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The Prosperous Justice Party (PKS) faction at the House of Representatives has rejected the passing of the long-awaited sexual violence bill, saying the bill has a “liberal perspective” that is contradictory to Pancasila and religious values.
“The PKS is determined to reject the draft bill and will take constitutional steps to drop the bill’s deliberation,” Jazuli Juwaini, chairman of the PKS faction at the House, said as quoted by kompas.com on Tuesday.
Jazuli said the party had tried to provide input but their suggestions were not accommodated.
He said the party objected to the definition and scope of sexual violence, which it deemed to have a liberal perspective that is not in line with Pancasila values, religious norms and Eastern culture.
“It even has the pretense to promote free sex and deviant sexual behavior,” he said.
While a number of Islamic organizations such as Nahdlatul Ulama's (NU) women organization, Fatayat NU, have voiced their support for the bill, the more conservative Islamic groups, like the PKS, have strongly expressed their opposition to the bill.
According to some Islamic groups, the main problem of the bill is that it fails to include adultery as a sexual crime and therefore the bill, by omission, allows consensual sex outside of marriage and at the same time potentially criminalizes a husband just because the wife is reluctant to have sexual intercourse.
Maimon Herawati, a Padjadjaran University lecturer, recently launched an online petition calling on Muslims to reject the bill, which she said was pro-adultery and pro-LGBT.
“The idea that women should be given the legal power to protect themselves is good, but there is a gap that was deliberately made to allow [loopholes],” the petition said. “There is no regulation on sexual crimes, such as sexual relations that violate moral and religious norms.”
The bill defines sexual violence as any “action that debases, insults, attacks […] the body of someone, their sexual desire or/and their reproductive function, forcefully, [or] against their will, [or] causing them to be unable to give permission freely due to power and/or gender relations, which could lead to physical, psychological, sexual suffering, and economic, social, cultural and political losses.”
The bill categorizes as sexual violence sexual harassment, sexual exploitation, forced use of contraceptive, forced abortion, rape, forced marriage, forced prostitution, sexual slavery and sexual torture.
The sexual violence bill was first proposed in 2016 after the gang rape and murder of a 14-year-old girl in Bengkulu and gained traction again at the end of last year as the case of Baiq Nuril, a sexual harassment victim in West Nusa Nusa Tenggara (NTB) who was convicted for defaming her alleged harasser, came to light.
The National Commission on Violence Against Women (Komnas Perempuan), which helped compose the bill, has said that critics did not understand the intention of the bill.
“We hope that we can meet with them to discuss the bill, because I’m sure that no woman would be against eradicating sexual violence,” commissioner Mariana Amiruddin said recently. (vny)
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Twitterの“新規約”で「妄想が禁止された」と拡散し、ユーザーの間で波紋を呼んでいます。Twitterに問い合わせたところ、規約に内容に変更はないとの回答でした。
該当の条項
波紋を呼んでいるのはヘルプセンターに掲載されている「児童の性的搾取に関するポリシー」。Twitterで禁じられている行為として「児童の性的搾取について妄想したり、そうした行為を助長する」が挙げられており、「妄想も禁止されるのか」と困惑する声があがっていました。
編集部ではポリシーが現在の内容に更新されたのはいつか、（変更前と比べて）どのように変更されたかをTwitterに問い合わせました。同社は「個別の質問には答えられない」としつつ、「本ポリシーや適用範囲の変更は一切行っていません」と回答。ただし、2018年に（日本語、英語とも）「文言の表現をTwitter利用者によりわかりやすくするため、若干修正しました」としています。
英語版。Twitterでの禁止事項として「Fantasizing about or promoting engagement in child sexual exploitation」（児童の性的な搾取への関与について空想すること、あるいは促進すること）と記載されている
当該のルールは以前からあったもので、表現が変わったのみとのこと。とはいえ、最近知った多くの人が戸惑いを見せており、乗り換え先としてpawoo（pixivが運営するマストドンインスタンス）が注目されたり、個人サイトへの回帰が話題になったりと、波紋は収まらないようです。
Twitterの回答
Twitterは児童の性的搾取に関してゼロ・トラレンス・ポリシーにて情報を公開しています。そのポリシーのもと、児童の性的搾取を断固として取り締まるように規定、執行しています。基本的原則のTwitterルールには、 児童の性的搾取に該当するコンテンツやこれを助長する行為を一切禁止しています。これにはメディア、テキスト、イラスト、コンピューターで作成した画像が含まれます。
今回の背景の説明としては、児童の性的搾取に関する本ポリシーや適用範囲の変更は一切行っていません。ただし昨年、Twitterヘルプセンター内の児童の性的搾取に関する文言の表現をTwitter利用者によりわかりやすくするため、若干修正しました。今後も必要に応じて、時勢などの状況変更をともないTwitterヘルプセンター内の文言の修正を行い、利用者に理解を求めていくつもりです。
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Costco Wholesale is now offering annual memberships to private flight membership program Wheels Up on Costco.com. Offered at $17,500.00 for an annual individual membership, the purchaser is awarded a bonus $3,500 Costco Cash Card E-Voucher.
