through regulation of microRNA-29a in retinal ganglion cells”。经调查,该论文存在买卖数据、不当署名的行为。对赵文博作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年;对王文战作出如下处理:取消评优评先资格1年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格1年,取消研究生招生资格1年。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041542446381741)

      五十二、郑州大学第一附属医院王贵宪为通讯作者、孙献涛为第一作者的论文“Long noncoding RNA SNHG15 enhances the development of colorectal carcinoma via functioning as a ceRNA through miR-141/SIRT1/Wnt/beta-catenin axis”。经调查,该论文存在买卖数据、不当署名的行为。对孙献涛作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格3年,推迟晋升职称2年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格3年;对王贵宪作出如下处理:取消评优评先资格1年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格1年,取消研究生招生资格1年。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041548286383524)

      五十三、郑州大学第一附属医院樊青霞为通讯作者、王晓娟和李惠翔为并列第一作者的论文“MicroRNA-182 suppresses clear cell renal cell carcinoma migration and invasion by targeting IGF1R”。经调查,该论文存在伪造论文、不当署名的行为。对王晓娟作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,撤销其副主任医师职称,推迟晋升职称3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年,取消研究生招生资格5年,撤销博士学位;对樊青霞和李惠翔作出如下处理:樊青霞和李惠翔目前均已退休,且不再招生,对其进行批评教育,不再追究其他责任。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041550336385453)

      五十四、郑州大学第一附属医院谷元廷为通讯作者、吕鹏威为第一作者的论文“Belinostat suppresses cell proliferation by inactivating Wnt/beta-catenin pathway and promotes apoptosis through regulating PKC pathway in breast cancer”和“Long Noncoding RNA CAMTA1 Promotes Proliferation and Mobility of the Human Breast Cancer Cell Line MDA-MB-231 via Targeting miR-20b”。经调查,该2篇论文均存在伪造论文、不当署名的行为。对吕鹏威作出如下处理:科研诚信诫勉谈话,纳入科研失信行为记录库,取消评优评先资格5年,取消其副主任医师职称,推迟晋升职称5年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格5年;对谷元廷作出如下处理:取消评优评先资格3年,取消申报财政资金支持的各级科技计划(项目)、科技奖励、科技人才等资格3年,取消研究生招生资格3年。

      (通报网址:http://www.zdyfy.com/newsss/vmsgisapi.dll/onemsg?msgid=2110041551496387748)

    科技部通报部分教育、医疗机构医学科研诚信案件调查处理结果(2022年1月25日)

    一、青岛大学附属医院刘华为通讯作者、黄德瑜为第一作者的论文“Knockdown long non-coding RNA ANRIL inhibits proliferation, migration and invasion of HepG2 cells by down-regulation of miR-191”。经调查,该论文存在造假行为。对刘华、黄德瑜作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    二、青岛大学附属医院毛拥军为通讯作者、王少军为第一作者的论文“Syndecan-1 suppresses cell growth and migration via blocking JAK1/STAT3 and Ras/Raf/MEK/ERK pathways in human colorectal carcinoma cells”。经调查,该论文存在造假、不当署名的行为。毛拥军对论文被署名情况不知情。对王少军作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    三、青岛大学附属医院王士雷为通讯作者、杜青为第一作者的论文“Propofol inhibits proliferation, migration, and invasion but promotes apoptosis by regulation of Sox4 in endometrial cancer cells”。经调查,该论文存在造假行为。对杜青(与另外1篇论文合并处理)、王士雷(与另外1篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格6年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格6年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    四、青岛大学附属青岛市市立医院姜相君为通讯作者、青岛大学附属医院刘培为第一作者的论文“Knockdown of long non-coding RNA ANRIL inhibits tumorigenesis in human gastric cancer cells via microRNA-99a-mediated down-regulation of BMI1”。经调查,该论文存在造假行为。对刘培作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次;对姜相君作出如下处理:警告处分6个月,取消申请科研项目、学术奖励、荣誉称号等资格1年,年度考核不得确定为优秀档次。

    五、青岛大学附属医院刘元伟为通讯作者、孙相红为第一作者的论文“MicroRNA-146-5p promotes proliferation, migration and invasion in lung cancer cells by targeting claudin-12”。经调查,该论文存在造假、不当署名行为。对刘元伟、孙相红作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    六、青岛大学附属医院高玉芳为通讯作者、赵京明为第一作者的论文“Long non-coding RNA PICART1 suppresses proliferation and promotes apoptosis in lung cancer cells by inhibiting JAK2/STAT3 signaling”。经调查,该论文存在造假、不当署名行为。高玉芳对论文被署名情况不知情。对赵京明作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    七、青岛大学附属医院鞠辉为通讯作者和第一作者的论文“Effects of miR-223 on colorectal cancer cell proliferation and apoptosis through regulating FoxO3a/BIM”。经调查,该论文存在造假行为。对鞠辉作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    八、青岛大学附属医院刘洪玲为通讯作者、王路平为第一作者的论文“Soyasapogenol B exhibits anti-growth and anti-metastatic activities in clear cell renal cell carcinoma”。经调查,该论文存在造假行为。对刘洪玲作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次;对王路平(与另外1篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格6年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格6年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    九、青岛大学药学院高慧为通讯作者、韩梅为第一作者的论文“Hispidulin induces ER stress-mediated apoptosis in human hepatocellular carcinoma cells in vitro and in vivo by activating AMPK signaling pathway”,经调查,该论文存在数据造假、不当署名行为;高慧为通讯作者、韩梅为第一作者的论文“Hispidulin inhibits hepatocellular carcinoma growth and metastasis through AMPK and ERK signaling mediated activation of PPARγ”,经调查,该论文存在不当署名行为。对高慧(与另外4篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格9年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格9年,记入科研诚信失信档案,取消参加本年度评先评优,年度考核不得确定为合格及以上等次;对韩梅作出如下处理:警告处分6个月,取消申请科研项目、学术奖励、荣誉称号等资格1年,年度考核不得确定为优秀档次。

    十、青岛大学附属医院孙向红为通讯作者、朱莉为第一作者的论文“Autophagy is a pro-survival mechanism in ovarian cancer against the apoptotic effects of euxanthone”。经调查,该论文存在造假行为。对孙向红、朱莉作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十一、青岛大学附属医院张辉为通讯作者、王路平为第一作者的论文“Endoplasmic reticulum stress triggered by Soyasapogenol B promotes apoptosis and autophagy in colorectal cancer”。经调查,该论文存在造假行为。对张辉作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消年度评先评优,年度考核不得确定为合格及以上等次;对王路平(与另外1篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格6年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格6年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十二、青岛大学药学院孙勇为通讯作者、青岛大学附属心血管医院李盛楠为第一作者的论文“Cytoprotective effects of euxanthone against ox-LDL-induced endothelial cell injury is mediated via Nrf2”。经调查,该论文存在造假、不当署名行为。孙勇对论文被署名情况不知情。对李盛楠作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十三、青岛大学附属医院王志为通讯作者、张宏为第一作者的论文“Icariin induces apoptosis in acute promyelocytic leukemia by targeting PIM1”。经调查,该论文存在造假、不当署名行为。对王志、张宏作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十四、青岛大学附属医院韩志武为通讯作者、王美芝为第一作者的论文“MiR-137 suppresses tumor growth and metastasis in clear cell renal cell carcinoma”。经调查,该论文存在造假、不当署名行为。对韩志武(与另外2篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格7年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格7年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次;对王美芝作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十五、青岛大学附属医院吕静为通讯作者、赵金霞为第一作者的论文“Identification of profilin 1 as the primary target for the anti-cancer activities of Furowanin A in colorectal cancer”。经调查,该论文存在造假、不当署名行为。对吕静、赵金霞作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十六、青岛大学药学院高慧为通讯作者、生命科学学院李子超为第一作者的论文“Endoplasmic reticulum stress triggers Xanthoangelol-induced protective autophagy via activation of JNK/c-Jun Axis in hepatocellular carcinoma. Journal of experimental &clinical cancer research”。经调查,该论文存在数据造假行为。对高慧(与另外4篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格9年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格9年,记入科研诚信失信档案,取消参加本年度评先评优,年度考核不得确定为合格及以上等次;对李子超作出如下处理:警告处分6个月,取消申请科研项目、学术奖励、荣誉称号等资格1年,年度考核不得确定为优秀档次。

    十七、青岛大学附属医院韩志武为通讯作者、药学院高慧为第一作者的论文“PTTG promotes invasion in human breast cancer cell line by upregulating EMMPRIN via FAK/Akt/mTOR signaling”。经调查,该论文存在造假行为。对韩志武(与另外2篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格7年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格7年,记入科研诚信失信档案,给予科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次;对高慧(与另外4篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格9年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格9年,记入科研诚信失信档案,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十八、青岛大学药学院高慧为通讯作者、基础医学院韩彦弢为第一作者的论文“Alpinumisoflavone induces apoptosis in esophageal squamous cell carcinoma by modulating miR-370/PIM1 signaling”,经调查,该论文存在图表重复使用行为;韩彦弢为通讯作者、高慧为第一作者的论文“Hispidulin suppresses tumor growth and metastasis in renal cell carcinoma by modulating ceramide-sphingosine 1-phosphate rheostat”,经调查,该论文存在不当署名、数据重复使用行为。韩彦弢对论文被署名情况不知情。对高慧(与另外4篇论文合并处理)作出如下处理:记过处分1年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格9年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格9年,记入科研诚信失信档案,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    十九、上海交通大学医学院附属第九人民医院游捷为通讯作者、王婷婷为第一作者的论文“Alpinumisoflavone suppresses tumour growth and metastasis of clear-cell renal cell carcinoma”。经调查,该论文存在图片重复问题。论文发表后王婷婷就图片问题向杂志编辑部申请勘误,编辑部于2019年2月正式刊出勘误。王婷婷对论文的形成及发表负主要责任(该生已于2020年4月结业后离校);对游捷作出如下处理:科研诚信诫勉谈话,退回相关奖励。

    二十、长治医学院贾书花为通讯作者、田云为第一作者的论文“Knockdown of long noncoding RNA DLX6-AS1 inhibits cell proliferation and invasion of cervical cancer cells by downregulating FUS”。经调查,该论文存在第三方代写、伪造数据、抄袭行为。对贾书花作出如下处理:科研诚信诫勉谈话,取消其申报财政资金支持项目资格5年,取消其参加科研奖励、科技人才推荐评选、评优评奖、职称晋升等资格1年;对田云作出如下处理:行政警告处分,撤销副教授资格,取消其申报财政资金支持项目资格5年,取消其参加科研奖励、科技人才推荐评选、评优评奖、职称晋升等资格1年。

    二十一、长治医学院附属和平医院秦江波为通讯作者和第一作者的论文“Circular RNA hsa_circ_0000285 acts as an oncogene in laryngocarcinoma by inducingWnt/β-catenin signaling pathway”。经调查,该论文存在伪造数据、编造成果行为。对秦江波作出如下处理:责令撤稿,给予行政警告处分,取消其承担财政资金支持项目资格5年,取消其参加科研奖励、科技人才推荐评选、评优评奖、职称晋升等资格1年。

    二十二、延安大学附属医院王明全为通讯作者、延安大学医学院王爱红为第一作者的论文“Long noncoding RNALUCAT1 promotes cervical cancer cell proliferation and invasionby upregulating MTA1”。经调查,该论文存在买卖论文、不当署名行为。对王明全作出如下处理:取消晋升职称资格5年,取消招收研究生资格3年,取消申报财政资金支持项目资格5年,取消提名或推荐人、被提名或推荐人、评审专家资格5年,取消申请科技奖励(成果、荣誉)、科技人才称号资格5年,专业技术岗位等级由四级降为七级,取消评优评先资格2年;对王爱红作出如下处理:取消晋升职称资格5年,取消招收研究生资格3年,取消申报财政资金支持项目资格5年,取消提名或推荐人、被提名或推荐人、评审专家资格5年,取消申请科技奖励(成果、荣誉)、科技人才称号资格5年,专业技术岗位等级由五级降为七级,免去其检验系主任职务,取消评优评先资格2年;对其他作者赵菊梅作出如下处理:科研诚信诫勉谈话,取消专业技术岗位等级晋升资格1年,取消申报财政资金支持项目资格1年,取消提名或推荐人、被提名或推荐人、评审专家资格1年,取消申请科技奖励(成果、荣誉)、科技人才称号资格1年。

    二十三、延安大学咸阳医院于建平为通讯作者、陕西省核工业二一五医院汪建军为第一作者的论文“miR-181a down-regulates MAP2K1 to enhance adriamycin sensitivity in leukemia HL-60 cells”。经调查,该论文存在代写代投的学术不端行为。陕西省核工业二一五医院对汪建军作出如下处理:诫勉谈话,取消承担财政资金支持项目申报资格5年,取消各级各类评优资格3年,取消职称、职务晋升资格3年,退回相关奖励金额。延安大学咸阳医院对于建平作出如下处理:诫勉谈话,取消承担财政资金支持项目申报资格5年,取消各级各类评优资格3年,取消职称、职务晋升资格3年。

    二十四、南京中医药大学第三附属医院(南京市中医院)葛海波为通讯作者和第一作者发表的论文“Long noncoding RNA ZFAS1 acts as an oncogene by targeting miR-193a-3p in human non-small cell lung cancer. European review for medical and pharmacological sciences”。经调查,该论文存在买卖论文、纂改数据、不当署名、不当标注行为。对葛海波作出如下处理:撤回论文,撤销博士学位,取消申报科技计划项目资格5年,给予警告处分和党内批评教育。

    二十五、山西医科大学第二医院郝敏为通讯作者、滕鹏为第一作者的论文“microRNA383 suppresses the PI3K-AKT-MTOR signaling pathway to inhibit developmentof cervical cancer via down-regulating PARP2”。经调查,该论文系滕鹏购买论文、代投论文,未经郝敏同意将其列为通讯作者并伪造通讯作者邮箱。对滕鹏作出如下处理:撤销博士学位;对郝敏作出如下处理:暂停招收研究生2年。

    二十六、山西医科大学影像学院王峻为通讯作者、山西省人民医院(山西医科大学在职博士研究生)王建明为第一作者的论文“Circular RNA circ_0067934 functions as an oncogene in breast cancer by targeting Mcl-1”。经调查,该论文系王建明委托第三方机构代写、代投,王建明未经王峻同意将其列为通讯作者。对王建明作出如下处理:记过处分,其他处理由其人事所在单位进行;对王峻作出如下处理:暂停招收研究生2年。

    二十七、哈尔滨医科大学肿瘤医院赵红丽为第一作者、杨茂鹏为通讯作者的论文“Long noncoding RNA MIAT promotes the growth and metastasis of non-small cell lung cancer by upregulating TDP43”。经调查,该论文存在代写、代投、不当署名行为。对赵红丽作出如下处理:责令撤稿,科研诚信诫勉谈话,取消其申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升研究生导师资格4年,取消其晋升职务职称资格3年;对杨茂鹏作出如下处理:科研诚信诫勉谈话,撤销该论文的科研奖励,并收回全部奖金,取消其申报科技计划(专项、基金等)项目、奖励资格3年,取消学术学位研究生招生资格3年,限期1年内对课题组其他成员的研究进行自查,避免同类事情发生。

    二十八、哈尔滨医科大学附属第一医院尤琪作为第一作者和通讯作者的论文“Long non-coding RNA DLX6-AS1 acts as an oncogene by targeting miR-613 in ovarian cancer”。经调查,该论文存在买卖论文、不当标注行为。对尤琪作出如下处理:责令撤稿,科研诚信诫勉谈话,撤销该论文的科研奖励,并收回全部奖金,取消其申报科技计划(专项、基金等)项目、奖励资格5年,取消学术学位研究生招生资格3年,取消其晋升职务职称资格3年,限期1年内对课题组其他成员的研究进行自查,避免同类事情发生。

    二十九、哈尔滨医科大学附属第四医院孟琰为第一作者、毕良佳为通讯作者的论文“Circular RNA hsa_circ_0011946 promotes cell growth,migration,and invasion of oral squamous cell carcinoma by upregulating PCNA”。经调查,该论文存在买卖论文、代写、不当署名行为。对孟琰作出如下处理:责令撤稿,科研诚信诫勉谈话,取消其申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升研究生导师资格4年,取消其晋升职务职称资格3年;对毕良佳作出如下处理:科研诚信诫勉谈话,取消其申报科技计划(专项、基金等)项目、奖励资格3年,取消学术学位研究生招生资格3年,限期1年内对课题组其他成员的研究进行自查,避免同类事情发生。

    三十、哈尔滨医科大学附属肿瘤医院钟振滨为第一作者、葛晓峰为通讯作者的论文“Knockdown of long noncoding RNA DLX6-AS1 inhibits migration and invasion of thyroid cancer cells by upregulating UPF1”。经调查,该论文存在代写、代投、不当署名行为。对钟振滨作出如下处理:责令撤稿,科研诚信诫勉谈话,取消其申报科技计划(专项、基金等)项目、奖励资格5年,取消晋升研究生导师资格4年,取消其晋升职务职称资格3年;对葛晓峰作出如下处理:科研诚信诫勉谈话,取消其申报科技计划(专项、基金等)项目、奖励资格3年,取消学术学位研究生招生资格3年,限期1年内对课题组其他成员的研究进行自查,避免同类事情发生。

    三十一、上海市肺科医院(苏州大学附属第一医院2015级临床博士研究生)陈斌为第一作者、苏州大学附属第一医院凌春华通讯作者的论文“Long noncoding RNA AK027294 acts as an oncogene in non-small cell lung cancer by up-regulating STAT3”。经调查,该论文存在买卖论文行为。对陈斌作出如下处理:撤销博士学位;对凌春华作出如下处理:诫勉谈话,停招各类研究生1年,停止申请科研项目、科技奖励、科技人才称号和专业技术职务晋升等资格2年。

    三十二、泰兴市人民医院(苏州大学附属第一医院2017级临床博士研究生)严斌为第一作者、苏州大学附属第一医院徐耀增为通讯作者的论文“Macrophage-derived exosomes mediate osteosarcoma cell behavior by activating AKT signaling”。经调查,该论文存在买卖论文行为。对严斌作出如下处理:终止其学习资格;对徐耀增作出如下处理:批评教育,停招临床型博士研究生1年,停止申请科研项目、科技奖励和科技人才称号等资格1年。

    三十三、山东第一医科大学冯峰为通讯作者和第一作者的论文“Long noncoding RNA SNHG16 contributes to the development of bladder cancer via regulating miR-98/STAT3/Wnt/β-catenin pathway axis”。经调查,该论文存在篡改数据、不当署名行为。对冯峰作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年。

    三十四、山东第一医科大学王姝丽为第一作者、李冠贞为通讯作者的论文“LncRNA XIST inhibits ovarian cancer cell growth and metastasis via regulating miR-150-5p/PDCD4 signaling pathway”。经调查,该论文存在篡改数据行为。对李冠贞作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格3年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格3年;对王姝丽作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格3年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格3年。

    三十五、山东第一医科大学郭莹为第一作者、赵健为通讯作者的论文“MicroRNA-30bResibufogenin suppresses tumor growth and Warburg effect through regulating miR-143-3p/HK2 axis in breast cancer”。经调查,该论文存在篡改数据、代写、代投行为。对赵健作出如下处理:科研诚信诫勉谈话;对郭莹作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格3年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格3年。

    三十六、山东第一医科大学周辉为第一作者、王公明为通讯作者的论文“Euxanthone Ameliorates Sevoflurane-Induced Neurotoxicity in Neonatal Mice”。经调查,该论文存在篡改数据行为。对王公明作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年;对周辉作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年。

    三十七、山东第一医科大学王强为第一作者、张洁为通讯作者的论文“Physcion 8-O-β-glucopyranoside Induces Apoptosis, Suppresses Invasion and Inhibits Epithelial to Mesenchymal Transition of Hepatocellular Carcinoma HepG2 Cells”。经调查,该论文存在篡改数据行为。对张洁作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,撤销利用本篇文章的获利,撤销副高级职称资格;对王强作作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,撤销利用本篇文章的获利,追回所得奖金,撤销主任医师资格,撤回山东省名老中医人才项目评审材料,暂停研究生导师招生资格1年。

    三十八、山东第一医科大学陈霞为第一作者、李福霞为通讯作者的论文“Physcion 8-O-β-glucopyranoside Suppresses the Metastasis of Breast Cancer in Vitro and in Vivo by Modulating DNMT1”。经调查,该论文存在篡改数据、不当署名行为。对李福霞作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年;对陈霞作出如下处理:科研诚信诫勉谈话,取消参加当年度评先评优资格,年度考核不得确定为优秀等次,取消申请或申报科技计划项目资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,撤销利用本篇文章的获利,追回所得奖金,撤销副主任护师资格。

    三十九、长江大学魏华为通讯作者和第一作者的论文“miR-101 affects proliferation and apoptosis of cervical cancer cells by inhibition of JAK2”。经调查,存在篡改数据、图表行为。对魏华作出如下处理:取消该论文在学校的成果等级认定资格,该论文不得用于报奖、年终考核、聘期考核、职称评审等,取消科研项目申请资格3年。

    四十、济南市第八人民医院(原莱芜钢铁集团有限公司医院)刘静为通讯作者、山东省耳鼻喉医院(山东省立医院西院)王刚为第一作者的论文“Neferine hinders choriocarcinoma cell proliferation, migration and invasion through repression of long noncoding RNA-CHRF”。经调查,该论文存在买卖论文的学术不端行为。山东省耳鼻喉医院对王刚作出如下处理:诫勉谈话,取消职称、职务晋升资格3年,取消评先树优资格5年,取消申报科研项目、科研奖励、科技成果、科技人才计划等资格5年;济南市第八人民医院对刘静作出如下处理:撤稿,诫勉谈话,撤销医院内立项项目,取消职称、职务晋升资格5年,取消评先树优资格5年,取消申报科研项目、科研奖励、科技成果、科技人才计划等资格5年;对其他作者王萍、闫小军作出如下处理:诫勉谈话,撤销医院内立项项目,取消评先树优资格3年,取消申报科研项目、科研奖励、科技成果、科技人才计划等资格3年。

    四十一、国药东风总医院熊敏为通讯作者、王林为第一作者的论文“miR-155 Affects Osteosarcoma MG-63 Cell Autophagy Induced by Adriamycin Through Regulating PTEN-PI3K/AKT/mTOR Signaling Pathway”。经调查,该论文存在购买实验数据、代写代投等学术不端行为。对王林作出如下处理:撤稿,退回已发放论文奖励,取消各级各类科研项目、人才项目、科技奖励等申报资格5年,取消评优评先资格5年,取消职称申报资格5年,撤销利用该论文结题的科研项目,扣除季度绩效;对熊敏作出如下处理:诫勉谈话,暂停评优评先资格1年,取消各级各类科研项目、人才项目、科技奖励等申报资格1年;对其他作者唐冰、韩珩、毛丹、陈洁、曾云作出如下处理:诫勉谈话,取消各级各类科研项目、人才项目、科技奖励等申报资格1年。

    四十二、吉林大学中日联谊医院冯野为通讯作者,尹德馨、李叶舟为第一作者的论文“Pro-Angiogenic Role of LncRNA HULC in Microvascular Endothelial Cells via Sequestrating miR-124”。经调查,该论文存在买卖论文数据的行为。对尹德馨(与另外6篇论文合并处理)作出如下处理:终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查3年,撤销副主任医师、副教授职务;对李叶舟(与另外1篇论文合并处理)作出如下处理:取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,作为在籍研究生,给予留校察看处分;对冯野(与另外1篇论文合并处理)作出如下处理:取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。

    四十三、吉林大学中日联谊医院王杨为通讯作者和第一作者的论文“LncRNA GAS5 Represses Osteosarcoma Cells Growth and Metastasis via Sponging MiR-203a”。经调查,该论文存在买卖论文数据的行为。对王杨(与另外11篇论文合并处理)作出如下处理:终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,终身禁止参加研究生招生资格审查;对其他作者孔大亮(与另外4篇论文合并处理)作出如下处理:取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年,撤销副主任医师、副教授职务。

    四十四、吉林大学中日联谊医院孙大军为通讯作者,吉林大学中日联谊医院尹德馨、北京中医药大学东方医院付常庚为第一作者的论文“Silence of lncRNA UCA1 Represses the Growth and Tube Formation of Human Microvascular Endothelial Cells Through miR-195”。经调查,该论文存在买卖论文数据的行为。对尹德馨(与另外6篇论文合并处理)作出如下处理:终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查3年,撤销副主任医师、副教授职务;对孙大军(与另外3篇论文合并处理)作出如下处理:取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年;对付常庚(与另外2篇论文合并处理)作出如下处理:作为在籍研究生,给予留校察看处分。

    四十五、吉林大学中日联谊医院李东原为通讯作者、许东辉为第一作者的论文“Ligustrazine Inhibits Growth, Migration and Invasion of Medulloblastoma Daoy Cells by Up-Regulation of miR-211”。经调查,该论文存在买卖论文数据的行为。对许东辉(与另外1篇论文合并处理)作出如下处理:取消科技计划项目(专项、基金等)申报资格6年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年;对李东原(与另外1篇论文合并处理)作出如下处理:取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年,撤销主任医师职务;对其他作者池国男(与另外2篇论文合并处理)作出如下处理:取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年。

    四十六、长沙爱尔眼科医院林丁为通讯作者,郑州大学第一附属医院黄雪桃、河南大学淮河医院王斌为第一作者的论文“Total glucosides of paeony suppresses experimental autoimmune uveitis in association with inhibition of Th1 and Th2 cell function in mice”。经调查,该论文存在代写代投、抄袭、编造研究过程、违反科技伦理规范、违反署名规范的行为。郑州大学第一附属医院对黄雪桃作出如下处理: 诫勉谈话,取消评优评先资格3年,推迟晋升职称3年,取消申报财政资金支持的各级科技计划项目、科技奖励、科技人才称号等资格5年,撤销获批的河南省卫生健康委和医院共建项目;河南大学淮河医院对王斌作出如下处理:取消评优评先资格3年,推迟晋升职称1年,取消申报财政资金支持的各级科技计划项目、科技奖励、科技人才称号等资格3年,限制作为提名或推荐人、被提名或推荐人、评审专家等资格3年;长沙爱尔眼科医院对林丁作出如下处理:诫勉谈话,取消申请或申报科技计划项目、科技奖励等资格1年。

    2021 科技部通报10份医疗机构医学科研诚信案件调查处理结果

    一、湖北中医药大学第一临床学院教师李浩为通讯作者、郑春艳为第一作者的论文“Inhibition of miR-23a-3p promotes osteoblast proliferation and differentiation”。经调查,该论文由第三方机构代写。对李浩、郑春艳作出如下处理:通报批评;取消涉事论文的科研成果认定;取消职称申报资格3年;取消科技计划项目申报资格和立项资格5年;暂停李浩研究生招生资格。(通报链接:https://fgc.hbtcm.edu.cn/info/1025/1375.htm)

    二、北华大学附属医院崔晓亮为第一作者的论文“Circular RNA circ_0067934 functions as an oncogene in glioma by targeting CSF1”。经调查,该论文存在篡改数据和图表、不当署名等问题。对崔晓亮作出如下处理:责成尽快撤稿,科研诚信诫勉谈话,通报批评,行政记过处分,取消职称职级评审资格和评优评先、荣誉称号等资格3年,取消申请科技计划项目(专项、基金等)、教学研究项目和科技、教学奖励资格5年。(通报链接:https://www.bhdxfsyy.com/news/article/id/676)

    三、佳木斯大学附属第二医院(口腔医学院)李晓光和刘继光为通讯作者、孔宇为第一作者的论文“LncRNA LUCAT1 promotes growth, migration, and invasion of oral squamous cell carcinoma by upregulating PCNA”。经调查,该论文由孔宇购买,李晓光、刘继光及其他作者对论文发表不知情。对孔宇作出如下处理:撤销主任医师专业技术职务,取消申报各级各类科研项目资格5年,暂停硕士研究生招生资格1年,全校通报批评并追回由该论文获得的校内科研奖励奖金。对李晓光、刘继光全校通报批评和科研诚信诫勉谈话。(通报链接:https://kqyxy.jmsu.edu.cn/info/1025/1958.htm)

    四、复旦大学附属金山医院龚辉为通讯作者、潘力健为第一作者的论文“MiR-24 alleviates cardiomyocyte apoptosis after myocardial infarction via targeting BIM”。经调查,该论文由第三方机构代写,当事人不能提供完整的原始数据。对龚辉、潘力健作出如下处理:责成立即撤稿;院内通报批评,暂缓晋升高一级技术职务资格2年;禁止承担或参与财政性资金支持的科学技术活动5年;收回相关科研奖励;涉事论文不能作为科研成果列在作者个人简历和各种申报材料中。(通报链接:http://yxky.fudan.edu.cn/45/99/c6382a411033/page.htm)

    五、天津医科大学肿瘤医院张倜为通讯作者、潘小平为第一作者的两篇论文“Physcion Synergistically Enhances the Cytotoxicity of Sorafenib in Hepatocellular Carcinoma. Anat Rec (Hoboken)”“Protective Autophagy Induced by Physcion Suppresses Hepatocellular Carcinoma Cell Metastasis by Inactivating the JAK2/STAT3 Axis”。经调查,该两篇论文为潘小平向第三方机构购买造假实验数据,张倜对数据把关不严。对潘小平作出处理如下:责成主动撤稿;取消继续攻读博士学位资格,永久取消再次报考天津医科大学在职研究生资格。对张倜作出处理如下:责成主动撤稿;科研诚信诫勉谈话,通报批评;暂停招收研究生1年;撤销此篇文章所获得的所有科技奖励。(通报链接:http://www.tjmuch.com/system/2021/09/24/030008687.shtml;http://www.tjmuch.com/system/2021/09/24/030008687.shtml)

    六、天津医科大学肿瘤医院王平为通讯作者、林萍萍为第一作者的论文“The Targeted Regulation of Gli1 by miR-361 to Inhibit Epithelia-Mesenchymal Transition and Invasion of Esophageal Carcinoma Cells”。经调查,该论文为林萍萍委托第三方机构代写代投,王平不知情。对林萍萍作出处理如下:责成主动撤稿;取消继续攻读博士学位资格,永久取消再次报考天津医科大学在职研究生资格。对王平作出处理如下:责成主动撤稿;科研诚信诫勉谈话,通报批评;撤销此篇文章所获得的所有科技奖励。(通报链接:http://www.tjmuch.com/system/2021/09/24/030008687.shtml)

    七、天津医科大学肿瘤医院张斌为通讯作者、张永辉为第一作者的论文“Downregulation of microRNA-1469 Promotes the Development of Breast Cancer via Targeting HOXA1 and Activating PTEN/PI3K/AKT and Wnt/β-catenin Pathways”。经调查,该论文为张永辉向第三方机构购买造假实验数据,张斌不知情。对张永辉作出处理如下:取消继续攻读博士学位资格,永久取消再次报考天津医科大学在职研究生资格。对张斌作出处理如下:科研诚信诫勉谈话,通报批评;撤销此篇文章所获得的所有科技奖励;暂停招收研究生1年。(通报链接:http://www.tjmuch.com/system/2021/09/24/030008687.shtml)

    八、吉林大学中日联谊医院康春阳为通讯作者、高键为第一作者的论文“Ginkgolides B alleviates hypoxia-induced PC-12 cell injury by up-regulation of PLK1”。经调查,该论文存在购买论文数据的行为。对康春阳作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年。对高键作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格5年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴12个月,禁止参加研究生招生资格审查1年。(通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

    九、吉林大学第二医院张汉阳为通讯作者、吉林大学中日联谊医院王杨为第一作者的论文“Tanshinone IIA exerts beneficial effects on fracture healing in vitro and in vivo”和“Kaempferol promotes proliferation, migration and differentiation of MC3T3-E1 cells via up-regulation of microRNA-101”。经调查,两篇论文均存在篡改数据、代投、购买实验数据的行为。对张汉阳(与另外1篇论文合并处理)作出如下处理:通报批评,取消科技计划项目(专项、基金等)申报资格7年,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,禁止参加研究生招生资格审查2年。对王杨(与另外8篇论文合并处理)作出如下处理:通报批评,终身取消科技计划项目(专项、基金等)申报资格,取消各类评奖评优资格2年,取消职务、职称晋升有效申报资格1次,扣发岗位津贴24个月,终身禁止参加研究生招生资格审查。(通报链接:http://jluxfjs.jlu.edu.cn/content.jsp?urltype=news.NewsContentUrl&wbtreeid=1021&wbnewsid=1453)

    十、重庆医科大学附属第二医院程远为通讯作者、谢源为第一作者的论文“Long noncoding RNA CASC15 is upregulated in glioma and facilitates cell proliferation and metastasis via targeting miR-130b-3p”。经调查,该论文由谢源通过第三方机构代写、代投并违规署名,程远不知情。对谢源作出取消申报科技计划项目(专项、基金等)资格5年等处理。对程远进行科研诚信诫勉谈话。(通报链接:https://www.sahcqmu.com/index.php?m=content&c=index&a=show&catid=57&id=6862)

    此外,在这份处理结果中,部分论文存在第三方机构代写代投、购买实验数据等行为。

    国家卫健委2021年12月29日公布35起医学科研诚信案件调查处理结果

    一、首都医科大学附属北京安贞医院何平为通讯作者、宋辉为第一作者发表的论文“Long non-coding RNA XIST functions as an oncogene in human colorectal cancer by targeting miR-132-3p”,经查,系第一作者委托他人代投稿、通讯作者未对实验数据进行审查、核实、监管,其他作者均未审查、核实实验数据。对相关责任人作出处理如下:取消第一作者申报各类课题资格5年,停止职称晋升资格1年,扣发半年奖金,追回论文版面费。取消通讯作者申报各类课题资格1年,停止职称晋升资格1年,扣发三个月奖金。其他作者进行科研诚信诫勉谈话。全部作者通报批评。(通报链接:https://anzhen.org/News/Articles?id=4948&isPreview=true&articleMappingId=&code=3386c135b0ddccc7)

    二、首都医科大学附属北京朝阳医院陈晨为通讯作者,郭丽媛、秦昌富为第一作者发表的论文“LncRNA AB073614 promotes the proliferation and inhibits apoptosis of cervical cancer cells by repressing RBM5”,经查,系第一作者委托他人进行数据处理和论文代写代投。对相关责任人员作出处理如下:给予郭丽媛、秦昌富通报批评,科研诚信诫勉谈话,取消2年各级评优资格,停止职称晋升资格1次,扣发当年科研绩效;停止郭丽媛申报各类课题资格3年,停止秦昌富申报各类课题资格5年;给予陈晨科研诚信诫勉谈话,通报批评。(通报链接:https://bjcyh.com.cn/News/Articles?id=54266&isPreview=true&articleMappingId=18489&code=e31765f5781b51c4)

    三、首都医科大学附属北京胸科医院骆宝建、刘志东为通讯作者,史剑权、王冰为第一作者发表的论文“Circular RNA_LARP4 inhibits the progression of non-small-cell lung cancer by regulating the expression of SMAD7”,经查,系存在篡改数据的学术不端行为。对相关责任人员作出处理:
    1.对通讯作者骆宝建:科研诚信诫勉谈话,通报批评;取消2020年度各级评优资格、扣发2个月绩效奖金、停止2020年职称晋升资格1次;取消各类科研项目、科技奖励申报资格等5年。
    2.对通讯作者刘志东:科研诚信诫勉谈话,通报批评;取消2020年度各级评优资格、扣发3个月绩效奖金、停止2020年职称晋升资格1次;取消各类科研项目、科技奖励申报资格等2年。
    3.对第一作者史剑权:科研诚信诫勉谈话,通报批评;取消2020年度各级评优资格、扣发2个月绩效奖金、停止2020年职称晋升资格1次;取消各类科研项目、科技奖励申报资格等2年。
    4.对第一作者王冰:科研诚信诫勉谈话,通报批评;取消2020年度奖学金和评优资格;取消各类科研项目、科技奖励申报资格等2年,退回论文版面费。
    5.对参与作者曹小庆、贾长伶:科研诚信诫勉谈话,通报批评;扣发1个月绩效奖金。
    6.对参与作者程序、王宇轩、文韬:科研诚信诫勉谈话,通报批评;取消2020年度评优资格。(通报链接:https://www.bjxkyy.cn/Html/News/Articles/4327.html)

    四、复旦大学附属浦东医院郭水根为通讯作者、复旦大学附属金山医院王静为第一作者发表的论文“LncRNA DGCR5 promotes non-small cell lung cancer progression via sponging miR-218-5p”,经查,系存在对实验标本来源造假、编造研究过程的学术不端行为。
    1.复旦大学附属浦东医院对相关责任人员作出处理如下:撤稿;取消郭水根医疗组长职务,行政警告;通报批评;取消郭水根当年院内聘任副高职称;暂停郭水根和第三作者徐春燕申报财政资助科研项目资格5年;作者及其所在科室、科主任当年不推荐参加业务相关集体、先进个人的评审。
    2.复旦大学附属金山医院对第一作者王静作出处理如下:撤稿;收回版面费和科研奖励,并加扣已获得科研奖励的20%;通报批评;暂缓晋升高一级专业技术职务1年。
    3.上海市浦东新区宣桥社区卫生服务中心对第二作者舒慧珍作出处理如下:科研诚信诫勉谈话,通报批评;暂停申报财政资助科研项目资格5年。(通报链接:https://www.shpdh.org/pdhospital_website/HTML/DefaultSite/PDH_KYJX_KXYJ_KXDT/2021-12-22/Detail_4778.htm)

    五、山东省威海市中心医院丛秋梅为通讯作者、韩晓婷为第一作者发表的论文“Circular RNA circ-ABCB10 promotes the proliferation and invasion of thyroid cancer by targeting KLF6”,经查,系存在买卖、代写论文的学术不端行为。对相关责任人员作出处理如下:
    1.对通讯作者丛秋梅:科研诚信诫勉谈话,通报批评;专业技术岗位聘用等级降低一级;5年内取消专业技术职务晋升资格;5年内取消申请财政资助科研项目的资格;5年内取消申请或申报科技计划项目(专项、资金)、科技奖励、科技人才资格;5年内取消医院学术委员会或质量管理委员会委员资格;5年内取消推荐各种评审专家的资格;5年内取消申报研究生导师资格;5年内取消院内评优评先的资格。
    2.对第一作者韩晓婷:科研诚信诫勉谈话,通报批评;专业技术岗位聘用等级降低一级处理;5年内取消专业技术职务晋升资格;5年内取消申请财政资助科研项目的资格;5年内取消申请或申报科技计划项目(专项、资金)、科技奖励、科技人才资格;5年内取消医院学术委员会或质量管理委员会委员资格;5年内取消推荐各种评审专家的资格;5年内取消申报研究生导师资格;5年内取消院内评优评先的资格。
    3.对第二作者姜军强:科研诚信诫勉谈话,通报批评;3年内取消申请或申报科技计划项目(专项、资金)、科技奖励、科技人才资格;3年内取消各种团体委员或成员资格;3年内取消院内评优评先的资格。
    4.对第三作者李明哲:科研诚信诫勉谈话,通报批评;3年内取消申请或申报科技计划项目(专项、资金)、科技奖励、科技人才资格;3年内取消各种团体委员或成员资格;3年内取消院内评优评先的资格。(通报链接:http://www.whszxyy.com.cn/contents/19/24354.html)

    六、山东省威海市立医院张世红为通讯作者、李云为第一作者发表的论文“Long non-coding RNA DSCAM-AS1 indicates a poor prognosis and modulates cell proliferation,migration and invasion in ovarian cancer via upregulating SOX4”,经查,系存在编造研究过程、代写代投的学术不端行为。对相关责任人作出处理如下:
    1.对通讯作者张世红:科研诚信诫勉谈话,通报批评;退回论文版面费及论文相关的实验试剂费,取消“科研启动经费”专户并收回剩余经费使用;取消威海市第三批医疗卫生“首席专家”拟任资格;专业技术岗位降级聘用处理,即专业技术职务三级降至专业技术职务四级,限制5年内不得申报或申请财政资金支持的各类科技计划项目(专项、基金等)。
    2.对第一作者李云:科研诚信诫勉谈话,通报批评;取消当年的评先评优资格;退回论文奖励;专业技术职务八级降至专业技术职务九级,5年内不得参与专业技术职务晋升;限制5年内不得申报或申请财政资金支持的各类科技计划项目(专项、基金等);终止并收回山东省医药卫生科技发展计划项目《长链非编码RNA DSCAM-AS1通过上调SOX4分子而调控卵巢癌进展的机制研究》的医院配套经费。
    3.对参与作者郝晶、姜雅萌、刘艳:通报批评。(通报链接:http://www.shiliyiyuan.cn/news/show-6016.html)

    七、山东省临沂市肿瘤医院薛杰为第一作者、王清华为通讯作者发表的论文“Long non-coding RNA TTN-AS1 promotes breast cancer cell migration and invasion via sponging miR-140-5p”,经查,系存在编造研究过程,伪造、篡改研究数据、图表的学术不端行为。对相关责任人员作出处理如下:
    1.对第一作者薛杰:科研诚信诫勉谈话,通报批评;取消参加2020年度评先树优,年度考核不得确定为优秀等次;取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停研究生导师申请资格5年;撤稿;扣罚绩效工资5000元。
    2.对通讯作者王清华:科研诚信诫勉谈话,通报批评;取消参加2020年度评先树优,年度考核不得确定为优秀等次;取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停研究生导师申请资格5年;撤稿;扣罚绩效工资5000元。
    3.对其他作者张之霞、李晓娜、任庆芳:科研诚信诫勉谈话;通报批评;取消参加2020年度评先树优,年度考核不得确定为优秀等次。(通报链接:http://www.lyzlyy.net/news/522.html)

    八、山东省临沂市肿瘤医院孙伟为第一作者、胡梦瑶为通讯作者发表的论文“Long Non-Coding RNA OR3A4 Facilitates Cell Proliferation and Migration in Colorectal Cancer via Regulation of Wnt-/β-Catenin Signaling Pathway”,经查,系存在编造研究过程,伪造、篡改研究数据、图表的学术不端行为。对相关责任人员作出处理如下:

    1.对第一作者孙伟:科研诚信诫勉谈话,通报批评;取消参加2020年度评先树优,年度考核不得确定为优秀等次;取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停研究生导师申请资格5年;撤稿;扣罚绩效工资5000元。

    2.对通讯作者胡梦瑶:科研诚信诫勉谈话,通报批评;取消参加2020年度评先树优,年度考核不得确定为优秀等次;取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停研究生导师申请资格5年;撤稿;扣罚绩效工资5000元。

    3.对其他作者陈国荣、王健、于祥英、郝学凤:科研诚信诫勉谈话;通报批评;诫勉谈话;取消参加2020年度评先树优,年度考核不得确定为优秀等次。

    (通报链接:http://www.lyzlyy.net/news/522.html)

    九、山东省邹城市人民医院徐伟为通讯作者、翟星全为第一作者发表的论文“Long Noncoding RNA ATB Promotes Proliferation,Migration,and Invasion in Bladder Cancer by Suppressing MicroRNA-126”,经查,系存在第三方代写的学术不端行为。对相关责任人员作出处理如下:

    1.对通讯作者徐伟:科研诚信诫勉谈话,通报批评;不得参与本年度评先树优,年度考核不得确定为优秀等次;党内警告;行政诫勉6个月;缓晋高一级专业技术职务1年;取消1年内科研项目,奖励、成果、人才计划等申报资格,取消1年作为提名和推荐人、被提名或推荐人、评审专家等资格。