Membership regular price for individuals is $17,500 annually and corporations $29,500 annually according to Corporate Jet Investor. Annual dues (starting second year) are then $8,500 for individuals and $14,500 for corporations, plus a fixed hourly price for each hour flown – the cost per hour of getting on the King Air is $4,695 per hour and the Citation Excel/XLS is $7,695 per hour according to a report from the private aviation industry resource.
By comparison charter rates for the King Air 350 average around $2,000 per hour in the US including fees and surcharges, and charter rates for the Citation Excel/XLS average $3,850 per hour round-trip and around $6,000 per hour one-way, according to Rick Colson, president of New Flight Charters, a nationwide leader with a best price guarantee on every flight. The Wheels Up program may be advantageous for those who (1) are frequent users – more than 150 hours per year to bring the total costs per hour down, and who (2) usually fly one-way flights or round trips over many days, according to Colson. “A membership fee does not mean better hourly rates or reliability in this market. Look at your historical or expected usage and compare costs,” he says.
FlightList PRO announces the new comprehensive Charter Broker Directory for the US, Europe and Worldwide.
Of note on a comparison basis, the King Air 350i requires 18% more flight time than light jets for the same trip, therefore flight costs increase 18% to $5,068 on trip cost comparison basis to light jets.
The Wheels Up fleet includes King Air 350i turboprops, Citation Excel/XLS midsize jets, and now two Citation X super-midsize jets.. Costco offers the Wheels Up memberships in their section for Holiday, Gifts & Tickets > Hotels & Tourist Attractions.
– First published in 2015, last updated 6/3/19 to reflect Wheels Up price adjustments –
Prior Charter Alerts for Wheels Up
Wheels Up Gets $115 Million Investment From T.Rowe Price, Others
Citation Emergency, Door Opens in Flight – Live ATC recording
Wheels Up Takes Delivery of “Pink Plane In Time for October
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TORONTO -- Major Canadian broadcasters are coming together for star-studded, multi-platform benefit in support of frontline workers fighting COVID-19 across Canada.
Bell Media, CBC/Radio-Canada, Corus Entertainment, Groupe V Media, and Rogers Sports & Media have partnered for "Stronger Together, Tous Ensemble," which will air on English and French services on Sunday evening (at 7 p.m. across all markets/7:30 p.m. NT).
The one-hour broadcast will premiere on CBC, Citytv, CTV, Global, and V network, as well as select specialty networks, radio stations, and streaming platforms across Canada.
The event is in support of Food Banks Canada's $150 million campaign to provide immediate support to food banks across Canada during COVID-19.
The lineup includes musical acts Celine Dion, Shania Twain, Alessia Cara, Michael Buble, Bryan Adams, Jann Arden, Sarah McLachlan, Buffy Sainte-Marie, Barenaked Ladies, Arkells, Sofia Reyes, and William Prince.
Other celebrities expected to appear from their homes include author Margaret Atwood, skater Tessa Virtue, and TV stars Eric McCormack, Jason Priestley, Howie Mandel, Rick Mercer, Russell Peters, Will Arnett.