    2.对第一作者翟星全:科研诚信诫勉谈话,通报批评;不得参与本年度评先树优,年度考核不得确定为优秀等次;党内警告处分;缓晋高一级专业技术职务1年;取消1年内科研项目,奖励、成果、人才计划等申报资格;取消1年作为提名和推荐人、被提名或推荐人、评审专家等资格。

    (通报链接:https://www.sdzcrmyy.cn/index.php?c=show&id=785)

    十、山东省济宁市妇女儿童医院戈旺为通讯作者,济宁市第一人民医院刘秀霞、赵培凤为第一作者发表的论文“Knockdown of circular RNA circZNF652 remits LPS‐induced inflammatory damage by regulating miR‐181a”,经查,系存在篡改实验数据、编造研究过程的学术不端行为。
    1.济宁市妇女儿童医院对通讯作者戈旺作出处理如下:科研诚信诫勉谈话,通报批评;党内警告;延缓职称晋升2年;取消5年内承担财政资金支持项目资格。
    2.济宁市第一人民医院对相关责任人作出处理如下:(1)对第一作者刘秀霞(与另外3篇论文合并处理):取消8年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消8年作为提名或推荐人、被提名或推荐人、评审专家等资格;取消已获得的学会、协会等学术工作机构的委员或成员资格;追回作者个人所得的论文科研奖励和荣誉称号;撤销已取得的高一级专业技术职务;缓晋5年高一级专业技术职务;行政警告,免除副护士长职务。(2)对共同第一作者赵培凤:科研诚信诫勉谈话,通报批评。(通报链接:https://www.jnsfybjy.com/portal.php/article/article_research/aid/893/category/kygl.html)

    十一、山东省济宁市第一人民医院于秀莲为通讯作者,吕莉娜、张晶为第一作者发表的论文“Arbutin protects HK-2 cells against high glucose-induced apoptosis and autophagy by up-regulating microRNA-27a”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者于秀莲(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋2年高一级专业技术职务,撤稿,行政警告。

    (2)对第一作者吕莉娜(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格;取消已获得的学会、协会等学术工作机构的委员或成员资格;缓晋2年高一级专业技术职务;终止财政资助的相关科研项目,按原渠道退回已拨付的结余经费;行政警告。

    (3)对并列第一作者张晶:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,行政警告。

    (4)对参与作者李霞(与另外1篇论文合并处理):取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,党内警告。

    (6)对参与作者李丹丹(与另外1篇论文合并处理):取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,行政警告。

    2.嘉祥县中医院对参与作者田丰群作出处理如下:科研诚信告诫,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十二、山东省济宁市第一人民医院任琦为通讯作者,临沂市中心医院于海亮、陈彬为第一作者发表的论文“Baicalin relieves hypoxia-aroused H9c2 cell apoptosis by activating Nrf2/HO-1-mediated HIF1α/BNIP3 pathway”,经查,系存在篡改数据的学术不端行为。

    1.济宁市第一人民医院对通讯作者任琦(与另外2篇论文合并处理)作出处理如下:取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,撤稿,党内警告。
    2.临沂市中心医院对相关责任人作出处理如下:
    (1)对第一作者于海亮:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停研究生导师申请资格5年;撤稿;罚款5000元;科研诚信诫勉谈话;通报批评;取消参加2020年度评优树先,年度考核不得确定为优秀等次。
    (2)对并列第一作者陈彬:科研诚信诫勉谈话,通报批评。(通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十三、山东省济宁市第一人民医院郭洪波为通讯作者、天津市泰达医院姜良真为第一作者发表的论文“Baicalein inhibits proliferation and migration of bladder cancer cell line T24 by down-regulation of microRNA-106”,经查,系存在篡改数据、编造研究过程、不当署名的学术不端行为。

    1.济宁市第一人民医院对通讯作者郭洪波作出处理如下:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,缓晋1年高一级专业技术职务,撤稿,行政警告。
    2.天津市泰达医院对第一作者姜良真作出处理如下:取消申报科技计划项目(专项、基金等)、科技奖励、科技人才称号等资格5年,缓聘副主任医师专业技术职务3年,取消本年度评优资格,扣发本年度年终奖励绩效,科研诚信诫勉谈话,通报批评。(通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十四、山东省济宁市第一人民医院武平平为通讯作者、庄申法为第一作者,青岛市第三人民医院刘风仙为并列第一作者发表的论文“Upregulation of long noncoding RNA TUG1 contributes to the development of laryngocarcinoma by targeting miR‐145‐5p/ROCK1 axis”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者武平平:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,撤稿,行政警告。

    (2)对第一作者庄申法:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,党内警告。

    2.青岛市第三人民医院对并列第一作者刘风仙作出处理如下:科研诚信诫勉谈话,通报批评,暂停目前在研科研项目和科研活动,撤销论文获得的科研奖励,取消5年内申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号和专业技术职务晋升等资格,取消学会、协会、研究会等学术团体以及学术、学位委员会等学术工作机构的委员或成员资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十五、山东省济宁市第一人民医院冯中涛为通讯作者、济宁市传染病医院周慧玲为第一作者、济宁市精神病防治医院周英凡为并列第一作者发表的论文“Long noncoding RNA ZFAS1 promotes hepatocellular carcinoma proliferation by epigenetically repressing miR-193a-3p”,经查,系存在编造研究过程的学术不端行为。
    1.济宁市第一人民医院对通讯作者冯中涛作出处理如下:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,撤稿,党内警告。2.济宁传染病医院对相关责任人作出处理如下:取消第一作者周慧玲2020年度副高级职称的推荐资格。3.济宁市精神病防治医院对并列第一作者周英凡通报批评。(通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十六、山东省济宁市第一人民医院宋丽娟为通讯作者,尤文君为第一作者、王琨为并列第一作者发表的论文“Baicalin prevents tumor necrosis factor‐α−induced apoptosis and dysfunction of pancreaticβ‐cell line Min6 via upregulation of miR‐205”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者宋丽娟:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,党内警告。

    (2)对第一作者尤文君(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,党内警告。

    (3)对并列第一作者王琨:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,行政警告。

    2.佳木斯大学附属第一医院对参与作者遇常红诫勉谈话。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十七、山东省济宁市第一人民医院李文为第一作者、宋大庆为通讯作者,任城区人民医院杜红梅为并列第一作者发表的论文“Euxanthone Represses the Proliferation,Migration,and Invasion of Glioblastoma Cells by modulating STAT3/SHP-1 signalling”,经查,系存在代写代投、伪造通讯作者邮箱的学术不端行为,部分作者不知情。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对第一作者李文(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,撤稿,行政警告。

    (2)对参与作者周贯男:科研诚信诫勉谈话,院内通报批评。

    2.任城区人民医院对并列第一作者杜红梅作出处理如下:通报批评,取消参加2021年度评先树优资格,年度考核不得确定为优秀等次;取消2021年度晋升高一级职称资格。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十八、山东省济宁市第一人民医院马文艳为通讯作者、临沂市中心医院高光磊为第一作者发表的论文“Sinomenine restrains breast cancer cells proliferation,migration and invasion via modulation of miR-29/PDCD-4 axis”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对通讯作者马文艳作出处理如下:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,撤稿,行政警告。

    2.临沂市中心医院对第一作者高光磊作出处理如下:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停研究生导师申请资格5年;撤稿;罚款5000元;科研诚信诫勉谈话,通报批评;取消参加2020年度评优树先,年度考核不得确定为优秀等次。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    十九、山东省济宁市第一人民医院秦委委为通讯作者、王旭为第一作者发表的论文“Quercetin inhibits human microvascular endothelial cells viability,migration and tube-formation in vitro through restraining microRNA-216a”,经查,系存在篡改数据、编造研究过程、不当署名的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者秦委委(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,缓聘2年高一级专业技术职务,撤稿,行政警告。

    (2)对第一作者王旭(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘2年高一级专业技术职务,党内警告。

    (3)对参与作者许飞(与另外1篇论文合并处理):取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,党内警告。

    2.金乡县人民医院对参与作者薛霞批评教育。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    二十、山东省济宁市第一人民医院刘秀霞为通讯作者、青岛市海慈医疗集团臧琳琳为第一作者发表的论文“Emodin relieved lipopolysaccharide‐evoked inflammatory damage in WI‐38 cells by up‐regulating taurine up‐regulated gene 1”,经查,系存在篡改数据、编造研究过程、代写代投的学术不端行为。

    1.济宁市第一人民医院对通讯作者刘秀霞(与另外3篇论文合并处理)作出处理如下:取消8年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消8年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已获得的高一级专业技术职务,缓晋5年高一级专业技术职务,撤稿,行政警告,免除副护士长职务。

    2.青岛市海慈医疗集团对第一作者臧琳琳作出处理如下:科研诚信诚勉谈话,通报批评,撤稿,5年内取消申请或申报科技计划项目、科技奖励、科技人才称号资格,5年内取消专业技术职务晋升资格。

    3.滨州市人民医院对相关责任人作出处理如下:

    (1)对参与作者宋永清:取消1年内申请和申报科技计划项目(专项、基金等)、科技奖励、科技人才称号、专业技术职务晋升以及学术工作机构的委员或成员等资格,取消1年内作为提名或推荐人、被提名或推荐人、评审专家等资格,通报批评。

    (2)对参与作者于锋英:取消1年内申请和申报科技计划项目(专项、基金等)、科技奖励、科技人才称号、专业技术职务晋升以及学术工作机构的委员或成员等资格,取消1年内作为提名或推荐人、被提名或推荐人、评审专家等资格,缓聘副主任药师1年,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    二十一、山东省济宁市第一人民医院王慧为通讯作者,牛通、靳留忠为第一作者发表的论文“Lycium Barbarum Polysaccharides Alleviates Oxidative Damage Induced by H2O2 Through Down-Regulating MicroRNA-194 in PC-12 and SH-SY5Y Cells”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者王慧:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者牛通:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,缓晋1年高一级专业技术职务,党内警告。

    3.对并列第一作者靳留忠、参与作者宫存杞:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    二十二、山东省济宁市第一人民医院刘昆为通讯作者、李霞为第一作者,重庆市第九人民医院马爱景为并列第一作者发表的论文“Geniposide alleviates lipopolysaccharide-caused apoptosis of murine kidney podocytes by activating Ras/Raf/MEK/ERK-mediated cell autophagy”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者刘昆:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,行政警告。

    (2)对第一作者李霞:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,党内警告。

    2.重庆市第九人民医院对并列第一作者马爱景作出处理如下:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    二十三、山东省济宁市第一人民医院赵强为通讯作者、济宁医学院附属医院李笑颜为第一作者、文登市骨科医院于满秋为并列第一作者发表的论文“LncRNA PMS2L2 protects ATDC5 chondrocytes against lipopolysaccharide-induced inflammatory injury by sponging miR-203”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者赵强:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,行政警告。

    (2)对参与作者孙泰涛(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,撤稿,党内警告。

    (3)对参与作者赵亮:科研诚信诫勉谈话,通报批评。

    2.济宁医学院附属医院对相关责任人作出处理如下:

    (1)对第一作者李笑颜:取消5年申报科技计划项目(专项、基金等)科技奖励、科技人才称号等资格,取消5年研究生导师申报与聘任资格,取消3年职称晋升资格,通报批评。

    (2)对参与作者陈磊、王海滨:通报批评。

    3.文登市骨科医院对并列第一作者于满秋通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    二十四、山东省济宁市第一人民医院孙泰涛为通讯作者、济宁医学院附属医院李笑颜为第一作者、文登市骨科医院于满秋为并列第一作者发表的论文“LINC00305 represses miR-124 expression to trigger inflammatory insults in the presence of lipopolysaccharide”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者孙泰涛(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,撤稿,党内警告。

    (2)对参与作者赵强(与另外1篇论文合并处理):取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,行政警告。

    (3)对参与作者周贯男:科研诚信诫勉谈话,通报批评。

    2.济宁医学院附属医院对相关责任人作出处理如下:

    (1)对第一作者李笑颜:取消5年申报科技计划项目(专项、基金等)科技奖励、科技人才称号等资格,取消5年研究生导师申报与聘任资格,取消3年职称晋升资格,通报批评。

    (2)对参与作者韩亮、陈磊、张大学:通报批评。

    2.文登市骨科医院对并列第一作者于满秋通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    二十五、山东省济宁市第一人民医院魏玉镇为通讯作者,桑奔为、孙建景为第一作者发表的论文“Ras-AKT signaling represses the phosphorylation of histone H1.5 at threonine 10 via GSK3 to promote the progression of glioma”,经查,系存在篡改数据、编造研究过程的学术不端行为。

    1.济宁市第一人民医院对相关责任人作出处理如下:

    (1)对通讯作者魏玉镇(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋2年高一级专业技术职务,撤稿,党内警告。

    (2)对第一作者桑奔:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,撤稿,党内警告。

    (3)对并列第一作者孙建景:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,缓晋1年高一级专业技术职务,撤稿,党内警告。
    (4)对参与作者徐震:科研诚信诫勉谈话,通报批评。
    2.济宁医学院附属医院对参与作者杨东旭通报批评。(通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1229/6607.html)

    二十六、山东省聊城市人民医院胡殿峰为通讯作者、许崇福为第一作者发表的论文“Long noncoding RNA LINC00052 suppressed the proliferation,migration and invasion of glioma cells by upregulating KLF6”,经查,系存在买卖论文的学术不端行为。对相关责任人作出处理如下:
    1.对通讯作者胡殿峰:3年内取消申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,3年内取消作为提名或推荐人、被提名或推荐人、评审专家等资格,记入科研诚信信用信息系统,科研诚信诫勉谈话,撤稿,通报批评,取消副主任医师聘任资格降聘为主治医师。
    2.对第一作者许崇福:5年内取消申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,5年内取消作为提名或推荐人、被提名或推荐人、评审专家等资格,记入科研诚信信用信息系统,科研诚信诫勉谈话,取消3年职称晋升资格。
    3.对第二作者刘鹏:1年内取消申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,1年内取消作为提名或推荐人、被提名或推荐人、评审专家等资格,记入科研诚信信用信息系统,科研诚信诫勉谈话,取消副主任医师聘任资格降聘为主治医师。
    4.对第三作者谭洁:1年内取消申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,科研诚信诫勉谈话。(通报链接:http://www.lchospital.cn/keyan/dongtai/2021-12-28/7647b.html)

    二十七、山东省聊城市人民医院赵军为通讯作者,郑芳霞、汪秀芹为第一作者发表的论文“Long noncoding RNA HOXA-AS2 promotes cell migration and invasion via upregulating IGF-2 in non-small cell lung cancer as an oncogene”,经查,系存在买卖论文的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者赵军:3年内取消申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,3年内取消作为提名或推荐人、被提名或推荐人、评审专家等资格,记入科研诚信信用信息系统,撤稿,科研诚信诫勉谈话,通报批评。

    2.对第一作者郑芳霞:5年内取消申报科技计划项目(专项、基金等)、科技奖励、科技人才称号资格,5年内取消作为提名或推荐人、被提名或推荐人、评审专家等资格,记入科研诚信信用信息系统,科研诚信诫勉谈话,取消3年职称晋升资格。

    3.对并列第一作者汪秀芹:科研诚信诫勉谈话,取消主任医师聘任资格降聘为副主任医师。

    4.对第二作者郑卫霞:科研诚信诫勉谈话,取消副主任护师聘任资格降聘为主管护师。

    (通报链接:http://www.lchospital.cn/keyan/dongtai/2021-12-28/7647b.html)

    二十八、山东省聊城市传染病医院王广征为通讯作者、崔凯为第一作者发表的论文“MiR-483 suppresses cell proliferation and promotes cell apoptosis by targeting SOX3 in breast cancer”,经查,系存在买卖论文的学术不端行为。对相关责任人员作出处理如下:

    1.对通讯作者王广征:暂停5年内申报各级科研项目及科研奖励资格,科研诚信诫勉谈话,通报批评,取消1年作为提名或推荐人晋升高级职称资格。

    2.对第一作者崔凯:取消科技计划项目申报资格5年,科研诚信诫勉谈话,通报批评,取消1年作为提名或推荐人晋升高级职称资格。

    (通报链接:http://www.lcszlyy.cn/kyjx/kycg/1907.html)

    二十九、山东省菏泽市单县中心医院刘克分为通讯作者、高玉芹为第一作者发表的论文“Long non-coding RNA DANCR upregulates IGF2 expression and promotes ovarian cancer progression”,经查,系存在买卖论文、代写代投的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者刘克分:撤稿,科研诚信诫勉谈话,通报批评,5年内不准申报相关科研项目及参与科技奖励,取消5年内评奖评先资格。

    2.对第一作者高玉芹:撤稿,科研诚信诫勉谈话,通报批评,3年内不予聘任现专业技术职务,5年内不准申报相关科研项目及参与科技奖励,取消5年内评奖评先资格。

    (通报链接:http://sxzxyy.com.cn/news/view?id=1040)

    三十、山东省菏泽市单县中心医院刘岩峰为通讯作者、青岛市城阳区人民医院王德坤为第一作者发表的论文“Circular RNA circ-SMAD7 is downregulated in colorectal cancer and suppresses tumor metastasis by regulating epithelial mesenchymal transition”,经查,系存在买卖论文、代写代投的学术不端行为。

    1.单县中心医院对通讯作者刘岩峰作出处理如下:撤稿,科研诚信诫勉谈话,通报批评,5年内不准申报相关科研项目及参与科技奖励,取消5年内评奖评先资格。

    2.青岛市城阳区人民医院对第一作者王德坤、第二作者种瑞峰、第三作者宋保连作出处理如下:科研诚信诫勉谈话,撤稿,5年内不准申报相关科研项目及参与科技奖励,通报批评。

    (通报链接:http://sxzxyy.com.cn/news/view?id=1040)

    三十一、湖北省公安县人民医院刘波为通讯作者、张亚娜为第一作者发表的论文“Long non-coding RNA CASC15promotespr-oliferation and induces apoptosis of cervicalcancer cells through targe-ting miR-101-3p”,经查,系存在买卖论文的学术不端行为,对相关责任人员作出处理如下:

    1.对第一作者张亚娜:科研诚信诫勉谈话,通报批评,3年内不得职称晋升,取消3年承担财政资金支持项目资格及取消作为财政资金支持的所有科技活动,5年内不得从事科研工作,行政警告。

    2.对通讯作者刘波:科研诚信诫勉谈话,通报批评,3年内不得职称晋升,取消3年承担财政资金支持项目资格及取消作为财政资金支持的所有科技活动,5年内不得从事科研工作,行政警告。

    (通报链接:http://www.gaxrmyy.com/page318.html)

    三十二、湖北省孝感市中心医院刘涛为第一兼通讯作者发表论文“Long noncoding RNA NEAT1 fuctions as an oncogene in human laryngocarcinoma by targeting miR-29a-3p”,经查,系存在伪造或虚构数据、事实的行为和与论文实际贡献不符的署名的学术不端行为。对相关责任人作出处理如下:

    1、对第一兼通讯作者刘涛:科研诚信诫勉谈话,通报批评,暂停5年申报财政资助科研项目。

    2、对其他作者王玮、徐义策、李泽文、周洁:科研诚信诫勉谈话,暂停1年申报财政资助科研项目。

    (通报链接:http://www.xgjk.com/hxzx/1368091.jhtml)

    三十三、陕西省榆林市第二医院许平为通讯作者、宝鸡市中心医院朱勇为第一作者发表的论文“Long noncoding RNA TTN–AS1 promotes the proliferation and migration of prostate cancer by inhibiting miR-1271 level”,经查,系存在代写、代投的学术不端行为。

    1.榆林市第二医院医院对通讯作者许平作出处理如下:科研诚信诫勉谈话,警告;通报批评;延缓晋升职称5年;取消本人5年评先评优资格;5年内不得申请科技奖励(成果、荣誉),科研资金;5年内不得评选科技人才称号;撤稿。

    2.宝鸡市中心医院对第一作者朱勇作出处理如下:科研诚信诫勉谈话,警告,通报批评,延迟晋升职称5年,取消申报各级各类科技项目资格5年。

    (通报链接:http://www.ylsdeyy.com/InfoDetail.aspx?mid=C6BF2212-16B0-4028-BD72-4D18FAC90AF6&id=B85CF192-D544-4839-B425-4D65EC92C123)

    三十四、陕西省人民医院曹伟为通讯作者、王永恒为第一作者发表的论文“Knockdown of long noncoding RNA SNHG7 inhibits the proliferation and promotes apoptosis of thyroid cancer cells by downregulating BDNF”,经查,系第一作者代投代写,其他作者不知情不当署名。对相关责任人员作出处理如下:

    1.对第一作者王永恒:科研诚信诫勉谈话,通报批评;行政警告;取消各级各类科研项目申报资格5年;取消当年职称晋升资格并延迟5年职称晋升申报;取消评优评先、科技奖申报资格5年;撤销论文奖励,退回奖金和版面费。

    2.对通讯作者曹伟:科研诚信诫勉谈话,通报批评,行政警告,推迟职称晋升资格1年,取消各级各类科研项目申报资格1年,取消评优评先资格1年,取消科技奖申请资格1年。

    3.对其他作者霍斌亮、李程、马刚:科研诚信诫勉谈话,通报批评,推迟职称晋升资格1年,取消各级各类科研项目申报资格1年,取消评优评先资格1年,取消科技奖申请资格1年。

    (通报链接:http://www.spph-sx.com/info/1083/34163.htm)

    三十五、广东省深圳市龙华区人民医院麻醉科医生伍剑平为通讯作者,上海市浦东新区公利医院、山东大学在职博士生高新跃为第一作者发表的论文“miR-195 inhibits esophageal cancer cell proliferation and promotes apoptosis by downregulating YAP1”,经查,系存在买卖、代写论文、论文发表署名不规范的学术不端行为。

    1.深圳市龙华区人民医院对通讯作者伍剑平作出处理如下:进行科研诚信诫勉谈话,通报批评;3年内不得申报各级科研项目和奖励;取消在医院当前副主任医师职称竞聘资格;暂停财政资助科研项目和科研活动。

    2.上海市浦东新区公利医院、山东大学对第一作者高新跃作出处理如下:警告,科研诚信诫勉谈话,通报批评,暂停2年内国家、市、区、院等各级项目的申报资格,取消博士学位申请资格。(通报链接:https://mp.weixin.qq.com/s/wgM0OKgS8BqdAmi7XzIz4Q)

    国家卫健委科技教育司2021年12月2日公布38起医学科研诚信案件调查处理结果

    一、江苏省徐州市中心医院拾锦为通讯作者,张晓君为第一作者发表的论文“Therole of has-circ-0000285 in metastasis of hepatocellular carcinoma”,经查,系存在伪造研究数据、代投、不当署名的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者拾锦:通报批评,取消申报各级各类科技计划项目资格5年,取消评优评先资格5年,延迟3年晋升职称和聘任。

    2.对第一作者张晓君:通报批评,取消研究生导师资格,取消申报各级各类科技计划项目资格5年,取消评优评先资格5年,延迟3年晋升职称和聘任。

    3.对第二作者曹刚:通报批评,取消申报各级各类科技计划项目资格5年,取消评优评先资格5年,延迟3年晋升职称和聘任。

    (通报链接:http://www.xzch.cn/html/2021/2021112911399.shtml)

    二、江苏省苏州市第九人民医院吴晓英为通讯作者、陆晓春为第一作者发表的论文“LncRNALINP1 Promotes Proliferation and Inhibits Apoptosis of Gastric Cancer Cells byRepressing RBM5”,经查,系参与作者周海云联系第三方机构代写代发的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者吴晓英、第一作者陆晓春:通报批评,追回报销的版面费和奖励并处罚金,取消3年内晋升职称、竞聘资格,取消5年内申报科技项目、科技奖励、评优评先、科技人才等资格。

    2.对参与作者(并作为第三方联系的中间人)周海云:党内警告,降级(专技岗位由十级降聘至十一级),通报批评,调至基层医疗单位服务六个月,取消5年内晋升职称、竞聘、申报科技项目、科技奖励、科技人才称号和评优评先资格。

    (通报链接:https://www.szsdjrmyy.com/d40/c453/20210712/i2120.phtml)

    三、江苏省苏州市第九人民医院鲁杰为通讯作者、左常阳为第一作者发表的论文“CircularRNA circ-SMAD7 promoted glioma cell proliferation and metastasis byupregulating PCNA”,经查,系中间人田志刚联系第三方机构代写代发的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者鲁杰、第一作者左常阳:通报批评,追回报销的版面费和科技奖励并处罚金,取消3年内晋升职称、竞聘资格,取消5年内申报科技项目、科技奖励、科技人才称号和评优评先等资格。

    2.对第三方中间联系人田志刚:党内警告,通报批评,降级(专技岗位由七级降聘至八级),调离苏州市第九人民医院,取消5年内晋升职称、申报科技项目、科技奖励、科技人才称号和评优评先等资格。

    (通报链接:https://www.szsdjrmyy.com/d40/c786/20210612/i2039.phtml)

    四、江苏省淮安市第一人民医院惠小波为通讯作者、王彦平为第一作者发表的论文“MiR-532-5pacts as a tumor suppressor and inhibits glioma cell proliferation by targetingCSF1”,经查,系惠小波伪造数据、王彦平不当署名。对相关责任人员作出处理如下:

    1.对通讯作者惠小波:警告,取消申报科技计划项目、奖励资格5年,追回论文版面费及奖励。

    2.对第一作者王彦平:科研诚信诫勉谈话,取消申报科技计划项目、奖励资格5年。

    (通报链接:https://www.hasyy.cn/content/contentDetail?contentId=10625&menuId=32)

    五、江苏省江阴市人民医院姜彬为通信作者、涟水县人民医院董建胜为第一作者发表的论文“LncRNASNHG7 promotes the proliferation andinhibits apoptosis of renal cell cancercells by downregulating CDKN1A”,经查,系存在代写的学术不端行为。

    1.江阴市人民医院对姜彬作出处理如下:行政警告,通报批评、科研诚信诫勉谈话,将违规失信行为列入科研诚信档案;取消5年内晋升职称资格、申报科技项目、科技奖励和科技人才称号等资格;罚款2000元。

    2.涟水县人民医院对董建胜作出如下处理:通报批评、科研诚信诫勉谈话,将违规失信行为列入科研诚信档案;取消5年内申请或申报各级各类科技计划项目、各类人才称号等资格;罚款2000元。

    (通报链接:http://www.jyrmyy.com/default.php?mod=article&do=detail&tid=19224)

    六、山东省青岛市中心医院鞠芳为通讯作者,临沂市人民医院韩红星为共同通讯作者,青岛市海慈医疗集团刘永吉为第一作者、石岭为共同第一作者发表的论文“Activationof PPARγmediatesicaritin-induced cell cycle arrest and apoptosis in glioblastoma multiforme”,经查,系存在篡改实验数据的学术不端行为。

    1.青岛市中心医院对通讯作者鞠芳作出处理如下:科研诚信诫勉谈话,通报批评,追回文章奖励并撤稿,撤销其正高级职称聘任资格,取消其5年内申报科研项目、科技奖励、科技人才称号和职称晋升资格。

    2.临沂市人民医院对共同通讯作者韩红星作出处理如下:罚款5000元;科研诚信诫勉谈话;通报批评;取消2020年度评先树优,年度考核不得确定为优秀等次;撤稿;撤销副高职称聘任资格;取消5年内申报科研项目、科技奖励、科技人才称号;取消5年内作为提名或推荐人、被提名或被推荐人、评审专家等资格;暂停研究生导师申请资格5年。

    3.青岛市海慈医疗集团对相关责任人作出处理如下:

    (1)对第一作者刘永吉:科研诚信诫勉谈话,通报批评,追回文章奖励并要求撤稿,取消其5年内申报科研项目、科技奖励、科技人才称号和职称晋升资格。

    (2)对共同第一作者石岭:科研诚信诫勉谈话,通报批评,撤稿,取消5年内申报科研项目、科技奖励、科技人才称号和职称晋升资格,撤销获得的副主任医师资格。

    (3)对第三作者刘媛、第四作者李鹏、第五作者姜国萍、第八作者姜传武:科研诚信诫勉谈话,通报批评,1年内取消申请或申报科技计划项目、科技奖励、科技人才称号资格,1年内取消专业技术职务晋升资格。

    (4)对第六作者高晓宁、第七作者张永彬:科研诚信诫勉谈话;通报批评;1年内取消申请或申报科技计划项目、科技奖励、科技人才称号资格;1年内取消专业技术职务晋升资格;解除专业技术职务十级的聘任,改聘为专业技术职务十一级。

    (通报链接:https://www.qdzxyy.com/newsdetail.aspx?id=2890&typeid=98)

    七、山东省安丘市人民医院梁俊君为通讯作者、辛海滨为第一作者发表的论文“Knockdownof lncRNA‐UCA1inhibits cell viability and migration of human glioma cells by miR‐193a‐mediateddownregulation of CDK6”,经查,系存在论文造假的学术不端行为。对相关责任人员作出处理如下:

    1.对通讯作者梁俊君:通报批评,取消晋升职务职称、申报科技计划(专项、基金等)项目资格5年。

    2.对第一作者辛海滨:通报批评,取消晋升职务职称、申报科技计划(专项、基金等)项目资格5年,收回医院奖励的版面补助费。

    3.对其他作者刘妮娜:通报批评,取消晋升职务职称、申报科技计划(专项、基金等)项目资格3年。

    4.对其他作者徐晓胜、张进武、李玉、马永超、李国强:通报批评,取消晋升职务职称、申报科技计划(专项、基金等)项目资格1年。

    (通报链接:http://www.aqsrmyy.com/html/2021/yuanjixinwen_1124/2869.html)

    八、山东省安丘市人民医院辛海滨为通讯作者、梁俊君为第一作者发表的论文“Knockdownlong non-coding RNA PEG10 inhibits proliferation,migration and invasion ofglioma cell line U251 by regulating miR-506”,经查,系存在论文造假的学术不端行为。对相关责任人员作出处理如下:

    1.对通讯作者辛海滨:通报批评,取消晋升职务职称、申报科技计划(专项、基金等)项目资格5年。

    2.对第一作者梁俊君:通报批评,取消晋升职务职称、申报科技计划(专项、基金等)项目资格5年,收回医院奖励的版面补助费。

    3.对其他作者刘妮娜:通报批评,取消晋升职务职称、申报科技计划(专项、基金等)项目资格3年。

    (通报链接:http://www.aqsrmyy.com/html/2021/yuanjixinwen_1124/2870.html)

    九、山东省潍坊市人民医院李桂芳为通讯作者、济宁市第一人民医院杨艳为第一作者发表的论文“Icariininhibits proliferation,migration,and invasion of medulloblastoma DAOY cellsby regulation of SPARC”,经查,系存在代写、代投的学术不端行为。

    1.潍坊市人民医院对通讯作者李桂芳作出处理如下:撤稿,5年内不得申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号,5年内取消申报专业技术职务晋升聘任资格,诚信诫勉谈话,通报批评,收回因涉事论文取得的奖金奖励,取消2020年度申报各类评优评先资格。

    2.济宁市第一人民医院对第一作者杨艳作出处理如下:取消科研项目、科研奖励、科技成果、科技人才计划等申报资格5年,取消作为提名或推荐人、被提名或推荐人、评审专家等资格5年,取消已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,党内警告。

    (通报链接:https://www.wfph.cn/news/954.html)

    十、山东省潍坊市人民医院张传光为通讯作者、张敬为第一作者发表的论文“Silenceof long non-coding RNA UCA1 inhibits hemangioma cells growth,migration andinvasion by up-regulation of miR-200c”,经查,系存在购买论文、不当署名、代投论文的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者张传光:撤稿,2年内不得申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号,2年内取消申报专业技术职务晋升聘任资格,诚信诫勉谈话,通报批评,收回因涉事论文取得的奖金奖励,取消2020年度申报各类评优评先资格。

    2.对第一作者张敬:5年内不得申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号,5年内取消申报专业技术职务晋升聘任资格,诚信诫勉谈话,通报批评,收回因涉事论文取得的奖金奖励,取消2020年度申报各类评优评先资格。

    (通报链接:https://www.wfph.cn/news/954.html)

    十一、山东省潍坊市人民医院张军富为通讯作者,烟台毓璜顶医院刘淑君第一作者、闫桂刚为并列第一作者发表的论文“Knockdownof Long Noncoding RNA(lncRNA)Metastasis-Associated Lung AdenocarcinomaTranscript 1(MALAT1)Inhibits Proliferation,Migration,and Invasion andPromotes Apoptosis by Targeting miR-124 in Retinoblastoma”,经查,系存在购买部分实验数据、不当署名、代投论文的学术不端行为。

    1.潍坊市人民医院对通讯作者张军富作出处理如下:撤稿,2年内不得申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号,2年内取消申报专业技术职务晋升聘任资格,诚信诫勉谈话,通报批评,收回因涉事论文取得的奖金奖励,取消2020年度申报各类评优评先资格。

    2.烟台毓璜顶医院对相关责任人作出处理如下:

    (1)对第一作者刘淑君:科研诚信诫勉谈话,撤稿,记入科研诚信档案,取消申报科技计划项目、奖励资格5年,取消职称晋升资格2年。

    (2)对并列第一作者闫桂刚:科研诚信诫勉谈话,记入科研诚信档案,取消申报科技计划项目、奖励资格1年,取消职称晋升资格1年。

    (3)对其他作者于莲芝:科研诚信诫勉谈话,撤稿,记入科研诚信档案,取消申报科技计划项目、奖励资格1年。

    (通报链接:https://www.wfph.cn/news/954.html)

    十二、山东省济宁市第一人民医院李金良为通讯作者、齐玉玺为第一作者发表的论文“Triptolideinhibits the growth and migration of colon carcinoma cells by down-regulationof miR-191”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者李金良(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋2年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者齐玉玺(与另外2篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,缓晋3年高一级专业技术职务,取消其已获得的学会、协会等学术工作机构的委员或成员资格,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    十三、山东省济宁市第一人民医院张心茹为通讯作者,丁秋丽为第一作者,李晓艳、孙永存为并列第一作者发表的论文“SchizandrinA inhibits proliferation,migration and invasion of thyroid cancer cell lineTPC-1 by down regulation of microRNA-429”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者张心茹:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者丁秋丽:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,行政警告。

    3.对并列第一作者李晓艳、孙永存:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    十四、山东省济宁市第一人民医院闵得金为通讯作者、张洋为第一作者发表的论文“Ailanthoneup-regulates miR-449a to restrain acute myeloid leukemia cells growth,migration and invasion”,经查,系通讯作者存在篡改数据、不当署名的学术不端行为,其他作者不知情。对通讯作者闵得金作出处理如下:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,撤稿,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    十五、山东省济宁市第一人民医院邵小梅为通讯作者、郭宗兵为第一作者、周艳梅为并列第一作者发表的论文“Dendrobiumcandidum extract inhibits proliferation and induces apoptosis of liver cancercells by inactivating Wnt/β-cateninsignaling pathway”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者邵小梅:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,撤稿,党内警告。

    2.对第一作者郭宗兵(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,行政警告。

    3.对并列第一作者周艳梅、参与作者杨际平:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    十六、山东省济宁市第一人民医院闫西鹏为通讯作者,赵颖颖为第一作者,刘传谦、张雪婷为并列第一作者发表的论文“Angelicapolysaccharide alleviates TNF‐α‐inducedMIN6 cell damage a through the up‐regulation microRNA‐143”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者闫西鹏:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓聘1年高一级专业技术职务,撤稿,党内警告。

    2.对第一作者赵颖颖:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,行政警告。

    3.对并列第一作者刘传谦、张雪婷:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    十七、山东省济宁市第一人民医院张晓芬为通讯作者、王艳华为第一作者、李波为并列第一作者发表的论文“Scutellariabarbata D.Don(SBD)protects oxygen glucose deprivation/reperfusion-inducedinjuries of PC12 cells by up-regulating Nrf2”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者张晓芬(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,党内警告。

    2.对第一作者王艳华:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋1年高一级专业技术职务,党内警告。

    3.并列第一作者李波:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    十八、山东省济宁市第一人民医院任春凤为通讯作者、梁志远为第一作者发表的论文“Emodinattenuates apoptosis and inflammation induced by LPS through up-regulatinglncRNA TUG1 in murine chondrogenic ATDC5 cells”,经查,系存在篡改数据的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者任春凤(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,缓晋2年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者梁志远(与另外2篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋4年高一级专业技术职务,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    十九、山东省济宁市第一人民医院王静为通讯作者、孔东方为第一作者发表的论文“SchizandrinA enhances chemosensitivity of colon carcinoma cells to 5-fluorouracil throughup-regulation of miR-195”,经查,系存在篡改数据、编造研究过程、不当署名的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者王静(与另外2篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋4年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者孔东方(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,缓晋2年高一级专业技术职务,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十、山东省济宁市第一人民医院马辉为通讯作者、刘斌为第一作者、曹伟为并列第一作者发表的论文“Knockdownof lncRNA LSINCT5 suppresses growth and metastasis of human glioma cells viaup-regulating miR-451”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者马辉(与另外2篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋4年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者刘斌(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,行政警告。

    3.对并列第一作者曹伟:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,撤销利用论文获取的相关学术奖励及荣誉称号,缓聘1年高一级专业技术职务,党内警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十一、山东省济宁市第一人民医院姜涛为通讯作者、谢朋木为第一作者发表的论文“TRAF4promotes endometrial cancer cell growth and migration by activation ofPI3K/AKT/Oct4 signaling”,经查,系存在篡改数据、编造研究过程、不当署名的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者姜涛:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者谢朋木(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋2年高一级专业技术职务,追回科研项目立项配套经费,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十二、山东省济宁市第一人民医院赵兵为通讯作者、郑则宝为第一作者发表的论文“Astragaluspolysaccharide protects hypoxia-induced injury by up-regulation of miR-138 inrat neural stem cells”,经查,系存在篡改数据的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者赵兵(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,追回科研项目立项匹配经费,缓晋3年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者郑则宝(与另外2篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋4年高一级专业技术职务,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十三、山东省济宁市第一人民医院张存雪为通讯作者、孟洁为第一作者、陈艳为并列第一作者发表的论文“Protectiveimpacts of long noncoding RNA taurine‐upregulated 1 against lipopolysaccharide‐evokedinjury in MRC‐5 cellsthrough inhibition of microRNA‐127”,经查,系存在篡改数据的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者张存雪:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋2年高一级专业技术职务,撤稿,党内警告。

    2.对第一作者孟洁(与另外2篇论文合并处理):取消7年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消7年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋3年高一级专业技术职务,行政警告,免除副护士长职务。

    3.对并列第一作者陈艳:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋2年高一级专业技术职务,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十四、山东省济宁市第一人民医院张丽娟为通讯作者、张海防为第一作者、李惠为并列第一作者发表的论文“Longnon-coding RNA TUG1 inhibits apoptosis and inflammatory response in LPS-treatedH9c2 cells by down-regulation of miR-29b”,经查,系存在篡改数据、编造研究过程、不当署名的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者张丽娟(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋2年高一级专业技术职务,责撤稿,行政警告。

    2.对第一作者张海防(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,追回作者个人所得的论文科研奖励和荣誉称号,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,党内警告。

    3.对并列第一作者李惠、参与作者郭恩玉:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十五、山东省济宁市第一人民医院张雪华为通讯作者、丛珊为第一作者发表的论文“NotoginsenosideR1 up-regulates microRNA-132 to protect human lung fibroblast MRC-5 cells fromlipopolysaccharide-caused injury”,经查,系存在篡改数据、不当署名的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者张雪华:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋1年高一级专业技术职务,撤稿,行政警告。

    2.对第一作者丛珊:取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋2年高一级专业技术职务,行政警告。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十六、山东省济宁市第一人民医院张再伟为通讯作者、邢冰为第一作者、李巧菊为并列第一作者发表的论文“miR-140-5paggravates hypoxia-induced cell injury via regulating MLK3 in H9c2 cells”,经查,系存在篡改数据、编造研究过程的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者张再伟(与另外2篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停其研究生招生资格5年,追回作者个人所得的论文科研奖励和荣誉称号,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓聘3年高一级专业技术职务,撤稿,党内警告。

    2.对第一作者邢冰(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,撤销已取得的高一级专业技术职务,缓晋3年高一级专业技术职务,行政警告。

    3.对并列第一作者李巧菊(与另外1篇论文合并处理):取消6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消6年作为提名或推荐人、被提名或推荐人、评审专家等资格,取消其已获得的学会、协会等学术工作机构的委员或成员资格,缓晋2年高一级专业技术职务,党内警告。

    4.对参与作者李虎、陈莎莎、崔志远、马杰:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.jnrmyy.com/keyan/kxyj/gonggao/2021/1130/6504.html)

    二十七、山东省千佛山医院密夫丽为第一作者,临沂市人民医院张传祝为通讯作者发表论文“MagnesiumProtects Mouse Hippocampal HT22 Cells Against Hypoxia-Induced Injury byUpregulation of miR-221”,经查,系存在论文买卖的学术不端行为。

    1.山东省千佛山医院对密夫丽作出处理如下:通报批评,取消5年内申报科技计划(专项、基金)项目的资格,内镜诊疗科2020年综合目标一等奖考评一票否决。

    2.临沂市人民医院对相关责任人作出处理如下:

    (1)对通讯作者张传祝:科研诚信诫勉谈话,通报批评,取消参加2020年度评先树优,年度考核不得确定为优秀等次,取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格5年,撤稿,扣罚绩效工资5000元。

    (2)对其他作者刘付玉:科研诚信诫勉谈话,通报批评,取消1年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消1年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格1年。

    (通报链接:http://www.ly120.cn/prt/main/scddetl.lay?preview=editor&infoid=2607)

    二十八、山东省临沂市中心医院郭淑霞为第一作者、庄炎为通讯作者发表论文“Quercetinalleviates lipopolysaccharide‐induced inflammatory responses by up‐regulationmiR‐124 inhuman renal tubular epithelial cell line HK-2”,经查,系存在买卖行为的学术不端行为。对相关责任人员作出处理如下:

    1.对第一作者郭淑霞:科研诚信诫勉谈话,通报批评,取消参加2020年度评先树优,年度考核不得确定为优秀等次;取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格5年,撤稿,扣罚绩效工资5000元。

    2.对通讯作者庄炎:科研诚信诫勉谈话,通报批评,取消参加2020年度评先树优,年度考核不得确定为优秀等次,取消1年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消1年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格1年,撤稿。

    3.对其他作者孙娟娟:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.lyszxyy.com.cn/News/Articles?id=879&isPreview=true&articleMappingId=&code=4ab6510f37b7955d)

    二十九、山东省临沂市中心医院李曼为第一作者、于风华为通讯作者发表论文“GinsenosideRh2 inhibits proliferation but promotes apoptosis and autophagy bydown-regulating microRNA-638 in human retinoblastoma cells”,经查,系存在买卖的学术不端行为。对相关责任人员作出处理如下:

    1.对第一作者李曼:科研诚信诫勉谈话,通报批评,取消参加2020年度评先树优,年度考核不得确定为优秀等次,取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格5年,撤稿,扣罚绩效工资5000元。

    2.对通讯作者于风华:科研诚信诫勉谈话,通报批评,取消参加2020年度评先树优,年度考核不得确定为优秀等次,取消2年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消2年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格2年,撤稿。

    3.对其他作者张笃贞、程金涛、梁佳美:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.lyszxyy.com.cn/News/Articles?id=879&isPreview=true&articleMappingId=&code=4ab6510f37b7955d)

    三十、山东省临沂市中心医院葛荣丽为第一及通讯作者发表的论文“Anti-antioxidantlipacts of circZNF609 silence in HaCaT cell through regulating miR-145”,经查该论文存在买卖的学术不端行为。对相关责任人员作出处理如下:

    1.对第一及通讯作者葛荣丽:科研诚信诫勉谈话,通报批评,取消参加2020年度评先树优,年度考核不得确定为优秀等次,取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格5年,撤稿,扣罚绩效工资5000元。

    2.对其他作者高光磊:科研诚信诫勉谈话,通报批评。

    (通报链接:https://www.lyszxyy.com.cn/News/Articles?id=879&isPreview=true&articleMappingId=&code=4ab6510f37b7955d)

    三十一、山东省临沂市肿瘤医院李为路作为第一作者,杨富存作为通讯作者发表的论文“TargetedRegulation of miR-26a on PTEN to Affect Proliferation and Apoptosis of ProstateCancer Cells”,经查,该论文存在编造研究过程,伪造、篡改研究数据、图表、结论、检测报告的学术不端行为。对相关责任人员作出处理如下:

    1.对第一作者李为路:科研诚信诫勉谈话,责成其写出书面检查,通报批评,取消参加2020年度评先树优,年度考核不得确定为优秀等次,取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格5年,撤销利用科研失信行为获得的奖励,撤稿,扣罚绩效工资5000元。

    2.对通讯作者杨富存:科研诚信诫勉谈话,通报批评,取消其参加2020年度评先树优,年度考核不得确定为优秀等次,取消5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格,暂停研究生导师申请资格5年,撤销其利用科研失信行为获得的副高职称,撤稿,扣罚绩效工资5000元。

    (通报链接:http://www.lyzlyy.net/news/523.html)

    三十二、山东省菏泽市立医院相龙占为通讯作者、王奇为第一作者发表的论文“Baicalinaugments the differentiation of osteblasts via enthancement of microRNA-217”,经查,系存在代写代投的学术不端行为。

    1.菏泽市立医院对相关责任人作出如下处理:

    (1)对通讯作者相龙占:撤稿,科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动3年。

    (2)对第一作者王奇:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动5年。

    (3)对其他作者史东雷:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动1年。

    2.菏泽市传染病医院对其他作者耿媛媛作出处理如下:科研诚信诫勉谈话,通报批评,1年内取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号和推迟1年专业技术职务晋升等资格。

    3.温州医科大学附属第二医院对其他作者黄其杉作出处理如下:批评教育,科研诚信诫勉谈话。

    (通报链接:http://www.hz120.cn/html/kjk/5352.html)

    三十三、山东省菏泽市立医院赵爱英为通讯作者,黄艳秋为第一作者发表的论文“Baicalinrelives inflammation stimulated by lipoplysaccharide Via upregulating TUG1 inlive cells”,经查,系存在代写代投的学术不端行为。对相关责任人作出处理如下:

    1.对通讯作者赵爱英:撤稿,科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动3年。

    2.对第一作者黄艳秋:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动5年,3年内取消专业技术职务竞聘资格。

    3.对其他作者孙孟炎、杨雪芳、马爱玉、马玉洁:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动1年。

    (通报链接:http://www.hz120.cn/html/kjk/5352.html)

    三十四、山东省菏泽市立医院陈宜恒为第一及通讯作者发表的论文“Alkanninprotects human renal proximal tubular epithelial cells from LPS-inducedinflflammatory injury by regulation of microRNA-210”,经查,系存在代写代投的学术不端行为。对相关责任人作出如下处理:

    1.对通讯及一作者陈宜恒:撤稿,科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动5年。

    2.对其他作者李红梅:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动1年。

    (通报链接:http://www.hz120.cn/html/kjk/5352.html)

    三十五、山东省菏泽市立医院刘传安为通讯作者、青岛大学附属医院李学森为第一作者发表的论文“miR-342-5pinhibits expression of Bmp7 to regulate proliferation,difffferentiation andmigration of osteoblasts”,经查,系存在代写的学术不端行为。

    1.菏泽市立医院对相关责任人作出处理如下:

    (1)对通讯作者刘传安:撤稿,科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动3年,3年内取消专业技术职务竞聘资格。

    (2)对其他作者李康、于桂生:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动3年。

    (3)对其他作者于川东(与另外1篇合并处理):科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动5年。

    2.青岛大学附属医院对第一作者李学森作出处理如下:记过,取消5年内申请或申报科技计划项目(专项、基金等)科技奖励、科技人才称号资格,取消5年内作为提名或推荐人、被提名或推荐人、评审专家等资格,记入科研诚信失信档案,科研诚信诫勉谈话,取消参加本年度评先评优,年度考核不得确定为合格及以上等次。

    (通报链接:http://www.hz120.cn/html/kjk/5352.html)

    三十六、山东省菏泽市立医院刘翠玲为通讯作者,菏泽医学专科学校宋艳苹为第一作者发表的论文“Emodinprotects against lipopolysaccharide-induced inflammatory injury in HaCaT cellsthrough upregulation of miR-21”,经查,系存在代写代投的学术不端行为。

    1.菏泽市立医院对相关责任人作出处理如下:

    (1)对通讯作者刘翠玲:撤稿,科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动5年,3年内取消专业技术职务竞聘资格。

    (2)对其他作者崔雪玲、赵瑞兰:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动3年。

    (3)对其他作者胡兰英:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动3年,3年内取消专业技术职务竞聘资格。

    2.菏泽医学专科学校对第一作者宋艳苹、其他作者李颜君作出处理如下:科研诚信诫勉谈话,通报批评,2年内取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号和专业技术职务晋升等资格,2年内取消作为题名或推荐人、被提名或推荐人、评审专家等资格。

    (通报链接:http://www.hz120.cn/html/kjk/5352.html)

    三十七、山东省菏泽市立医院王海超为通讯作者,袁海锋为第一作者发表的论文“Sinomenineexerts antitumour effect in gastric cancer cells via enhancement of miR‐204expression”,经查,系存在代写代投的学术不端行为。

    1.菏泽市立医院对相关责任人作出处理如下:

    (1)对通讯作者王海超:撤稿,科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动3年。

    (2)对第一作者袁海锋(与另外1篇合并处理):科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动6年。

    (3)对其他作者李福丽、李巍:科研诚信诫勉谈话,通报批评,停止财政资助科研项目和科研活动1年。

    2.菏泽医学专科学校对其他作者张菁华作出处理如下:科研诚信诫勉谈话,通报批评,2年内取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号和专业技术职务晋升等资格,2年内取消作为题名或推荐人、被提名或推荐人、评审专家等资格。

    (通报链接:http://www.hz120.cn/html/kjk/5352.html)

    三十八、广西壮族自治区玉林市第一人民医院刘成倍为通讯作者、钱冲为第一作者发表的论文“LncRNAPROX1-AS1 promotes proliferation,invasion,and migration in prostate cancervia targeting miR-647”,经查,系存在编造部分研究过程、数据、图表的学术不端行为。对相关责任人员作出处理如下:

    1.对第一作者钱冲:研诚信诫勉谈话,通报批评;撤销论文奖励并收回奖金;撤销广西第三批医学高层次人才培养计划培养推荐人选;5年内取消财政资金支持项目及与学术相关项目的申报资格;5年内取消研究生招生资格及评审专家、学会委员、科技人才的推荐;2年内取消所有荣誉资格的推荐;暂不聘任主任医师;撤稿。

    2.对通讯作者刘成倍:研诚信诫勉谈话,通报批评;撤稿。

    (通报链接:https://www.ylsdyrmyy.cn/web/news/view.aspx?id=3477)

    国家卫健委科技教育司2021年10月15日公布16起医学科研诚信案件调查处理结果

    01.湖北省恩施土家族苗族自治州中心医院徐艳华为通讯作者,周秋媛为第一作者发表的论文“MiR-221 affects proliferation and apoptosis of gastric cancer cells through targeting SOCS3”经查,该论文第一作者周秋媛存在买卖数据、编造研究过程的学术不端行为,通讯作者徐艳华存在不正当署名的学术不端行为。对相关责任人作出如下处理:

    1.对第一作者周秋媛:科研诚信诫勉谈话;在医院周会上通报批评;五年内不得晋职晋升,退出恩施州中心医院青年人才成长工程,退回此文章所得医院奖励;撤稿;取消本年度评先表模资格。

    2.对通讯作者徐艳华:科研诚信诫勉谈话,通报批评,一年内不得晋职晋升,取消本年度评先表模资格。

    02.山东省临沂市中心医院侯仕振为第一作者、程子明为通讯作者发表论文“Ailanthone exerts an antitumor function on thedevelopment of human lung cancer by upregulating microRNA‐195”,经查,系存在论文买卖的学术不端行为,且投稿前未按规范程序获得所有作者知情通知。对相关责任人员作出如下处理:

    1.对第一作者侯仕振:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次;取消其6年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其6年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格6年;要求其30天内联系杂志社撤稿;罚款5000元。

    2.对通讯作者程子明:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次;取消其1年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其1年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格1年;要求其30天内联系杂志社撤稿。

    3.对其他作者王文玲、王向东、武玉兵:科研诚信诫勉谈话,院内通报批评。

    03.山东省临沂市中心医院贾淑玉为第一作者、张飞为通讯作者发表论文“MicroRNA-210 protects against periodontitis through targeting HIF-3αand inhibiting p38MAPK/NF-κB pathway”,经查,系存在论文买卖的学术不端行为,且投稿前未按规范程序获得所有作者知情通知。对相关责任人员作出如下处理:

    1.对第一作者贾淑玉:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次;取消其5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格5年;要求其30天内联系杂志社撤稿;罚款5000元。

    2.对通讯作者张飞:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次;取消其1年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其1年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格1年;要求其30天内联系杂志社撤稿。

    3.对其他作者杨西美、杨西荣:科研诚信诫勉谈话,院内通报批评。

    04.山东省临沂市中心医院戚德峰为第一作者、于风华为通讯作者发表论文“Knockdown of lncRNA-H19 inhibits cell viability,migration and invasion T while promotes apoptosis via microRNA-143/RUNX2 axis in retinoblastoma”,经查,系存在论文买卖的学术不端行为,且投稿前未按规范程序获得所有作者知情通知。对相关责任人员作出如下处理:

    1.对第一作者戚德峰:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次;取消其5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格5年;撤销其利用科研失信行为获得副主任医师职称资格;要求其30天内联系杂志社撤稿;罚款5000元。

    2.对通讯作者于风华:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次。取消其2年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其2年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格2年;要求其30天内联系杂志社撤稿。

    3.其他作者王明明:为青岛市城阳区人民医院职工,青岛市城阳区人民医院给予王明明:科研诚信诫勉谈话,取消2020年度评先树优资格。

    05.山东省临沂市中心医院第一作者徐建、赵志娟为通讯作者发表论文“Ras-ERK1/2signaling participates in the progression of gastric cancer through repressing Aurora-B-mediated H1.4 phoshorylation at Ser27”,经查,系存在论文买卖的学术不端行为,且投稿前未按规范程序获得所有作者知情通知。对相关责任人员作出如下处理:

    1.对第一作者徐建:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次;取消其5年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其5年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格5年;要求其30天内联系杂志社撤稿;罚款5000元。

    2.对通讯作者赵志娟:科研诚信诫勉谈话,责成其写出书面检查;全院通报批评;取消其参加2020年度评先树优,年度考核不得确定为优秀等次;取消其1年内科研项目、科研奖励、科技成果、科技人才计划等申报资格;取消其1年内作为提名或推荐人、被提名或推荐人、评审专家等资格;暂停其研究生导师申请资格1年;要求其30天内联系杂志社撤稿。

    3.对其他作者田峰、陈兴田、刘兆霞、武传霞:科研诚信诫勉谈话,院内通报批评。

    06.山东省青岛市第六人民医院孙树伦为通讯作者,于雪、王玉为并列第一作者发表的论文“Geniposide plays anti-tumor effects by down-regulation of microRNA-224 in HepG2 and Huh7 cell lines”,经查,系存在论文代写代投的学术不端行为。青岛市第六人民医院对通讯作者孙树伦、第一作者于雪及并列第一作者王玉作出如下处理:科研诚信诫勉谈话,通报批评,取消五年内申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号和专业技术职务晋升等资格,取消学会、协会、研究会等学术团体以及学术、学位委员会等学术工作机构的委员或成员资格,取消五年内作为提名或推荐人、被提名或推荐人、评审专家等资格,撤稿。

    07.山东省青岛市海慈医疗集团曲曼青为通讯作者、张喜军为第一作者发表的论文“Angelica polysaccharide alleviates oxidative response damage in HaCaT cells through up-regulation of miR-126”,经查,系存在篡改数据、编造研究过程、不当署名的学术不端行为。对相关责任人员作出如下处理:

    1.对第一作者张喜军、通讯作者曲曼青:科研诚信诫勉谈话,院内公开通报批评,立即联系杂志社撤稿涉事论文,取消五年申请或申报科技计划项目、科技奖励、科技人才称号资格,取消五年专业技术职务晋升资格。

    2.对第二作者薛红、第三作者周萍、第四作者刘丽、第五作者于晶、第六作者代朋飞:科研诚信诫勉谈话,院内公开通报批评,取消一年申请或申报科技计划项目、科技奖励、科技人才称号资格,取消一年专业技术职务晋升资格。

    08.山东省青岛市海慈医疗集团王海静为通讯作者、邹珺为第一作者发表的论文“Euxanthone Inhibits Glycolysis and Triggers Mitochondria-Mediated Apoptosis by Targeting Hexokinase 2 in Epithelial Ovarian Cancer”,经查,系存在篡改数据、编造研究过程、不当署名的学术不端行为。对相关责任人员作出如下处理:
    1.对第一作者邹珺:科研诚信诫勉谈话,院内公开通报批评,立即联系杂志社撤稿涉事论文,收回科研奖励,取消五年申请或申报科技计划项目、科技奖励、科技人才称号资格,取消五年专业技术职务晋升资格,取消由此获得的副高级职称。
    2.对通讯作者王海静:科研诚信诫勉谈话,院内公开通报批评,立即联系杂志社撤稿涉事论文,取消五年申请或申报科技计划项目、科技奖励、科技人才称号资格,取消五年专业技术职务晋升资格。
    3.对第二作者王亚梅、第五作者郑文建、第六作者高茜:科研诚信诫勉谈话,院内公开通报批评,取消一年申请或申报科技计划项目、科技奖励、科技人才称号资格,取消一年专业技术职务晋升资格。
    4.对第三作者刘明娣:科研诚信诫勉谈话,院内公开通报批评,取消一年申请或申报科技计划项目、科技奖励、科技人才称号资格,取消一年专业技术职务晋升资格,取消中级职称。

    09.山东省青岛市中心医院黎英豪为通讯作者,杨孝良第一作者发表的论文“Baicalein restrains proliferation,migration,and invasion of human malignant melanoma cells by down-regulating colon cancer associated transcript-1”,经查,系存在篡改实验数据的学术不端行为。对相关责任人作出如下处理:
    1.对通讯作者黎英豪:科研诚信诫勉谈话,院内公开通报批评,追回文章奖励并要求其主动向杂志社撤回文章,取消其五年申报科研项目、科技奖励、科技人才称号和职称晋升资格。
    2.对第一作者杨孝良:科研诚信诫勉谈话,院内公开通报批评,取消其五年申报科研项目、科技奖励、科技人才称号和职称晋升资格。
    3.对第二作者姜津杰、第三作者张春艳:科研诚信诫勉谈话,院内公开通报批评,取消其二年申报科研项目、科技奖励、科技人才称号和职称晋升资格。

    10.河南省人民医院杨志刚为通讯作者、李晓亮为第一作者发表的论文“Silence of MEG3 intensifies lipopolysaccharide-stimulated damage of human lung cells through modulating miR-4262”,经查,系存在第三方机构提供实验图片和实验数据(买卖数据)的学术不端行为。对相关责任人作出如下处理:
    1.对第一作者李晓亮:科研诚信诫勉谈话,全院公开通报批评,取消评优评先资格5年,取消申报研究生导师资格或暂停招收研究生5年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号和专业技术职务晋升等资格5年,撤稿。
    2.对通讯作者杨志刚:科研诚信诫勉谈话,取消当年评优评先资格。

    11.河南省人民医院崔淑娴为通讯作者、李玲为第一作者发表的论文“Baicalin relieves TNF-alpha-evoked injury in human aortic endothelial cells by up-regulation of miR-145”,经查,系存在第三方机构提供实验图片和实验数据(买卖数据)并代为投稿的学术不端行为。对相关责任人作出如下处理:
    1.对第一作者李玲:科研诚信诫勉谈话,全院公开通报批评,取消评优评先资格5年,取消申报研究生导师资格或暂停招收研究生5年,取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号和专业技术职务晋升等资格5年,撤稿。
    2.对通讯作者崔淑娴:科研诚信诫勉谈话,取消当年评优评先资格。
    3.对其他相关作者刘敏、赫连曼、王珊珊:科研诚信诫勉谈话。

    12.江苏省南京医科大学在职专业学位研究生沈飞为第一作者发表的论文“Amentoflavone Promotes Apoptosis in Non-small Cell Lung Cancer by Modulating Cancerous Inhibitor of PP2A”,经查,系存在伪造及篡改数据、未经通讯作者及其他作者同意署其名、委托第三方代投论文的学术不端行为。
    1.南京医科大学对相关责任人员作出处理,撤销沈飞博士学位,暂停第一附属医院通讯作者陈亦江研究生招生资格3年。
    2.第一作者工作单位江阴市人民医院给予沈飞行政警告处分,全院通报批评,5年内取消申请或申报各类科技计划项目、人才称号资格,取消专业技术职务晋升5年。

    13.江苏省江阴市人民医院、南京医科大学附属逸夫医院在职博士研究生方铭为第一作者,发表于THE ANATOMICAL RECORD杂志的论文“Alpinumisoflavone Inhibits Tumor Growth and Metastasis in Papillary Thyroid Cancer via Upregulating miR‐141‐3p”,经查,系由第一作者方铭私自投稿,存在伪造邮箱、不当署名等学术不端行为。
    江阴市人民医院及南京医科大学及对相关责任人作出如下处理:撤销第一作者方铭博士学位,取消其申报各级科技计划项目、专业技术职称晋升等资格8年(涉及其他学术不端行为,合并处罚);暂停导师刘煜专业学位博士研究生招收资格3年。

    14.江苏省无锡市妇幼保健院原检验科许飞为通讯作者、无锡市中医医院丁忠阳为第一作者发表的论文“Physcion 8-O-β-glucopyranoside prevents hypoxia-induced epithelial-mesenchymal transition in colorectal cancer HCT116 cells by modulating EMMPRIN”,经查,系存在委托第三方代写、代投的学术不端行为。许飞于2017年因其他经济案件被判处三年有期徒刑,无锡市妇幼保健院于2018年将其开除处分。无锡市中医医院对丁忠阳做出如下处理:科研诫勉谈话,追回发放的科研奖励,取消各级各类科技计划项目(专项、基金等)、各类人才称号和专业技术职务晋升等资格5年。

    15.南通市中医院喻海忠作为通讯作者、南通市肿瘤医院肖春红为共同通讯作者,南通市中医院曹红艳为第一作者,发表的论文“miR-129 reduces CDDP resistance in gastric cancer cells by inhibiting MAPK3”,经查,肖春红作为共同通讯作者,存在违规使用了基金号“No.MS12017017-4”、篡改数据的学术不端行为。
    1.南通市肿瘤医院对通讯作者肖春红作出如下处理:暂停申报财政资助科技计划(专项、基金等)项目等资格8年,追回相关论文奖励,通报批评。
    2.南通市中医院对相关责任人作出如下处理:
    (1)对通讯作者喻海忠:通报批评,撤稿,取消申报财政资助科技计划(专项、基金等)项目等资格8年(牵涉其他论文造假,合并处罚),追回论文一次性奖金,整改和加强学术团队管理、取消学术委员会委员资格。
    (2)对第一作者曹红艳:通报批评,撤稿,追回论文一次性奖金,科研诚信诫勉谈话,整改和加强学术团队管理、取消学术委员会委员资格。

    16.中国医学科学院北京协和医院崔玉尚为通讯作者、徐晓辉为第一作者发表的论文“MicroRNA-1246 inhibits cell invasion and epithelial mesenchymal transition process by targeting CXCR4 in lung cancer cells”,经查,系存在论文图片造假的学术不端行为。对相关责任人员作出如下处理:
    1、对通讯作者崔玉尚:取消申报科技计划(专项、基金等)项目资格5年,取消晋升职务职称资格3年,记入科研诚信信用信息系统,科研诚信诫勉谈话的处罚。
    2、对第一作者徐晓辉:取消申报科技计划(专项、基金等)项目资格5年,取消晋升职务职称资格3年,记入科研诚信信用信息系统,警告的处罚。

    国家卫健曝光10起医学论文问题

    2021年8月19日,国家卫健委官网公布了部分机构医学科研诚信案件调查处理结果,对论文数据及图片拼凑、篡改,第三方代写代投代发,购买实验数据,买卖论文等医疗机构人员的造假、失信行为予以严惩。

    案件一:河北省邢台市人民医院王晓贞为通讯作者,谢瑾为第一作者发表的论文“《MiR-221 inhibits prolife ration of pancreatic cancer cells via down regulation of SOS3》”,经查,该项目没有完成实验,论文数据及图片存在拼凑、篡改等造假情况。
    对此,邢台市人民医院对相关责任人员做出如下处理:1、对所有当事人进行科研诚信诫勉谈话和批评教育,对所有当事人进行一定范围内通报批评;2、对该论文已报销版面费、已获得的SCI论文奖励全数收回;3、对已取得的2019年河北省医学科技进步奖进行撤销;4、暂停第一作者科研项目申报、立项、评奖、职称晋升等活动五年,取消第一作者作为提名或推荐人、被提名或推荐人、评审专家等资格;5、暂停通讯作者和课题组其他作者科研项目申报、立项、评奖,职称晋升等活动一年。

    案件二:吉林省吉林市中心医院刘播为通讯作者发表的论文“AstragalosideI Vprotects ATDC5 cells from lipopolysaccharide-caused damage through regulating miR-203/MyD88”,经查,该论文系刘播通过他人委托第三方中介机构代写代投,且投稿前未告知其他作者,涉及不当署名,属论文造假、科研失信行为。
    对此,吉林市中心医院给予刘播以下处分:取消四年内晋升职务职称,申报财政资金支持项目,在研项目通过验收后申报省、市科技进步奖资格。

    案件三:黑龙江省大庆市人民医院宋述清为通讯作者、宿鹏飞为第一作者发表的论文“Regulation of mTOR by miR-107 to facilitategliomacellapoptosis and toenhancecisplatinsensitivity”,经查,系由第一作者宿鹏飞委托徐月月由中介代写代发。
    对此,大庆市人民医院认定宿鹏飞负主要责任,徐月月负次要责任,宋述清负一般责任。对相关责任人作出如下处理意见:
    1、给予宿鹏飞:科研诚信诫勉谈话;五年内取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号等资格;五年内取消作为提名或推荐人,被提名或推荐人,评审专家等资格;要求撤稿。2、给予徐月月:科研诚信诫勉谈话;五年内取消申请或申报科技计划项目(专项、基金等)、科技奖励、科技人才称号等资格;终止所有在研的科研项目。3、给予宋述清科研诚信诫勉谈话。

    案件四:黑龙江省医院崔荣为通讯作者、张姝为第一作者发表的论文“Thetargetregulation of MiR-26a on PTEN-PI3K/AKT signaling path way in myocardialfibrosis after myocardialinfarction”,经查,系由崔荣、张姝出经费,请他人代写论文,存在学术不端行为。
    对此,黑龙江省医院对相关责任人员作出如下处理:
    1、对崔荣给予以下处分:撤销其应用该篇论文获得的主任医师职称,报请职称审批管理部门予以撤销;收回应用该篇论文获得的奖金;取消五年以内承担财政资金支持项目资格;进行科研诚信诚勉谈话;根据《事业单位工作人员处分的暂行规定》第二十条之规定,给予警告处分。2、对张姝给予以下处分:取消2020年申报副主任医师职称资格;收回应用该篇论文获得的奖金;取消五年以内承担财政资金支持项目资格;进行科研诚信诚勉谈话;根据《事业单位工作人员处分的暂行规定》第二十条之规定,给予警告处分。

    案件五:江苏省常州市第一人民医院孙晋亮作为第一作者及通讯作者,发表于European Journal Of Medical Research杂志的论文“Protective functions of myricetinin LPS-induced cardiomyocytesH9c2 cells injury by regulation of MALAT1”,经查,系第三方代写代投,属于严重学术不端行为。
    对此,常州市第一人民医院给予孙晋亮以下处理:党内严重警告处分;撤回发表的上述论文;取消申报各级各类科研项目及科技成果资格五年;停发奖励性绩效工资十二个月;取消一次高级聘任资格。

    案件六:安徽省合肥市第一人民医院原职工杜方超作为第一作者署名发表的论文“Expression of miR-141 and YAP1 ingastriccarcinoma and modulation of cancer cell prolife ration and apoptosis”,经查,系存在购买实验数据、由他人代写代发科研论文的学术不端行为。
    经协调,由杜方超现工作单位对杜方超作出如下处理:取消杜方超晋升职务职称、申报科技计划(专项、基金等)项目等资格五年,同时记入科研诚信信息系统,并给予行政降级处理(从主治医师降为医师)。

    案件七:河南省周口市中心医院柳玉霞作为通讯作者/第一作者、河南大学淮河医院张艳为第二作者发表的论文“Lyciumbarbarumpolysaccharidesalleviatehydrogenperoxide-induced injury by up-regulation of miR-4295 in humantrabecularmesh work cells”,中文题目《枸杞多糖通过上调miR-4295减轻过氧化对人小梁细胞的损伤》,经查,系代写论文,对相关责任人进行以下处理:1、对通讯作者/第一作者柳玉霞:立即进行诚信诫勉谈话;予以全院通报批评;要求该篇论文撤稿、取消一切与该论文相关的所得利益和荣誉;五年内不得申报科技计划、科技奖励、科技人才称号。2、对第二作者张艳:通报至所在单位;要求所在单位立即进行诚信诫勉谈话。

    案件八:广西壮族自治区百色市人民医院陆文忠为通讯作者、韦西江为第一作者发表的论文“MiR-20 aregulatesfibroblast-like synoviocy tepro life ration and apoptosis in rheumatoid arthritis”,系第一作者韦西江单独联系第三方中介机构购买,存在买卖论文等学术不端行为,负主要责任。
    对此,百色市人民医院对相关责任人员做出如下处理:1、对第一作者韦西江:责令其撤销该论文;责令其退回已领取的论文奖励;取消2017年、2018年医德医风考评加分;责令其做出详细书面说明及检讨;建议撤销其2018年所获得的副高级专业技术资格;五年内不得申报各级科研项目、科研经费、奖励、荣誉、职务职称等。2、对陆文忠(通讯作者)、李新武(第二作者)、陆吉利(第三作者)、梁俊卿(第五作者):取消2017年、2018年医德医风考评加分;给予警告及科研诚信诫勉谈话,并按不当署名处理,一年内不得申报各级科研项目、科研经费、奖励、荣誉、职务职称等。3、对韦尚兵(第六作者):给予警告及科研诚信诫勉谈话,并按不当署名处理,一年内不得申报各级科研项目、科研经费、奖励、荣誉、职务职称等。

    案件九:重庆大学附属三峡医院代宏为通讯作者及第一作者发表的论文“MiR-17 Regulates Prostate Cancer Cell Proliferation and Apoptosis Through Inhibiting JAK-STAT3 Signaling”,经查,系代宏医生全权委托代写代投。
    对此,重庆大学附属三峡医院对相关责任人员作出以下处理:1、给予代宏:科研诚信诫勉谈话;院内公开通报批评并记过处分;取消其医技6级岗位职称降至原7级岗;取消五年内承担财政资金支持项目资格;30天内退回医院奖励论文奖金;30天内自主联系杂志社撤稿涉事论文;30天内退回万州区卫生系统科研论文二等奖荣誉及奖金。2、给予王春梅、余志海、何东林、余昆、刘银、王胜6名参与作者:科研诚信诫勉谈话;院内公开通报批评。

    案件十:陕西省第四人民医院张梅为通讯作者、延安市人民医院刘勇为第一作者发表的论文“miR-132 Regulates Adriamyc in Resistance in Colorectal Cancer Cells Through Targeting Extracellular Signal-Regulated Kinase1”经查,系由第三方代写代投论文。陕西省第四人民医院对相关责任人张梅作出如下处理:进行科研诚信诫勉谈话;院内警告处分,全院通报批评;取消六年以内晋升职称资格及申报各项科研项目资格;撤销论文所获奖项,追回奖金;责令撤稿。
    对此,延安市人民医院对相关责任人刘勇作出如下处理:进行科研诚信诫勉谈话;书面检查,全院通报批评;撤销所获奖项;取消六年内申报国家、省市各类项目,奖励申报,晋升职称资格。

    2021年6月4日-6月9日Journal of Cellular Physiology ,Journal of Cellular Biochemistry及Bioscience Reports 撤回中国学者72篇文章

    2021年初报导《The Plant Cell》共撤回9篇文章,中国学者参与的有4篇

    ①香港中文大学姜里文团队的“Arabidopsis ENDOMEMBRANE PROTEIN 12 contributes to the endoplasmic reticulum stress response by regulating K/HDEL receptor trafficking”,属于学术不端;
    ②中国科学院植物研究所张立新团队发表的题为“LPA2 is required for efficient assembly of photosystem II in Arabidopsis thaliana”,属于学术不端;
    ③国立台湾大学Ching-Wei Chen等人发表的题为“The Arabidopsis malectin-like leucine-rich repeat receptor-like kinase IOS1 associates with the pattern recognition receptors FLS2 and EFR and is critical for priming of pattern-triggered immunity”,属于学术不端;
    ④中国农业大学傅缨团队的“Arabidopsis AUGMIN subunit8 is a microtubule plus-end binding protein that promotes microtubule reorientation in hypocotyls”文章被撤回,主要原因是一些使用的材料被污染,不属于学术不端。

    2021年3月8日《自然》杂志撤回其2018年3月28日发表的一篇有关马约拉纳零能模体系中量子电导的实验文章

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    论文通讯作者为Delft技术大学 Leo Kouwenhoven 教授,论文第一作者为清华大学物理系张浩教授。被撤稿论文是张浩在Delft技术大学Kouwenhoven教授组做博士后时所完成的工作。被撤稿文章的作者称,原始数据的分析在科学上不够严格(“insufficient scientific rigour”)。

    2020年底 European Review for Medical and Pharmacological Sciences 在其 24 卷批量撤稿 199 篇中国学者论文

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    其中来自济宁市第一人民医院的论文发表后被撤稿,未有撤稿理由:

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    作者发现手稿有误的自行撤回:

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    作者发现实验设计存在缺陷撤稿:

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    作者对论文的错误不予回应而导致的撤稿:

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    其中最多的撤稿理由是作者对论文的错误不予回应

    2020年8月5日 European Review for Medical and Pharmacological Sciences 撤回中国学者26篇文章

    论文集中于非编码RNA领域,撤稿主要原因是批量类似的研究,涉嫌学术不端。

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    2017年8月International journal of oncology(《国际肿瘤学杂志》,IF 3.899 Q2)撤回论文HNF1A-AS1 promotes growth and metastasis of esophageal squamous cell carcinoma by sponging miR-214 to upregulate the expression of SOX-4
    论文作者为郑州大学第一附属医院Guannan Wang (音译 王冠楠,第一作者), Wugan Zhao(音译 赵武干),Xianzheng Gao(音译 高贤政) , Dandan Zhang(音译 张丹丹) , Ye Li (音译 李烨), Yanping Zhang(音译 张艳萍)和Wencai Li(音译 李文才,通讯作者)
    这项研究得到了河南省教委重点科研项目(17A310035)的资助

    2017年8月3日《自然·生物技术》(Nature Biotechnology)撤回河北科技大学韩春雨副教授团队一篇论文
    韩春雨团队论文标题是“DNA-guided genome editing using the Natronobacterium gregoryiArgonaute”(《使用格氏嗜盐碱杆菌的Argonaute蛋白实现DNA引导的基因编辑》),2016年5月2日发表于《自然·生物技术》。Argonaute是一种蛋白质,简称为NgAgo,Ng是格氏嗜盐碱杆菌英文名的缩写。该篇论文结论是,用NgAgo可以实现以DNA为先导的基因编辑。

    2017年4月20日施普林格出版集团撤销旗下期刊《肿瘤生物学(Tumor Biology)》的107篇中国相关论文
    107篇论文中,有2篇论文系《肿瘤生物学》重复发表;1篇系《肿瘤生物学》期刊自身错误撤稿,作者没有过错;101篇存在提供虚假同行评议专家或虚假同行评议意见的问题,其中95篇由第三方机构提供虚假同行评议专家或虚假同行评议意见,6篇由作者自行提供虚假同行评议专家或虚假同行评议意见。这101篇论文中,有12篇系向第三方机构购买;其余的89篇由作者完成,经学术评议认定,其中的9篇存在内容造假,其他80篇系作者完成、内容未造假。107篇论文共涉及作者521人,其中11人无过错,486人不同程度存在过错(这486人中,102人为主要责任人,70人为次要责任人,314人没有参与造假),其他尚待查实的24人将按程序先纳入科研诚信“观察名单”。

    Clarivate Analytics期刊评审专家团队评估决定:Tumor Biology由于不再满足Web of Science期刊收录标准,自2017年7月起不再被Web of Science数据库旗下的SCI收录。

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    2017.2.6,《科学》称郑树森被一杂志终身禁止在该刊发表论文
    Dalmeet Singh Chawla在《Science》上发文“Study retraction reignites concern over China’s possible use of prisoner organs”称:浙江大学第一附属医院郑树森院士2016年10月在《国际肝脏》(Liver International)杂志网络版发表的关于肝脏移植的研究论文,不能提供563个肝脏的合法来源证明,因此被撤稿,并被《国际肝脏》杂志编辑部终身禁止在该杂志发表论文。
    澳大利亚悉尼Macquarie大学的临床伦理学家Wendy Rogers及同事2017.1.30撰写了一封致《国际肝脏》编辑部的信,呼吁在“缺乏可信的器官来源证据”的情况下撤回该论文。该论文分析了2010年4月至2014年10月(2015年1月中国政府明确禁止使用死刑犯的器官进行移植,并建立志愿者捐赠系统)浙江大学第一附属医院进行的563例肝脏移植的情况。

    2013 陈宙峰指称杨俊抄袭

    2013年3月4日,饶毅在发给《中国科学报》的一封邮件中称:“美国圣路易斯华盛顿大学教授陈宙峰有个有趣的发现。”
    陈宙峰在2013年2月26日收到一封匿名邮件,发件人称陈宙峰发表在《自然》杂志上的一篇文章,被一个叫杨俊的人“偷”了。杨时任新乡医学院药学院院长,将《自然》杂志上的一篇文章“PS”上自己的名字后(P成第一作者,通讯地址广东邦民制药厂有限公司),附在其简历中。
    除上述2007年的A文外,陈发现杨以第一作者身份于同年发表在《神经科学研究》(Neuroscience Research)期刊上的另一篇文章曾因涉嫌造假而被该刊公开撤稿。该文题目是“Periaqueductal gray knockdown of V2, not V1a and V1b receptor influences nociception in the rat”(简称“B文”)。文章刊登在2007年《神经科学研究》第57册第104-111页;撤销公告刊登在2009年10月第65册第二期第214页。撤稿原因是:“已发现本文含有对小干扰RNAs序列的不正确描述,相关实验不可能被重复,上述实验不可能得出本文给出的序列描述。本文严重地侵犯了科学出版系统,科学界对此持强烈批评态度。”Science Direct检索B文原在的页面已经被打上鲜红的“RETRACTED”(撤销)标记。然而,在长沙市技术升级公共服务平台上杨俊的简历中,B文却在列。这份简历也列举了发表在2010年的一篇论文,还有杨俊于2010年获得的奖项。在《神经科学研究》杂志所公布的通讯作者地址中,杨俊的通信地址之一便是A文中的“广东邦民制药厂有限公司”。而另一通信地址则是加拿大魁北克省蒙特利尔菲尔丁大街,作者中还有该省圣-吕克学校的一位学生志愿者。
    陈宙峰还发现杨俊发表的一些文章还存在“自我抄袭”的现象。“他很有可能同时炮制出两篇内容相似的文章,然后投往不同的刊物。”对杨所发表的文章进行分析后发现,确实存在结果雷同、内容相仿、数据接近的现象。仅以以下三组文章为例:2013年1月份杨在《神经肽》在线上的文章“The interaction between the oxytocin and pain modulation in headache patients”与其2012年9月发表在《多肽》在线上的文章“Effect of intranasal arginine vasopressin on human headache”均属于国家自然科学基金委对杨俊现在所在单位河南新乡医学院抗神经病重点实验室和科技创新团队的资助项目。其中,前者的研究对象为“催生素和疼痛机制对头疼患者的相互作用”,后者研究对象为“鼻内精氨酸加压素对人类头痛的影响”。“尽管是两个不同的实验,所用的实验数据有很多相似之处,文章的很多语句都完全一样。”。2006年1月杨发表在《神经科学研究》上的文章“Through central arginine vasopressin, not oxytocin and endogenous opiate peptides, glutamate sodium induces hypothalamic paraventricular nucleus enhancing acupuncture analgesia in the rat”(以下简称“C1文”)与其同年2月发表在《脑科学通报》上的文章“Only arginine vasopressin, not oxytocin and endogenous opiate peptides, in hypothalamic paraventricular nucleus play a role in acupuncture analgesia in the rat”(以下简称“C2文”)进行对比发现,文章内容非常相似。主要内容均为“通过精氨酸加压素,而非催产素和内源性阿片肽,可以调节大鼠丘脑核团镇痛感”。再对其2006年1月发表在《脑科学》上的文章“Through the central V2, not V1 receptors influencing the endogenous opiate peptide system, arginine vasopressin, not oxytocin in the hypothalamic paraventricular nucleus involves in the antinociception in the rat”(以下简称“D1文”)与其发表在《调节肽》2006年12月的文章“Through V2, not V1 receptor relating to endogenous opiate peptides, arginine vasopressin in periaqueductal gray regulates antinociception in the rat”(以下简称“D2文”)进行比较,可以发现两稿内容均为“让精氨酸加压素在大鼠脑中起镇痛作用的是V2,而不是与内源性阿片肽有关联的V1受体”。此外,通过把近年来杨俊在英文刊物上所发表文章和他本人在早期第二军医大读研究生阶段所发表的中文文章进行对比,还发现,杨英文中的很多研究内容如C1、C2、D1、D2中关于精氨酸、镇痛等内容与其上世纪八九十年代的研究存在相似关系。“从科学角度看,这些文章毫无新意,都像是重复发表十几甚至二十年前的知识。”
    此事后续结果未公开。

    2012年6月1日《免疫学期刊》发表声明,撤销了中国研究人员的两篇学术论文

    期刊并未说明具体的撤销原因。这两篇论文均发表于2005年,通讯作者为安徽医科大学、武汉大学教授谭锦泉和第四军医大学教授金伯泉。
    《癌基因》一篇以谭锦泉为通讯作者的论文也于2011年被撤销;
    此外,谭锦泉和他人为共同通讯作者的三篇论文也于2011年或2010年被撤销,分别是:
    《癌基因》论文2011年被撤销,通讯作者为谭锦泉和金由辛
    《美国移植期刊》论文2011年被撤销,通讯作者为谭锦泉和华中科技大学同济医学院龚非力
    PLoS病原学》论文2010年被撤销,通讯作者为谭锦泉和武汉大学基础医学院何玉玲

  • 学术异闻集萃

    2023.10 白澄宇与田诗文:基金经理颜值和收益率负相关

    论文题为《What Beauty Brings?Managers’ Attractiveness and Fund Performance》,作者白澄宇(Chengyu Bai)与田诗文(Shiwen Tian),论文显示初稿时间为今年2023月11日,而发表出来的版本成稿日期为9月10日,英文版论文见于SSRN(社会科学研究网)。

    2022.12.5 翟翌:不打疫苗,不上调养老金

    2021.9 王存同:阴茎长度与智商负相关

    2020.7 史英英等:用先人后己思想帮助学习重积分

    2021年9月28日,广西南宁隆生达发电力科技有限公司突破能量守恒定律

    广西一企业研发不需原料的发电技术:称完全突破了能量守恒定律

    机翻降重掩饰抄袭?SCI期刊上的“奇言怪语”

    tortured phrases:自动文本生成器一直被用于「科研文献写作」,那些毫无意义的论文很容易被人和机器检测到。但今天的 AI 技术已经能够生成更加「以假乱真」的文本,与人类写作的文本无法区分。一般来说,「tortured phrases」可能是自动翻译或试图掩饰文章内容抄袭的结果。

    2021年 7 月,法国图卢兹大学学者 Guillaume Cabanac 和他的同事在 arXiv 平台上传论文,介绍了关于该现象的一些调查结论。

    论文链接:https://arxiv.org/pdf/2107.0675

    通过对30个计算机短语的非学术同义词进行搜索后,他们发现有860多篇文章存在这样的问题,其中有500多篇文章来自英文期刊《微处理器和微系统》。进一步的研究发现,这些论文如此反常的背后,大部分都可能存在学术不端。对此,杂志的出版商爱思唯尔列出了在该期刊发表的400多篇可疑论文,并表示要对这些文章逐一进行“重新独立评估”。国内媒体也进行了跟踪报道,认为其中问题论文“大部分来自于中国”。

    2021.6 燕山大学教授李子丰推翻爱因斯坦相对论

    2021年6月,李子丰的研究项目名称为 “坚持唯物主义时空质能观 发展牛顿物理学”,该项目的自然科学奖推荐号为120-233,推荐单位为河北省教育厅。该项目宣称已推翻误导物理学界和人类认识世界基本方法的爱因斯坦的相对论,为科学的健康发展扫清了一个巨大障碍。

    2021.04《写真地理》:意念可促使熟蛋返生孵雏鸡

    作者为郑州春霖职业培训学校校长。据公开报道信息显示,该作者还有物体穿瓶越壁、熟绿豆返生发芽等相关著作。

    论文截图

    2018.11 马维先:卡廷大屠杀是纳粹德国嫁祸于苏联的伪造事件

    翟振武的人口理论:

        翟振武,中国人民大学社会与人口学院教授。
        翟振武在2014年3月的《人口研究》上发表论文解释了为什么不能全面放开二胎:生了1个孩子的15-49岁妇女有1.52亿,60%-70%有生二孩意愿,全面放开二胎的话,将累计多出生9700万人,每年出生人口峰值将达到4995万,生育率将达到4.5。
        从实践看,2014年1月17日开始各省陆续实行单独二孩政策,截至9月30日,全国只批准单独二孩申请70多万例,并且申请人数在逐月递减。补偿性出生在1-4年内以4:3:2:1的比例释放,那么每年多生54万、40.5万、27.0万、13.5万人,合计只会多生135万人,远低于翟振武课题组所预测的1000万。
        2014年11月,翟振武在《国家行政学院学报》发文改口称全面二孩每年会出生3100-3850万。
    2014年12月,翟振武在《北京日报》发文改称全面二孩后新生儿峰值不会超过2100万。
    实践情况是,根据2018年1月18日国家统计局公布的数据,2017年我国新生儿1723万,比2016年减少了63万。

    杜钢建:英语起源于湖南省英县

    杜钢建,曾任中国人民大学法律系副主任、国家行政学院教授、浙江工商大学“西湖学者”、汕头大学法学院院长、湖南大学法学院院长;十六大报告的起草人之一、国务院机构改革方案的直接参与设计者。

    2020.5 刘国敬、刘雅文 信仰战胜疫情

    张成岗 等:通过靶向肠道菌群调控提高廉政文化效率

    张成岗:军事医学科学院研究员

    2018.11 李建标 等:面像与银行绩效

    2018年11月北京师范大学经济与工商管理学院和厦门大学管理学学院联合主办“第二届神经会计学与神经管理学学术研讨会”会议论文,作者系南开大学商学院教授李建标等。

    2018.10 陈天嘉:《中国传统文化对蟋蟀身体与战斗力关系的认识》

    该文2018.10发表在《自然辩证法通讯》上。

    2017年及以前,胡鞍钢系列国情研究报告证明中国超越美国

    清华教授胡鞍钢通过一系列国情研究报告证明:“中国现今的六大实力发展,已进入全面赶超、主体超越美国时期——其中前三大实力早已超越美国。具体表现为:中国在经济实力(2013年)、科技实力(2015年)、综合国力(2012年)上已经完成对美国的超越。到2016年,经济实力、科技实力、综合国力分别相当于美国的1.15倍、1.31倍和1.36倍,居世界第一。”

    2017.11 王军 等:给母亲扎针,就能给孩子治病

    该文2017.11 发表在《中国针灸》上。

    2017.6.16 董云帆 等:中医诊治理论诊断航空发动机故障

    该文见于2017年6月16日重庆第26届测试与故障诊断技术研讨会“会议资料”。

    2016.1 张如柏 佛教起源于中国

    2016.1 钱明:马云的骨髓里有王阳明的DNA

      该结论出自浙江社科院教授钱明的论文《梦中的‘王马’——对古今‘奇人’的对话与互证》(“对”字前疑似少了一个“一”字),论文刊登于2016年第1期的《贵州大学学报》。
    这是一篇近九千字的文章,作者在“梦中”对明代的王阳明和当代的马云进行了一番比较,然后认为:“在我们的‘梦’中,公元1529年1月9日凌晨,王阳明病逝于江西大余青龙镇赤江村章江上的一条船上,与485年后的2014年9月19日北京时间凌晨,马云创办的‘阿里巴巴’在美国纳斯达克股票市场上市,这看似两件完全不搭界的事,从思想文化史的角度解读,却有其内在关联性。”这个“内在关联性”是什么呢?就是:“在马云的骨髓里有王阳明的DNA, 马云的成功, 从某种意义上说是王阳明基因转换和重组的结果”,“互联网电商‘随时随地’的特性与王阳明所认同的‘随处体认’的宗旨可相互联通”。

    2013.10 徐中民:导师的崇高感与师娘的优美感

    2013 周海兵:《西游记》中的中国古代微积分思想

    周海兵.从《西游记》看中国古代微积分思想[J].高等函授学报(自然科学版),2013,26(02):66-68.