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Pretty Persuasion
Pretty Persuasion
Pretty Persuasion stars the intriguing, deceptively dewy-looking Evan Rachel Wood of Thirteen and The Upside of Anger as Kimberly, a vixenish 15-year-old who stirs up dangerous mischief at an affluent high school when she frames a teacher (Ron Livingston) for sexual harassment. But it’s not Wood who personifies the repellent tone of this childishly coarse little scorched-earth satire on a theme of high school imitates life. Rather it’s Woods — James Woods. As Kimberly’s father, a limitlessly vulgar man obsessed with drugs, porn, and the pursuit of bigotry, Woods throws himself into the job of looking and acting disgusting with such excessive abandon that his every scene leaves stink marks.
Actually, each character is a lousy joke in this cynical, eager-to-shock Sundance indie (directed by music-video guy Marcos Siega from a script by Skander Halim). The movie wears its notion of incorrectness with a smirk, ignorant of how unearned that smugness is. Among the easy targets — the only kind the filmmakers can spot — are a pea-brained student acolyte (Elisabeth Harnois) and her clueless Arab-American classmate (Adi Schnall), both of whom back Kimberly’s accusation. And, naturally, the media comes in for cheap mockery, in the form of an ambitious local TV reporter (Jane Krakowski) who sees the scandalous sex-charge-in-a-high-school story as a ticket to career advancement.
But Woods’ papa-don’t-preach is the lousiest gag of all, symbolic of everything obnoxiously out of proportion and unpersuasive about Pretty Persuasion. The movie wants so badly to be mentioned in the same breath as Heathers or Election that it’s not even funny. Really, I mean it, this charred-black comedy is not even funny.
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Chandigarh: Four hundred women personnel would be recruited in Haryana to strengthen the police force in the state, Director General of Police, Ranjiv Dalal said on Thursday.
Efforts were being made to recruit 400 women personnel, he told reporters.
Taking into account the recent crime incidents against women, the DGP said that Additional Chief Secretary, Home has written to the Punjab and Haryana High Court to transfer such cases to fast track court to ensure speedy justice.
Each police station in Haryana has four to 10 lady constables and women lawyers have also been empanelled to facilitate women, the DGP said. Dalal said the protocol of medical examination of rape cases has been fully revised for doctors through the Health Department to ensure effective investigation of such cases.
"Chief Minister Bhupinder Singh Hooda has called a meeting of senior police officers tomorrow to review the steps taken to check crime against women," he said. In most cases, the crime against women was committed by those known to them, but being known to victim did not reduce the gravity of the crime, he said.
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No mayor in 50 years has overseen as many physical changes to New York City as Michael Bloomberg. From Cornell's Roosevelt Island Campus to Brooklyn's Atlantic Yards and the Second Avenue Subway, development projects begun under Bloomberg will be shaping the face of New York for decades to come. His influence was beautifully illustrated by a recent New York Times graphic series, "Reshaping New York," which ticked off the best of the boom, the many neighborhoods that could not, after 12 years, recognize themselves in the mirror: Hunter's Point, West Chelsea, Williamsburg, Downtown Brooklyn.
Coney Island, where Bloomberg fought one of his toughest and most expensive land use battles, was missing from that commemoration. The plan to rezone the famous beach resort was, as the mayor remarked in 2007, "one of the largest and most ambitious rezonings we've proposed for Brooklyn." By the time the bill passed the city council two years later it had become more transformative still, shrinking the outdoor amusement area from 40 acres to nine.
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But unless you know Coney Island and the story of the remarkable land dealing that has occurred there, this can be hard to see. The New Coney Island -- a year-round destination anchored by franchise restaurants, shops, and condominiums -- is only just emerging.
When it does, it will be the perfect monument to Bloomberg's divisive decade of rezoning for development, cheered by some and mourned by others. Land values in Coney Island skyrocketed when the administration made rezoning a priority. Franchises like Applebee's and It'Sugar have since arrived. A new theme park, built by Zamperla, which also makes rides for Six Flags and Disney, was constructed in 100 days and has entertained hundreds of thousands of New Yorkers. There's Starbucks coffee available, and salads. For better or worse, Coney Island has begun to look more like everywhere else.