    2007.5 武汉大学召开卡扎菲思想研讨会

    2005年 超弦理论和基因组学用于中医阴阳理论新论

    2003.06中科院上海药物研究所:洁尔阴洗液预防非典

    1995.3.14 陈章良:从恐龙蛋中提取DNA片段

    项目主要参与人有陈章良和古生物学家张昀。陈章良为《恐龙遗传物质(DNA)研究》项目负责人(专项基金项目,北京大学为依托单位),陈章良发表了相关文章并召开记者招待会宣布克隆到恐龙基因。张昀1998年在《自然》和《科学》杂志上发表了相关文章,且《自然》的文章插图被当成重大发现而被选作封面。1996年,美国华盛顿大学任教的饶毅在《中国科学报》发表文章称:帕伯的研究结论是:在温带地区(如埃及),DNA保留以几千年为限,在寒冷地区,DNA保存期以十万年为限。超过这些期限的DNA,一般被降解的不再能被检测到了。
    斯万特·帕伯(Svante Pääbo)因相关研究获2022年诺贝尔。

    “外气”:抑制肿瘤细胞、水稻育种等

    《气功外气的抗肿瘤作用及增强免疫功能机理的实验研究(一)——气功外气对体内抗肿瘤转移的作用》(《自然杂志》1989年第3期)

    《气功外气的抗肿瘤作用及增强免疫功能机理的实验研究(二)——气功外气促诱生抗癌淋巴因子的作用》(《自然杂志》1989年第4期)

    《气功外气排胆结石B超动态的初步观察》(《气功杂志》1990年第2期)

    《水稻人体外气育种技术研究》(《中国人体科学》1997年第4期)

    《气功“外气”作用下癌细胞(BEL—7402,SPC—A1)ATP含量的变化》(《中国人体科学》1999年第2期)

    《气功外气对化学振荡的影响及“空间累积效应”的实验研究》(《中国人体科学》1993年第3期)

    《气功修炼与人类基因表达》(《中国人体科学》2000年第2期):作者提出“分子气功学”的概念,并认定“外气改变生物分子构象”已经是一个被证实了的“事实”。

    论文多发表于《中国人体科学》《自然杂志》等刊物,以及各类中医药学术期刊(如《上海中医药》杂志),其研究结论可以总结为一句话:特异功能与气功能做到任何事情,上至灭掉太空里的卫星,中至灭掉大兴安岭火灾,下至灭掉体内的肿瘤细胞。

    本文作者:曹雪涛

    在论文《水稻人体外气育种技术研究》中,作者认为,“外气”不但能作用于人体,同样也能作用在植物身上,向水稻发送“外气”,搞“外气育种”,可以使水稻“产生遗传变异,获得新的生命体”,“具有快速、简易经济、高效的特点,是育种学领域的新创举”。

    1980-90年代,特异功能:找矿、对敌国进行政治暗杀等

    《特异功能在军事上应用》(《国防》1988年第7期)宣称,特异功能是重要的国防力量,至少有三大用处:(1)“利用’千里眼’搜集情报”。(2)“利用思维传感进行通信”。(3)“利用意念制动从事暗杀和破坏活动”。

    《“魂”与人体特异功能关系初探》(《成都中医学院学报》1989年第3期)

    《意识、物质、量子力学与人体特异功能》(《医学物理》1989年第4期)

    《用微观实验手段研究人体特异功能使物体穿过器壁的现象》(《原子能科学技术》1990年第1期))

    《略谈“特异功能找矿”》(《地质科技情报》1991年第2期)

    《从人体感官的同一性和进化观点看“非眼视觉”的现象》(《中国人体科学》1993年第4期)

    《从人体感官的同一性和进化观点看“非眼视觉”的现象》(1993)从“耳朵认字”入手,得出“研究结论”认为人类在孩童阶段存在着“非眼视觉”,且这种“非眼视觉”有着超人的透视、感知功能。

    《特异功能对微生物细胞发育的影响》(《牡丹江医学院学报》1994年第1期)

    论文《“魂”与人体特异功能关系初探》的研究结论是,“魂”是真实存在的,就在人的眼睛里,“魂”可以通过眼睛对外发射能量。

    《略谈“特异功能找矿”》一文的作者之一孙舸,自认具有“脑中成像”的特异功能,可用于矿藏勘探,于1988年被中国地质矿产部免试特招进入中国地质大学(武汉)地质矿产系,后就职于中国地质大学人体科学研究所(北京),从事“用特异功能找矿”(诗人海子迷恋气功也与之有关)。论文声称,他们通过“20多次实验”,已经证实“特异功能找矿”可行,且具有速度快、省人力物力的优点,且预言道:“在传统的地质工作中配合’特异功能找矿’ , 必将使地质工作出现一个新局面。”

    严新:气功功法中国首批获国家体育总局批准注册

    严新与中国科学院、清华大学等机构合作,进行气功在物理、化学中应用的研究。1987年8月,清华大学将与严新作实验的6篇论文提交中国气功科学研究会,钱学森(1986年气功研究学会成立,任名誉理事长)在《稿件审查意见书》上写道:“此稿内容为世界首创,确实无可辩驳地证明了人体可以不接触物质而影响物质,改变其分子结构。立即发表,及时向全世界宣告中国人的成就!”

  • 张维迎:关于“语言腐败”

    语言腐败的危害

    腐败一词,是当今中国使用频率最高的词汇之一。百度搜索,有关腐败的新闻就有近百万条。腐败的种类五花八门,政治腐败、官员腐败、公司腐败、司法腐败、学术腐败、教育腐败,甚至足球腐败……举不胜举。但有一类更为普遍、其危害性也更为严重的腐败,却并没有受到足够的重视,这就是语言腐败。

    所谓语言腐败,是指人们出于经济的、政治的、意识形态的目的,随意改变词汇的含义,甚至赋予它们与原来的意思完全不同的含义,忽悠民众,操纵人心。语言腐败的典型形式是冠恶行以美名,或冠善行以恶名。轰轰烈烈的重庆“打黑”就是一个典型的例子。“黑社会”本来指的是有组织的犯罪活动,无论任何社会,打击此类犯罪活动都是正当的,很少人会反对。但我们现在知道,在重庆的所谓“打黑”运动中,“黑社会”可以扣在任何当权者不喜欢的人和企业头上,所以“打黑”变成了“黑打”,变成了侵犯人权和私有财产的政治行为。

    事实上,极左的东西之所以能流行,有市场,有人追随,一个重要原因就是其中一些人士善于语言腐败。在这方面,“四人帮”可以说达到登峰造极。他们把摧残人性、毁灭文化的行动,说成是“文化大革命”;把政敌说成是“走资本主义道路的当权派”;把整人说成是“整风”;把不经正当法律程序就剥夺人的自由的监禁称为“劳动教养”;把任何反对他们的人说成是“反革命分子”;把1976年清明节悼念周恩来、发泄对他们不满的民主运动说成是“反革命暴乱”;把含冤而死的人,说成是“自绝于人民”;把闭关锁国说成是“独立自主”,把学习国外的先进技术和文化说成是“崇洋媚外”;如此等等,不胜枚举。

    在“四人帮”的词典里,所谓“国家利益”,实际上指的是他们自己的私利;所谓“爱国主义”,指的是对他们小团体的愚忠;所谓“人民”,指的是追随他们的一小族人;所谓“反动势力”,指的是任何对他们不满的人。正因为他们善于语言腐败,他们的倒行逆施才能持续十年之久,而他们的政治语言仍然在影响我们的生活,以致在他们垮台30多年后,他们的阴魂还可以在“唱红打黑”的旗号下复活。

    语言腐败这个词并非我的杜撰,它最初是在英国作家乔治·奥维尔于1946年的一篇文章中提出来的,现在已成为政治哲学理论中的经典术语。语言腐败的现象自古有之,但应该说,只是在20世纪之后,特别是希特勒和斯大林之后,才变成社会公害。奥维尔本人的作品《一九八四》为我们提供了许多经典的例子:专门制造假新闻的部门被冠名为“真理部”;监督、逮捕和迫害异己人士的秘密警察被冠名为“友爱部”;发动战争的部门被冠名为“和平部”……真理就是谬误;和平就是战争;无知就是力量。这当然是小说里的事情,但与现实相距也并不远。北朝鲜的国名是“朝鲜民主主义人民共和国”,前东德的国名是“德意志民主共和国”,埃及前总统穆巴拉克领导的执政党叫“民族民主党”,突尼斯前总统本·阿里的执政党叫“宪政民主联盟”。真是令人啼笑皆非!

    语言腐败在当今中国已到无以复加的地步。任何一个心智健全的人,只要闭上眼睛想一下,就可以想到许多例子。诸如真理、事实、谣言、道德、民主、法治、自由、人权、宪法、选举、国家利益、爱国主义、改革、宏观调控、现代企业制度、董事会……这些词汇在一定程度都被腐败了,甚至腐败这个词本身也已经腐败了。当某个官员说他是人民的“公仆”时,他实际上可能是说,权力在他手里,你得听他的。以“改革”为例,它的本意是废除计划经济体制、建立市场经济的措施,改革意味着政府要放松对经济的控制,给百姓更多的从事经济活动的自由。但最近几年,一些政府部门却把加强政府对经济的控制、限制商业自由的反改革政策称为“改革”,甚至是“进一步深化改革的措施”。宏观调整本来指的是总量上的放松或抽紧,而我们现在所谓的“宏观调控”经常指的是对经济活动的微观干预,包括准入限制和价格管制。国有控股公司宣称已经建立了“现代企业制度”,而事实上他们的董事会连选择副总经理的权利都没有,何谈现代企业制度?

    语言腐败有什么严重后果?至少有三个:

    首先,语言腐败严重破坏了语言的交流功能,导致人类智力的退化。人类创造语言,是为了交流,人类的所有进步都建立在语言的这一功能上。为了交流,语言词汇必须有普遍认可的特定含义,语言腐败意味着同一词汇在不同人的心目中有不同的含义,语言变成了文字游戏,使得人与人之间的交流变得困难。

    语言腐败使得我们越来越缺乏理性和逻辑思考能力,我们的大脑在萎缩,我们的文章越来越变成口号的堆砌,我们越来越习惯于以权压人或简单顺从,而不是以理服人和平等讨论。比如同一个文件中,以X为主导,以Y为主体,以Z为基础,但谁也说不清楚它们之间是什么关系。我们的文章越来越长,但包含的信息量越来越少。一个工作报告动辄一两万字,还要有人再写出数十万的辅导材料,仍然让人不知所云。这是人类智力和物质资源的双重浪费。全国有数十万高智商的人全职做文字游戏,还有数百万人兼职做文字游戏,生产出不计其数的文字垃圾,不仅污染了人类的心灵,也浪费了宝贵的物质资源,污染了我们的生活环境。

    第二,语言腐败导致道德堕落。人类道德的底线是诚实,语言腐败本质上是不诚实。就人类本性而言,说假话比干坏事在道德上更具挑战性。法院判决书经常有“罪犯对所犯罪行供认不讳”这样的话,说明即使一个人敢于做坏事,我们还相信他在事实面前不敢说假话。西方法庭上证人出庭作证,如果对方律师能证明证人是经常说谎的人,他的证词就不会被采纳。以此标准,我们的社会很难找到合格的证人。

    美国独立战争期间的思想家托马斯·潘恩(ThomasPaine)在《理性时代》一书中讲道:

    “为了人类的幸福,一个人在思想上必须对自己保持忠诚,所谓不忠诚不在于相信或不相信,而在于口称相信自己实在不相信的东西。”

    “思想上的谎言在社会里所产生的道德上的损害,是无法计算的,如果我可以这样说的话。当一个人已经腐化而侮辱了他的思想的纯洁,从而宣扬他自己所不相信的东西,他已经准备犯其他任何的罪行。他做宣教师是为了自己的利益;并且为了获得做这个职业的资格起见,他必须从撒大谎开始。试问我们能否设想还有什么事情比这一个对于道德的破坏更大呢?”

    一句话,要让一个说假话脸不红的人干坏事时反倒脸红,实在是太难了,即使不是不可能的。由此来看,我们的官员腐败如此严重,我们的假冒伪劣产品如此之多,我们的社会道德如此堕落,就一点也不奇怪了。成天假话连篇的官员,在接受贿赂和以权谋私方面是不可能有道德约束的。现在的腐败官员被抓起来后,可能会感到后悔,感到运气不好,但在法庭上你很少看到他们有羞耻感。当某些政府官员中语言和行为双重腐败泛滥时,生产假冒伪劣的商人也会很难觉得自己做了亏心事。要让在谎言中接受教育和生活的人有社会公德,实在是难上加难。

    潜规则已成为当今社会腐败的重要形式,官员干任何事都得拿回扣已是公开的秘密。而潜规则在我们社会之所以如此盛行,一个重要原因是语言腐败。语言腐败使明规则形同废纸。

    第三,语言腐败导致社会走向的高度不确定和不可预测性。语言的一个重要功能是传递社会运行状态的信号,在语言严重腐败的情况下,信号就会严重失真,结果是,当一个社会事实上危机四伏的时候,我们还以为天下太平,对大难临头茫然不知,任何突发事件都可能导致整个体制的突然坍塌。20多年前苏联体制的解体和最近发生的中东巨变,就是非常典型的事例。

    中国未来的改革和发展,以及社会稳定,很大程度上依赖于我们能在多大程度上解决语言腐败问题。两千多年前孔子讲:“名不正,则言不顺;言不顺,则事不成。”反语言腐败就是要正名,恢复语言词汇本来的含义。比如既然称为“人民代表”,应该真正由人民选举产生,选举必须公开透明,必须是竞争性的,必须真正反映选民的意志,而不是被有关部门操纵。如果确实做不到这一点,就应该使用新的词汇,如用“政府官员席位”、“名人席位”、“社团席位”等等取代“人民代表”。

    纵观历史,横看中外,语言腐败的程度与言论自由和出版自由有密切关系。我相信,如果我们能真正执行宪法第三十五条,实行言论自由和出版自由,至少可以消除50%的语言腐败,而这50%是危害最大的,剩下的50%就其危害性而言无足轻重。如果我们能消除这50%的危害最大的语言腐败,就有希望消除80%的官员腐败,我们的政府就会廉洁起来,我们的道德风尚就可以大大改善。

    语言腐败导致道德堕落

    “改革”这词本身已经腐败了

    我们现在日常生活中使用的大量词汇,基本上都腐败了。甚至我们经常说的“改革”,这词本身已经腐败了。因为我们看到有一些政府部门,它讲的是改革,实际上做的事是反改革

    腐败这个词我们都已经非常熟悉,但我们更经常谈的是官员腐败、政治腐败。我认为有一类腐败,它可能比其他的腐败更普遍、更严重。这就是我说的语言腐败。语言腐败是什么含义?简单说就是人们出于政治的或者意识形态的目的,形成一些语言词汇,附加一些不同的含义,甚至是完全相反的含义,然后就可以忽悠听众,达到某一种目的。

    举一个简单的例子,好比我们现在知道的“打黑”。黑是什么意思?黑的一般定义就是有组织的犯罪,那么打黑当然我们都会拥护,没人说反对打黑。但是,语言腐败就意味着拿这个词过来之后,赋予了它完全不一样的含义。最后我们发现打黑就可能变成一个消灭异己的力量,自己不喜欢的人,就可以打击他。

    语言腐败不是个新现象,从古到今就有。看我们历史上讲的话,看过去的儒家,其实儒家这个概念在传统社会有一定的腐败性。腐败在哪?就是在儒家的概念里塞进了好多法家的东西,王道里塞进去好多霸道。

    有一个很有意思的例子,就是在汉朝的时候,汉宣帝刘询,他是比较残忍的一个皇帝。他儿子看不惯,给他建议说,陛下持刑太深,应该用儒生,也就是用儒家的稍微比较人性化的一些手段。汉宣帝怎么回答的?汉宣帝说,汉家自有制度,本以霸王道杂之,奈何纯任德教。就是说我们汉家统治天下,实际上我们用的是霸王道杂之,什么有用就用什么,很实用主义。

    当然,语言腐败在过去我觉得可能没有这么严重。到了20世纪之后,变得严重起来了,为什么?20世纪世界上出现了最为集权的一些国家。这些最为集权的国家,它怎么去运行?它就必须借助于语言腐败的手段。好比希特勒,我们知道希特勒的纳粹,纳粹的意思是什么?叫国家社会主义。因为社会主义在人们心目中是一个很好的词,希特勒也借过来,变成一个国家社会主义。但我们都知道希特勒真正干的是什么。另一个我们知道,在苏联,在斯大林的这种集权体制下,语言腐败也是非常严重。

    语言腐败这个词不是我提出来的,是1946年英国作家乔治-奥威尔提出来的。他写过一本非常有名的书,这本书就叫《1984》。在这本书里有好多语言腐败的经典例子。好比说这个社会政府专门负责造假新闻,这个部门叫什么部?叫真理部。专门负责秘密警察,负责逮捕人,迫害异己人士的部门叫什么?叫友爱部。专门负责发动战争的部门叫什么?叫和平部。所以你看它的这个词和它实际干的事完全不一样。

    这个现象在现实当中也很多。原来的东德,它也是一个专制国家,它叫什么?它叫德意志民主共和国;去年刚刚下台的突尼斯总统阿里,它的执政党叫什么?叫做宪政民主党;埃及穆巴拉克的党叫什么?民族民主党。所以我们就看到,它这个国名和它的实际是完全相反的。而且我们发现很有意思,世界上普遍存在一种专制型的组织,它们特喜欢用民主这样一个名字。

    对我们中国来讲,我就觉得语言腐败可以说到了无以复加的地步。我们现在日常生活中使用的大量词汇,基本上都腐败了。甚至我们经常说的“改革”,这词本身已经腐败了。因为我们看到有一些政府部门,它讲的是改革,实际上做的事是反改革。这是一个典型的例子。

    为什么会发生语言腐败

    语言腐败的本质是说,它要捍卫那些本质上没法捍卫的东西,或者它要假装做那些它本身并不想做的事。语言腐败的典型形式就是冠善名以恶行,名字很好听,但是做的东西完全不一样

    为什么会发生语言腐败?语言腐败的本质是说,它要捍卫那些本质上没法捍卫的东西,或者它要假装做那些它本身并不想做的事。这意味着使用语言腐败的这些人和普通大众之间有一种冲突。每一种语言其实都包含着价值判断和道德含义。久而久之在历史当中形成的语言,在人们当中就有一个特定含义。如果你要做另外的事,与人们对是非的判断、价值的判断相反的话,那你没有办法直接去号召人做。所以你一定要借助人们已经形成的这样一些善的语言,来表达你想做的可能是恶的东西。

    语言腐败的典型形式就是冠善名以恶行,名字很好听,但是做的东西完全不一样。好比我刚才讲的民主,人类的这种共同价值,我们没有办法直接去否定它,那怎么办?我们就要不断地修改含义。我们知道在文革期间,或者还在更早之前有这种情况。谈民主,那么有人就会说,有资产阶级民主,有无产阶级民主。首先就把民主的含义改掉。什么叫无产阶级民主?无产阶级民主就是对人民民主,对敌人专政,它不专政你,你就是人民。人民和敌人的含义也就完全改变了。

    再举一例,好比说革命。因为在我们长期的闹革命过程当中,革命就是褒义词,革命就是好的。所以我们看到在文化大革命期间,甚至在之前,出现这样的情况:凡是我们不喜欢的东西,人和行为,我们都说它反革命,其实意思可能完全相反。我们说革命的含义是推翻一个旧的政权,改朝换代,这就是革命。本来他的行为是革命,但是在我们这变成了反革命,就是因为革命这个词它已经有了特定的含义。那怎么办?就只好去修改它的本质内容。

    还有就是说,我们人类判断好多事物,我们没有办法直接亲身经历这些事物。那我们靠什么?靠语言传递。比如我们今天看新闻看报纸,在美国发生什么、欧洲发生什么。我们完全是靠语言给我们传递这种信息。我们很难看到真正的事情是什么。这时候也就给语言腐败提供了一个可能性。语言传递的东西你接受了,但是你看不到真实的现象,所以你就可能相信这些事,所以这种语言腐败就可能了。这个从学术来讲类似于信息不对称,就是他主张的这方知道的事情,我们一般人不知道,不知道之后呢,他就容易来忽悠我们。

    语言腐败为什么会发生?我再强调一下,就是语言里面都包含着价值判断,包含着道德判断。没有人敢公开地对这些善的好的行为进行直接地抵制,他就变相地用语言腐败来抵制它。

    语言腐败使语言失去交流功能

    语言腐败会导致人们的逻辑思维能力,或者理性思考问题的能力大大地退化。在讨论好多问题上,我们经常用口号代替论证,代替分析

    语言腐败有什么后果?这是我最关心的问题。有些语言腐败可能后果并不那么严重。但是我要讲,特别是在社会政治方面的语言腐败,它的后果会非常的严重。总的来讲,语言腐败大体有三个严重的后果。

    第一个后果就是它使得语言失去了交流的功能。人类为什么需要语言,是要交流,所以我们编了一些词汇。这是马,那是牛,这是羊,那是狗,我们每指一件东西它都有特定含义。当我说我买了两只羊,你就知道我干了什么事。但是语言腐败之后,它就使得语言的这种交流的功能大大地丧失。

    现在你看文件越来越厚,但里面包含的信息量越来越少。我们经常在我们开某一次会以后,出个什么文件,然后又组织好多人去辅导。按理说一般有文字阅读能力的人,有知识的人都应该能看明白,但事实上我们没有办法看明白,就因为这文件里包含着好多的词汇,它与它本身的含义是不一样的。

    与此相关,语言腐败会导致人们的逻辑思维能力,或者理性思考问题的能力大大地退化。在讨论好多问题上,我们经常用口号代替论证,代替分析。我们现在的这些文件,甚至号称学术性的东西,就是因为语言腐败之后,语言的这种交流功能丧失了,然后使得大家就去喊口号,不进行逻辑论证。

    长此以往下去会怎样?会对这个国家这个社会的科学发展带来伤害,特别是人文社会科学。当我们没有理性,没有逻辑分析能力的时候,科学是没有办法进步的,但在这样一种语言腐败严重的情况下,这种能力就慢慢丧失了。

    语言腐败导致道德堕落

    语言腐败可能是最大的道德堕落。当一个人可以任意说谎时,你不可能再使他在做其他坏事的时候还有什么大的心理障碍。这在我们国家已经太普遍,不光政府官员,几乎每一个人,包括学术界

    第二个方面我觉得可能更为严重,就是语言腐败导致道德堕落。道德是什么?道德其实是一种人的行为规范。道德的底线是什么?诚实,就是我们说真话,这是一个基本的道德要求。语言腐败是什么?语言腐败就是不诚实,实际上就是说假话。

    当人们养成说假话的习惯之后,人们的道德底线其实就没有了。为什么这么讲?这可能有一些心理学的原因,我本人没有能力完全回答这个问题。但我在思考这个问题。就是说人们说假话时,他受到的心理挑战,可能比人们干坏事时还要大。为什么这么讲?我们看到法庭上说某某犯罪,对犯罪事实供认不讳,那是什么意思?就是这个人敢干坏事,但是他居然不敢不承认他干了坏事,就是说我们仍然会相信他说的是真的。

    在西方法律有这样一个规则,一个证人出庭作证,他可能指控了嫌疑犯什么事,如果对方的律师能够证明这个证人是经常说谎的,他的证词就没有用了。如果我们国家要按这个标准的话,我们找不出几个证人来,几乎每一个证人你都可以证明他过去说过谎。

    说谎,或者说语言腐败,它解除了人的道德约束。美国独立战争时期的思想家托马斯-潘恩有这样一段话,他说为了人类的幸福,一个人在思想上必须对自己保持忠诚。所谓不忠诚不在于相信还是不相信,而在于口称相信自己实际上并不相信的东西。他说思想上的谎言在社会里所产生的道德伤害是无法计算的。当一个人已经腐化到侮辱他思想的纯净,从而宣传他自己根本不相信的东西的时候,他已经做好了干任何坏事的准备。

    所以说语言腐败可能是最大的道德堕落。当一个人可以任意说谎时,你不可能再使他在做其他坏事的时候还有什么大的心理障碍。这在我们国家已经太普遍,不光政府官员,几乎每一个人,包括学术界。

    我举一个例子,我们好多学生要出国申请留学,就请老师给写推荐信。本来推荐信应该只有这个老师对这个学生比较了解,而且他要说的是真话,这个学生好就是好,不好就是不好。但我们看我们中国的推荐信,不认识的人只要找一个关系,说谁谁谁的孩子,要出国你给写一个推荐信,那好多老师就给他写了。我们没有觉得这是一个道德问题。

    其实这是一个非常严重的道德问题,就是说我们经常在撒谎。当老师经常这样做的时候,那我们有什么资格教育我们的学生要诚实守信?而且当这样的一个学生找过这样的老师,他知道老师帮他说了一大堆跟实际不符的好话的时候,他内心是不是对老师有真正的尊重?我想是没有的,在表面上可能是非常感谢,但在内心他并没有尊重。

    比如大家认识的某一个人现在变成一个贪污犯,被抓起来了,好多人对他是同情的。在他原来这些朋友里他没有觉得有什么丢人的,他只是觉得他运气不太好。大家都觉得他怎么这么倒霉,被抓起来了,没有任何道德的谴责。还有普通老百姓,像几个月前的小悦悦事件,在广州发生的,那么多人路过之后熟视无睹,为什么?大家都冷漠了。这个社会由语言腐败导致的一系列的道德堕落非常得严重。

    中国要真正解决道德堕落问题,反语言腐败是一个非常重要的方面。大家基本上不说假话的时候,我们才真正有了一个道德的底线,然后我们才可能完成我们其他方面的社会治理。

    我们中国还有一个问题,就是潜规则特别盛行。为什么潜规则盛行?当你语言腐败严重的时候,所有明的规则大家都知道那已经是废纸,只是说给人听的。我们实际的行为一定是按照潜规则来做。纸上说的东西,我们知道它不代表真实要做的东西,反过来,真实想做的东西,我们并不在纸上说。这就形成了潜规则大量的盛行。潜规则本身也可以说是社会道德堕落的一个重要方面。

    语言腐败使体制高度不可测

    语言腐败使得社会当中存在的问题矛盾,我们平时是熟视无睹的。这些问题一旦暴露之后,我们已经来不及收拾它了。本来矛盾重重了,我们还觉得莺歌燕舞

    第三个语言腐败的严重后果是什么?就是它使这个体制变得高度的不可预测。为什么?语言本身有一个信号的功能,你这人病了,那就表明你身体里面紊乱了,出问题了,那我们就去治它。但是如果病这个词本身被腐败以后,我们身体病了,你并不认为自己身体有毛病。语言腐败就类似我们一个人的神经系统已经不能敏感地反映出他实际存在的问题。好比说你有病了,头也不发烧,哪儿都看不出来,就是类似一种亚健康的状态。在这个情况下,可能这人突然之间他就死了。因为他原来有病我们并不知道。

    制度也是这样,语言腐败使得社会当中存在的问题矛盾,我们平时是熟视无睹的。这些问题一旦暴露之后,我们已经来不及收拾它了。本来矛盾重重了,我们还觉得莺歌燕舞。

    这有好多的例子。你看突尼斯,它就是一个小商贩的一个事件,导致了整个政权的垮台。再往前,像20年前,苏东发生的事情,齐奥塞斯库从大家喊他万岁到喊打倒他,就是几秒钟的时间。所以这个体制的不可预测性,我觉得是非常危险的。如果它不可预测,任何事情,任何一个小的事件都可能导致整个体制的坍塌、崩溃。

    我想我们必须认识到,语言腐败的三个后果,对中国未来是非常重要的。但语言腐败有没有一点积极的作用?在一种特定的情况下,人们为了往前走,有时候也得用一点语言腐败。

    举一个例子,我们在80年代的时候,我们提出知识分子是工人阶级的一部分。知识分子就是知识分子,工人阶级就是工人阶级,但我们为什么要这么讲呢?因为在经过十年文革之后,人们脑子里就是,工人阶级是领导阶级,知识分子是臭老九。政府想了好多办法要改善知识分子的待遇,要对知识分子进行公平的对待。阻力很大,怎么办?我们就修改定义,说知识分子是工人阶级的一部分。既然是工人阶级的一部分,知识分子就不是臭老九了,就变成领导阶级了,因为我们国家工人阶级是领导阶级。就是说语言腐败也有一定的作用。

    但是长期来讲,任何语言腐败,导致的其实都是负面的后果,越到最后我们越没有办法自圆其说。

    消灭一半语言腐败可消除80%官员腐败

    如果我们能够消灭掉一半的语言腐败,这一半可能是最重要的一部分语言腐败,那我们讲的官员腐败,我估计80%都可以消除

    语言腐败不能完全消灭,全世界都有语言腐败,我要强调一下美国。像美国政府在去年它要多发票子的时候,它不会说多发票子,它叫什么?量化宽松政策。这就是语言腐败。量化宽松政策其实就是印票子。

    最后,我特别想讲的就是,我们怎么更正这个语言腐败?孔子早就讲了,名不正则言不顺,言不顺则事不成。我们能不能解决语言腐败问题,其实涉及到我们能不能真正走一条对中华民族有利的正确的道路。怎么解决问题?解决语言腐败可能需要有一个思想市场。在这个前提下,好多语言腐败其实就可以得到纠正。

    如果我们能够消灭掉一半的语言腐败,这一半可能是最重要的一部分语言腐败,那我们讲的官员腐败,我估计80%都可以消除。然后我们道德的建设就会逐步跟上来。当我们发现我们都是真诚的,当我们的官员不胡言乱语的时候,那我相信,我们的企业界,他的行为都会有一些改变。

  • 汉字的发展是一个不断逻辑化的过程

    词与短语是现代华语发展的必然路径,但汉字仍然有着重要的位置。

    汉字的源头目前尚不清楚。当然,在古典主义的话语中,这项功劳归为了一位无法稽考的圣明——仓颉。不过,从逻辑上看,汉字的成熟显然与神职阶层更为相关,那是在商朝——中国一个极度重视鬼神的时代。无论如何,汉字的发明是一件伟大而重要的事情,文学式的描述是:在仓颉创造出汉字之际,上天撒下粟,夜晚有鬼为之哭泣——这意味着文字的发明使得人类整体可能拥有了超越自然束缚的力量。可见仓颉是一个了不起的人——如果他真的存在的话,他一定在这种文字的发展过程中做了些什么,如改革结绳记事、整理零散的符号等形成较规则成熟而丰富的体系,使其成为更好的传载工具,把那些原来只为上苍所眷顾的少数人所掌控的信息,交给了更多人,而使得那些居于大众之上的精灵为之伤心。

    上苍总是把创造的天赋交给少数人,文明的先祖们留下了众多充满艺术味道的图形,他们在追求些什么呢,崇拜、信仰?期望永恒或只是传递信息?难以稽考,但其中一部分成为了文字,用于记录我们的声音和思考。

    由声音到符号、由具体的形象到抽象的符号,文字在这些混杂中发展起来的。人类的交流也是如此,由声音发展到符号,直到这个世界挤满了符号、图像和音频、视频……,其中文字的步伐还是坚定有力的。不同的文字向前缓慢的发展着,有的走的很快很远,有些却步伐平缓,比如汉字就是在象形的基础上逐步加入不同的指事和音符。因此,行走在东方土地上的文字仍携带有一些远古的密码,这让它显得和诸多表亲不太一样。比如汉字“日”,稍加变形,就可以看到天上伟大的太阳;稍加延伸,就能体会到“木”并而立成“林”的意象。

    汉字总体稳定的延续了几千年,这是人类文明中的稀罕事。文化发展,其文字形体的统一和简化是必要的,比如距今两千多年前,秦始皇就曾成功的作此努力(汉字的母体其实是统一的)。在现代简化汉字之前,较为标准的字型“繁体字”也有着千余年的历史。

    汉字经历多次形体变化直至“繁体字”成为第一个标准正字体系之后,囿于传播技术的限制,加之后人随意的创造,汉字总量发展到约有十余万之余,源芜流杂,而实际有效的“高频字”并不多(3000左右)。其中一个典型例子是,中国唯一的一个女性皇帝武则天据说就改变了17个字(或19个字)的写法,但都没有被后来人接受,现在唯一能见到的是她自己创造的“瞾”字,然而这个字并没有多大意义。

    人类每前进一步,总少不了带上人性的笨拙。汉字的发展也是这样,毫无意义的繁复和随心所欲的简略、过度的创造带来了一系列问题。其一是笔画繁琐,如“鬱(郁)、龜(龟)、纔(才)、體(体)、籲(吁)、亂(乱)、竈(灶)”等。其二是一字多形、一字多音、一字多义等问题。其三是部分汉字构造的随意性。关于汉字的构字逻辑较有代表性的说法是许慎在其《说文解字》中提出的“象形、指事、形声、会意、转注、假借”等造字用字的“六书”说,但显然这一学说只是对既往的简单归纳。而比较合理的汉字的建构逻辑应是:象形、抽象(纯粹的单体表意符合)、合意(通过指事、会意、通假等形成的合体表意符号)、合音(音和意或形的混合体)这四大类。上述问题均增添了学习者的烦恼。

    由此,文字的简化与逻辑化是必要的。古英文和现代英文就有较大的差别,即便是通行度极高的现代英文也还有简化和逻辑化的必要。现代汉字所经历的最大一次变革就是“简体字”,但从各种争议来看,这次简化无疑有些匆忙。华语需要更能普遍接受的文字基础,这一文字基础需既能保持很好的辨识度与审美,又能提升学习效率和使用方便,其中逻辑化是潮流的力量所在。

    从路径上来看,以现行简体字为主体,恢复部分繁体字,统一某些字形,加上适度的创造,简体字是可以成熟的,成为未来的标准字体。

    很多汉字的简化是比较成功的,且这些简化字已长期存在和应用于汉字体系中。那些意义越抽象、使用频率越高、参与构字越多的字,越适宜用合适的简体,如:“电、马、鱼、系、几、只、龙(龍)、鸟、应、书、画、华(華)、宁(寜)、关(關)、刘(劉)、厉(厲)、异(異)、汉(漢)、于(於)、爱〔愛,上下四体过于繁复〕、麦〔麥〕、报〔報〕、冈(岡)、后(後)、专(專)、体(體)、卫(衛)、边〔邊〕、灭(滅)、据(據)、惧(懼)、楼(樓)”之类。这些简化的来由或激活一些古异字,如“云、从、众、礼、无、尘”;或只保留原字的特征部份,如“声、习、县、医、务、广、条、余、凿、复、准、制、松、亲”等;或行书草书的楷化,如门(門)、农(農)、为(爲、為);或音旁替代,如极(極)、歷(历)、毕(畢)、态(態);或归并一些用法,如气(炁);即便是新创也是可以接受的,如帘(簾,1949年之后唯一新造字)。

    简化的结果单纯从技术上来看,据分析,化方案中2236个简体字平均10.3画,相应的2259(2261)个繁体字平均15.6(16)画,平均每个字减少5.3(5.7)画。简化还合理的消灭了部分异体字,如里(裏,裡),这也是一大进步。当然,简化可能会带来一字多义问题,在合理的范围内还是可以接受的,如:松(松樹,鬆散)、向(方向,嚮前、朱(朱红,硃砂)、党(党姓,政黨)、彩(彩色,綵丝)、才(才能,刚纔)、回(回首,迴旋)、伙(伙食,團夥)。

    但现行的简化方案并不完全合理,问题大约出在两个方面:一是过度简化,为了简化而简化;二是忽视了汉字的构字逻辑化。

    从前面的数据分析看,一个字的书写如果能简化5笔以上,是有较好价值的。低于此数的简化效果则需要具体辨析了,如:堕〔墮〕、趙〔赵〕、帥〔帅〕、師〔师〕、禍〔祸〕、烟〔煙〕、來〔来〕、東〔东〕、見〔见〕、貝〔贝〕、頁〔页〕、減(减)、涼(凉)、時(时) 國(国)、筆〔笔〕、長(长)、揀(拣)、風(风)、敵(敌)、冲(衝,沖)等,则属过度简化,意义不大。作为表形文字,过度简化还会降低形体上的区分度。也有少数低频字的简化灭失了其自身携带的文化信息,也不是很适合的,如聖(圣)。

    简化方案在推动汉字构造的逻辑化上做的还不够,如:郁〔鬱〕、坝〔壩〕、处〔処、處〕、灿〔燦〕、价〔價〕、坝〔壩〕、扰〔擾〕、板(闆,简化意义不大)等,找不到可信服的简化或创造缘由。可见,纯粹的“述而不作”也未必好。具体来说,存在以下问题。

    其一破坏了象形,比如:車(车)。象形是汉字最为基础的逻辑,如日、月等。保存基本的象形风格仍很重要,这是对文化的一种尊重。

    其二是对某些偏旁和写法的不必要简化或变化,如“金”“言”等;还有“衣”字旁变形也没有多大意义;而“月”已失“骨”意,肮〔骯〕就不易理解了。

    其三是存在以同一符号取代过多不同偏旁而降低了字理。如“×”代替的有:赵(趙)、风(風)、冈(岡)。其中“又”部替代了太多不同的字形,如鸡(雞)、汉(漢)、欢(歡)、仅(僅)、权(權)、凤(鳳)、邓(鄧)、戏(戲)、树(樹)、对(對)、轰(轟)、難(难)、聖(圣)等等。“又”部替代“漢”当是较合理的,因为这是一个高频字;轰(轟)这种简化也是可以接受的。

    其四是有些同构造的字未简化一致,这使得常用字被简化,割裂了其与低频字原本间的联系,增加了低频字的学习难度。如:

    袁:園〔园〕、遠〔远〕、溒(似可与“沅”合并)、辕,猿,媴,榬,褤,鎱、薳

    般:盘(盤)、磐、槃、鞶

    还(還)、环(環)、寰、鬟、嬛、缳、圜、澴

    扑(撲)、仆(僕)、朴(樸)、璞、蹼、噗、濮、

    燈〔灯〕、鄧〔邓〕

    仅(僅)、谨、 瑾

    牺(犧)、曦

    蜡(蠟)、猎(獵)、鬣

    歼(殲)、纤(纖)、谶

    伤(傷)、殇(殤)、觞(觴)、阳〔陽〕、

    梦(夢)、懵、甍

    声(聲)、馨、磬、罄

    跃〔躍〕(音形替代,yuè可统一为yào)、耀、曜、燿、矅

    彻(徹,该简化导致音变,意义不大)、澈、撤

    如果承认“猫(貓)”、“豬(猪)”等偏旁合成四足兽类简化的合理性,则必须将“豸”旁的其他字:豹、貀,豿,豾,貁,貒,貐,貑,貘,貔,貕,貖,貘,貔,貕,貖,貋,貍,貙,貗,貏等一并简化;以及:豗、豚、豜、豙、豛、豝、豘、豠、 豟、 豞、豢、豦、豣、豥、豤、豪、豨、豩、豧、豫、豮  豭、豱、豳、豲、豰、豵  豴、豶、豷;象是独体字则可除外。

    此外还有:礙〔碍〕,襖〔袄〕、標〔标〕、補〔补〕、層〔层〕、償〔偿〕、導〔导〕、敵〔敌〕、澱〔淀〕等等。

    其五是多字合一导致字义增加。这其中有些是成功的,如:并、並、併,厄、戹、阨,范(姓)、範,复、復、複、複,館、舘,尽、盡、儘,历、歷、曆,余(我)、餘,丑(子丑)、醜,丰、豐,岳、嶽,家、傢(具),朴、樸,仆(扑倒)、僕(人),术(苍术)、術,体(音同笨)、體,涂、塗,于(相关的“吁”部分用意以“嘘”代替较好)、於,刮、颳(风),漓、灕(江),帘、簾,等;有些却并不理想。如:

    采,採,寀,埰,棌:“摘取”的意义写作採;“卿大夫受封土地”之意作“寀”“ 埰”:寀地,寀邑;棌:栎树(柞树),棌椽。

    抄,钞,杪:“掠夺”,“抄写”之意用抄;“末尾”、“最后 ”之意用钞(杪),读miǎo,例词:教行于钞。

    冲,衝:古代是两个字:空虚、谦虚、年幼之意用冲(沖)。例词 :大盈若冲;谦冲节俭;方年冲貌……交通要道、冲击、向着、 对着之意用衝。例词:天下之衝;衝撞;首衝南方,要衝,衝水 ,衝動,衝撃。