This was once a singular place, an amusement park so grand and unusual that on an average weekend in its heyday, visitors mailed a quarter-million postcards to friends and relatives. Luna Park, the flagship attraction that burned down in 1916, drew nearly 100,000 attendees each day. By the time the subway reached Stillwell Avenue, in 1918, the area drew still more visitors. Weegee's iconic 1940 image of Coney Island beachgoers jammed together like sardines today hangs in restaurants up and down the boardwalk, a memento of the glory days.
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In the ensuing decades, population loss, television, cars and air conditioning undercut Coney Island's appeal. New York's urban planning czar, Robert Moses, hated its tawdry arcades and thrill rides. He transformed the eastern end of the amusement district into a home for the relocated New York Aquarium. The housing projects with which he rebuilt Coney Island became some of the city's most depressed and dangerous.
As the city grew rapidly in the '90s, Mayor Rudolph Giuliani set his sights on Coney Island. Like Moses before him, he bulldozed a roller coaster to build a recreational facility, this time a minor league ballpark for the Brooklyn Cyclones. The Bloomberg administration eyed the island as a potential site for the 2012 Olympics, and in 2003, commissioned the Coney Island Development Corporation (CIDC) to examine the possibility of revising the restrictive C7 zoning that since 1961 had sheltered carnies and coasters (and a few vacant lots, as well) from market forces.
But a Brooklyn developer named Joe Sitt stole the limelight from CIDC, announcing a $2 billion plan in September 2005 that made the Las Vegas Strip look dull. Sitt had shrewdly purchased over a dozen acres of the old amusement park in anticipation of a rezoning gold rush, and hoped to bring in marquee clients like Dave and Buster’s, Ripley’s Believe it or Not, and the Hard Rock Café.
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It's fair to say New Yorkers were horrified by Sitt's plan -- he responded by toning it down in later renditions -- but what happened next was worse. Unable to build on his new land, Sitt chose instead to destroy it. Two years after his gaudy dreamchild was plastered on the cover of New York magazine, his development company, Thor Equities, began to evict tenants in what was both a premature move towards development and, many observers reckoned, an attempt to force the city's hand. Coney Island grew barren. "They paved paradise to put up…. what exactly?" asked the Brooklyn Paper.
Old-timers had seen this picture before: In 1965, Fred Trump (father of Donald) bought and bulldozed parts of Steeplechase Park before the Landmarks Commission could intervene, in the hopes of forcing a zoning change. City Planning did not acquiesce, and the Parks Department bought the property four years later.
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After Sitt was through, the Coney Island Batting Range, Mini Golf, Bumper Boats, and the International Speedway Go-Kart Track had all disappeared. Thor Equities bought Astroland, the amusement complex that had anchored the site since 1962, in 2006. The next year, Thor raised their rent by a factor of 15. Astroland closed too. The eclectic mix of small-time operators and big parks that made Coney Island famous was gone.
It was the low point in Coney Island history. "It was on the verge of collapse," says Dick Zigun, who runs the arts organization Coney Island USA.
That year, Amy Nicholson began filming "Zipper," a documentary that chronicles the evolution of Coney Island through the story of Eddie Miranda, the operator of that legendary carnival ride. Nicholson's film, playing now in New York and Los Angeles, recounts an excellent if weighted (spoiler alert: the Zipper doesn't fare well) history of the machinations that led to the final rezoning in 2009. In spite of protests, the area reserved for outdoor amusements was reduced from over 40 acres to 15, and later, in the proposal that passed the city council, to nine. That November, the city purchased 6.9 acres of land from Sitt at a cost of $95.6 million, or $318 per square foot.
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The reason for the final reduction in amusement park territory, as outlined in a 2009 Executive Summary, lay in the city's desire to make Coney Island a year-round destination. More "normal" commercial property development -- as opposed to summer pleasures like roller coasters and bumper cars -- would produce more jobs and more tax revenue. Median income in Coney Island in 2010 was $27,186, half the New York City level.
Domenic M. Recchia Jr., the city councilman who has represented Coney Island since 2002 and shepherded rezoning through the city council, was a key supporter of this concept. "One of my dreams," he says in "Zipper," "is to build an indoor water park hotel." But, he conceded, even a Barnes & Noble would be a great addition to the neighborhood.