    仇、讎:地名、姓氏用仇;仇恨、仇敵可用讎,報讎,讎人。

    斗,鬥(鬦,鬭):古代盛酒器、容量單位、星宿名用斗,例字 :北斗星、車載斗量、烟斗、斗膽、漏斗;争斗、战斗用鬥:鬥 牛士、鬥智鬥勇。

    干,乾,幹,榦:“天干地支”用干;“冒犯”“干预”用干 , 例词 :干戈;“干湿”用乾 例词:乾杯、乾旱,乾净,乾燥; “树干”用榦 例词:樹榦 、骨榦、榦流;“才干”用幹 例词: 才幹、幹活、幹練、幹部、骨幹。

    谷,穀:“山谷”用谷, 姓氏用谷;“粮食”、“俸禄”用穀, 穀子,稻穀。

    志、誌:“志氣”之意時用志;“雜誌”、“墓誌”等用誌。

    凭、憑(凴):“靠着”义项时用 凭,其余义项用憑 。例字: 怒发冲冠,凭栏处; 凭借用憑,例字:憑据,憑証,文憑。

    升、昇、陞:“容量名”用升;“太阳升起”用昇、升;“升官 、提拔升迁”在唐以前用昇、升,唐以后用陞。

    系、係、繫:“世系”、“系统”的意义一般写作系,农业農業 系統,歴史系;在“关联”、“连结”的意义上,一般写作係、 繫,如:維係,聨係等,係、繫可以通用;但作“提”讲,如把 水从井中“繫”上来,作栓、绑讲的,如繫馬,作拘禁讲,繫獄 ,则不能通用,只能用繫;“係”在书面用语中作“是”讲,如 鲁迅係浙江人、確係實情,也不可与繫通用。

    游、遊:凡有关水中的活动,一般只能用游;而有关陆地上活动 的,游、逰可以通用。游览、旅游则应用遊。

    郁、鬱:郁,有文采的样子,云、汽浓盛的样子,濃郁;鬱,树木丛生、茂盛 /忧愁,愁闷,鬱鬱葱葱;作人名時,如李郁周, 用郁而不用鬱;作姓氏时只用郁。

    札、劄:札,书信、书写的小木片;劄,奏札、宋朝中央机构发 布指令的文书。

    制、製:制:制作、制造;禁止、遏制;规定 、制定;规章、 制度;帝王命令;规模;製:制作、制造;裁制衣服;写作。

    鍾、鐘:鍾:酒器;量器;积聚;鍾情;鐘:鐘錶;一种乐器, 鐘磬,通鍾。注意人名中的用法:鍾繇、鍾子期、錢鍾書、張鍾 麟。

    后、後:皇后、博士后用“后”;后来、以后用後。

    发(發、髮):發展、發生;頭髮。

    跡、蹟:异体字,杂志中統一用“跡”。

    里、裏、裡:邻里、公里、里程、国外人名地名译音中用“里” ;“裏”和“裡”是异体字,杂志中统一用“裏”。

    咸、鹹:作“全”、“都”讲时用咸,如少长咸集、咸受其益; 年号(咸亨、咸丰)、地名(咸宁)中用咸;作姓氏用咸;表示 咸淡用鹹,鹹菜。

    欲、慾:表示“想要”、“希望”、“需要”、“将要”之意时 用欲,如:暢所欲言、從心所欲,膽欲大而心欲细,摇摇欲墜、 山雨欲来风满樓;表示“欲望”则用慾,如食慾、性慾、占有慾 、求知慾。

    溪、谿:为异体字,可互用。

    表、錶:外表,表现,表演;手錶。

    胡、鬍:胡閙,胡亂;鬍鬚。

    須、鬚:必須、鬍鬚。

    姜、薑:姜子牙[注:姓氏]; 生薑。

    借、藉:借錢; 藉口,藉題發揮。

    克、剋:千克,克勤克儉;攻剋,剋期。

    困、睏:困苦,圍困;睏倦,睏覺。

    蔑、衊:蔑視;污衊。

    千、韆:一千,千秋基业;鞦韆[注:簡體:秋千]。秋、鞦:秋季;鞦韆。

    咸、鹹:老少咸宜;鹹菜。

    御、禦:御(指皇帝)驾親征;抵禦。

    云、雲:子曰詩云;雲彩,雲南省。

    芸:芸香,芸芸众生。

    致、緻:致敬,致力;細緻。

    筑、築:筑[注:古代樂器];建築,築巢。

    准、準:准許,准将,准此;準則,瞄準,标準。

    辟、闢:复辟;開闢,精闢。

    别、彆:告別,別人,差別;彆扭。

    卜、蔔:占卜,前程未卜;蘿蔔。

    种、種:种[注:姓];物種起源,種田。

    虫、虺、蟲: 昆蟲,毛蟲;長虫[注: “虺”的本字,毒蛇]。

    谷、穀:山谷,進退維谷;五穀雜糧,稻穀。

    划、劃:划船,划得来;刻劃。

    几、幾:茶几,幾乎,幾個。

    据、據:拮据;占據,據點,慿據。

    卷、捲:讀書破萬卷,試卷;風捲殘雲,捲起千堆雪。

    了、瞭:了卻,受不了;瞭解、一目瞭然、不甚瞭瞭;瞭望。

    累、纍:連累;勞累;纍贅,罪行纍纍,纍计。

    曲、麯:彎曲,戲曲;麯酒,大麯。

    舍、捨:宿舍; 捨棄,施捨。

    台、臺、檯、颱: 1.天台[注:山名又地名];2.第一人称代词,星 宿名。三台、兄台、台甫兄台、台鑒;3.亭臺樓閣,舞臺; 4.寫 字檯;5.颱風。

    夫、伕:丈夫、姐夫、夫人;旧指用为夫役的专字,车伕、火伕 、挑伕。

    苔、薹:苔藓、青苔;蒜薹、抽薹。

    吁、籲:長吁短歎;呼籲,籲請。

    佣、傭:佣金;雇傭,傭人。

    折、摺:折本,折斷;奏摺 ,摺叠,曲摺。

    征、徵:征,出征、远征、征伐、征税;徵,追究、证明、应验 、迹象预兆,徵聘、徵税、徵求、徵询、 象徵、特徵,無徵不信。

    症、癥:症候,癥[注:腹中結塊之病]結。

    匯、彙:匯合,匯款;彙聚,詞彙,彙報。

    蘇、甦:姓氏,蘇,江蘇,蘇维埃;甦醒。

    壇、罎:天壇,花壇,設壇,論壇,體壇;罎罎罐罐,罎子。

    團、糰:團結,團體,師團,團員,團長;湯糰,飯糰。

    髒、臟:肮髒;內臟,五臟六腑。

    隻、衹:隻言片語,一隻;衹不過,衹有。

    其六是表音上的混乱。即便是作为表音文字的英语,音与形相异也是一件让人痛苦的事情。而汉语的发展已由单字表达而走向词语为核心,因此通过复杂的多音字来实现字义区分的功能变得意义不大了,反而增加了学习和使用的障碍。

    汉字的主体是合音,就是构字中有一部分是用于表音,而某些简化不慎使其失去了这一功能。如:際(际)、價(价)、標(标)、僅(仅)、歡(欢)、隊(队)、屬(属)、燭(烛)、敵(敌)。

    同音字合并造成字义混乱。

    如:

    发:发现、头发,原本为發現、頭髮

    面:面部、面粉,原本为面部、麵粉

    板:木板、老板,原本为木板、老闆

    鬥、斗

    干:乾、乾、榦、幹

    简化后表音错误

    如:鄰(邻lín)的应向令(lìng)转移,賓(宾)向兵(bīng)转移,寺向時(shí)转移更为合理。

    毫无道理地将汉字进行切割,音形皆损

    如:掛(挂)、蠍(蝎)、槨(椁)

    此外还有些零碎的问题:如“腺”系日文中创造出来的汉字,日语中“泉”的发音为“xian”,取“人身体上的泉水”之意,而“泉”在汉语表音上则有较大差异。

    简化带来了效率的整体提升,而解决其间的逻辑问题是汉字学习效率提升的关键。目前仍有待解决的问题很多:一字多音应逐步减少,如卜[bǔ] [bo] [pu]就可以向扑(pū)转移。尽管过程中会带来某些内容上的损失,如万(萬),除作复姓“万俟”(mo qi) 写作万,其它一律写作萬,这一姓之单音则无多少存在价值;的、地、得音同的(de)时,在区分意义表达上没有多少价值,应向“的”统一;翘舌音应向平舌音统一,而前后鼻音也应该统一为开口音更合适,等等。沿着熟悉的道路进行创造是比较好的做法,如长(cháng)与長(zhǎng)就是一个很好易于接受的区分;沈(瀋)与沉(古体为沈)之区分。汉语普通话所使用的单音约1200个,而理论数是3000个,可用数2500个,远多于英语的400个,完全具备读音变革的基础。

    据说仓颉是观察“星相转移、龟背纹理(刻文)、鸟兽之迹、山川形貌和手掌指纹”而创造了汉字。而面对未来,或是更为复杂的图形才能表达人类的意识,表情包是否算是对人类表情更好的表述?由于技术的发展,符号交流的障碍越来越小。于是简单的符号到复杂的符号、再到复杂的图形或许将成为传递信息的重要手段。

    具形文字应该仍有其未来的生命力。笔画类似于字母,构成的汉字却始终有表意和意象的功能。这既有好处,也有不足,不足之处在于字意容易变得含糊,但也因此具有更好的开源性,更容易构词,形成新的表达和概念,这种开放性使得所需要的新字的数量大为减少。字母文字最初即使得声音与意识的世界和机器算法的世界有了衔接的口径,而具形文字则隐含着一个未来的通道。

    总之,语言和文字的命运根本上还是掌握未来的人的手中,包容与改进是合适的,而非硬性的锁定。

  • 阿维·戈德法布,凯瑟琳·塔克:数字技术是如何改变经济活动的

    本文原载于《比较》第112辑,有删节。阿维·戈德法布(多伦多大学) 凯瑟琳·塔克(MIT斯隆管理学院)。

    01  什么是数字经济?

    数字技术是一种用“比特”表示信息的技术。它降低了数据存储、计算和传输的成本。对数字经济学的研究考察数字技术是否以及如何改变经济活动。

    理解数字技术的影响并不需要全新的经济理论。然而,它需要一个不同的重点。学习数字经济学开始于以下问题:数字经济有什么不同;当信息是由“比特”而不是原子表示时,什么更容易做。数字技术往往意味着成本可能会限制经济活动。因此,数字经济学探索的是当某些成本大幅下降甚至接近于零时,标准经济模型是如何变化的。我们强调,成本的变化可以分为五种类型:

    (1)更低的搜寻成本;

    (2)更低的复制成本;

    (3)更低的运输成本;

    (4)更低的追踪成本;

    (5)更低的验证成本。

    第一,在数字化环境中,搜寻成本更低,从而扩大了搜寻的潜在范围和质量。第二,数字产品可以零成本复制,因此它们通常是非竞争性的。第三,随着数字产品和信息的运输成本接近于零,地理距离的作用发生了变化。第四,数字技术使追踪任何一个人的行为变得容易。最后,数字验证可以更容易地验证处于数字经济中的任何个人、公司或组织的声誉和可信度。每一种成本的变化都可利用已有的不同经济学模型加以分析,主要有搜寻、非竞争性产品、运输成本、价格歧视和声誉模型。

    早期的研究检验了数字经济降低成本的简单模型。举例来说,20世纪90年代末和21世纪初的相关文献直接建立在戴蒙德(1971)和范里安(V980)提出的早期模型之上。正如下文详述的那样,近期的实证工作发现了一些与简单模型不一致的地方,因此,为了更好地把数字化环境中的微妙之处纳入分析,与数字经济降低成本有关的更丰富的模型和实证研究也在不断发展。

    其他作者也强调了数字经济对降低成本的作用。埃里森等人(2005)讨论了较低的搜寻和运输成本如何影响与产业组织相关的边际报酬递增、距离和双边市场等因素。从他们的文章开始,数字经济学的文献逐渐对犯罪经济学、公共品经济学、组织经济学、金融、城市经济学、劳动经济学、发展经济学、卫生经济学、政治经济学、媒体经济学、公共财政和国际经济学等领域产生贡献。从这个意义上说,我们把数字经济学看作一种涉及许多经济学领域的思维方式。

    除了应用于许多领域之外,这些成本的变化也改变了经济的许多方面。在概述了数字技术和互联网的简短历史之后,我们讨论了与数字化相关的每一种成本的变化。在每一节中,我们强调驱动该领域的关键研究问题以及它们是如何演变的,并在适用的情况下将它们与政策联系起来。

    我们首先讨论更低的搜寻成本的影响,搜寻成本被定义为寻找信息的成本。更低的搜寻成本影响价格和价格的离散程度,它们会影响产品的种类和媒体的可用性。它们还会改变从劳动力到婚介等各类市场的匹配情况。它们使得基于平台的业务快速增长,并影响了一些公司的组织特征。

    接下来我们讨论零复制成本的影响,这也会影响包括提供免费产品在内的企业定价决策。这使得维基百科等公共品的供给得以增加,同时也引发了许多关于提供此公共品的动机问题。零复制成本还带来了排他性方面的挑战。版权的排他性可以诉诸法律来执行,从而克服技术的非竞争性问题。因此,对许多业务以及与数字化相关的核心政策挑战来说,版权正变得越来越重要。

    由于以“比特”形式存储的信息能以接近于零的成本传输,因此,无论物理运输成本还是政策是否发生变化,数字技术都改变了经济活动的地域限制。数字化还改变了政府控制信息流动的方式,从广告限制到媒体管制。

    我们查阅最近的文献后发现,这些文献已经识别出了另外两种成本的变化:追踪成本和验证成本。追踪成本是将个人或公司与其相关信息联系起来的成本。由于较低的追踪成本,新型价格歧视、用新方法精准投放广告和其他信息便成为可能。与此同时,更好的追踪使隐私成为一个关键问题,引发了大量的研究和政策讨论。

    我们通过详细说明验证成本的变化来结束数字经济与成本变化的讨论。在线声誉系统的兴起促进了信任,并创造了新的市场。但这种系统并不完美,它也可能成为一个充满欺诈或歧视的平台。

    最后,我们将讨论数字化对国家、地区、企业和个人的影响。数字化已经影响了诸多方面,包括生产率、贸易、城市的经济角色、国内和国际外包、消费者剩余以及人们如何度过闲暇时间等。0数字技术简史

    现代计算机的历史并非始于互联网,而是始于1945年二战期间发展起来的技术商业化。这些最早的机器专注于快速计算,几乎没有存储和检索信息的能力。到20世纪50年代早期,磁芯存储器实现了高效的数字信息存储,以“比特”表示信息的第一个真正的非算术好处出现了,即复制信息的边际成本降低了。随着时间的推移,存储技术、软件和硬件不断改进,信息处理和复制变得普遍,软件和硬件产业迅猛发展。

    计算机之间有限的联系限制了它们对经济的影响。正是随着互联网的兴起以及计算机之间低成本、商业化的联通,以“比特”表示的信息才开始在多个市场上产生可衡量的影响。这种影响的扩大建立在20世纪六七十年代美国军方资助开发的关键发明之上。例如,美国国防部高等研究计划局资助了分组交换的发明,这种技术将一条长信息分解成可以通过网络发送的短信息,然后在接收后重新组合。美国国防部高等研究计划局资助的研究者还开发了定义互联网通信的特殊分组交换标准:传输控制协议/互联网协议(TCP/IP)。美国国家科学基金会(NSF)在20世纪80年代开始使用该协议管理一个网络,建立了可靠的基础设施,该基础设施相对容易采用,但也仅限于研究人员。

    1990—1995年的私有化,导致了现代商业互联网的出现。商业互联网迅速扩散,大学在扩散过程中扮演了关键角色。到2000年,它在美国几乎普及并被广泛采用。随着时间的推移,新的技术已经建立在基于TCP/IP的互联网基础之上,包括浏览器、搜索引擎、在线购物、社交网络、移动通信协议、安全标准、客户关系管理系统以及许多其他技术。这些技术和其他相关技术使数据的收集和使用得以增加。

    在这一过程中,一个悬而未决的问题是,从互联网去中心化的历史背景看,商业互联网活动的各个方面应该由谁来控制。标准通常由来自行业和学术界的代表组成的委员会商定。这些标准会影响哪些技术被广泛采用。因此,标准的制定会产生赢家和输家。西姆科(2012)研究了一个标准制定组织,即互联网工程任务组、在标准开发中的激励机制,证明了由于商业利益之间的竞争,互联网的商业化延缓了标准的发展。考虑到硬件和软件标准的重要性,对它们的控制一直存在争议。

    与这个控制问题相呼应的是,互联网经济学的早期文献集中于研究信息发送的定价,以及信息如何随互联、竞争和内容性质而变化。换言之,这里有一个关于互联网服务提供商在控制互联网接入方面扮演什么角色的问题。拉丰等人(2003)强调了互联的需要如何影响价格和福利。此类文献强调网络效应和互联的挑战。

    随着数据传输成为数字技术的一个重要方面,网络中性问题已成为学术研究和政策的重点。网络中性意味着互联网服务提供商应该以同样的方式处理所有数据;不管内容提供者还是内容如何,企业都无法向互联网服务提供商付费以获得更快的速度。关于网络中性的辩论提出了互联网服务提供商是否应该控制内容的问题。换言之,网络中性指的是网飞向其客户发送1千兆字节的数据支付的费用与小型初创公司向同一客户发送数据支付的费用相同。互联网服务历来有网络中性的规范,尽管近年来这一规范受到了美国和全球互联网服务提供商与政策制定者的挑战。网络中性文献强调了连接中介的作用。正如相关学者证明的,模型的细节问题以及网络中性的成本和收益取决于特定的环境。

    因此,数字技术史的一个关键主题是开放和控制之间的矛盾。正如下文要讨论的,在有关版权、隐私和歧视等问题的许多数字政策文献中,开放和控制之间的矛盾是核心问题。0降低搜寻成本

    搜寻成本是寻找信息的成本。因此,每一个信息收集活动都涉及搜寻成本。关于数字经济活动的基本观点是,在线上查找并比较潜在的经济交易信息比在线下更容易。

    在商业互联网出现之初,经济学研究人员曾大量讨论过搜寻成本的大幅下降如何降低价格、价格离散度、失业、空置率和库存,从而改变经济。格林斯潘认为,信息和通信技术革命将缓解经济周期带来的影响。低搜寻成本的后果在金融市场、劳动力市场和零售市场中得到广泛讨论。这些论文中的想法来源于早期文献,它们将搜寻成本建模为收集信息的成本。关于数字化下低搜寻成本影响的文献反映了研究者对搜寻成本的早期关注以及坚实的经济学理解,这比数字经济学文献的其他部分更加成熟。

    3.1 在线价格和价格离散度是否更低?

    较低的搜寻成本使消费者更容易比较价格,给相似产品的价格带来下行压力。这应该会降低价格和价格离散度。布莱恩约弗森和史密斯(2000)比较了四家只在互联网上销售的零售商、四家线下销售的零售商以及四家同时拥有线上和线下销售的“混合”零售商的图书和CD的价格。他们找出了20本书和20张CD,其中一半是畅销品,另一半则是从线下实体店销售的且有足够流行度的图书和CD中随机挑选出来的。结果显示,这些商品的线上价格远远低于线下价格。相对较低的线上价格也出现在其他各种环境中,包括保险、汽车产品和航空行业。

    然而,尽管价格可能会下降,但价格离散度仍然很高。布莱恩约弗森和史密斯(2000)在有关线上线下零售的研究中表明了这一点。贝伊、摩根和施尔腾(2004)使用来自数千种产品和价格的证据,以证明持续存在显而易见的线上价格离散。奥洛夫(2011)发现,互联网增加了航空公司内部的价格离散度,但对公司之间的价格离散度没有影响。相比之下,衡量手机对商品价格影响的发展经济学文献表明,较低的搜寻成本降低了价格离散度。

    在给出了线上价格离散持续存在的证据后,研究转向探索为什么价格离散不会消失。当然,对线上产品的比较并不总是就产品本身而言。在比较图书的价格时,图书可能是相同的,但是零售商是不同的。不同的零售商提供不同的质量、购物体验以及运输政策,质量越高的公司可能会发展出更强大的品牌,因此会要求更高的价格。

    销售产品的公司也可以影响搜寻过程。当消费者搜寻时,他们会评估多个维度的信息:价格、质量、声誉、运费、交货时间、颜色等。林奇和艾瑞里(2000)展示了在线葡萄酒购买的实验。如果价格出现在第一页,消费者就会关注价格。如果消费者需要进一步点击以了解价格,那么其他属性对购买决策就变得更加重要。弗拉德金(2017)表明,在短期住宿平台爱彼迎(Airbnb)的案例中,搜寻过程的细节很重要。有学者对消费者在搜寻过程中多点击一次的成本进行了结构性估算,结果表明,这些成本比预期的要大。这意味着消费者停止搜寻的时间比假设搜寻成本接近于零的模型预测的要早。

    在有搜寻成本和多维度信息的情况下,企业一定程度上可以选择搜寻成本最低的信息。埃里森等人(2009a)证明,计算机存储芯片零售商通过在线比价网站以低价吸引顾客,然后在顾客到达后向他们展示其他产品(通常是质量更高、利润率更高的产品)。迪纳斯坦等人(2018)利用易贝的数据,着重说明易贝的搜寻算法设计如何影响其卖家的加价。侯赛因和摩根(2006)更是直接指出,网上卖家通常会把运费隐藏到最后一个购买页面。布莱克等人(2018)的研究显示,在线售票平台披露的票价信息中也有类似的现象。

    因此,尽管价格下降了,但价格离散依然存在。低价格离散度的初始预测忽略的一点是:搜寻成本是内生的,因此公司可以操纵搜寻过程以维持更高的利润和价格。

    3.2 低搜寻成本如何影响多样性?

    低搜寻成本可能意味着更容易找到稀有的小众产品。在这种情况下,数字搜寻可能会导致购买量相对较少的产品在销售量中的比例增加,这种现象被安德森(2006)称为“长尾效应”。布莱恩约弗森等人(2011)利用一家既有线上渠道又有线下渠道的零售商的数据,证明在线上可获得和购买的产品种类比线下要多。低搜寻成本可能有助于发现相对未知的产品。

    低搜寻成本也可以产生超级明星效应。如果存在纵向差异化的产品,且边际生产成本为零,那么同质的消费者会共同认可某一种产品是最好的,然后购买这种产品。与此相一致的是,戈德曼尼斯等人(2010)表明,互联网最初导致了大型线下书店和旅行社数量的相对增加。

    巴尔-艾萨克等人(2012)解释了搜寻成本降低如何导致超级明星效应和长尾效应。如果产品在纵向和横向上都有差异,搜寻成本的降低可能会导致一种均衡,即最受欢迎和最高质量的产品以足够的数量被生产出来卖给每个人,而利基产品则通过长尾零售商销售。左右尾部产品的销售增加是以中部产品的销售减少为代价的。

    搜寻成本对产品种类多样性的影响取决于公司内生地选择的搜寻过程。推荐引擎是在线搜寻过程的一个关键方面。弗雷德和霍桑纳格(2009)证明了这一点,表明强调“别人买我也买”的算法使销售分布向超级明星产品转移。如果有很多人购买《哈利·波特》,推荐引擎就会把它推荐给其他人。相比之下,如果算法强调“别人买我不买”,那么能够展示小众品味的相对不寻常的商品就会被出售。从实证角度看,凯瑟琳·塔克和张娟娟(2011)证明,产品受欢迎度信息对利基产品有相当大的影响。

    总体上看,产品受欢迎度信息会影响销售。许多在线平台根据受欢迎度对产品进行分类,并在显要位置标示受欢迎度,从而降低这类信息的搜寻成本。产品受欢迎度信息不仅影响零售中的购买行为,也影响在线放贷和在线投资。

    这种多样性的变化对福利的影响并不明显,因此它一直是文献中广被讨论的主题。更低的搜寻成本导致人们购买更符合其偏好的产品,这应该会增加福利。相应地,布莱恩约弗森等人(2003)表明,产品种类的增加会增加消费者剩余。

    但福利方面的改善可能不大。根据定义,产品与消费者偏好之间的匹配度提升是边际意义上的。企业提供的新产品是边际上生产的产品。对于那些因为不愿意支付搜寻成本而购买中部产品的消费者来说,超级明星效应可能微不足道。例如,伊尔肖夫(2017)表明,手机应用市场中搜寻成本的下降降低了平均产品质量。然而,总的来说,这也表明,尽管新产品只是增量性质的,但品种的丰富仍然导致了整体福利的大幅提升。

    阿吉亚尔和沃德佛格(2016)认为,这种边际论忽略了许多信息产品的质量不确定性。在音乐方面,他们证实,一些事前看似无足轻重的歌曲和音乐家最终获得了可观的销量。因此,数字化市场使创作这样的音乐成为可能,进而导致产品相对销售量的重大变化。这一过程中的不确定性意味着更好和更多的音乐被创作出来。

    大量文献特别关注了媒体消费多样性的提高。互联网还可能使人们只阅读反映其狭隘观点的信息;尽管媒体种类日益多样化,但人们没有了广泛搜寻的需要。桑斯坦(2001)强调后一种观点是“回音室效应”。格林斯坦和朱峰(2012)研究了维基百科的偏向性,他们发现,尽管随着时间的推移,维基百科总体上对民主党的政治偏向有所降低,但文章本身的偏向性并没有太大改变。相反,对民主党的政治偏向下降主要是因为出现了相对右翼的新文章。

    与此相反,根茨科和夏皮罗(2011)表明,网络媒体消费比线下媒体消费更加多样化。在这种情况下,低搜寻成本导致多样化的增加。博克塞尔、根茨科和夏皮罗(2017)认为,互联网不太可能对数字内容的日益两极化负责,因为在互联网使用率最低的人群中,这种两极化程度的提高是最大的。

    媒体势力可能是多极化的,这也导致小众媒体有动机生产和传播误导性信息。奥尔科特和根茨科(2017)的研究表明,关于2016年总统选举的虚假新闻报道被分享了数千万次,但他们证明,这些假新闻不太可能改变选举结果。早在2016年大选的假新闻受到关注之前,安特魏勒和弗兰克(2004)就研究了具有潜在误导性的匿名在线投资建议如何影响股价。如果没有可靠的质量过滤器,低搜寻成本就意味着这些信息可以更容易地找到和共享。

    低廉的在线搜寻成本也改变了学术研究被消费的方式。麦凯布和施奈德(2015)表明,JSTOR(JSTOR全名为Journal Storage,是一个对过期期刊做数字化存档处理的非营利性机构,成立于1995年8月)导致了被其收录的文章的引用量增加,而牺牲了其他文章的引用量。虽然搜寻成本下降了,但是某些文章的搜寻成本比其他文章下降得更多,从而改变了人们对特定文章和想法的关注度。更明显的是,埃里森(2011)认为,由于在线搜寻成本较低,同行评议可能正在减少。他特别指出,知名研究人员不需要依靠学术期刊传播其观点,他们可以发布在网上,而人们会找到他们的研究。换言之,类似于产品中的超级明星效应,低搜寻成本与成千上万的研究文章相结合使超级明星研究人员受益。

    3.3 低搜寻成本如何影响匹配?

    搜寻成本的降低使交易更加广泛,这通常是由大型数字平台实现的。达纳和奥尔洛夫(2014)表明,航空公司可以更好地提高其上座率。埃里森等人(2014)指出,线上消费者能够更好地寻找他们想要的特定书籍。克罗夫特和波普(2014)发现,通过Craigslist在线搜寻,出租公寓和房屋的空置率有所下降(尽管他们没有衡量对失业的影响)。有学者表明,在线搜寻推动了基于卡车的移动餐馆(“食品卡车”)市场的崛起。在某种程度上,强调匹配的文献不同于强调搜寻的文献,前者强调市场双方都参与搜寻过程。

    与上述想法相关,低搜寻成本可能会提高诸如买家和卖家、公司和工人之间的匹配质量。劳动经济学文献强调,互联网可能会减少失业和职位空缺。库恩和斯库特鲁德(2004)发现,网络求职对就业没有影响。库恩和曼索尔(2014)在几年后用更新的数据重新审视了这类分析,他们发现,在求职中使用互联网的人确实更有可能与雇主匹配。

    搜寻成本的降低导致了致力于促进匹配的在线P2P平台的发展。这类网络匹配市场非常多样化,包括工人和企业、买家和卖家、投资者和企业家、空房和旅行者、慈善机构和捐助者、遛狗者和狗主人,等等。其中几个市场因为使人们能够更好地利用闲置的物品或技能而被称为“共享经济”。大多数“共享经济”平台并不是幼儿园小朋友学到的那种共享,而是通常需要付费的“共享”服务。霍顿和泽克豪泽(2016)强调,许多这样的市场是由未使用的耐用品产能驱动的。低搜寻成本使这些未使用的产能可以更有效地得到利用。

    在对P2P市场相关文献的回顾中,埃纳夫等人(2018)注意到,很多研究都采取了市场设计的视角。例如,卡伦和法罗纳托(2016)研究了一个在线市场,该市场为买卖双方匹配家务工作,如清洁、搬家和简单的家庭维修。他们着重指出了供需双方逐渐增多时面临的一些挑战,例如,买方和卖方的数量随时间变化、匹配的规模经济以及地理密度。一个关键的结果是,这个双边市场的需求波动导致了供应数量的变化,而不是价格的变化。同样,豪尔等人也表明,在市场需求状况变化时的供给响应能力是P2P平台(特别是优步和爱彼迎)的一个关键方面。低搜寻成本提供市场需求信息,使供应商能够在需要时进入市场。

    3.4 为什么基于数字平台的业务如此盛行?

    平台是其他玩家之间进行交换的媒介。数字化已经导致了平台业务的普及,甚至超越了上文讨论的P2P平台。大多数大型科技公司都可被视为平台企业。例如,苹果为其他公司开发应用程序提供硬件和软件平台,谷歌为广告商和潜在买家提供聚合平台。

    如朱利安(2012)强调的,数字市场平台的兴起有两个主要原因。首先,平台促进了匹配。特别是,在共享经济平台中,它们提供了一种结构,可以利用低搜寻成本实现有效匹配。正如诺克、派茨和斯塔尔(2007)以及朱利安(2012)强调的,平台通常充当买家和卖家之间的中介。有丰富的理论文献从匹配的核心作用这个角度,研究数字市场平台业务的竞争和定价策略,并强调了间接网络效应的重要性。

    其次,平台提高了交易的效率。它们通过降低搜寻成本以及下文将要讨论的复制成本和验证成本做到这一点。哈邱(2012)强调了软件平台如何使应用程序提供商能够快速地服务于大量客户,其唯一要求是应用程序服务于某些特定的客户需求,以零成本复制,并借助平台和其他应用程序服务于其他需求。因此,互操作性是平台的一个关键方面。关于这个主题有大量文献,相关综述可参见法雷尔和西姆科(2012)等。这些文献的一个关键贡献是强调了平台在互操作性和标准方面的决策具有策略性。一组相关的问题则考察市场参与者是否多归属,并使用多个平台。

    3.5 低搜寻成本如何影响公司的组织?

    勒金-赖利和施普尔伯(2001)从在线中介的作用和纵向整合的角度讨论了互联网对企业组织结构影响的几种假设。这类文献通常强调信息流,其中搜寻是信息流的一种关键类型。加里卡诺(2000)表明,低成本的数字信息流可以使总部和组织领导人更好地了解远处正在发生的事情,从而提高集权度。另一方面,加里卡诺(2000)也表明,低成本的通信可以让一线员工获得以前只有总部高级员工才能获得的信息,从而提高分权度。各种论文都探讨了组织内部这种权衡的细微差别,强调了所研究的特定技术的重要性。

    布鲁姆等人(2014)直接检验了这一理论,他们利用欧美制造企业的数据证明,信息技术是一种集权化的力量,而通信技术是一种分权化的力量。阿西莫格鲁等人(2007)还讨论了信息技术的分权作用。例如,福曼和范泽布洛克(2012)表明,数字通信促进了组织内各机构之间的研究协作。贝克和哈伯德(2003)研究了车载计算机对卡车运输业资产所有权的影响。他们更多地强调追踪成本而不是搜寻成本,他们发现,车载计算机既改善了监控,促使卡车公司拥有更多卡车,又改善了实时位置信息的提供,促使卡车公司拥有更少卡车。因此,虽然采用数字技术可以提高效率,但对企业组织的均衡影响取决于技术的性质,以及技术的具体特征如何影响企业边界的缩张权衡。麦克赫尔兰(2014)研究了企业内部对信息技术运用的集权或授权决策。其中,对一体化流程(数字或其他)需求更大的公司授权程度更低。福曼和麦克赫尔兰(2013)表明,这一趋势因信息技术使企业间的协调变得容易而得到缓解,因此企业边界的瓦解可被视为授权的一种极端形式。

    除了对企业的国内边界产生影响之外,搜寻成本的降低(加上下文讨论的验证成本的降低)也导致国际雇佣和外包的增加。虽然国际外包不是一个新现象,但最近数字化的国际劳动力市场平台的兴起为国际招聘提供了另一种途径。阿格拉瓦尔、拉切泰拉和莱昂斯(2016)表明,拥有标准化信息的在线平台更多地帮助了发展中国家的工人。在线提供的目标信息,加上能够远距离免费发送工作成果(通常是数据或软件代码等信息),有助于离雇主较远的工人。这样的在线劳动力市场面临几个重要的挑战。莱昂斯(2017)利用在线劳动力市场的数据表明,跨文化国际团队的生产率可能会因为沟通问题而降低。与此相关的是,伽尼等人(2014)表明,移民自印度的雇主更有可能在网上雇用印度人。0数字产品的零复制成本

    生产函数的关键转变并不是数字产品的边际成本为零。具有零边际成本的简单微观经济模型与具有正边际成本的模型差别不大,都是需求曲线向下倾斜,企业在边际收益等于零处定价。

    相反,由原子构成的商品和由“比特”构成的商品之间的一个关键区别是“比特”是非竞争性的,意味着它们可以被一个人消费的同时又不会减少其他人可以获得的数量或质量。对于非竞争商品的一个常见类比是,就像一个人可以点燃一堆火而不减少另一个人获得的火一样,信息可以在不减少原始信息的情况下共享。

    在没有法律或技术上刻意排他的情况下,任何人(而不仅仅是生产企业)都可以在不降低初始产品质量的前提下,以接近零的成本复制“比特”。正如夏皮罗和范里安(1998)所言,互联网可以被看作一台“失控的大型复印机”。

    然而,在边际成本为零的经济中,非竞争性产品可以让事情朝着有利于生产者、消费者或两者的方向发展。在静态模型中,随着边际成本下降,潜在剩余会上升,因此福利效应取决于最终价格和相关的无谓损失。最终价格和无谓损失取决于法律和技术工具的排他性(1986),这与下文的主题,即追踪行为的能力有关。在本节中,我们强调基础技术使公司和政府能够做出非排他性的选择。这可以让个人充分享受信息产品非竞争性的好处。

    4.1 非竞争性的数字产品如何设定有利可图的价格?

    数字产品的非竞争性导致了一个问题,即如果生产者选择收费,如何对大量非竞争的零成本产品定价。捆绑销售是指两种或两种以上产品以同一价格一起销售。捆绑模型在经济学中有着悠久的历史。施蒂格勒(1964)以及亚当斯和耶伦(1976)指出,当消费者的偏好呈负相关时,就能满足采用捆绑销售的价格歧视获取收益的充分条件。有些人可能认为一部动作片值10美元,而一部爱情片值2美元。另一些人可能会把爱情片估价为10美元,而动作片估价为2美元。以12美元的价格捆绑销售,比单独销售动作片和爱情片可以获得更高的利润。企业面临的挑战是识别偏好的这种负相关性,从而确定什么时候进行捆绑销售会增加利润。

    巴科斯和布莱恩约弗森(1999,2000)认识到,在一定的假设下,如果有足够多的商品和独立的偏好,识别偏好的负相关性这个挑战是可以克服的。此外,信息产品的非竞争性意味着大量的信息产品可以捆绑在一起,而不会大幅增加成本。因此,对于非竞争性信息产品的经济学,一个简单有用的见解是,将数千种数字产品捆绑在一起有时是最优的。

    莱斯利等人(2011)使用一个实证例子来说明巴科斯(1999)的直观认识适用于捆绑销售相对少量的商品。捆绑销售还有战略上的原因,因为它可以减少竞争。当捆绑销售的边际成本为零时,这种战略考虑就变得尤为重要。

    尽管已经有广泛的理论研究,但直到最近,此类提供大量捆绑服务的实证案例才出现在文献中,以类似于网飞视频服务和Spotify(声田)、Apple Music(苹果音乐)等音乐服务的订阅服务形式出现。阿吉亚尔和沃德佛格(2018)表明Spotify取代了销售,但也取代了“盗版”,也就是未经版权所有者许可下载音乐。他们估计,销售量的减少和合法音乐消费的增加基本是相互平衡的,因此Spotify在2013—2015年的收入似乎没有变化。

    4.2 提供数字公共品的动机是什么?

    信息提供者可以主动选择让其数字化产品不具排他性。私人主体为什么会选择创造公共品,这多少有些令人困惑。开源软件和维基百科是两个非竞争性公共数字产品的突出例子。这两个案例都涉及非排他的审慎决策,并且和上一小节强调的捆绑模型相比,在这两个案例中应用的已有模型略显复杂。

    勒纳和梯若尔(2002)提出了一个问题,为什么软件开发人员可以自由地分享他们的代码而不需要直接付费。他们强调了开源的两个核心好处,而这两个好处在公共品的标准模型中并不存在。对个人开发人员来说,提供高质量的开源代码是向潜在雇主展示其技能的一种方式。对公司来说,提高开源软件的质量可以让它们高价销售与开源软件互补的其他服务(如硬件或咨询服务)。这些核心利益的基础是代码的非竞争性:通过互联网的数字分发意味着(高质量的)开源贡献可以被广泛采用。随后关于开源经济的文献很大程度上支持了勒纳和梯若尔关于职业关注和互补性的假设。

    对于人们为什么会贡献于数字公共品这一难题,维基百科提供了另一种不同的重要案例。张晓泉和朱峰(2011)强调了与读者广度相关的社会效益。在中文维基百科的案例中,他们证实投稿用户会关心读者的数量,当读者的访问因政府的政策而受阻时,他们会减少对维基百科的投稿。阿尔托宁等人(2016)共同证明了一种良性循环,即更多的编辑带来更多的观点,更多的观点又引来更多的编辑。投稿情况可能和投稿者的兴趣有关:维基百科早期明显倾向于民主党,之后逐渐变得更加中立。

    纳加拉杰(2016)提出了政府资助数字公共品的可能性。他发现,开放的地图信息导致了采矿活动的大幅增加,特别是对于资源较少的小企业。因此,开放数据使更广泛的参与者获得了成功。

    更一般地说,数字技术的非竞争性可以使发展中国家的消费者和工人获得与发达国家的人相同的信息,但条件是必须能上网。在教育方面,克雷默等人(2013)认为,信息技术可以改善发展中国家的教育。他们的论据强调非竞争性、非排他性的数字信息,以及基于互联网的公开教材。相应地,阿西莫格鲁等人(2014)强调,数字化教育将导致教育资源更公平地分配。

    然而,在某些情况下,不限制数字化产品的广泛复制可能会导致福利减少。让非竞争性产品同时具有非排他性的决定会削弱私人生产信息产品的激励,这是我们在讨论版权政策时的一个主题。它还会产生负外部性。例如,阿奎斯蒂和塔克(2014)指出,要求“公开数据”的政府政策可能会导致数据泄露(或隐私泄露),从而影响线下的个人福利。“开放”一词从定义上说,几乎意味着隐私的减少。与此相关的是,阿奎斯蒂和格罗斯(2009)表明,利用在线公共数据可以预测个人的社会安全号码。总的来说,这反映了如下观点:虽然非排他性在理论上可能很有吸引力,但在实践中它可能导致一些数据安全问题,特别是如果在数据安全方面的昂贵投资也是一种公共品的话。

    在数字技术创造公共品的同时,零边际生产成本也会产生公共垃圾,比如垃圾邮件和网络犯罪。这些问题导致了政策上的回应,比如美国在2003年通过了《反垃圾邮件法案》。数字垃圾邮件的另一个例子是垃圾电话,它的自动化已经被数字技术实现。佩蒂(2000)和范里安等人(2005)评估了联邦政府支持的“阻止来电”名单在防止潜在的侵入性直接销售电话方面的作用,并发现了积极的效果。

    也就是说,此类坏事的经济学原理相对简单。相比之下,对于非竞争性数字产品,更具挑战的政策问题是,尽管产品具有非竞争性,政府是否应该通过版权政策进行干预,强制执行排他性。

    4.3 数字市场如何影响版权政策?

    当互联网在20世纪90年代末首次普及时,音乐(和文本)的版权常常被忽视,因为人们在网上自由发布受版权保护的商品。由于数字信息的非竞争性,一个受版权保护的项目如果发布,可能对数百万人有用,但有可能减少其销售量。与此同时,音乐行业的收入开始下降,这被广泛归咎于互联网带来的变化。

    因此,版权的最优执行一直是数字经济学文献关注的焦点。早期的工作集中在免费在线复制带来的收入影响上。那些认为应该允许免费在线复制的人称之为“文件共享”,而那些认为不应允许免费在线复制的人称之为“盗版”。在线免费复制某一媒体的直接影响是该媒体的刊物销售收入下降。但与此同时,如果免费复制品只是充当样品,再让消费者花钱购买喜欢的内容,媒体收入则会增加。现场表演等补充性产品的收入也会增加。最后,如果免费复制仅限于具有网络效应并且处于市场发展期的产品,收入可能会增加。从经验上看,虽然少数研究发现了积极的影响,但大多数研究发现,免费在线复制减少了音乐、视频以及书籍的销售收入。这对应于非数字化的历史文献关于管理数字技术的政策与早期政策之间有连续性的观点。

    版权如何影响新作品的创作?这是一个更困难的研究问题,因为它需要尝试着度量没有版权法这一反事实情形下的产品数量和质量。为了解决这一难题,沃德福格尔(2012a)利用了音乐质量的两个衡量指标:历史上的“最佳专辑”列表和随时间的使用信息。在这两个指标上,他都证明了音乐质量在20世纪90年代初开始下降,直到1999年免费在线复制出现后才停止。为什么在收入下降的情况下质量却上升了?他认为,在收入下降的同时,音乐制作和发行成本也在下降。数字化不仅影响了供给方,也影响了需求方,因此质量提高了。电影和书籍的结果也差不多。这与经济史文献形成对比,后者认为仅版权就可以提高创造性产出的质量。

    除了影响创新的激励机制外,版权保护面临的数字化挑战可能会影响基于先前工作的激励机制。威廉姆斯(2013)在不同的知识产权背景下论证了这一点,并指出知识产权保护限制了基因测序中的后续创新。希尔德(2009)表明,电影中使用的有版权音乐少于无版权音乐。纳加拉杰(2018)指出,旧体育杂志的版权保护降低了几十年后维基百科页面的质量。这种现象并不只出现在数字环境中。比亚西和莫泽(2018)指出,二战期间德国书籍的版权被取消,导致美国科学产出大幅增加,这是通过数学博士数量和引用德国书籍的专利来衡量的。

    复制成本的改变给版权政策带来的另一个挑战是其他企业更容易复制数字内容并试图将其聚合起来。这种做法在新闻媒体中尤其普遍,并推动政策制定者采取行动,保护生产新闻内容的报纸的利益。然而,总体而言,经济学中评估这些聚合效果的研究工作都强调这样的聚合促进了更多的探索,而不一定是对新闻内容的同类相食。

    总的来说,版权法在数字市场中更为重要,因为商品可以零成本复制。更严格的版权执法似乎增加了版权所有者的收入,增强了潜在版权所有者的创新激励,但削弱了其他人基于受版权保护的作品进行创作的激励。然而,文献也表明,尽管复制很容易,数字化并没有扼杀创意产业,因为生产和分销成本已经下降,而且促进版权执行的相关技术也已经跟了上来。0降低交通运输成本

    由于复制是无成本的,所以在互联网上传输以“比特”形式存储的信息时,其成本接近于零。换句话说,数字产品的分销成本接近于零,而远距离和近距离通信的成本差异也接近于零。

    此外,数字采购技术还降低了运输成本。尤其是当线下购买昂贵或困难时,消费者会在网上购买实物商品。此外,波齐(2013)表明,消费者还通过网上购物消除从商店携带物品的运输成本。通过这种方式,互联网促进了商品的仓储,允许人们在有折扣时大量购买,因为送货上门意味着不需要携带大量购买的物品。

    因此,对于信息、数字商品和实物商品来说,在线购买的运输成本较低。

    5.1 如果运输成本接近于零,距离还重要吗?

    低的信息运输成本意味着数字产品的分销成本接近于零,远距离和近距离通信的成本差异接近于零。

    大众媒体已经探讨了低运输成本的潜在影响。凯恩克劳斯(1997)认为,信息传输成本的下降将导致“距离的消亡”。孤立的个人和公司将能够参与全球经济。农村消费者将得到和其他人一样的数字产品和服务,并因此受益。知识将在全球范围内扩散。托马斯·弗里德曼(2005)也提出了类似的主题,预言“世界是平的”,任何地方的企业都可以接入全球供应链并进行生产;与印度相比,留在美国并不会带来有意义的优势。凯恩克劳斯和托马斯·弗里德曼都认为一种全球性文化正在到来,在这样的文化中,世界各地的每个人都将消费同样的信息,这一观点源于麦克卢汉(1964)。克鲁格曼(1979)的贸易模型暗示了如下观点:当运输成本接近于零时,各国消费相同的商品。罗森布拉特和莫比乌斯(2004)在不同的情境下使用网络合作模型,将这些观点正式化,在这种模型中,远距离合作增加了,但合作者在其他方面(比如研究领域)的相似性也在上升。

    一个不像“距离消失了吗?”那么极端的问题是“距离比过去更重要还是更不重要了?”。这个问题最明确的答案来自列恩德尔等人(2016)。他们比较了易贝上的跨境销售和国际贸易数据,证明了尽管距离可以预测线上和线下的贸易流,但在易贝上,距离的影响要小得多。

    数字经济学文献强调了哪些因素影响了距离的重要程度。正如莱姆利(2003)指出的,“没有人‘处在’赛博空间中”。因此,线下选项很重要。有学者(1998)使用环形城市模型(1979)研究了线下选择的重要性,该模型设定所有地点使用直接零售商的成本为常数,但使用位于环形区域的商店的成本取决于运输成本。该模型表明,对于远离线下零售商的那些人来说,直接(在线)零售商带来的利益将是最大的。福曼等人(2008)提供了证据来支持这一模型,证明当沃尔玛或巴诺书店开放其线下书店时,人们不再从亚马逊上购买图书。其他一些研究也证明了线下零售如何影响线上购物。相关模型研究了对线下商店的忠诚度如何影响线上价格敏感型消费者。布莱恩约弗森等人(2009)的实证研究表明,一家女装零售商的线上销售额要低于许多线下女装店的销售额。这种效应是由更受欢迎的产品驱动的,而这些产品可能在一个典型的线下商店中出售。蔡灿明和贝尔(2011)的研究表明,小众纸尿裤品牌的在线销售额比线下销售额(不太可能获得的地方)更高。古尔斯比等人(2001)也证明了个人计算机的线上和线下销售之间的替代性。根茨科(2007)论证了华盛顿特区线上和线下新闻之间的替代性。希曼斯和朱峰(2014)、戈德法布和塔克(2011a)论证了线上和线下广告之间的替代性。格特纳和斯蒂尔曼(2001)展示了渠道冲突如何与纵向整合相互作用,并说明纵向整合的服装零售商会率先上线。在有关线上线下竞争的文献综述中,利伯尔和斯文森(2012)提供了一些额外的证据,说明线下选择会影响线上购买。同样,在数字媒体环境中,有证据表明,线上媒体消费正在取代线下媒体消费。

    除了线下的选择之外,偏好在空间上的相关性也影响距离作用的持久性。布鲁姆和戈德法布(2006)研究了大约2600名美国互联网用户的国际上网行为,证明了上网行为与贸易文献中公认的经验发现相一致,即双边贸易随着距离的增加而减少。换句话说,即使一种零运费(上网)的产品,人们也更倾向于访问附近国家的网站而不是来自遥远国家的网站。距离和上网之间的关系在偏好依赖型产品中要高得多(而在非偏好依赖型产品中则统计上不显著)。距离很重要,因为它是偏好相似性的代理变量。阿拉维拉斯和马腾斯(2015)利用许多国家丰富的用户上网数据,再现这一重要结论。西奈和沃德福格尔(2004)还表明,人口密集的地区会产生更多的内容,而且由于偏好在空间上是相关的,所以人们更倾向于消费当地的媒体而不是远在外地的媒体,同时人口密集地区的人们更倾向于上网。偏好的地理特性也反映在数字产品的消费上,比如音乐和内容。威廉姆斯等人(2018)证明,如果考虑偏好的空间相关性,因线上产品多样化而增加的消费者剩余估计值将减少30%。

    除了线下选择和偏好的空间相关性,另一个解释距离持续发挥作用的因素是社交网络的存在。许多在线行为是社会性的,而社交网络是高度本地化的(2003)。因此,虽然零信息运输成本意味着你可以用同样的价格与世界上任何地方的任何人通信,但大多数人的绝大多数电子邮件不是来自同住一室的人,就是来自在同一栋楼里工作的人。加斯帕尔和格莱泽(1998)推测,由于社交网络的空间相关性,互联网可能是城市的补充。对于经常交流的人来说,更有效的交流尤其重要。换句话说,尽管远距离通信的相对成本下降得更多,但本地通信的整体重要性可能意味着城市受益最多。

    阿格拉瓦尔和戈德法布(2008)提供的一些证据支持了这一假设。他们的研究表明,随着新大学连接上一个20世纪80年代的类互联网网络,它们与已联网大学的合作率就会提高。合作率变化最大的是位于同一地区、处于不同等级的大学。该论文强调了同一城市的研究人员可能拥有的本地社交网络。阿格拉瓦尔、卡塔利尼和戈德法布(2015)对在线音乐“众筹”的研究进一步证明了当地社交网络的重要性,他们发现音乐家的早期资金往往来自他们在加入众筹平台之前就认识的当地支持者。当一个音乐家在网站上崭露头角时,之后的资金通常来自外地的陌生人。

    最后,如果缺少下文讨论的验证方面的改进,信任更倾向于是本地化的。霍尔塔苏奇等人(2009)表明,在易贝和巴西的电子商务平台“自由市场”上,同城市的销售额明显偏高,可能是因为一些产品能被观察到并亲自交付。此外,福曼等人(2009)的研究表明,美国人会听从邻里的线上产品推荐。

    5.2 受地理边界限制的政策能影响数字化的行为吗?

    早期的研究担心互联网会破坏地方规制和国家主权。某些研究得出的结论与这一观点一致:线上和线下税率差异最高的地方,线上销售额更高。当地方规制禁止线下广告时,类似的线上广告会更昂贵,也更有效。这种替代关系表明,在反垄断的背景下,线上和线下市场应该一起考虑。

    与此同时,规制可能意味着用户对不同地区互联网的体验会有所不同。在极端情况下,规制可能会禁止某些内容,使得不同地方的用户使用互联网的体验不同。张晓泉和朱峰(2011)研究了2005年10月维基百科在中国被封禁对境外用户的投稿动力有何影响。因此,一个关键的在线网站在某些地方是可用的,但在另一些地方则不可用。更普遍的是,一些国家定期屏蔽某些网站,从而改变了各地互联网的性质。

    规制还可以改变用户在不同地方能找到的可用信息。版权政策会改变各地媒体的可得性和消费。隐私政策导致了不同的广告策略和不同网站的成功。商标政策导致不同的搜寻体验。

    因此,在有规制的背景下,如果规制没有触及线上领域,线上信息的零运输成本就可带来更多的收益。然而,当管制真正触及线上领域时,各地互联网的性质可能会受到重大影响。0降低追踪成本

    前三种成本的下降与搜寻、复制和距离有关,在早期数字经济学文献中得到了很好的讨论。然而,下文讨论的后续两类成本,即追踪成本和验证成本降低的重要性直到最近10年才变得清晰起来。

    数字活动很容易记录和存储。事实上,许多web服务器可以自动存储信息,企业不得不做出放弃数据的慎重决策。追踪成本的降低使个性化和O2O(线上到线下)市场的创建成为可能,导致人们重新关注与不对称信息和差异化产品相关的既有经济学模型,如价格歧视、拍卖和广告模型。

    6.1 较低的追踪成本是否会催生新的价格歧视?

    利用数字技术追踪个人的能力使个性化市场成为可能。20世纪90年代末,随着互联网的商业化,一些经济学家认识到了数字化使价格歧视成为可能。在这种情况下,即使一级价格歧视似乎也不仅仅存在于理论之中。

    在数字市场的理论文献中,一种受到极大关注的价格歧视形式是行为价格歧视。这类文献强调,收集数字信息的低成本使企业更容易基于个人过去的行为实施价格歧视。该研究建立在大量的价格歧视文献的基础上,并没有特别强调数字市场。大体上,这些研究探讨了垄断企业和竞争企业(识别原有客户的成本和收益。弗登伯格和比利亚斯-博阿斯(2012)对文献进行了总结,认为在垄断条件下,企业从额外信息中获益,但在竞争条件下,信息可能会增加竞争的强度。此外,信息对垄断的好处可能导致消费者策略性地隐瞒信息。换言之,消费者变得对隐私更加敏感。相反,限制信息流动的规则损害了公司的价格歧视能力,因此可能会让一些消费者不愿意以公司提供的价格购买。

    数字经济学文献关注的另一种价格歧视形式是多版本化。巴尔加瓦和乔杜里(2008)提供了可变成本为零时的多版本化模型。费伊和谢劲红(2008)探索了基于概率销售的多版本化。例如,航空公司和酒店在Priceline.com上提供其产品的低价版本,在这种版本中,买家对购买的具体产品是不确定的。

    尽管关于个性化定价的潜力已经有丰富的理论探讨,但对数字价格歧视的实证支持有限。例如,多版本化是三级价格歧视的一种基本形式,它的出现早于数字市场。阿妮塔·拉奥(2015)为数字产品多版本化的价值提供了实验支持,证明了线上限时“租赁”可以划分高价值和低价值消费者,从而增加利润。尽管这种最直接的价格歧视形式很容易实现,但席勒和沃德福格尔(2011)认为,数字化企业可能不会像理论上最优的那样实行多版本化,或者实行更普遍的价格歧视。他们尤其对数字音乐市场中惊人的统一定价程度感到困惑。他们认为,音乐的统一定价似乎会导致企业利润低于最佳水平,但他们对这一难题并没有给出明确的答案。虽然已经有证据表明网络媒体广泛的多版本化,但是关于数字价格歧视的理论文献似乎领先于实证研究和企业实践。虽然有证据表明高等教育市场中存在一级价格歧视,但我们发现,唯一的线上高等教育研究的例子是杜布和米斯拉(2017)的研究,他们根据线上高等教育的大量特征,证明了在线高等教育服务针对不同客户制定多种价格的可行性和盈利能力。

    6.2 为什么学术重心从个性化定价转向个性化广告?

    考虑到理论文献对行为价格歧视的易行性和适用性以及在线商品个性化定价可能的强调,也许令人惊讶的是,对于其中的许多商品,消费者面对的价格为零。因此,实现低在线追踪成本的最显著效果或许不是使用个性化的档案向不同消费者收取不同价格,而是向不同消费者展示更合适、更相关、更有利可图的广告。

    这些观点以不同形式出现在许多关于双边市场的理论文献中(,它们强调数字化的环境。贝伊和摩根(2001)论证了信息中介会给消费者提供低价格,同时向广告客户收取足够高的价格以致一些人会选择不参与这一双边市场。安德森和德帕尔马(2009)以及苏珊·阿西等人(2018)都认为消费者的注意力是稀缺的,并探讨了广告商对这种注意力的竞争。苏珊·阿西等人(2018)强调,如果广告商想要给线下客户发送信息,他们需要利用基于媒体人口统计数据的嘈杂信号。相比之下,运用线上定位技术,广告商可以锁定某个特定的消费者。在媒体渠道多样化和消费者多归属的情况下,均衡结果是,尽管线上广告实际上对广告主更有用,但线上广告的价格可以比线下广告的价格低得多。然而,根茨科(2014)质疑了这一预测,他认为线上注意力的价格并不比线下低。

    也许正是由于这些力量,从收入、利润和用户来看都是最大的许多线上公司均靠广告支撑。低成本追踪意味着线上广告与线下广告的区别在于前者更有针对性。那些探索线上和线下广告竞争的模型强调了这一差异。苏珊·阿西等人(2018)以及莱文和米尔格罗姆(2010)使用了非常不同的模型证明更好的定向投放可能对线上媒体没有帮助。苏珊·阿西等人(2018)表明,改进追踪可以增加媒体之间的竞争。莱文和米尔格罗姆(2010)则表明,过多的定向投放会导致各广告商对垄断媒体公司出售的用户注意力的竞争不够充分。

    这种更好的定向投放导致了测度广告效果的文献日益丰富。因为广告信息是以“比特”的形式(而不是通过广告牌和报纸传播)发送给个人的,所以比较容易识别哪些消费者看到了广告,让消费者随机看到哪些广告,甚至可以通过消费者的购买行为追踪这些消费者。直到最近,这都是非常困难的,所以很少有研究能够提供可信的经验指标,用于衡量广告效果。由于追踪成本低,在线田野实验相对容易展开,而大规模的田野实验已成为最近文献研究的焦点。

    线上广告效果的研究主要由那些与行业合作的研究型经济学家推动。例如,刘易斯和莱利(2014)对160万雅虎客户进行了田野实验,将线上广告与线下百货公司销售联系起来。他们发现线上广告增加了百货公司的线下销售。布莱克等人(2017)表明,搜索引擎广告是谷歌的主要收入来源,但在很多情况下,这类广告不起作用。特别是,他们在易贝上开展了一个大型田野实验,证明消费者无论如何都会经常点击“有机”链接,然后浏览广告商的页面。他们认为很多搜索引擎广告是一种浪费。西莫诺夫等人(2018)使用来自微软必应搜索引擎的数据表明,易贝的搜索结果可能是由易贝作为一个特别知名品牌的实力驱动的。不太知名的广告商似乎可以从搜索广告中获益。

    虽然目前度量广告效果的方法比以前的方法要好得多,但仍存在重大挑战。即使有详细的数据,相关性研究通常也不能准确地度量广告效果,因为广告对销售影响的“信号噪声比”很低。此外,即使有实验,广告效果相对于购买行为的差异也是微妙的,因此研究需要有很强的说服力。

    大量文献也强调定向投放作为线上广告的一个独特而又重要的特征是有其作用的。戈德法布和塔克(2011c)表明,定向投放的横幅广告是有效的,但前提是它不占据屏幕太多的空间。由于定向投放对普通横幅广告的影响最大,所以它的效果关键在于如何提升其他类型广告的效果。兰布雷希特和塔克(2013)证明了其他类型的线上定向广告投放的有效性。

    如上所述,线上媒体将稀缺的消费者注意力卖给广告商,以此支撑其业务。新技术的出现使消费者可以屏蔽网络广告。这样的广告拦截可能会减少线上媒体的广告收入,而且可能会增加那些没有广告拦截软件的用户看到的广告数量。在检验这些想法时,席勒、沃德福格尔和莱恩(2018)使用了广告拦截和上网数据,表明广告拦截器的广泛使用可能会降低由广告支持的互联网网站的质量。

    6.3 为什么线上商品和服务经常以拍卖的方式出售?

    在线广告的兴起以及个人层面的追踪技术已经产生了一个难以解决的定价问题:企业如何为成千上万的广告制定价格?这些广告的定价可能在数百万甚至数十亿的客户中都是不同的。正如经济学家早就认识到的那样,拍卖是发现价格的一个特别有用的工具。因此,数字市场通常使用拍卖来确定广告价格。拍卖也被用来给其他一些商品定价。

    20世纪90年代,雅虎搜索页面的广告是按照一个标准费率定价的。Goto.com洞察到拍卖可以利用“广告的价值取决于搜索词”,这一洞见催生了广告中的新型价格歧视。广告价格可以根据搜索词而不是搜索页面来确定。谷歌和必应的广告拍卖就是基于这个观点。现在已有大量文献研究这种情形下的拍卖形式。如今,广告拍卖,尤其是展示广告拍卖,通常会考虑在线追踪技术提供的额外信息,比如过去访问过的网站和浏览过的产品。

    与追踪成本不太相关的线上拍卖也被用于商品的价格发现,最明显的是在易贝上。奥肯费尔斯等人(2006)提供了拍卖文献的早期回顾。他们强调,在数字环境中,举行和参与拍卖的交易成本较低。此外,许多数字商品并没有标准化,因为买家的估价会随时间和地点变化,因此拍卖的价格发现功能特别有用。范里安(2010)也提出了这样的想法,他描述了与去中心化的价格发现以及在此基础上更加精准地实施价格歧视有关的计算机中介交易的好处。虽然线上商品拍卖(而不是广告)仍然存在,但埃纳夫等人(2017)表明,随着线上市场的成熟,商品拍卖正在减少。拍卖在经济理论中的突出作用意味着,一类独立的文献用数字环境做背景来检验早已建立的理论。由勒金-赖利(1999)率先开展的这项研究并不是针对数字市场本身的,而是用数字化背景启发更广泛的理论研究。

    6.4 数字市场如何影响隐私政策?

    最近的一篇评论强调,低追踪成本已经让人们对隐私经济学重新产生了兴趣。

    一般来说,无论是关于线上还是线下隐私的经济学文献都在努力解决如何根据消费者的效用函数对待隐私问题。经济学家是否应该将隐私视为一种中间产品,其价值仅仅在于以它为中介能够成就另一种产品;或者视为一种最终产品,一种就其自身而言值得拥有和珍视的物品?许多政策的制定都基于隐私是一种最终产品的观点,在这种情况下,对他人侵犯或收集个人隐私信息的厌恶,可以作为个人效用的有效驱动因素。然而,受上文讨论的个性化定价的启发,许多理论文献在分析隐私时,把它看作一种中间产品。

    隐私规制会影响经济结果的性质和分布。埃德尔曼等人(2009)强调,用线上客户数据补贴零价商品和广告效果之间存在此消彼长的关系。戈德法布和塔克(2011d)指出,欧洲限制在线追踪的隐私监管导致了欧洲在线广告效果的大幅下降。约翰逊(2014)估计了隐私政策对在线展示广告行业的财务影响,认为选择加入政策或禁止追踪将大幅减少福利,而选择退出政策的影响很小。约翰逊的论文对于理解隐私监管对出版商(而非广告商)的影响非常有用。

    金和韦格曼(2015)表明,在金融危机期间,金融信息共享的监管增加了贷款违约。米勒和塔克(2009,2011)指出,美国医疗隐私规制减少了医院对电子病历(EMRs)的使用,导致了更糟糕的健康结果。关于更加积极地支持隐私方面,塔克(2014)表明,企业实施的隐私控制如果旨在鼓励消费者的隐私控制观念,那就可以提高在线广告的效果。塔克(2012b)比较了这一结果与认为解决消费者隐私问题可能会带来好处的研究,拓展了旨在说明有关隐私控制的观念通常会如何影响隐私问题的研究。

    总的来说,精确的隐私保护对创新的方向有很大的影响:是否保护隐私并不是一个简单的二元选择。米勒和塔克(2018)的研究强调了这一点,该研究表明,不同类型的隐私保护对个性化医疗技术的采用有非常不同的影响:给予消费者信息披露控制权的规制提高了个性化技术的采用,但强制消费者同意的规制减少了个性化技术的采用。

    隐私规制给追踪信息流带来了成本。这些成本对福利的影响可能并不明确。

    首先,隐私监管可能会对行业结构产生连锁反应。坎贝尔、戈德法布和塔克(2015)表明,因为隐私法规通常要求公司说服消费者同意,这反过来将成本强加给了消费者,小企业和新企业受到的影响会更大,因为隐私规制使它们更难获得准许。

    其次,由于隐私悖论,即消费者宣称对隐私有偏好,但随后采取的行动却与这种声明的偏好不一致,隐私政策对福利的影响也难以评估。阿西等人(2017)提供了一些证据,说明微小的激励、分散的信息和微小的导航成本会导致声明的隐私偏好和实际行为之间有多大程度的差距。此外,评估隐私的价值是复杂的,原因有很多,包括同一个人的隐私偏好会随时间变化。

    再次,可以理解的是,很多关于隐私经济学的工作都集中在与产业组织有关的问题上,数字技术和隐私对国家安全经济学也有影响。除了提高企业追踪消费者的能力之外,数字技术还使打击犯罪的政府机构能够追踪广大人口。马修斯和塔克(Marthews and Tucker,2014)表明,消费者对政府数据使用的意识不断增强,导致消费者在与企业互动时采取了更多保护隐私的行为。0验证成本的降低

    追踪成本的下降也减少了身份和声誉验证的成本。早期的经济学文献并未预料到这一点,因为有关互联网的最早报道表明,互联网将成为匿名工具,“在互联网上,没有人知道你是一条狗”。此外,除了追踪成本下降之外,数字技术也使身份验证变得更容易,而且创造了数字声誉。

    在缺乏数字技术的情况下,企业一直以建立品牌声誉的方式提供有关质量的可靠信息。然而,数字市场涉及成千上万的小企业。此外,这些小企业可能对潜在客户并不熟悉。埃纳夫等人(2017)估计,88%的线上签证交易都由一个商家经手,而客户不会线下走访这个商家,因此需要有品牌声誉之外的其他机制。关于验证成本的文献建立在有关声誉的经济学模型之上,旨在研究当质量和可信度的信息不对称时,之前的买家和卖家得到的经验何时能够使市场交换成为可能。这种对声誉模型的强调使验证成本的文献有别于强调价格歧视、广告定位和其他形式的个性化追踪成本的文献。

    7.1 在线声誉系统如何促进信任?

    最常见的声誉机制是在线评价系统,将过去的买家和卖家的评价发布给未来的市场参与者。在文献中,最受关注的市场是易贝。如上所述,易贝受到经济学家如此关注的一个原因是,它为检验拍卖理论提供了一个有用的环境。另一个原因与声誉机制有关。易贝认识到了让人们从不会面对面的陌生人那里购买产品面临着各种挑战。为了解决这个问题,他们建立了一个评价系统,并不断调整和改进。这一评价系统的有效性和发展一直是数百篇经济学和管理学论文的主题。例如,有学者展示了评价系统如何在没有重复交流的情况下使信任成为可能。许多论文通过实证研究证明,评价较高的卖家拥有更高的价格和更高的收入。卡布拉和霍尔塔苏奇(2010)展示了正反馈和负反馈之间的差异,强调了评价系统如何在市场中发挥约束作用,使低评价的卖家退出易贝平台。

    因此,声誉文献最初强调的是平台如何在远程交易中建立信任。德拉卢卡斯(2003)早就认识到,反馈机制的应用并不局限于在线交流。相反,他认为,这种机制将使各种各样的线上和线下市场活动得以进行。只要偏离的激励不太强,评价系统就可以在各种环境中提供可信的质量信号。

    评价系统的一个关键应用是提供产品质量信息。评价并不会增加关于某个卖家的信息,相反,它会让消费者了解一个平台中最好的产品。提供这样的信息可能符合平台的利益,从而引导消费者购买质量最高的产品。通过比较亚马逊和巴诺书店的评论变化,有学者证明了正面评价会带来更高的销售额。

    最近,文献集中在线上工具如何降低线下验证成本。卢卡(2011)展示了Yelp上的在线餐厅评论如何影响餐馆需求,尤其是独立餐馆的需求。总体而言,他的研究结果表明,Yelp导致了连锁餐馆相对于独立餐馆的份额下降。霍伦贝克(2018)针对宾馆的研究也发现了类似的结果。

    利用网络声誉机制更容易建立网络声誉,但以消费者投诉的形式破坏这种声誉的机制也变得更容易了。过去,投诉都是通过信件登记的,然后再打电话到呼叫中心。社交媒体能让投诉迅速传播到企业和更广泛的受众。甘斯等人(2016)使用来自推特的数据,研究了赫希曼(1970)首次提出的关于市场力量和消费者发言权之间关系的想法。他们指出,在航空公司航班占比较高的地区,消费者更有可能通过推特表达他们的不满。相应地,航空公司更有可能对这些市场的消费者做出回应。塔克及其合作者展示了数字技术的一些积极作用,因为使用移动应用程序接收投诉实际上有利于教育程度较低的消费者,在投诉处理中这些人更容易遭受歧视。

    改进后的个人在线验证程序的一个好处是,支付变得更安全、更容易。有学者证明了这一点,他们展示了在坦桑尼亚使用移动设备进行数字身份验证的力量。他们的研究表明,这种数字身份验证使移动支付网络能够将钱转移到其他人身上,但同样重要的是,它还能进行短距离的资金转移。人们似乎会在下班后存钱,步行回家,然后在家里取钱。该系统使存款和取款变得容易,从而降低了被抢劫的风险。以DNA数据库的形式进行的数字验证也被证明可以减少犯罪。

    随着技术的改进,验证可能会继续变得更加容易。研究人员推测,区块链是一种有望进一步降低验证成本的技术。区块链是一种结合了博弈论的洞见和密码学的技术,使得距离遥远而又互不信任的双方之间的价值交换不再需要中介。如果将交易属性或有关行为人的信息存储在分布式账本上,就可以低成本地验证它们。这意味着对定义网络如何达成协议的底层代码和规则的信任可以取代对中介的信任。目前,关于区块链技术的文献大多集中在该技术的具体应用上,如加密货币。然而,如果区块链技术实现了卡塔利尼和甘斯(2016)强调的承诺,那么我们可能会在未来几年看到各种不同文献在不同的实证研究框架下,将研究重点放在低成本验证的后果以及与之相关的中介角色变化上。

    7.2 政策在缓解声誉系统失灵方面是否有作用?

    考虑到声誉系统在创造需求方面的重要作用,经济学文献关注质疑声誉系统何时会失灵或许就不足为奇了。通常情况下,失灵与不能够完备地验证在线评价者有关。失灵的一种类型与选择偏差有关:不是所有消费者都提供评价。诺斯科和塔德雷斯(2015)展示了这种选择偏差的证据:有糟糕购买经验的买家不会给卖家打分。相反,他们会在未来停止购买该平台上的任何卖家的商品。因此,卖方的低劣服务造成了负外部性。声誉系统的失灵伤害的是平台,而不是单个卖家。另一种类型的失灵与企业或其竞争对手直接操纵评级有关。迈茨林等人(2016)展示了操纵评价的证据:企业似乎给自己高评价,而给竞争对手低评价。这种操纵评价的证据表明,仅靠评价系统是不够的。

    数字经济学文献在较早的时候就认识到了评价系统存在的问题。以收集棒球卡的市场为例,当买家和卖家在同一个地方面对面交易时,买家可以在商店里检查卡的质量。他们可以查看是否有裂口、褶皱或边缘磨损。而在网上,质量很难评估。有学者提供了这些市场欺诈的证据。他们表明,在线声誉系统在许多方面是不够的。在另一篇论文(Jin and Kato,2007)中,他们展示了专业评价行业如何帮助解决线上买家和卖家之间的信息不对称问题。斯坦顿和托马斯(2016)通过考察线上劳动力市场上的员工和企业行为,证明了线上中介在提供平台评价之外的信息方面也有其价值。他们表明,与机构的合作可以使新员工获益。

    各平台还致力于改善其声誉系统。弗拉德金等人(2017)记录了爱彼迎针对这一目标所做的两个实验:提供货币激励以提交审查,以及实施同步审查过程以减少策略性互惠。回翔等人(2016)以易贝为例,说明了平台会受益于声誉系统和驱逐行为不当者的规章制度。

    在上述每一个案例中,都是私营部门缓解了声誉系统的失灵。就政策的作用而言,它一直在执行合同和防止欺诈方面发挥作用。在这一点上,文献没有指出关于声誉系统失灵的具体的数字化政策。

    与验证有关的政策的一个方面是商标等知识产权类型的工具。商标允许消费者验证一个品牌是不是真的。塔克及其合作者(2014)指出,在线上,消费者使用商标进行主动搜索。因此,商标有两个用途:验证身份并提供相关产品的搜索路径。商标政策需要足够窄,以使得与商标相关的搜索更便利,但也要足够宽,以确保这种搜索不会对品牌识别造成困扰。

    7.3 数字市场如何影响反歧视政策?

    由验证方面的变化推动的第二个政策问题与歧视相关。如果人们在互联网上真的是匿名的,那就不会有直接的歧视。然而,在数字环境中,验证成本的下降和识别个人及其特征的能力使得歧视成为可能(而且潜在成本低)。

    因此,政策制定者的问题在于,网络环境中是否有某些独特之处,需要在现有的反歧视法之外实施更多的规制。对此展开热议的一个领域是使用算法解析数据以及资源配置和决策制定的自动化。兰布雷希特和塔克对此进行了研究,结果表明,算法可能会导致明显的歧视性结果。他们特别指出,STEM(科学、技术、工程和数学)教育的广告通过在线算法更多地投放给男性,因为向男性投放的广告总体上比向女性投放的广告更便宜,所以那些对性别不敏感的广告商最终会更频繁地向男性投放广告。

    大体上,一方面虽然追踪更容易了,但另一方面这种追踪可能会关注那些在法律和道德上争议较小的方面,比如偏好而不是种族。如果数字交易意味着性别和种族信息不被披露,那么歧视可能会减少。莫顿等人(2003)表明,线上购车减少了基于性别和种族的价格歧视。库伦和帕扎德赫森(2017)表明,在线平台上工资隐私的减少降低了员工之间的工资差异(尽管它也降低了平均工资)。

    另一方面,如果性别、种族或其他敏感信息被泄露,在没有其他信息的情况下,可能存在很高的歧视。例如,艾尔斯等人(2015)表明,当黑手展示物品时卖家得到的价格比白手展示物品时要低。另有学者展示了一项田野实验的结果,该实验研究了雇主如何使用社交网络上的信息筛选出合适的员工。他们发现,相当多的人出于潜在的歧视目的使用社交网站。在其他各种网络环境中也可以发现类似的结果。

    无论线上还是线下,歧视都很普遍。有待解决的问题是,歧视在线上还是在线下更普遍;旨在减少线上歧视的具体政策是否会减少总体上的歧视,还是仅仅将歧视推入另一种情形。0数字化对各经济主体的影响

    随着人们花费在数字媒体和线上购物的时间越来越多,随着企业和政府越来越多地使用数字技术,这就提出了一个更一般的问题:以“比特”而非原子形式存储的信息会如何影响福利?搜寻、复制、运输、追踪和验证成本的下降对经济有影响吗?

    文献大体上从四个不同的方面处理上述问题:国家层面的影响、区域层面的影响、企业层面的影响和消费者层面的影响。

    8.1 国家层面的影响

    与互联网技术相关的宏观经济生产率文献源于索洛(1987)的主张:“你可以在任何别的地方看到计算机时代,但在生产率统计中看不到。”这个“生产率悖论”持续了很多年。大量增长核算的文献已经出现,以探讨这一难题并衡量数字技术对经济的总体影响。虽然我们认为这些文献超出了本文的范围,但乔根森等人(2008)对此进行了总结,并认为1995年后的生产率大幅上升主要是由数字技术的投资和使用驱动的。

    不过,衡量生产率变化还是很困难的。霍尔蒂万格和贾明(2000)提出了在衡量数字经济的影响时可以预见的几个挑战:服务业产出、数字技术支出数据、价格平减指数等。一个关键的挑战与无形资本有关,人们发现无形资本影响了美国和英国的生产率衡量。索洛韦伊奇克(2010)接受了这一测量方面的挑战,并识别了与书籍、电影、音乐和电视相关的约650亿美元的无形资本。

    关于国家层面影响的另一项研究工作考察了数字通信如何影响数字和实物商品的贸易流动。弗洛恩德和温霍尔德(2004)提供了暗示性的证据,表明互联网增加了实物商品的贸易,因为它降低了国际交流的成本。电子邮件通信的非共时性可能对降低跨多个时区的通信成本特别重要。然而,戈麦兹-埃雷拉等人(2014)认为,这种增长可能会更多地惠及英语国家。前文强调的几篇论文表明,互联网促进了数字服务贸易,这可能导致某些工作的外包。然而,距离的重要性是否比互联网普及之前有所降低,对此仍有争议,我们从文献中了解到,那些关注互联网直接影响的论文发现,距离在贸易中的作用有所减弱,而其他论文则指出了另一些相反方向的较弱力量。格罗德尼申科和塔拉韦拉(2017)表明,汇率在网上传递更快,这与便捷的国际交流对贸易的影响是一致的。

    8.2 区域层面的影响

    另一个问题是互联网在多大程度上导致了国家内部经济利益的再分配,特别是在城市和农村地区之间。加斯帕尔和格莱泽(1998)指出,数字通信可以是城市的替代或补充。总体而言,文献表明,数字技术和数据的最大受益者是大型城市地区。线上媒体的主要早期受益者是城市地区,因为质量最高的内容是在城市地区创作的。萨维奇和沃尔德曼(2009)发现,这可能是城市居民更愿意为宽带付费的原因之一。埃肯格林等人(2016)表明,外汇市场上有效的电子通信导致了离岸货币交易的增加,以及由此导致的伦敦和少数其他主要金融中心货币市场的集聚。福曼、戈德法布和格林斯坦(2012)表明,富裕城市是商业互联网的主要受益者。

    城市从商业互联网受益的机制取决于集聚效应,特别是当地劳动力市场中熟练工人的集聚效应。福曼、戈德法布和格林斯坦(2005,2008)表明,在城市和大公司中,商业事务采用互联网的比例更高,但是位于城市带来的优势或大公司的优势之间是相互替代的。这表明了集聚效应的重要性。德拉诺夫等人(2014)针对医院的研究也发现了类似的结果。

    与上述研究相比,有一些证据表明,采用互联网对孤立的个人和农村地区有一些好处。奥托(2001)以及加斯帕尔和格莱泽(1998)推测,互联网可能会减少对任务专属的工作空间的需求,从而提高“远程办公”的流行度,并减少对工作地点离家近的需求。柯尔科(2012)表明,宽带在就业方面更多地惠及了低密度地区的人们,尽管总体影响很小。此外,尽管上文引用的西奈和沃德福格尔(2004)的主要研究结果是城市地区拥有更高质量的互联网内容,但他们也表明,孤立的个人更倾向于消费更多的互联网新闻。例如,在白人社区的黑人会消费更多的网络新闻。最后,福曼、戈德法布和格林斯坦(2005)指出,基础互联网技术(可能更多地)使农村和偏远城市受益。

    总的来说,有两股力量在发挥作用。集聚效应意味着城市获得了更多的好处。但低成本通信也可以使地理上隔绝的人受益。在任何特定情况下,整体结果取决于这些力量之间的平衡。一般来说,技术使用越困难,集聚效应占主导地位的可能性就越大。

    8.3 企业层面的影响

    如上所述,增长核算文献表明,数字技术投资与国家层面的生产率提高之间存在着令人信服的联系;然而,在宏观层面的测量中,因果推论是困难的。有大量且不断增长的文献记录了从数字技术的采用到企业层面生产率提高的直接联系。通过使用微观数据和各种计量经济学技术解决与选择、遗漏的变量偏差和同时性相关的问题,本文发现,数字技术的采用确实提高了生产率。然而,事情并不像乍看起来那么简单。只有部分企业的生产率得到了提高。各种因素增强或减弱了数字技术和生产率之间的关系,包括组织变革、技能、地理、监管、企业规模和年龄,以及潜在的溢出和/或网络外部性。

    布莱恩约弗森等人(2010)的综述得出了一个结论,即信息通信技术的采用提高了企业绩效。这一结论受到了大量论文和各种背景的影响。当信息通信技术投资在模型中作为滞后变量时,信息通信技术和生产率之间的相关性甚至更强。

    还有关于信息通信技术对生产率影响的具体案例研究。贝克和哈伯德(2004)表明,信息通信技术提高了卡车运输的生产率。有学者表明制造业的生产率有所提高。阿格拉瓦尔和戈德法布(2008)表明,BITNET(一种连接世界教育单位的计算机网络)提高了中等水平大学的学术生产力。在卫生保健方面,阿西和斯特恩(2002)表明,信息通信技术以“E911”的形式改善了应急反应;米勒和塔克等人(2011)表明,电子病历改善了患者的预后;德拉诺夫等人(2014)表明,电子病历在具备互补技能的情况下降低了医院成本,但在其他情况下则不然;另有学者表明,电子病历提高了医院的生产率。

    布鲁姆等人(2012)使用了一个关于信息通信技术和生产率的大型跨国企业层面的面板数据库。他们的数据库包括13个欧盟国家总共11年的1.9万家企业,以及同期规模较小的美国企业。他们得出的结论是,信息通信技术确实提高了生产率,尽管他们发现这种效应在不同国家和企业类型之间有相当大的差异。他们强调了组织资本的重要性,表明在英国经营的美国跨国公司经历了与美国企业同样的生产率奇迹。相比之下,英国的其他跨国公司(和其他公司)却没有这种生产率的奇迹。文章的标题很好地传达了这样一个理念:“美国人在信息技术方面做得更好。”他们认为,美国公司的组织方式使它们能够更有效地使用信息通信技术。组织资本和组织结构在有效利用信息通信技术投资方面的重要作用是文献中反复出现的主题。

    除了改变组织结构,最有效地使用先进信息通信技术还涉及“共同发明”,这是信息通信技术适应组织需要的过程。如果公司位于有大量本地信息和通信技术的地方,就最容易利用这种流程创新。这当然反映了大量关于技能偏向型技术变革的文献,这些文献篇幅很长,超出了本文的范围。正如阿西莫格鲁和奥托(2012)评论的,鉴于之前几代信息技术都存在技能偏向,使用互联网提高生产率也存在技能偏向或许就不足为奇了。相应地,在互联网背景下,阿克曼等人(2015)提供的证据表明,挪威的宽带普及更多地惠及了技能工人。

    8.4 消费者层面的影响

    关注生产率或国民收入核算的度量方法并不能衡量消费者剩余。由于大部分最有价值的线上内容都是免费的,生产率和GDP的衡量可能会遗漏由互联网带来的消费者剩余的潜在增长。根据人们的时间利用数据,瓦尔斯滕(2013)表明,我们将越来越多的休闲时间花在网上,取代了线下的休闲(包括电视),工作和睡眠也有较低程度的减少。同样基于人们的时间利用数据,古尔斯比和克雷诺(2006)估计,2005年消费者剩余为每人每年3000美元。戈德法布和普林斯(2008)表明这种效应是有差异的。总体而言,受过良好教育的富裕美国人更有可能使用网络,因此,总的消费者剩余更多地流向了富人。与此同时,在使用互联网的条件下,收入较低的人会花更多的时间上网。因此,在使用互联网的人中,低收入人群的消费者剩余(至少相对于总的消费而言)更高。

    许多研究从互联网相关技术那里得出了消费者剩余的具体估计。格林斯坦和麦克德维特(2011)测算了1999年到2006年与宽带普及相关的消费者剩余为48亿—67亿美元。布莱恩约弗森及其合作者(2012)估计,免费线上服务带来的消费者剩余接近1000亿美元。科恩等人(2016)估计仅服务优步豪华车就带来了数十亿美元的消费者剩余。

    布莱恩约弗森等人(2017)通过使用(激励相容的)选择实验,提供了或许是互联网消费者剩余最全面的估计。例如,在一项研究中,他们询问人们,如果一个月不能使用脸书(Facebook),需要支付多少钱。然后,他们通过阻止受访者使用脸书以换取报酬来获得实验结果。他们估计,脸书的价值约为每名用户每年750美元,全美国相当于180亿美元。他们还通过用户层面的调查估算了其他免费在线服务的消费者剩余,比如搜索引擎(每用户每年1.6万美元)和线上视频(每用户每年900美元)。

    在得出结论之前,有一点很重要,那就是要认识到互联网消费的变化可能会对整体福利造成或许是负面的其他变化,而这些变化没有被上述剩余指标涵盖。贝洛等人(2014)显示,学校采用宽带与成绩下降有关,可能是因为线上游戏分散了学生的注意力。布勒等人(2013)认为,互联网的普及可能增加了性犯罪,这可能是因为增加了色情制品的消费(而不是因为犯罪者和受害者之间的举报或匹配)。同样,高斯等人(2016)认为,与互联网相关的种族仇恨犯罪增加了;法尔克等人(2014)认为,互联网的可用性降低了选举的投票率。

    09  结论

    在多个领域,经济学家研究了数字技术是如何改变经济活动的。虽然这些论文往往有不同的观点,引用不同的文献,但一个核心主题是数字化降低了一些具体的经济成本。我们已经确定了五种这样的成本:搜寻、复制、运输、追踪和验证成本。这些主题帮助我们理解数字经济活动的本质,以及数字和非数字环境之间的相互作用。

    在定义本文的范围时,我们划分了边界。例如,我们没有讨论技能偏向型技术进步的文献。由于技能偏向的主要驱动因素并不是“比特”信息的存储,而且还有其他一些对该文献的评论,所以我们参考了卡茨和奥托等人的研究。同样,我们没有详细讨论数字技术增长核算方面的文献,而是让读者参考乔根森等人(2008)的研究。我们也将我们的讨论局限在已经在《经济学文献杂志》上获得评论的三个主题上:隐私、线上拍卖以及电信定价和通用服务。

    本文的文献回顾强调了数字环境中内在的成本变化导致的经济行为变化并不像基本经济模型表明的那样明显。有待解决的关键问题仍然是关于每一种成本的突出变化。此外,随着数字技术的发展,其他类别的成本也可能下降。

    (上海交大安泰经济经济管理学院 谢一鸣 译)

  • 张维迎:​​经济学家如何理解经济增长

    经济增长是一个新现象

    对人类来说,经济增长是个非常新的现象。从旧石器时代算起,人类已有250万年的历史,即便从智人算起也有20万年历史,而经济增长只有250年历史,相对于250万年为万分之一,相对于20万年也仅有千分之一点二五,确实很短。工业革命之前,不增长是常态,增长是非常态,人们不会谈论与增长相关的话题,更不会因为经济停滞而着急。

    在进入文明史的数千年里,普通人的生活水平,不要说从这一年到下一年之间没有什么变化,甚至数代人之间也没有太大差别。18世纪初普通英国人的生活并不比罗马帝国时代好多少,平均寿命也没有超过古罗马人的平均寿命。就中国而言,直到20世纪70年代,绝大部分中国人的生活水平不比唐宋时期好多少,真正显著的经济增长,普通人生活水平的提高,只是过去40年发生的事情。

    但过去200多年的经济增长并不是一个均匀现象。伴随经济增长的出现,各国之间人均收入的差异也越来越大。1500年时,从全世界看,人均GDP东方和西方的差别也不是很大,但是从1820年开始,差距逐步扩大。到2000年时,最富有国家的人均GDP是最贫穷国家的上百倍。人均GDP最高的是西欧各国和文化制度同源国,包括美国、加拿大、澳大利亚等国,而中国远远落后于世界平均水平。这被称为“大分流”。

    这种大分流可以用人口数和GDP规模之间的相关系数来描述。1820年之前,这个相关系数基本都接近于1,也就是说,人口大国基本上就等于经济大国。1820年的相关系数仍然达到0.9423,但此后这个系数开始迅速下降:1870年为0.6393,1913年为0.3404,1950年为0.1554,1973年为0.148。也就是说,到1973年的时候,人口规模与经济规模之间没有什么关系,人口大国可能是经济小国,而人口小国可能是经济大国。中国是世界第一人口大国,人口数量当时占世界的20%,但GDP规模排在十三四位以外。只是在上世纪70年代之后的两个十年间,随着大多数发展中国家的经济增长率显著高于发达国家,大分流也在80年代末被大融合所取代。人口数和GDP规模之间的相关系数2003年上升到0.5185。

    人类有好奇心,看到这种大增长和大分流,就想提供解释。总结起来,学者们提供的解释大致可以分为以下几种:

    第一类是地理决定论:一国的经济增长由其所处的地理位置以及拥有的资源决定。其代表人物早期有法国启蒙思想家孟德斯鸠,最近几十年有历史学界的加州学派、生物地理学家賈德·梅森·戴蒙德(Jared Diamond)、经济学家杰弗里·萨克斯(Jeffery Sachs)等。

    第二类是人种决定论:经济增长决定于人的智力,不同人种之间智力的差异导致了经济增长的差异。这是社会达尔文主义的解释。

    第三类是文化决定论:宗教信仰、价值观、伦理等文化因素决定经济增长。其最著名的开创者和代表人物是德国社会学家马克斯·韦伯(Max Weber),他认为新教伦理塑造了资本主义精神,而儒家文化不利于经济增长。

    第四类是制度决定论:社会经济制度决定经济增长。特别地,私有产权和市场经济有利于经济发展,财产公有和计划经济不利于经济增长。制度决定论是大部分经济学家持有的观点,其最著名的代表人物是道格拉斯·诺斯、达隆·阿齐默魯(Daron Acemoglu)和詹姆斯·罗宾森(James Robinson)。我自己也持有这种观点。特别地,我认为,市场经济中的企业家精神是经济增长最重要的决定因素。有一个很好的例子来说明制度的作用。朝鲜和韩国原本是一个国家,“二战”刚结束时,面临的情况很接近,但经过几十年发展以后,两个国家完全不同。

    容易带来误导的两大经济增长理论

    经济学家也是最近几十年才开始关注制度问题。在很长一段时间里,经济学家在解释经济增长的时候,关注的主要是技术性变量,这些变量可以划为两大类:一类是存量,包括资本、劳动力和技术;另一类是流量,包括投资、消费和净出口。这些概念都来自主流经济学家的两种思维方式:一种是供给侧思维,另一种是需求侧思维。第一种被称为新古典经济学增长理论,第二种属于凯恩斯主义经济学。

    新古典增长理论由麻省理工学院的经济学家罗伯特·索罗(Robert Solow)于1956年创立。他在1957年又做了经验研究,解密美国在1900年-1950年这半个世纪的经济增长源于哪些因素。之后经过其他一些经济学家的补充和完善,他的理论就成为主流的经济增长理论。

    在新古典增长理论中,整个经济被当作一个“生产函数”:生产要素投入是自变量,产出是因变量(一般用GDP来衡量)。技术存量决定生产函数的形式。同样的要素投入,技术越先进,总产出越高。最简单的生产函数只包括劳动和资本两种投入。遵循新古典范式,索罗假定经济具有不变规模报酬的特征,劳动和资本各自贡献的份额加起来就等于1,实际增长超出1的部分就是技术进步带来的,被称为“全要素生产率”(total factor productivity,缩写为TFP)。这样,比如说,如果劳动力投入和资本各增加1%,由要素投入导致的增长就是1%。如果实际产出增加了3%,那超出的2%就是全要素生产率的贡献。索罗1957的研究发现:美国在20世纪前50年的增长,将近80%来自全要素生产率的提高,只有20%来自资本和劳动的贡献。

    这里,有必要对全要素生产率(TFP)做点说明。所谓全要素生产率,就是用劳动和资本不能解释的,因而是一个剩余量,即回归分析中的残差。如果生产函数中增加一些其他投入变量(如土地、矿产资源),全要素生产率的贡献就降低了。新古典经济学假定经济总是处于当下最有效的均衡状态。在此假定下,全要素生产率的提高一定来自于技术进步。但这个假设是有问题的。经济并不总是处于均衡状态,新古典增长模型估算的全要素生产率的提高,既可能来自于技术进步,也可能来自资源配置效率的改进。这一点对我们理解中国过去40年的经济增长很重要。改革开放以后中国的全要素生产率提升很大,主要是来自我后面讲的企业家套利活动导致的配置效率的改进,来自人们工作积极性的提高。

    新古典增长模型在解释增长中占有主流地位,经济学家用这个模型度量了几乎每一个国家经济增长情况。我这里举几个有关中国经济增长的实证研究。

    北京国民经济研究所的王小鲁、樊纲、刘鹏用新古典增长模型对中国经济增长进行了研究(《经济研究》2009年第1期),他们发现:在1953年—1978年计划经济时期,中国GDP平均年增长6.15%,其中2.66%来自资本投入的增加,1.71%来来自劳动投入的增加,只有1.78%来自于全要素生产率的提高,占比不到29%。但在改革开放之后,无论哪个阶段,全要素生产率的贡献都大幅上升。比如1999年—2007年间,中国GDP平均年增长9.72%,其中全要素生产率年平均增长4.1%,占到整个贡献的42%。

    哈佛大学的经济学家德怀特•珀金斯(Dwight Perkins)和匹兹堡大学的托马斯•拉斯基(Thomas.G. Rawski)也曾对中国1952年-2005年的经济增长情况进行过分析(2008年)。从他们的研究结果看,1952-1978年间全要素生产率的贡献只占11%,其中1957-1978年的20年间全要素生产率的贡献是负的(-13%),也就是说,产出增长远低于投入增长,说明配置效率降低了。但改革开放之后,全要素生产率贡献都是正的,而且相当高。尤其在1990年—1995年这段时间,经济增长的57.3%来自于全要素生产率的提高,这是巨大的进步。

    加拿大多伦多大学的朱晓东教授2012年的研究发现,在1952年—1978年间,中国全要素生产率对于经济增长(按人均GDP算)的贡献是-72.03%,而人力资本的贡献达52.25%,按单位产出计算的资本的贡献是116.15%,劳动参与的贡献是3.63%。这意味虽然资本的投入非常大,但由于生产效率的降低,资源浪费严重,并没有带来应有的经济增长。改革开放之后的1978年—2007年这三十年,全要素生产率的贡献占比达77.89%。

    当然,全要素生产率对经济增长的贡献度究竟是多少,经济学家之间存在着分歧,依赖于作者使用的数据和模型的设定。但全要素生产率的贡献改革后显著高于改革前,是没有争议的。我要强调的是,这种转变主要不是由于中国自身有什么技术创新,而是由于激励机制的改变,包括国有企业、民营企业都更有积极性了,表现出来就是全要素生产率的提高。

    新古典增长理论存在什么问题呢?

    第一,这个理论假定技术是外生的,就像天上掉下来的馅饼,没有考虑什么因素推动了技术进步。

    第二,新古典增长模型只关心资本的数量,不关心谁控制资本,谁来投资。在新古典模型中,不论谁投资,结果是一样的。由于技术被假定是外生的,谁都无能为力,惟有资本是人可以控制的,新古典增长理论客观上为政府主导投资提供了理论依据。这确实也是许多发展中国家信奉的理论。但实际上,谁投资比投资多少更重要,政府投资和企业家投资的效果完全不一样。

    这一点对理解中国经济增长尤其重要。中国在改革开放之前的投资力度并不小,但没有带来好的经济增长,就是因为这些投资由政府和国有企业主导,而来自私人企业家的投资为零。这才是真正的关键。

    尽管新古典范式主导着经济学的思维,但经济学家还是逐步承认,技术并不是外生的。所以从上世纪80年代后期到90年代开始,有些经济学家试图把技术进步内生化,提出了“内生增长理论”(endogenous growth theory)。内生增长理论的开创者保罗·罗默(Paul M. Romer)2018年获得诺贝尔经济学奖。这一理论把技术进步模型化为知识生产问题,认为经济增长主要来自知识的积累。由于知识的生产具有规模报酬递增的特征,并且一个人创造出来的知识谁都可以用,在政策导向上,内生增长理论认为政府应该重视教育和科研方面的投入,同时,企业也应该加大研发投入(R&D)。但非常遗憾的是,内生增长理论中也没有企业家的位置,其所讲的技术进步是没有创新的技术进步,因而并不能构成一个正确的增长理论。

    另外一个主流的经济增长理论是凯恩斯主义经济学。凯恩斯主义理论本来是用来解释短期经济波动的,而非经济增长,但慢慢演变到最后,现在成了最时髦的解释经济增长的经济学模型。今天在讨论和预测经济增长率时,经济学家、政府官员、商界领袖、媒体人,甚至普通人,用的都是凯恩斯主义的经济学。

    凯恩斯主义经济学简单地说就是总需求理论。相对于新古典增长模式从总供给(生产)方面研究经济增长,凯恩斯主义理论是从需求方面思考经济增长。这一理论建立在“总需求=投资+消费+净出口”这个统计恒等式基础上,因而认为经济增长决定于投资、消费和净出口这三个变量,如同新古典模型中经济增长决定于资本、劳动和全要素生产率一样。这就是俗称的“三架马车”增长理论。

    这一理论的政策含义是什么呢?增长就是总需求的增长,因此政府可以干预、甚至操纵经济增长,其主要办法是通过货币政策和财政政策刺激投资、消费和净出口。中国现在还有一个经济增长方式转型的目标,说过去40年是靠“投资拉动”和“出口拉动”,现在要从“投资拉动”和“出口拉动”转向“消费拉动”、“扩大内需”。

    很多政府官员特别喜欢这个理论,因为它给政府获取和行使权力提供了正当性;很多经济学家也都喜欢这个理论,因为它为经济学家创造了大量就业机会。官方统计年鉴每年都会公布相关数据,显示消费、投资和贸易对经济增长各贡献了多少。但经常难以自圆其说,比如2009年GDP增长率为9.2%,其中来自最终消费的贡献是50%,投资的贡献是87.6%,这两项加起来是137.4%,超过了100%,结论只能是贸易贡献-37.4%。这是什么意思?一年的贸易做下来,对经济增长的贡献是负的?是不是说如果那年把国际贸易关闭了,既不出口也不进口,中国的GDP增长率会提高3.5个百分点,达到16.9%?所以,我对这个理论的评价是“错得离谱”。

    首先,人类投资是为了什么?为了提高生产率,未来有更多的产出,从而人们可以生活得更好。但按照凯恩斯主义理论,投资的目的不是为了未来,而是为了增加当年的GDP,所以投资是否有效率,并不重要。这样一来,如果钢材过剩了,GDP(总需求)不足,怎么解决呢?那就再新建一个钢厂,通过投资本身增加了总需求,消耗掉一部分原本过剩的钢材,增长率就提高了。但这有什么意义?为什么要搞这么多浪费性的投资?人为创造的总需求,究竟对于国家未来有多少好处?没人在意。

    第二,消费究竟是手段还是目的?人人都知道消费是目的,人类生产的所有东西最终都是为了消费。但是按照凯恩斯主义理论,消费只是增加GDP的一个手段。2009年政府定的目标是GDP增长8%,为了“保8”,就鼓励民众消费,包括采取家电下乡等各种政策,无论是吃饭还是穿衣,都为了实现8%这个目标。真是本末倒置!

    第三,再看国际贸易。贸易使得国际分工成为可能,每个国家、每个地区、每个人都可以通过比较优势受益。但按照凯恩斯主义经济学,只有出口大于进口,贸易对GDP的贡献才是正的;如果进口大于出口,贸易对GDP的贡献就是负的。因为一国顺差必有他国逆差,凯恩斯主义经济学把贸易从一个正和博弈变成一个零和博弈,为贸易保护主义提供了理论依据,与古老的重商主义没什么区别。从统计数据可以看到,2008年全球金融危机之后,有好几年贸易对于中国经济增长的贡献都是负的。如果真是这样,那干脆把进出口贸易全部关掉,经济增长不就更高吗?

    有些学者还用总需求理论测算中美贸易战对中国的影响究竟有多大,得出的结论是“影响不大”:即使中国和美国的贸易全部关闭,对中国GDP的影响也就2.4%。他们的结论是这样得出的:中国出口到美国的产品相当于中国GDP的3.6%,中国出口产品的增加值比重只占0.66,3.6%×0.66=2.4%。这种逻辑非常荒唐!就好比一座房子有四根柱子、住着4个人,你问一根柱子塌了还能住几个人?回答是“3个”。

    凯恩斯主义理论对国家经济政策误导太大,很多国家都是按照这套理论来管理经济,所以问题越来越多。凯恩斯主义理论有点像鸦片,一旦吸上瘾,再很难戒掉。

    斯密-熊彼特经济增长模型

    经济学家究竟应该怎样理解经济增长呢?不妨回头看看经济学的起源。

    经济学和自然科学不一样。自然科学总体上讲是不断进步的,今天发表的论文比过去的要正确,所以自然科学家不需要看几百年前的研究成果,只看现在发表的东西即可。但社会科学不一样,经常倒退,所以必须读历史,从古董里面找出正确的东西。

    经济学创始人亚当·斯密怎么理解经济增长?他的著作《国富论》,英文全名直译过来就是《国民财富的性质和原因研究》,研究的是一个国家怎么变得富有。很可惜,他的增长理论被经济学家慢慢遗忘了。

    斯密增长理论的核心是市场规模和劳动分工。斯密认为:一个国家的经济增长、财富增长,主要来自劳动生产率的提高;劳动生产率的提高靠技术进步,也就是现在讲的创新;技术进步和创新取决于劳动分工和专业化;而劳动分工和专业化取决于市场规模的大小。市场规模越大,分工越细,专业化越深,创新就越多,劳动生产率越高,经济增长越快;经济增长以后,人们的收入提高了,市场规模进一步扩大,就形成了一个正向循环。这个正向循环里,市场规模有着举足轻重的作用,对我们理解贸易和全球化对经济增长的贡献非常重要。静态看,市场规模不仅取决于人口数量,也取决于人均收入水平;动态看,市场规模决定人均收入水平。开放可以扩大市场规模,所以对经济增长尤为重要。

    按照斯密的增长理论,经济增长在本质上并不是一般经济学家告诉大家的GDP提高3%、5%或8%,而是新产品、新技术、新产业的不断出现。也就是说,总量增长和结构变化是不可分开的,没有结构变化就不可能有总量增长。这确实是过去200多年里发生的事情。传统社会里只有农业、冶金、陶瓷、手工艺等几个行业,产品很简单,其中农业占主导地位,其他几乎可以忽略不计。现在人类有多少个行业?按照国际的多层分类标准,仅出口产品,两位数编码的行业有97个,4位数编码的行业有1222个,6位数编码的行业有5053个,而且还在不断增加。按照现在超市产品种类的统计口径:200多年前人类生产的产品总数量只有102到103,现在则达到108-1010,也就是1亿种至100亿种。截止2021年3月21日,亚马逊网站出售的产品就有75,138,297;如果把亚马逊的电商包括进去,销售的产品总数达到3.5亿种

    但亚当·斯密没有讲经济增长正循环的核心驱动力是什么。市场是如何出现的?分工究竟是怎么形成的?创新又从何而来?这些问题在斯密看来有点像是自发产生的。

    100多年前,奥地利经济学家熊彼特(Joseph Alois Schumpeter)在《经济发展理论》一书中,提出了“创新”和“企业家精神”这两个概念。在熊彼特看来,经济增长=创新=企业家精神。企业家做的就是“创造性破坏”(creative destruction),不断创造出新产品、新技术、新市场、新的原材料和新的组织方式。这个理论非常深刻,我觉得可以永垂不朽,但很可惜他的理论至今没有进入主流经济学,我觉得这是经济学家的愚蠢。人类就是这样,一旦拥有一个框架,喜欢不停地再往里面放东西。如果再出现别的框架,全新的、颠覆性的理论,大家就很排斥,所有不符合原有框架的,都拒之门外。

    我本人将斯密的增长理论和熊彼特的企业家理论结合在一起,概括出“斯密-熊彼特增长模型”,如下图所示。

    在我总结的斯密-熊彼特增长模型中,企业家处于中心地位。市场不是自然存在的、谁都可以看得见的。市场是被发现、创造出来的,企业家的一个重要工作就是发现市场、创造市场。分工和专业化其实也是企业家创造出来的。创造新的市场、新的产业,靠得是企业家的创新。经济增长之后,要把增加的财富变成新的市场,也要靠企业家的创新。

    一般经济学家做研究时,假定产业是给定的,但实际上并不是。产业是企业家创造出来的。比如,软件产业是比尔·盖茨创造的,APP产业是乔布斯创造的,原来都没有。在经济发展、人们收入提高以后,企业家不断地创造新的市场、新的产品,因为一直生产原来的产品就会造成所谓的“产能过剩”,经济不可能持续增长。

    这个理论很简单,但是我认为用来解释人类在过去250年里、或者中国在过去40年里的经济增长是最好的,比现在经济学家在教科书里讲的经济增长模型都要好,不会带来误导。从哥伦布发现新大陆开始逐步全球一体化,市场不断扩大,现在分工变成一个全球价值链,每个国家只做产业链中的一小段。技术进步层出不穷是过去几百年才发生的事情,而做出这些贡献的主要就是企业家。

    一般认为,自18世纪以来,世界经历了三次工业革命,现在马上要进入第四次工业革命或者已经进入。这几次工业革命其实都是企业家创新的结果。当然,这并不是贬低科学家、发明家的作用。第一次工业革命与科学没什么关系,而在第二次工业革命中,科学发挥了很大作用,但如果没有企业家,科学很难变成生产力。正是由于企业家的创新,才使人类积累的知识(包括人文社会科学、自然科学)转变为现实的生产力。企业家的创新也带动了科学的发展。比如,热力学就是研究蒸汽机的产物,化工学专业是石油化工的产物。

    第一次工业革命是传统产业—煤炭、冶金、纺织等的转变。这些产业是怎么变化的?很简单,1709年英国企业家亚伯拉罕·达比发明了焦炭炼铁,改造了钢铁和煤炭业。煤炭原来只用于取暖,现在可以炼铁。1712年英国企业家托马斯·纽科门发明了蒸汽机,一开始用于为煤矿排积水,后来由瓦特将蒸汽机从往复运动变为旋转运动,蒸汽机就变成了动力,彻底改变了纺织业和其他产业的动力源。一般认为是瓦特发明了蒸汽机,但如果没有罗巴克和博尔顿这两位杰出的企业家,瓦特大概一事无成。蒸汽机从低压变成高压,斯蒂文森父子发明了火车。火车需要蒸汽机车,谁能生产机车?最初就是纺织企业的附属机械车间,后来逐渐独立出来,成为全新的蒸汽机车产业。

    第二次工业革命创造了全新的产业,标志是电力和内燃机。托马斯·爱迪生发明了电力照明产业。之后又出现电动机,电变成了动力,不再仅仅用于照明。有了电动机以后,家电产业出现了,刚开始是电风扇,后来是洗衣机等各种家电产品。现在全世界平均一个人至少有三台电动机。德国企业家奥托发明了内燃机,之后出现了汽车产业。有了汽车之后需要燃料,这就带动了石油冶炼,创造出石化工业,材料工业也随之发生彻底改变。比如,过去做衣服只能用自然生产的棉花、皮动物毛和丝绸,现在可以用合成纤维。

    因此,前两次工业革命都是企业家给我们带来的。第三次工业革命更是如此,无论计算机硬件还是软件,都来自企业家创新的结果。设想一下,如果没有史蒂芬·乔布斯或者比尔·盖茨,这个世界会是什么样?这就是企业家对于经济增长的意义。

    所以我要强调的是,当我们谈论经济增长时,要认识到,是企业家的行动决定了经济增长,而不是说有一个客观的经济增长决定了企业家该做什么。一部经济增长史,实际上就是企业家的创业、创新史,美国、英国、德国、日本如此,中国过去40年也如此。

    企业家做两件事:套利和创新

    研究企业家的经济学家并不多,除了熊彼特,还有奥地利经济学派的米塞斯和柯兹纳等少数人。

    企业家究竟是干什么的?这几年我自己对企业家不断总结,我认为企业家就做两件事:一件叫套利,一件叫创新。所谓套利就是发现不均衡,不均衡意味着有盈利的机会,发现不均衡就是发现盈利的机会,通过追逐利润,最终纠正市场的错误,使得资源得到更有效的配置,利润机会逐渐减少,市场趋向新的均衡。这是米塞斯和柯兹纳讲的企业家。所谓创新就是创造不均衡,通过引入新产品、新的生产方式等,包括发现新的原材料、开辟新的市场、设计出新的组织形式,打破原来的均衡,创造新的潜在均衡点。这是熊彼特讲的企业家。

    套用经济学的“生产可行性边界”概念,套利是将资源配置从非最优点的内点推向最优的边界点,创新是将边界向外推。当然,在现实中,套利和创新这两个功能经常混合在一起。

    由此,我们可以把企业家分为两类:套利型企业家和创新型企业家。比如硅谷的企业家基本都是创新型企业家,而华尔街的企业家基本上都是套利型企业家。比尔·盖茨、斯蒂夫·乔布斯是创新企业家,乔治·索罗斯、艾伦·巴菲特则是套利企业家。古代的商人都是套利型企业家,创新型企业家是从工业革命开始出现的。司马迁的《货殖列传》,或许是人类历史上第一本企业家传记,写得都是套利企业家。当然,这只是一个简化的分类,现实中,有些企业家既套利,又创新,也可能先期套利后期转向创新,或者相反,先期创新后期转向套利。

    经济学家总是简单假设人都是理性的,市场总是处于均衡状态。举个有关经济学家的笑话:假设地上有一张20美元的钞票,你是弯下腰捡还是不捡?经济学的标准答案是“不捡”!为什么?因为它肯定是假钞,如果是真的,早就被人捡走了。这就是经济学家讲的“均衡”的含义。但真实世界是这样吗?并非如此。钞票是真是假,大多数人分不清,只有具有企业家精神的少数人能看出真假,从而赚钱——这就是企业家的套利功能。

    经济学家把经济学理解为资源配置的科学,认为市场的最大功能就是配置资源。我觉得这个看法有问题。市场的最大功能其实是带来改变、进步,而经济学家偏爱稳定和均衡。在我看来,就经济增长而言,技术进步是第一位的,资源配置是第二位的。道理很简单:如果仅仅是配置资源,一旦达到均衡状态,经济就会日复一日、年复一年地循环运转,不会有任何增长,这就是熊彼特定义的循环流经济或米塞斯说的均匀轮转经济。人类持续而显著的经济增长只是过去200多年的事情,这200多年里我们的所有进步主要不是来已有资源配置效率的改进,而是来自不断创造的新技术、新产品、新资源。

    理解中国经济增长的逻辑

    从斯密-熊彼特增长理论看中国经济,简单来说,过去40年中国经济的高增长主要来自企业家的套利行为推动的资源配置效率的改进,这样的套利不仅包括中国本土企业家的套利,也包括外国企业家的套利。中国的经济增长有相当比例是外国企业家通过他们的套利贡献给我们的,外资企业的出口占到中国出口总量的40%以上就是一个证明。

    为什么套利可以带来这么快的增长?很简单。第一,长期的计划体制严重扭曲了资源配置,使得改革后中国经济内部出现了巨大的套利空间。改革开放初期干什么都可以赚钱,这是因为:一方面,在产品市场上什么都短缺,另一方面在要素市场上,包产到户使得农业上可容纳的劳动力大幅度减少,出现了大量的过剩劳动力,还有土地、资本,都没有得到有效的利用,导致产品价格与要素价格之间存在着巨大的价差。第二,中国的开放政策使得生产可行性边界外移,不仅给中国企业家,而且给外国企业家带来了新的套利空间。因为一个经济体原来用的技术另一个经济体没有,通过相互引进对方的技术,或者由于生产要素的禀赋不同,通过交换产品,都可以实现更大的生产可行性边界。也就是说,仅仅开放就可以提供巨大的套利空间。这就是为什么我们看到中国开放之后,不仅中国企业家能够赚钱,而且外国企业家也能够赚更多的钱。中国可以低成本生产的东西在美国市场上很贵,美国市场上便宜的东西中国市场上很贵,企业家在中国生产第一类产品出口到美国,把第二类产品从美国进口到中国,都可以带来中国经济的增长,当然也提高了美国的经济增长。

    但是下一步的增长会怎么样呢?我觉得套利的空间越来越小了,增长也就越来越难,不仅中国的增长速度在下降,全球增长速度的下降也与此有关。特别是,过去发达国家的企业家在前面创新,中国的企业家跟在后面进行套利,现在容易套利的都套得差不多了,还有一些套利空间利用起来很难。比如外国企业发明了手机,中国企业生产手机套利,山寨手机很容易,但是山寨手机的生产模具就比较难。现在中国企业也可以生产模具了,但是我们发现制造模具的机器不是德国的就是日本的,连零件都没有中国的,因为制造模具的设备的套利要求套利者自身有很高的技术积累,而这方面中国企业仍然有很大的欠缺。

    当套利空间逐步缩小、模仿的难度越来越大的时候,中国企业家怎么赚钱呢?只能靠创新了。外国的企业在中国套利赚钱也不容易了,也要靠创新。这就是未来中国的增长要由套利驱动转向创新驱动的原因。过去40多年套利型企业家推动了中国从计划经济向市场经济的转型,尽管这个转型现在还没有完成;未来则需要靠创新型企业家实现由配置效率改善驱动的增长,转向创新、新技术驱动的增长。中国未来要依靠真正的创新。

    以此来看,中国经济未来10年能保持4-5%增长速度就很不错了。因为,从历史经验看,靠创新驱动的增长很难超过3%。中国与发达国家还有差距,因而还有一定的套利空间,可以高一些,但也不可能高得太多!

    即便要达到这样的增长速度,也要求我们在体制上做出大的改变。这是因为,与套利相比,创新有两个基本特征:第一,创新有更大的不确定性;第二,创新需要更长的周期。这意味着,创新需要投资者和企业家对未来有一个稳定的预期。如果一个制度不能给大家一个稳定的预期,这个制度就不可能鼓励企业家创新。稳定的预期只能来自法治。中国目前的体制整体上讲,适合套利,不大鼓励创新。

  • 贝索斯的公开信:亚马逊的成长

    贝索斯成立亚马逊,从1997年每年都会发布致股东的公开信,23封信成为商业史上经典的教材和案例。

    1997年的股东信:成功标准是能够为股东创造长期价值,而实现这一目标必须以客户为中心

    在1997年第一封股东信中,出身投行的贝索斯着重强调了亚马逊的价值观:我们的成功标准是能够为股东创造长期价值,坚持长期市场领导地位”这一目标,而非关注短期的盈利以及华尔街的短期反应。实现这一目标必须以客户为中心。

    如何衡量亚马逊的市场领导地位,贝索斯将其用用户增长率、收入增长率、用户回头率、品牌力量来指标化。

    1998年的股东信:与优秀的人共事,亚马逊向全品类电商平台升级,首次实现了跨国运营

    1998年互联网概念被爆炒,亚马逊市值全年上涨11倍,达169亿美元。这一年,亚马逊的销售额由1997年的1.48亿美元增加至1998年的6.1亿美元,同比增速为313%。

    在信中,贝索斯兴奋的表示,亚马逊用户数累计达到了620万,并在美国推出了音乐、影视以及礼品店。同时,在英、德两国开设新店,在近期推出了亚马逊拍卖。

    面对激烈的竞争,贝索斯表示,设置较高的人才招聘门槛,在过去、现在、未来,都会是亚马逊成功的一个重要因素。

    1999年的股东信:优于同行的效率以及规模效应可以给亚马逊带来最坚实的护城河

    1999年互联网泡沫达到顶峰,投资者对互联网概念趋之若鹜。

    在这一年,亚马逊销售额从实现16.4亿美元,同比增长169%。新增用户1070万,累计用户数从620万增加至1690万。

    贝索斯强调,1999年,受益于精简高效地利用资本的商业模式,亚马逊不需要建立实体店以及相应的库房,因此集中管理的仓储物流模式使得亚马逊在仅仅2.2亿美元仓储费用和3.18亿美元厂房设备的投入中,获得了超过20亿美元的年销售额。

    2000年的股东信:并未为了保住当期利润而停止扩张的步伐,利用技术减少成本

    2000年的贝索斯稍显落寞,业务的快速增长仍然难以吞噬过高的估值,泡沫终究被戳破。这一年亚马逊市值下跌近80%。

    贝索斯着重提到“电商”是一门固定成本高、可变成本很低的生意,因此很难做成一个中等规模的生意,变相地承认了投资“PETS.COM”以及“LIVING.COM”的失败。

    与实体零售商相比,亚马逊同样在借助技术进步来减少成本,但技术进步更大的影响,“电商”在利用技术改善用户体验,从而吸引足够多的用户达到规模效应。

    面对残酷的资本市场,贝索斯再次重申长期价值的重要性。

    如果公司目前的处境要比去年好很多,为什么股价会比上一年低这么多呢?贝索斯引述著名投资人格雷厄姆“称重机”与“投票器”的比喻。

    股市从短期来看是个“投票机”,从长期来看则是个“称重机”。

    贝索斯没有为了保住当期利润而停止扩张的步伐,对长期价值的追寻在熊市中更显得弥足珍贵。

    2001年的股东信:规模效应进入了良性循环,始终坚持现金流为王

    互联网泡沫破裂带来的阴霾还没有散去,2001年亚马逊市值40亿美元,同比下跌27%。这一年,亚马逊营收达31.2亿美元,同比仅增长13%,是其创立以来增速最低的一年。市场对亚马逊的未来成长空间产生了质疑。

    在“当期盈利”和“扩大规模”之中,亚马逊总是选择后者。

    贝索斯表示,专注于优化成本给予了我们降价能力,进而拉动业务的增长。业务增长会带来更多销量,从而分摊固定成本,减少平均成本,反过来给我们更大的降价能力。

    这能够讨好用户,对股东来说也是好事。我们希望保持这种良性循环。

    与此同时,贝索斯还强调了现金流的重要性。

    “每股股票代表了一份公司未来现金流,因此现金流看起来比其他任何单变量都更能诠释一家公司的长期股价。”可观、稳定的自由现金流成为亚马逊未来几年的重中之重。

    2002年的股东信:在电商领域,提升用户体验的花费是固定资产投资

    2002年,亚马逊自由现金流首次转正达1.35亿美金,市值也重拾升势,全年上涨79%,达72亿美元。

    在信中,贝索斯回答了亚马逊如何实现提供优质的用户体验,和提供低价产品两全其美的问题。

    贝索斯解释道,传统零售与电商是不同的。在传统零售领域,提升用户体验的花费是动态成本;在电商领域,提升用户体验的花费是固定资产投资。这一差异允许亚马逊在提升用户体验的同时,利用用户数量的增多而降低单客成本。

    因此,同时实现看似矛盾的两个目标“提升用户体验”以及“降低售价”,在亚马逊的商业模式中成为了可能。

    2003年的股东信:坚持长线思维

    这一年,得益于快速增长的现金流,亚马逊市值达到211亿美元,同比上涨193%。亚马逊当年现金流达4.76亿美元,同比增长253%;营收达53亿美元,同比增34%。

    在信中,贝索斯强调,“长线思维”既是成为一名真正的股东的必备能力,也是这样的股东投资决策的必然结果。

    同时,贝索斯用“租客”与“房东”来分别形容“短期投资者”与“长期投资者”。租客只会注重短期利益而不在乎房屋本身的维护成本,而房东则会权衡房屋的长期投入与舒适度。

    规模扩大的变现需要时间,因此降低价格几乎总会损害眼下的业绩。但是从长远来看,我们要坚持不懈地推动“价格-成本结构”的良性循环,这将给我们带来更强大、更有价值的业务。

    2004年的股东信:长期目标不是利润,而是自由现金流

    由于市场对亚马逊长期盈利能力的担忧,2004年其市值下滑至181亿美元,同比下降14.5%,这一年,亚马逊自由现金流增长了38%,达到4.77亿美元,比去年同期高出1.31亿美元。

    在信中,贝索斯明确的表示,亚马逊的终极财务指标,以及最想达成的长期目标,是每股自由现金流。亚马逊的自由现金流主要来自不断增加的营业利润、有效管理的运营资本以及资本支出。

    贝索斯用一个实际的例子来证明用“固定资产投入”换来的“净利增长”是不可持续的。净利增长率和EBITDA因为没有考虑“营运资本和资本支出”只能反映运营状况的一部分,仅注重净利增速是片面且不可持续的。

    当增长所需的资本投资超过这些投资产生现金流的现值时,一家公司的盈利增长的确可能在特定环境下损害股东价值。

    2005年股东信:数据分析很好,但长期判断更重要

    2005年亚马逊推出Amazon Prime业务,会员免配送费,提升会员粘性的同时对用户进行了分类筛选。同时,前瞻性的利用“大数据”来辅助“物流中心”的投资决策。

    贝索斯表示,数据分析是亚马逊最喜欢的决策方法。同时,贝索斯也强调了长期判断的重要性。

    价格弹性的定量理解局限于短期内,我们可以预计降价在本周和本季度内的影响,但不能精确预计持续降价在今后五年、十年或更长时间内对我们业务的影响。

    在这一决策上,贝索斯对免费送货服务和Amazon Prime计划作出了判断:这两项功能在短期内耗资不菲——但相信它们在长期内会有非常重要的价值。

    另外,面对 “长期利益”与“短期利益”的取舍问题,贝索斯还举例称:

    允许“第三方销售”在亚马逊平台与其自营业务公平竞争,这一举措在短期内会对业绩产生负面影响,但是长期来看却是“以用户为中心”以及“注重长期价值”的最好体现。

    事实证明,第三方销售产品数量占总产品数量的比例从2000年的6%提高到2005年的28%,同时零售收入增长了两倍。

    2006年股东信:涉足新业务,必须考虑投资回报和规模效应

    2006年,贝索斯意图发展与电商发展毫无关联的AWS业务,外界对其也并不看好。亚马逊股价在当年持续承压,公司市值163.36亿,同比降低16.7%,自由现金流5.25亿,同比减少12.5%。

    面对新业务的选择,贝索斯在信中说,“在我们将股东的资金投入任何一项新业务前,我们必须相信,这项新业务能带来股东决定投资亚马逊时所期待的资本回报;我们还必须确信,这项业务今后能达到的规模,使其对我们整个公司来说都是举足轻重的。”

    AWS云服务这一现象级业务,客户是软件开发商,主要服务是为用户提供“运算与存储”服务。

    由于新业务需要耐心培育,一些大公司很难将新业务由小做大。亚马逊的企业文化对那些起点较小却有巨大潜力的新业务提供了不同寻常的支持,贝索斯相信这是亚马逊竞争优势的一个源泉。

    后来,这一业务也将亚马逊积累的“巨量”数据分析存储的能力放大。

    2007年股东信:推出现象级产品“Kindle”,改变了人们的阅读方式

    这一年,得益于电商的持续增长与Kindle的热卖,自由现金流达12.4亿,同比上涨135.4%。市场已经逐步认同贝索斯“自由现金流”的理念,亚马逊市值达399.3亿,同比增加134%;

    经过3年的努力,亚马逊推出了Amazon Kindle。

    Kindle的初衷就是为了让人们更加舒适的进行长时间专心阅读,远离碎片化信息。“Kindle”上线当日5.5小时内存货售罄,供不应求的情况持续了半年之久。

    2008年股东信:长期发展战略可以与顾客至上战略相得益彰

    2008年金融危机爆发,亚马逊也未能幸免,市值大跌45%至219.5亿美元。经营情况较为稳定:营收191.7亿,同比增长29%,自由现金流14.2亿,同比增长14.5%。

    在此全球经济动荡之际,我们所秉持的基本做法依然未有改变。谦虚谨慎,关注长期价值,用户至上。

    在信中,贝索斯指出“Kindle”是一个“逆向工作思维”的产物。

    “顺向思维”是指我们有了什么样的优势因此做什么业务,而“逆向思维”则是从用户需求出发,用户需要什么因此我们做什么业务。

    在用户体验上,贝索斯进一步解释说,我们的价格目标在于赢得用户的信任,而不是仅仅寻求短期利益的最大化。我们将基于这一角度的定价作为获取长期利润的最佳途径,并将其作为我们的工作信条。我们可能在单个商品上获利有限,但我们始终相信,基于消费者对亚马逊的长期信任,我们将卖出更多的商品。

    贝索斯强调,其首要的业绩目标仍然是最大限度地挖掘长期自由现金流,并借此获得较高的投资回报,将在AWS、第三方销售商工具、数字媒体、中国市场、以及新商品类别等方面大力投资。

    2009年股东信:用户体验是“终极目标”

    这一年,亚马逊市值上涨172%,达597.3亿。当年自由现金流29.2亿,同比增长114%;营收249.1亿,同比增长28%。

    这背后是亚马逊各业务条线都呈现了惊人的增长。Kindle电子书从去年的25万种上升至46万种,电商平台的活跃第三方卖家数达190万,AWS推出“关系数据库”、“虚拟私有云”。

    贝索斯表示,亚马逊对2010年设定了452个具体目标,其中有360个目标将直接影响用户体验,每个目标都切实可行并规定了完工日期。在452目标中,净利润、毛利率或运营利润率这些词语一次都没有使用。

    在贝索斯眼中,用户体验是“终极目标”,而“财务指标”是向目标挺进过程中的结果。

    2010年股东信:亚马逊大规模使用新技术,帮助提升经营效率

    AWS已经成为软件开发者的“基础设施”,基于对AWS变现能力的认可,华尔街对公司的盈利预期不断上调。2010年亚马逊市值达811.8亿,创历史新高,同比增长36%。自由现金流由于大量的研发投入导致至同比减少13.6%,达25.5亿。

    随机森林算法、贝叶斯估计方法、RESTful services、Gossip协议、最终一致性、数据分表、反熵、拜占庭容错机制、抹除码、vector clock算法……走进亚马逊的某个会议室,您可能在那么一瞬间会以为自己闯进了一个计算机科学讲座。

    2010年给股东的信充满了科技感,这其中许多都是亚马逊当时正在应用的算法或技术。很多高精尖算法或技术都为亚马逊所独有,部分技术超越了当时学术的前沿,众多研发成果步入“商业变现”阶段,领先的科技成了亚马逊又一个坚实的“护城河”。

    亚马逊利用“低价策略”维持住了足够大的流量,基于此延伸出世界上一流的后台支持技术,将这一技术拓展并商业化则诞生了“亚马逊云”这样现象级业务。

    2011年股东信:亚马逊的生态让参与者创造价值

    2011年亚马逊持续加大研发投入与资本支出,自有现金同比下滑16.1%,达21.4亿。市值达787亿,同比下降3%,营收481亿,同比增加40.6%。

    在信中,贝索斯表示,颠覆性的发明通常能让他人发挥自己的创造力——追求自己的梦想。这正是亚马逊网络服务(AWS)、亚马逊配送和Kindle出版(KDP)的重要组成部分。

    亚马逊将平台上的服务自助化,降低了所有潜在商家的创业成本,使成千上万的人进行大胆尝试,有所作为。

    2012年股东信:永远聚焦用户,而非竞争对手

    2012年亚马逊市值突破千亿,增长44.6%达到1139亿。

    亚马逊持续在“提升用户体验”方面进行投资,这些投资的动机就是对用户的关注,而不是对竞争对手的反应。

    贝索斯在信中写道,亚马逊经常在没有任何竞争压力的情况下提升用户体验,许多投资者批评亚马逊更像一个“慈善机构”而非一个“上市公司”,甚至是违背了作为营利性公司的原则。

    但贝索斯不这么认为,遇到问题才改进的结果只会是聪明反被聪明误。我们生活的世界正快速发展变化着,这种做法非常危险。

    贝索斯认为积极主动地取悦用户,赢得他们的信任,这能从用户那里获得更多的业务。即使在新的商业领域也是如此,用长远的眼光来考虑,让用户和股东的利益保持一致。

    2013年股东信:不断创新

    当年亚马逊市值继续走高,同比增长61%到达1830亿,市场热情不减。

    在信中,贝索斯回顾了亚马逊其中一小部分项目,从金牌服务(Prime)到亚马逊微笑(Amazon Smile),再到Mayday。FireTV业务代表的互联网电视、亚马逊生鲜所代表的新零售竟然都在当时被亚马逊所提及。

    你们了解亚马逊的整体进展,了解这些项目是多么鼓舞人心。

    贝索斯在信中还首次提及了亚马逊对待员工的态度。启动了一项名为“职业选择”的项目,为员工预付95%的课程费,让他们在有需要的领域就读各种课程,例如飞机机械或护理。

    2014年股东信:Marketplace、Prime和AWS成就了亚马逊

    2014年亚马逊市值1443亿美元,同比下降21.2%,营收889.9亿,同比增长19.5%。

    贝索斯在信中描述,一种理想的商品至少有四个特征:用户喜爱;体量成长潜能大;资本回报高;能够经得起时间考验(有存活几十年的潜力)。

    对亚马逊来说,Marketplace, Prime和AWS这三大支柱成就了今天的亚马逊。

    贝索斯在信中首次提及“飞轮效应”,亚马逊大多数业务都会伴随规模的提升而减少单位固定成本。Marketplace、Prime以及FBA(亚马逊配送服务),三者构成了一个完整的“飞轮效应”闭环:商家加入Marketplace后平均销量提升20%,由于更多的商家加入Prime会员可以享受更加多元的购物体验,伴随商家与客户交易笔数的提升FBA的单均配送成本持续下降。

    同时,贝索斯表示,2014年亚马逊推出了智能音响Echo及AI管家Alexa作为物联网交互终端,将在未来数年内引领智能家居的新潮流。

    2015年股东信:创新必须要试验,并准备好为其买单

    这一年,亚马逊营收首次突破千亿,为1070亿,同比增长20.2%。自由现金流达74.5亿。2015年亚马逊市值再次大幅增长,以120.6%的涨幅达到3183亿美元。

    亚马逊零售业务和AWS最初都只是“播下的种子”,在没有大举收购的情况下迅速自发成长为庞大的业务。

    这是怎么回事?贝索斯在信中解释说,它们共享着独特的组织文化,这一文化深信几条原则,并在此基础上展开行动。

    亚马逊长期以来形成了一种鼓励创新的企业文化。他们深知“失败”总是伴随着“创新”而来,因此对失败的宽容就是对“创新”的鼓励。部分大型组织都有敢于创新的理念,但未必愿意承担创新过程中的一系列失败。

    高昂的回报通常来自于挑战传统智慧,但传统智慧通常都是正确的。如果有10%的机会获得100倍回报,那么你每次都应当去赌一把。

    这一年亚马逊推出“Amazon Lending”,以供应链金融的方式持续帮助平台上的中小商家。为了满足更加精细化的配送需求,亚马逊开始改造“商家”自有仓库。对传统仓库赋能,让亚马逊以更轻资产的方式扩张以及完善自己的配送网络。

    2016年股东信:我们必须保持DAY1的状态

    这一年,亚马逊市值再创新高达3577亿,同比增长12.4%;营收1359.9亿,同比增长27.1%;自由现金流105.35亿,同比增长41.4%。

    这一年给股东的信丝毫没有谈业务的变化,贝索斯着重强调了如何保持组织活力。

    如何保持DAY1的状态,贝索斯认为,将业务的重心集中于一点,以用户为中心是目前保持“第一天”活力的最佳做法。

    为什么?以用户为中心具有许多优势,这一点尤为重要:用户总是会惊人地心怀不满,即使他们自身不知道这个事实,他们总是渴望更好,而您想要取悦用户的愿望,则必须以他们为出发点进行发明创造。

    亚马逊在决策的效率与正确概率上反复权衡。大多数“巨无霸”企业中都会有大企业病: “保守主义”、“环节多”、”决策耗时长”,亚马逊很好的解决了这一难题。亚马逊同时具备大公司业务范围与能力,创业公司的精神与初心,这是企业继续前行的两个必要条件。

    2017年股东信:让高标准渗透公司文化

    2017年是亚马逊上市20周年之际,其市值达5635亿,累计增长39102%,年均复合增速35%。

    贝索斯在信中表示,在过去几年里,亚马逊在满足用户的高期望方面取得了一些成就,同时也为失败付出了数十亿美元的代价。

    对于高标准,贝索斯认为,人们很容易通过耳濡目染来学习掌握高标准,高标准具有传染性。另外,高标准是特定的,你必须在每个利益相关领域单独学习高标准。

    建设高标准的企业文化是非常值得的,它能带来很多好处。最自然和最明显的是,你将为用户提供更好的产品和服务——这个理由就足够了!

    2018年股东信:保持好奇心,敢于想象

    这一年,福布斯美国400富豪榜自1994年以来榜首首次易主,贝索斯成为世界首富。亚马逊在体量如此庞大的情况下在2018年股价狂飙50%,成为继苹果之后第二家突破万亿美元的公司。

    在亚马逊成立之初,我们就知道自己想要创造一种建设者文化(拥有好奇心的人,或者说是探险家)。他们喜欢发明创造,哪怕他们是专家,还是抱有跟初学者一样“新鲜的”心态。他们看待我们做事的方式,与我们现在的做事方式如出一辙。

    贝索斯表示,亚马逊仍然是全球零售业的一个小角色。我们在零售市场中所占的比例很低,而且,我们业务所在的每个国家都有更大的零售商。

    不过,贝索斯认为要敢于想象不可能的事。比如:结帐。没有人喜欢排队等候。所以我们设想了一家商店,在那里你可以走进来,拿走你想要的东西,然后直接离开。

    另外,随着公司的发展,一切都需要扩展,包括失败实验的规模。如果失败的规模没有扩大,你的发明就不会真正推动潮流。

    2019年股东信:2040年要实现净零碳排放

    在今年的股东信中,贝索斯主要谈及疫情的应对,以及亚马逊的“碳足迹”目标。

    疫情让他们了解到亚马逊对他们的用户来说变得多么重要。

    对于“碳足迹“目标。亚马逊承诺,将提前10年实现《巴黎协定》的目标,到2040年实现净零碳排放。此外,亚马逊还利用其规模优势为员工和社区谋福利,包括提高薪水和福利,提供技能培训等;亚马逊直接和间接支持了美国200万个就业岗位。

    2021年股东信:

    在亚马逊 1997 年的致股东信中(也是我们第一封),我谈到了我们希望创造一种「持久的特许经营权」,一种通过释放互联网的力量来重塑服务客户意义的特许经营。我注意到亚马逊已经从 158 名员工增长到 614 人,我们的客户超过 150 万。我们刚刚以每股 1.50 美元的拆分调整后的股价上市。当时,我提到了亚马逊处于 Day 1。

    从那时起,我们已经走过了漫长的道路,我们比以往任何时候都更加努力地服务和取悦客户。去年,我们雇佣了 50 万名员工,现在全球各地有员工 130 万人。我们在全球拥有 2 亿多名 Prime 会员。超过 190 万中小型企业在我们平台上销售,占我们零售额的近 60%。连接到智能助手 Alexa 的智能家居设备超过 1 亿台。AWS 服务于数百万客户,截止 2020 年年化收入(annualized run rates)为 500 亿美元。1997 年,我们还没有推出 Prime、Marketplace、Alexa 或 AWS,那时候甚至都没有这样的想法。我们在每一次项目上都冒了很大的风险,并为此付出汗水和创造力。

    一路走来,我们为股东创造了 1.6 万亿美元的财富。他们是谁?你就是其中之一,我的亚马逊股份让我变得富有。但是超过八分之七的股份,相当于 1.4 万亿美元的财富创造为他人所有。他们是谁?他们是养老基金,大学,401(k)(养老保险制度)以及 Mary 和 Larry 一家(购买亚马逊股票的散户,并且在贝佐斯写这封信时,恰好给他发来了感谢邮件。)

    我总是听到类似的故事。我认识其中的一些人,他们把从亚马逊赚来的钱用在大学、紧急情况、住房、度假、创业和慈善事业上。我为亚马逊为股东创造的财富感到自豪。这很重要,因为帮助改善了他们的生活。但我还知道:这还不是我们创造的价值中最大的一部分。

    创造比消费更有价值

    如果你想在商业上取得成功(实际上是在生活中),你必须创造比消费更多的东西。你的目标应该是为你交往的每一个人创造价值。任何不能为其触及的人创造价值的企业,即使表面上看起来很成功,也不会在这个世界上长久。很快就会被淘汰。

    记住,股票价格不是关于过去的,它们是对未来现金流的预测,并折现回到现在。股市代表着预见。不过,我现在要换个话题,谈谈过去的事。我们在 2020 年为股东创造了多少价值?这是个相对容易回答的问题,因为会计系统就是为回答这个问题而设立的。我们在 2020 年的净利润为 213 亿美元。如果亚马逊不是一家拥有数千名股东的上市公司,而是一家只有单一所有者的独资企业,那么这就是其在 2020 年获得的全部收入。

    员工呢?这也是一个相当容易回答的价值创造问题,因为我们可以看看薪酬支出情况。公司的支出就代表员工的收入。2020 年,员工的收入为 800 亿美元,另加 110 亿美元开支 (包括福利和各种工资税),总计 910 亿美元。

    第三方卖家呢?我们有个内部团队(销售合作伙伴服务团队)来回答这个问题。他们估计,2020 年,第三方卖家在亚马逊上销售商品获得的利润在 250 亿至 390 亿美元之间,保守地讲,我在这里假设为 250 亿美元。

    至于客户,我们必须将其细分为消费者客户和 AWS 客户。首先是消费者,我们为其提供低廉价格、多种选择和快速交货服务,但是假设我们忽略了所有这些,只看重一件事,那就是我们为客户节省了时间。

    在亚马逊上 28% 的购买是在三分钟或更短的时间内完成,半数购买完成不到 15 分钟。与典型的实体店购物之旅相比,需要开车、停车、搜索商店过道、排队结账、找到你的车,然后再开车回家,研究表明这平均需要一个小时。如果你假设典型的亚马逊购物只需要 15 分钟,一周可以节省你几次去实体店的时间,那么每年就节省了 75 个小时以上。这很重要,毕竟在 21 世纪初,我们都很忙碌。

    我们换算成美元,让我们把节省的时间假设为每小时 10 美元(这是保守的)。75 小时乘以每小时 10 美元,减去 Prime 的成本,我们就可以为每个 Prime 会员创造约 630 美元的价值。我们有 2 亿 Prime 会员,这意味着 2020 年创造的价值总计为 1260 亿美元。

    AWS 很难估计,因为每个客户的工作量截然不同,但我们无论如何都会这样做,事先承认误差很高。云端运行与内部运行带来的直接成本改善各不相同,但合理的估计是 30%。在 AWS 2020 年全年 450 亿美元的收入中,这 30% 意味着创造了 190 亿美元客户价值。(内部运行花费 640 亿美元,使用 AWS 花费 450 亿美元)

    这项评估工作的困难之处在于,直接降低成本是迁移到云端为客户带来的好处中最小的一部分。更大的好处是提高了软件开发的速度,这可以显著提高客户的竞争力和收入。我们没有合理的方法来估计这部分客户价值,只能说它几乎肯定大于直接成本节约。保守地说,我认为 AWS 在 2020 年为客户创造的这部分价值高达 380 亿美元。

    将为 AWS 和消费者客户创造的价值加在一起,我们在 2020 年创造的客户总价值达到 1640 亿美元。总的来说,我们在 2020 年为股东创造了 210 亿美元价值、为员工创造了 910 亿美元、为第三方卖家创造 250 亿美元、为客户创造 1640 亿美元,总计 3010 亿美元。

    如果每个小组都有一份损益表,代表他们与亚马逊的互动,那么上面的数字就是这些损益表的「底线」。这些数字是人们为我们工作、卖家通过我们销售以及客户从我们这里购买的部分原因,即我们为他们创造了价值。这种价值创造不是「零和游戏」。这不仅仅是把钱从一个口袋转到另一个口袋。围绕着整个社会来看,你会发现发明是所有真正价值创造的根源,创造的价值被认为是衡量创新的最好标准。

    当然,我们与这些人的关系和我们创造的价值不仅仅是金钱。金钱并不能说明问题的全部。例如,我们与股东的关系相对简单,他们在自己选择的期限内投资和持有股票。我们很少就年度会议和正确的投票程序等事项向股东提供指导。即便如此,他们也可以无视这些指示,直接跳过投票。

    我们与员工的关系是截然不同的例子。我们有他们遵循的流程和需要符合的标准。我们需要培训和各种认证。员工必须在规定的时间上班。我们与员工的互动很多,而且是细粒度的。这不仅仅是工资和福利的问题,它还涉及到双方关系的所有其他细节方面。

    董事会对贝塞默最近工会投票的结果感到安慰吗?不,没有。我认为我们需要为员工做得更多。虽然投票结果向一端倾斜,我们与员工的直接关系依然密切,但我很清楚,我们需要更好的愿景来为员工创造价值——一个让他们成功的愿景。

    CEO 贝佐斯的最后一封信:世界想让你做普通人,别信

    如果你看了一些新闻报道,你可能会认为我们不关心员工。在这些报道中,我们的员工有时被称为绝望的灵魂,被当作机器人对待。但这不准确。他们是成熟而有思想的人,可以选择在哪里工作。当我们调查配送中心的员工时,94% 的人说他们会向朋友推荐来亚马逊上班。

    员工可以在轮班期间小憩,活动身体、取水、使用洗手间或与经理交谈,所有这些都不会影响他们的绩效。这些小憩是除了 30 分钟午餐和 30 分钟正常休息之间之外的。

    我们没有设定不合理的绩效目标,而是设定了可实现的绩效目标,将任期和实际员工绩效数据考虑在内。员工的表现是在很长一段时间内综合评估的结果,因为我们知道,在任何给定的一周、一天或一小时内,各种因素都会影响他们的表现。如果员工在一段时间内未能达到绩效目标,他们的经理会与他们交谈并提供指导。

    培训也扩展到那些表现出色并能承担更多责任的员工身上。事实上,82% 的培训是积极的,提供给达到或超过预期的员工。我们解雇了不到 2.6% 的员工,因为他们无法履行自己的职责。2020 年,由于新冠肺炎疫情对运营的影响,这个数字甚至更低。

    世界上最好的雇主和最安全的工作场所

    事实是,领导亚马逊运营的数千人庞大团队始终非常关心我们的临时工,我们为自己创造的工作环境感到自豪。我们还感到自豪的是,亚马逊是一家不仅仅为计算机科学家和拥有高级学位的人创造就业机会的公司,我们也为那些从未获得这种优势的人创造就业机会。

    尽管我们已经取得了很多成就,但我很清楚,我们需要一个更好的愿景,才能让我们的员工取得成功。我们一直希望成为世界上最以客户为中心的公司。我们不会改变这一点,这就是我们取得如此成功的原因。但我承诺我们要增加一项,我们将成为世界上最好的雇主和最安全的工作场所。

    在我即将担任执行董事长的职位上,我将把重点放在新的举措上。我是个发明家,这是我最喜欢的,也是我最擅长的。因此我能创造最大价值。我很高兴能与运营部门中充满激情的团队合作,在这个兼具「最好雇主和最安全工作场所」的舞台上进一步创造发明。在细节上,亚马逊总是灵活的,但在愿景问题上,我们是固执和无情的。当我们下定决心做某事时,我们从来没有失败过,在这一点上,我们也不会失败。

    我们深入探讨安全问题。例如,亚马逊约 40% 的工伤与肌肉骨骼疾病(MSD)有关,即反复运动可能导致的扭伤或拉伤等疾病。MSD 在我们从事的这类工作中很常见,而且更有可能发生在员工入职的前六个月。我们需要为新员工发明减少 MSD 的解决方案,他们中的许多人可能是第一次参加正式工作。

    WorkingWell 就是一个这样的项目,我们于 2020 年在北美和欧洲的 350 个工作地点向 85.9 万名员工推出了这个项目,我们在那里培训一小群员工有关身体力学、积极主动保持健康和安全方面的知识。除了减少工伤,这些概念对日常工作以外的活动也有积极影响。

    我们正在开发新的自动化人员配备时间表,它使用复杂的算法在使用不同肌腱组的工作之间轮换员工,以减少重复运动,帮助保护员工免受 MSD 风险。这项新技术是我们将在 2021 年推出的工作轮换计划的核心。我们对 MSD 早期预防的日益重视已经取得了成效。从 2019 年到 2020 年,总体 MSD 减少了 32%,导致必须离开工作岗位的 MSD 减少了一半以上。

    我们在亚马逊雇佣了 6200 名安全专业人员。他们使用安全科学来解决复杂的问题,并建立新的行业最佳实践标准。2021 年,我们将在安全项目上投资超过 3 亿美元,其中包括最初的 6600 万美元,用于开发有助于防止叉车和其他类型工业车辆相撞的技术。

    当我们带头时,其他人就会跟随。两年半前,当我们为小时工设定 15 美元的最低工资时,我们这样做是因为我们想在工资方面领先而不是随大流,因为我们认为这样做是正确的。加州大学伯克利分校和布兰迪斯大学的经济学家最近发表的一篇论文,分析了我们决定将最低起薪提高到每小时 15 美元的影响。他们的评估反映了我们从员工、他们的家庭和他们所居住的社区那里听到的情况。

    我们提高了起薪不仅使我们自己的员工受益,也使同一社区的其他工人受益,从而提振了全国各地的地方经济。研究表明,在同一劳动力市场中,我们的加薪导致其他雇主的平均时薪增加了 4.7%。

    我们的领导工作还没有结束。如果我们想成为世界上最好的雇主,我们不应该满足于 94% 的员工说他们会向朋友推荐亚马逊的工作,而是必须以 100% 为目标。我们将通过继续在工资、福利、提升技能机会和其他方面领先,随着时间的推移,我们将做到这一点。

    如果任何股东担心,成「世界上最好雇主和最安全工作场所」的目标可能会分散我们作为「世界上最以客户为中心的公司」的关注,那我希望你们能够放下担忧。这样想吧:如果我们能同时运营两种不同的业务,就像消费者电子商务和 AWS 一样,并且都在最高水平上做得非常好,那么我们当然也能在这两种愿景声明上做同样的事情。事实上,我相信它们会相互加强。

    气候承诺

    在这封信的早期草稿中,我以论证和例子开始了这一部分,旨在证明人类导致的气候变化是真实存在的。但是,坦率地说,我认为我们现在可以停止这样说了。你不必说光合作用是真实存在的,或者说重力是真实存在的,或者海平面上的水是在 100 摄氏度沸腾的。这些事情完全是真的,气候变化也是如此。

    不久前,大多数人认为应对气候变化是好事,但他们也认为这将耗资巨大,并会威胁到就业、竞争力和经济增长。我们现在知道得更清楚了。应对气候变化的明智行动不仅将阻止坏事发生,还将提高我们的经济效率,有助于推动技术变革,降低风险。总而言之,这些可以带来更多更好的工作,更健康快乐的孩子,生产效率更高的工人,以及更繁荣的未来。

    但这并不意味着其是一件容易的事,未来十年将是决定性的十年。2030 年的经济将需要与今天有很大的不同,亚马逊计划成为这一变化的核心。我们在 2019 年 9 月与 Global Optimism 组织共同发起了「气候誓言」,因为我们希望帮助推动这场积极的革命。我们需要成为一个不断壮大的企业团队中的一员,他们了解 21 世纪的紧迫性和机遇。

    现在,不到两年后,代表几乎所有经济部门的 53 家公司签署了气候誓言。百思买、IBM、印孚瑟斯、梅赛德斯-奔驰、微软、西门子和 Verizon 等公司承诺,到 2040 年,其全球业务将实现零碳排放,比《巴黎协议》提前 10 年实现目标。誓言还要求它们定期测量和报告温室气体排放,通过真正的商业变革和创新实施脱碳战略,并通过额外的、可量化的、真实的、永久的和对社会有益的补偿来中和任何剩余的排放。可信的、高质量的补偿是宝贵的,我们应该保留它们,以补偿那些不存在低碳替代品的经济活动。

    气候誓言签署方正在做出有意义的、切实的和雄心勃勃的承诺。Uber 的目标是到 2030 年在加拿大、欧洲和美国成为零碳排放平台,Henkel 计划将其生产用电的 100% 来源于可再生能源。亚马逊正在朝着我们自己的目标前进,即到 2025 年 100% 使用可再生能源,比我们最初设定的 2030 年目标提前了五年。亚马逊是全球最大的可再生能源企业买家,我们在全球有 62 个电网级别的风能和太阳能项目,以及 125 个铺设太阳能屋顶的配送和分类中心。这些项目的发电量超过 6.9 千兆瓦,每年提供超过 2000 万兆瓦时的能源。

    运输是亚马逊业务运营的重要组成部分,也是我们到 2040 年实现零碳排放计划中最艰难的部分。为了帮助快速加速电动汽车技术的市场,并帮助所有公司过渡到更环保的技术,我们向 Rivian 投资了超过 10 亿美元,并向该公司订购了 10 万辆电动送货车。我们还与印度 Mahindra 和欧洲的梅赛德斯-奔驰建立了合作伙伴关系。

    这些来自 Rivian 的定制电动送货车辆已经投入运营,并于今年 2 月首次在洛杉矶上路。1 万辆新车最早将于明年上路,到 2030 年,所有 10 万辆车将全部上路,节省数百万吨碳排放。我们希望其他企业加入气候誓言的一个重要原因是向市场发出信号,企业应该开始发明和开发签署方需要履行承诺的新技术。我们购买 10 万辆 Rivian 电动送货车就是一个很好的例子。

    为了进一步加快对建设零碳经济所需的新技术的投资,我们于去年 6 月推出了气候誓言基金(Climate Pledge Fund)。该投资计划从 20 亿美元开始,投资于有远见的公司,旨在促进向低碳经济的过渡。亚马逊已经宣布投资于 CarbonCure Technologies、Pachama、Redwood Materials、Rivian、Turntide Technologies、ZeroAvia 和 Infinium,而且它们只是我们希望建立未来零碳经济的创新公司中的一部分。

    我还个人出资 100 亿美元提供赠款,帮助推动我们在未来十年所需的系统性变革。我们将支持顶尖的科学家、活动家、非政府组织、环境正义组织和其他致力于抗击气候变化和保护自然世界的人。去年年底,我向 16 个致力于创新和移动解决方案的组织提供了我的第一轮赠款。这将是大公司、小公司、全球组织和个人的集体行动,我很高兴能成为这一旅程的一部分,并乐观地认为人类可以团结起来解决这一挑战。

    保持差异化才能生存,世界希望你融入它

    这是我作为亚马逊首席执行官的最后一封年度股东信,我觉得有最后一件极其重要的事情必须传授给大家。我希望所有亚马逊人都把这件事放在心上。

    这是理查德·道金斯(Richard Dawkins)出版的《盲眼钟表匠》(The Blind Watch Maker)的一段话,它关于生物学的一个基本事实:

    「避免死亡是你必须努力去做的事情。如果顺其自然(比如死亡),身体往往会恢复到与环境的平衡状态。如果你测量某些变量,如生物体内的温度、酸度、水分或电荷,通常会发现它们与周围环境中相应的测量结果有很大不同。例如,我们的体温通常比周围环境温度更高,在寒冷的气候下,身体必须努力工作才能保持这种差异。但当我们死后,这种机能就会停止,温差也开始消失,最终我们体温与周围环境相同。当然,并不是所有的动物都在努力避免与周围的温度达到平衡,但所有的动物都做了类似避免与周围环境融合的努力。例如,在干旱的国家,动植物努力保持细胞中的液体含量,这与水从细胞流向干燥外部世界的自然趋势背道而驰。如果他们失败了,他们就会死。更广泛地说,如果生物不积极地阻止水分流失,它们最终会融入周围环境,不再作为拥有自我意识的生物存在。这就是他们死后会发生的事情。」

    虽然这不是一个比喻,但仍然是一段很棒的话,与亚马逊息息相关。我甚至认为,它与所有公司、所有机构以及我们每个人的生活都相关。这个世界用什么方式吸引你,试图让你保持所谓的「正常」?需要多少努力要保持你的独特性?让那些把你变得与众不同的东西保持下去?

    我认识一对幸福的夫妇,他们在相处过程中经常会遇到这样的场景:丈夫经常会假装痛苦地看着妻子,对她说:「你就不能正常一点儿吗?」然后他们大笑起来。当然,深刻的事实是,他喜欢她的独特之处。但是,与此同时,如果我们稍微正常一点,事情往往会变得更容易,消耗更少的能量,这也是事实。

    这种现象总会发生于不同维度,民主不正常,暴政是历史的常态。如果我们停止了保持民主所需的所有艰苦努力,我们将很快与暴政达到平衡。

    我们都知道独特性(原创性)是有价值的,我们都被教导要「做你自己」。我真正要求你们做的是拥抱并现实地认识到保持这种独特性需要付出多大的努力。这个世界希望你融入它,它会千方百计地吸引你,但别让这种情况发生。你必须为自己的与众不同付出代价,但这是值得的。童话版的「做你自己」是,只要你让自己的独特性闪耀光芒,所有的痛苦就会消失。这种说法具有误导性。做你自己是值得的,但不要指望这是容易或免费的,你必须不断地投入努力。

    这个世界总是试图让亚马逊融入它,让我们与我们周围环境保持平衡。这将需要持续的努力,但我们可以而且必须做得更好。

    我一如既往地附上我们 1997 年的股东信。它在最后写道:「亚马逊网感谢客户的支持和信任,感谢彼此的辛勤工作,感谢股东们的支持和鼓励。」这一点都没变。我要特别感谢贾西同意担任首席执行官一职,这是一项责任重大的艰难工作。贾西才华横溢,信奉最高的标准。我向你们保证,贾西不会允许世界把我们变成普通人,他会聚集我们所需的能量,让我们保持内在活力,让我们与众不同。这并不容易,但却至关重要。我认为他将会让所有人满意。谢谢你,贾西!

    致你们所有人:保持善良,有独创性,创造的东西要比消费的多,永远不要让世界吸引你融入周围的环境。现在仍是 Day 1。

    1997年 DAY1—关于亚马逊的长期主义
    Amazon.com passed many milestones in 1997: by year-end, we had served more than 1.5 million customers, yielding 838% revenue growth to $147.8 million, and extended our market leadership despite aggressive competitive entry.

    But this is Day 1 for the Internet and, if we execute well, for Amazon.com. Today, online commerce saves customers money and precious time. Tomorrow, through personalization, online commerce will accelerate the very process of discovery. Amazon.com uses the Internet to create real value for its customers and, by doing so, hopes to create an enduring franchise, even in established and large markets.

    It’s All About the Long Term

    We believe that a fundamental measure of our success will be the shareholder value we create over the long term. This value will be a direct result of our ability to extend and solidify our current market leadership position. The stronger our market leadership, the more powerful our economic model. Market leadership can translate directly to higher revenue, higher profitability, greater capital velocity, and correspondingly stronger returns on invested capital.

    Our decisions have consistently reflected this focus. We first measure ourselves in terms of the metrics most indicative of our market leadership: customer and revenue growth, the degree to which our customers continue to purchase from us on a repeat basis, and the strength of our brand. We have invested and will continue to invest aggressively to expand and leverage our customer base, brand, and infrastructure as we move to establish an enduring franchise.

    1998年 建立文化—以客户为中心 & WHM
    1) Our Customers

    We intend to build the world’s most customer-centric company. We hold as axiomatic that customers are perceptive and smart, and that brand image follows reality and not the other way around. Our customers tell us that they choose Amazon.com and tell their friends about us because of the selection, ease-of-use, low prices, and service that we deliver.

    2) Work Hard, Have Fun, Make History

    It would be impossible to produce results in an environment as dynamic as the Internet without extraordinary people. Working to create a little bit of history isn’t supposed to be easy, and, well, we’re finding that things are as they’re supposed to be! We now have a team of 2,100 smart, hard-working, passionate folks who put customers first. Setting the bar high in our approach to hiring has been, and will continue to be, the single most important element of Amazon.com’s success.

    During our hiring meetings, we ask people to consider three questions before making a decision:

    Will you admire this person? If you think about the people you’ve admired in your life, they are probably people you’ve been able to learn from or take an example from. For myself, I’ve always tried hard to work only with people I admire, and I encourage folks here to be just as demanding. Life is definitely too short to do otherwise.

    Will this person raise the average level of effectiveness of the group they’re entering? We want to fight entropy. The bar has to continuously go up. I ask people to visualize the company 5 years from now. At that point, each of us should look around and say, “The standards are so high now — boy, I’m glad I got in when I did!”

    Along what dimension might this person be a superstar? Many people have unique skills, interests, and perspectives that enrich the work environment for all of us. It’s often something that’s not even related to their jobs. One person here is a National Spelling Bee champion (1978, I believe). I suspect it doesn’t help her in her everyday work, but it does make working here more fun if you can occasionally snag her in the hall with a quick challenge: “onomatopoeia!”

    1999年 重复前两年的话—以客户为中心、长期主义
    Our vision is to use this platform to build Earth’s most customer-centric company, a place where customers can come to find and discover anything and everything they might want to buy online.

    2000年 第一战略—增长用户数
    Future: Real Estate Doesn’t Obey Moore’s Law.

    Let’s move to the future. Why should you be optimistic about the future of e-commerce and the future of Amazon.com?

    Industry growth and new customer adoption will be driven over the coming years by relentless improvements in the customer experience of online shopping. These improvements in customer experience will be driven by innovations made possible by dramatic increases in available bandwidth, disk space, and processing power, all of which are getting cheap fast.

    While there are no foregone conclusions, and we still have much to prove, Amazon.com today is a unique asset. We have the brand, the customer relationships, the technology, the fulfillment infrastructure, the financial strength, the people, and the determination to extend our leadership in this infant industry and to build an important and lasting company. And we will do so by keeping the customer first.

    2001年 增长飞轮—现金流的安全及未来盘子有多大
    An investment framework

    In every annual letter (including this one), we attach a copy of our original 1997 letter to shareholders to help investors decide if Amazon.com is the right kind of investment for them, and to help us determine if we have remained true to our original goals and values. I think we have.

    In that 1997 letter, we wrote, “When forced to choose between optimizing the appearance of our GAAP accounting and maximizing the present value of future cash flows, we’ll take the cash flows.”

    Why focus on cash flows? Because a share of stock is a share of a company’s future cash flows, and, as a result, cash flows more than any other single variable seem to do the best job of explaining a company’s stock price over the long term.

    If you could know for certain just two things–a company’s future cash flows and its future number of shares outstanding–you would have an excellent idea of the fair value of a share of that company’s stock today. (You’d also need to know appropriate discount rates, but if you knew the future cash flows for certain, it would also be reasonably easy to know which discount rates to use.) It’s not easy, but you can make an informed forecast of future cash flows by examining a company’s performance in the past and by looking at factors such as the leverage points and scalability in that company’s model. Estimating the number of shares outstanding in the future requires you to forecast items such as option grants to employees or other potential capital transactions. Ultimately, your determination of cash flow per share will be a strong indicator of the price you might be willing to pay for a share of ownership in any company.

    Since we expect to keep our fixed costs largely fixed, even at significantly higher unit volumes, we believe Amazon.com is poised over the coming years to generate meaningful, sustained, free cash flow. Our goal for 2002 reflects just that. As we said in January when we reported our fourth quarter results, we plan this year to generate positive operating cash flow, leading to free cash flow (the difference between the two is up to $75 million of planned capital expenditures). Our trailing twelve-month pro forma net income should, roughly but not perfectly, trend like trailing twelve-month cash flow.

    Limiting share count means more cash flow per share and more long-term value for owners. Our current objective is to target net dilution from employee stock options (grants net of cancellations) to an average of 3% per year over the next five years, although in any given year it might be higher or lower.

    2002年 偷懒、只提了指标
    只回答了一个问题:

    Traditional stores face a time-tested tradeoff between offering high-touch customer experience on the one hand and the lowest possible prices on the other. How can Amazon.com be trying to do both?

    The answer is that we transform much of customer experience—such as unmatched selection, extensive product information, personalized recommendations, and other new software features—into largely a fixed expense. With customer experience costs largely fixed (more like a publishing model than a retailing model), our costs as a percentage of sales can shrink rapidly as we grow our business. Moreover, customer experience costs that remain variable—such as the variable portion of fulfillment costs—improve in our model as we reduce defects. Eliminating defects improves costs and leads to better customer experience.

    We believe our ability to lower prices and simultaneously drive customer experience is a big deal, and this past year offers evidence that the strategy is working.

    2003年 重复讲话—以客户为中心
    As we design our customer experience, we do so with long-term owners in mind. We try to make all of our customer experience decisions—big and small—in that framework.

    For instance, shortly after launching Amazon.com in 1995, we empowered customers to review products. While now a routine Amazon.com practice, at the time we received complaints from a few vendors, basically wondering if we understood our business: “You make money when you sell things—why would you allow negative reviews on your website?” Speaking as a focus group of one, I know I’ve sometimes changed my mind before making purchases on Amazon.com as a result of negative or lukewarm customer reviews. Though negative reviews cost us some sales in the short term, helping customers make better purchase decisions ultimately pays off for the company.

    2004年 重复讲话—现金流
    Our Most Important Financial Measure: Free Cash Flow Per Share

    Amazon.com’s financial focus is on long-term growth in free cash flow per share.

    Amazon.com’s free cash flow is driven primarily by increasing operating profit dollars and efficiently managing both working capital and capital expenditures. We work to increase operating profit by focusing on improving all aspects of the customer experience to grow sales and by maintaining a lean cost structure.

    2005年 科学决策—大数据分析
    Many of the important decisions we make at Amazon.com can be made with data. There is a right answer or a wrong answer, a better answer or a worse answer, and math tells us which is which. These are our favorite kinds of decisions.As you would expect, however, not all of our important decisions can be made in this enviable, math-based way. Sometimes we have little or no historical data to guide us and proactive experimentation is impossible, impractical, or tantamount to a decision to proceed. Though data, analysis, and math play a role, the prime ingredient in these decisions is judgment.1

    Opening a new fulfillment center is an example. We use history from our existing fulfillment network to estimate seasonal peaks and to model alternatives for new capacity. We look at anticipated product mix, including product dimensions and weight, to decide how much space we need and whether we need a facility for smaller “sortable” items or for larger items that usually ship alone. To shorten delivery times and reduce outbound transportation costs, we analyze prospective locations based on proximity to customers, transportation hubs, and existing facilities. Quantitative analysis improves the customer’s experience and our cost structure.

    2006年 重复讲话—以客户为中心
    Our established businesses are well-rooted young trees. They are growing, enjoy high returns on capital, and operate in very large market segments. These characteristics set a high bar for any new business we would start. Before we invest our shareholders’ money in a new business, we must convince ourselves that the new opportunity can generate the returns on capital our investors expected when they invested in Amazon. And we must convince ourselves that the new business can grow to a scale where it can be significant in the context of our overall company.

    Furthermore, we must believe that the opportunity is currently underserved and that we have the capabilities needed to bring strong customer-facing differentiation to the marketplace. Without that, it’s unlikely we’d get to scale in that new business.

    In our experience, if a new business enjoys runaway success, it can only begin to be meaningful to the overall company economics in something like three to seven years.

    2007年 偷懒、只提了新机会、kindle
    We humans co-evolve with our tools. We change our tools, and then our tools change us. Writing, invented thousands of years ago, is a grand whopper of a tool, and I have no doubt that it changed us dramatically. Five hundred years ago, Gutenberg’s invention led to a significant step-change in the cost of books. Physical books ushered in a new way of collaborating and learning.

    2008年 重复讲话—长期主义、kindle
    In this turbulent global economy, our fundamental approach remains the same. Stay heads down, focused on the long term and obsessed over customers. Long-term thinking levers our existing abilities and lets us do new things we couldn’t otherwise contemplate. It supports the failure and iteration required for invention, and it frees us to pioneer in unexplored spaces. Seek instant gratification – or the elusive promise of it – and chances are you’ll find a crowd there ahead of you. Long-term orientation interacts well with customer obsession. If we can identify a customer need and if we can further develop conviction that that need is meaningful and durable, our approach permits us to work patiently for multiple years to deliver a solution. “Working backwards” from customer needs can be contrasted with a “skills-forward” approach where existing skills and competencies are used to drive business opportunities. The skills-forward approach says, “We are really good at X. What else can we do with X?” That’s a useful and rewarding business approach. However, if used exclusively, the company employing it will never be driven to develop fresh skills. Eventually the existing skills will become outmoded. Working backwards from customer needs often demands that we acquire new competencies and exercise new muscles, never mind how uncomfortable and awkward-feeling those first steps might be.

    2009年 偷懒、只提了指标
    Net sales increased 28% year-over-year to $24.51 billion in 2009. This is 15 times higher than net sales 10 years ago when they were $1.64 billion in 1999.

    Free cash flow increased 114% year-over-year to $2.92 billion in 2009.

    2010年 重点讲技术—是基石
    Random forests, naïve Bayesian estimators, RESTful services, gossip protocols, eventual consistency, data sharding, anti-entropy, Byzantine quorum, erasure coding, vector clocks … walk into certain Amazon meetings, and you may momentarily think you’ve stumbled into a computer science lecture.

    Look inside a current textbook on software architecture, and you’ll find few patterns that we don’t apply at Amazon. We use high-performance transactions systems, complex rendering and object caching, workflow and queuing systems, business intelligence and data analytics, machine learning and pattern recognition, neural networks and probabilistic decision making, and a wide variety of other techniques. And while many of our systems are based on the latest in computer science research, this often hasn’t been sufficient: our architects and engineers have had to advance research in directions that no academic had yet taken. Many of the problems we face have no textbook solutions, and so we — happily — invent new approaches.

    Our technologies are almost exclusively implemented as services: bits of logic that encapsulate the data they operate on and provide hardened interfaces as the only way to access their functionality. This approach reduces side effects and allows services to evolve at their own pace without impacting the other components of the overall system. Service-oriented architecture — or SOA — is the fundamental building abstraction for Amazon technologies. Thanks to a thoughtful and far-sighted team of engineers and architects, this approach was applied at Amazon long before SOA became a buzzword in the industry. Our e-commerce platform is composed of a federation of hundreds of software services that work in concert to deliver functionality ranging from recommendations to order fulfillment to inventory tracking. For example, to construct a product detail page for a customer visiting Amazon.com, our software calls on between 200 and 300 services to present a highly personalized experience for that customer.

    State management is the heart of any system that needs to grow to very large size. Many years ago, Amazon’s requirements reached a point where many of our systems could no longer be served by any commercial solution: our key data services store many petabytes of data and handle millions of requests per second. To meet these demanding and unusual requirements, we’ve developed several alternative, purpose-built persistence solutions, including our own key-value store and single table store. To do so, we’ve leaned heavily on the core principles from the distributed systems and database research communities and invented from there. The storage systems we’ve pioneered demonstrate extreme scalability while maintaining tight control over performance, availability, and cost. To achieve their ultra-scale properties these systems take a novel approach to data update management: by relaxing the synchronization requirements of updates that need to be disseminated to large numbers of replicas, these systems are able to survive under the harshest performance and availability conditions. These implementations are based on the concept of eventual consistency. The advances in data management developed by Amazon engineers have been the starting point for the architectures underneath the cloud storage and data management services offered by Amazon Web Services (AWS). For example, our Simple Storage Service, Elastic Block Store, and SimpleDB all derive their basic architecture from unique Amazon technologies.

    And we like it that way. Invention is in our DNA and technology is the fundamental tool we wield to evolve and improve every aspect of the experience we provide our customers. We still have a lot to learn, and I expect and hope we’ll continue to have so much fun learning it. I take great pride in being part of this team.

    2011年 重点讲技术—AWS
    “To us, the value of Amazon Web Services is undeniable – in twenty seconds, we can double our server capacity. In a high-growth environment like ours and with a small team of developers, it’s very important for us to trust that we have the best support to give to the music community around the world. Five years ago, we would have crashed and been down without knowing when we would be back. Now, because of Amazon’s continued innovation, we can provide the best technology and continue to grow.” That’s Christopher Tholen, the Chief Technology Officer of BandPage. His comments about how AWS helps with the critical need to scale compute capacity quickly and reliably are not hypothetical: BandPage now helps 500,000 bands and artists connect with tens of millions of fans.

    2012年 偷懒、吹了下股价和未来—清醒点
    As I write this, our recent stock performance has been positive, but we constantly remind ourselves of an important point – as I frequently quote famed investor Benjamin Graham in our employee all-hands meetings – “In the short run, the market is a voting machine but in the long run, it is a weighing machine.” We don’t celebrate a 10% increase in the stock price like we celebrate excellent customer experience. We aren’t 10% smarter when that happens and conversely aren’t 10% dumber when the stock goes the other way. We want to be weighed, and we’re always working to build a heavier company.

    2013年 偷懒、列了一堆在干的事
    长期主义。

    2014年 偷懒、从去年事里挑了点—MarketPlace、Prime、AWS
    重点项目。

    2015年 偷懒、重复了一遍去年的—MarketPlace、Prime、AWS
    重点项目。

    2016年 Day2——公司变坏、想清楚什么才是亚马逊
    “Jeff, what does Day 2 look like?”

    That’s a question I just got at our most recent all-hands meeting. I’ve been reminding people that it’s Day 1 for a couple of decades. I work in an Amazon building named Day 1, and when I moved buildings, I took the name with me. I spend time thinking about this topic.

    “Day 2 is stasis. Followed by irrelevance. Followed by excruciating, painful decline. Followed by death. And that is why it is always Day 1.”

    To be sure, this kind of decline would happen in extreme slow motion. An established company might harvest Day 2 for decades, but the final result would still come.

    I’m interested in the question, how do you fend off Day 2? What are the techniques and tactics? How do you keep the vitality of Day 1, even inside a large organization?

    Such a question can’t have a simple answer. There will be many elements, multiple paths, and many traps. I don’t know the whole answer, but I may know bits of it. Here’s a starter pack of essentials for Day 1 defense: customer obsession, a skeptical view of proxies, the eager adoption of external trends, and high-velocity decision making.

    重点列了4件事:

    True Customer Obsession
    Resist Proxies
    Embrace External Trends
    High-Velocity Decision Making

    2017年 Day2重建文化——高标准
    How do you stay ahead of ever-rising customer expectations? There’s no single way to do it – it’s a combination of many things. But high standards (widely deployed and at all levels of detail) are certainly a big part of it. We’ve had some successes over the years in our quest to meet the high expectations of customers. We’ve also had billions of dollars’ worth of failures along the way. With those experiences as backdrop, I’d like to share with you the essentials of what we’ve learned (so far) about high standards inside an organization.

    Intrinsic or Teachable?

    First, there’s a foundational question: are high standards intrinsic or teachable? If you take me on your basketball team, you can teach me many things, but you can’t teach me to be taller. Do we first and foremost need to select for “high standards” people? If so, this letter would need to be mostly about hiring practices, but I don’t think so. I believe high standards are teachable. In fact, people are pretty good at learning high standards simply through exposure. High standards are contagious. Bring a new person onto a high standards team, and they’ll quickly adapt. The opposite is also true. If low standards prevail, those too will quickly spread. And though exposure works well to teach high standards, I believe you can accelerate that rate of learning by articulating a few core principles of high standards, which I hope to share in this letter.

    Universal or Domain Specific?

    Another important question is whether high standards are universal or domain specific. In other words, if you have high standards in one area, do you automatically have high standards elsewhere? I believe high standards are domain specific, and that you have to learn high standards separately in every arena of interest. When I started Amazon, I had high standards on inventing, on customer care, and (thankfully) on hiring. But I didn’t have high standards on operational process: how to keep fixed problems fixed, how to eliminate defects at the root, how to inspect processes, and much more. I had to learn and develop high standards on all of that (my colleagues were my tutors).

    Understanding this point is important because it keeps you humble. You can consider yourself a person of high standards in general and still have debilitating blind spots. There can be whole arenas of endeavor where you may not even know that your standards are low or non-existent, and certainly not world class. It’s critical to be open to that likelihood.

    Recognition and Scope

    What do you need to achieve high standards in a particular domain area? First, you have to be able to recognize what good looks like in that domain. Second, you must have realistic expectations for how hard it should be (how much work it will take) to achieve that result – the scope.

    Let me give you two examples. One is a sort of toy illustration but it makes the point clearly, and another is a real one that comes up at Amazon all the time.

    Perfect Handstands

    A close friend recently decided to learn to do a perfect free-standing handstand. No leaning against a wall. Not for just a few seconds. Instagram good. She decided to start her journey by taking a handstand workshop at her yoga studio. She then practiced for a while but wasn’t getting the results she wanted. So, she hired a handstand coach. Yes, I know what you’re thinking, but evidently this is an actual thing that exists. In the very first lesson, the coach gave her some wonderful advice. “Most people,” he said, “think that if they work hard, they should be able to master a handstand in about two weeks. The reality is that it takes about six months of daily practice. If you think you should be able to do it in two weeks, you’re just going to end up quitting.” Unrealistic beliefs on scope – often hidden and undiscussed – kill high standards. To achieve high standards yourself or as part of a team, you need to form and proactively communicate realistic beliefs about how hard something is going to be – something this coach understood well.

    Six-Page Narratives

    We don’t do PowerPoint (or any other slide-oriented) presentations at Amazon. Instead, we write narratively structured six-page memos. We silently read one at the beginning of each meeting in a kind of “study hall.” Not surprisingly, the quality of these memos varies widely. Some have the clarity of angels singing. They are brilliant and thoughtful and set up the meeting for high-quality discussion. Sometimes they come in at the other end of the spectrum.

    2018年 Day2重建文化——搞探索、要允许失败
    Intuition, curiosity, and the power of wandering Imagining the impossible Failure needs to scale too