Chuck Reichenthal, the manager of Brooklyn Community District 13, which includes Coney Island, stressed the importance of year-round jobs. He was no fan of Sitt's proposal, but, he said, the rezoning was one of the best things to happen there. "There's no reason why we can't figure out things to do during the whole year," he said. With indoor restaurants finally permitted inside the former C7 zoning, he imagines a future of year-round tourism, bolstered by the Abe Stark Ice Rink and hopefully, one day, the rehabilitation of the grand Shore Theater, which closed in 1973.
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He touted the number of year-round jobs already created at places like Grimaldi’s Pizza, the Brooklyn stalwart that opened another branch on Surf Avenue. Tom's Restaurant, an offshoot of the famous Prospect Heights Diner, opened last summer on the boardwalk and has plans to stay open all winter. Whether the relaxed zoning can in fact bolster Coney Island’s year-round appeal, once the thrill rides have closed and the beach is cased in snow, remains to be seen.
Zigun, who mentioned that Coney Island USA has received support from the Bloomberg administration, offered a more tempered assessment. "Though we're a different amusement park than we were 10 years ago, we're still viable," he said. He had been an outspoken advocate for preserving amusements, and resigned in protest from the Coney Island Development Corporation in 2008. But his opinion of the rezoning softened as Coney Island was reborn. “What’s happened in the past four years is a reaction to what you see in the movie,” he said, meaning "The Zipper." “It’s not so bad.”
The amusements are back in force. After buying Sitt's land, the Bloomberg administration moved rapidly to fix the damage inflicted during the rezoning speculation. In February of 2010, the mayor announced an agreement with Central Amusement International, a New Jersey subsidiary of the Italian amusement giant Zamperla Group. For a token concession payment of $100,000 a year, CAI has transformed the six-acre, $95 million parcel into a thriving theme park. The name, Luna Park, is a tribute to the Coney Island of yore.
To stand on West 12th Street, with the glimmering new coasters of Luna Park on one side and the Ghost Hole at Deno's across the street, with its charming hand-painted ghouls, is to see the difference between the old Coney Island and the new. Since the rezoning talk began a decade ago, more than 40 local businesses have been forced out, from carnival games to roller coasters to bars.
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Under Central Amusement's watch, the boardwalk has turned over as well. Two summers ago, CAI evicted all but two establishments, Nathan’s Famous and the clothing boutique Lola Star, from the famous stretch. (Two old-timers, Paul's Daughter (1962) and Ruby's Grill (1934) later came to an agreement and have renewed their leases.) These days, the annual rent paid to CAI for a boardwalk storefront, though technically subject to city approval, can run higher than what CAI pays the Parks Department for the entire six-acre plot.
What's in store for the amusement area? "We will never make Disney here," CAI president Valero Ferrari told the New York Times, "but it will be something more… refined, cleaner, a little more year-round, if that's possible, with sit-down restaurants and sports bars."
The company hired Miami Beach restaurateur Michele Merlo to re-envision the boardwalk, with plans that call for, among other things, a food court with international cuisine. "Maybe one day," he said in an interview with New York 1, “you can come and read your book outside on this nice boardwalk, sit in nice comfortable chairs and have a nice cappuccino or ice coffee."
Just down the walk from one of Merlo’s imports, Coney Cones, there’s a sign for Deno’s Wonder Wheel that reads, “They Don’t Build Them Like This Anymore!” It seems like a strange way to advertise a theme park ride, but it’s a fitting epitaph for the weird and wonderful hodgepodge that was Coney Island.
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Defining 'relative' androgen deficiency in aging men: how should testosterone be measured and what are the relationships between androgen levels and physical, sexual and emotional health?
In men, bioavailable and free testosterone levels decline by about 1.0 and 1.2% per year, respectively, after the age of 40. The definition of clinically relevant androgen deficiency in the aging male remains uncertain. Clinical features common to both aging and androgen deficiency include decreased muscle mass and strength, and increased fatigue, increased fat mass, loss of libido, erectile dysfunction, impaired cognitive function and depression. It is, however, difficult to separate the effect on plasma testosterone of concomitant disease, compared with the effects of a decrease in testosterone levels alone. Testosterone supplementation has been shown to be effective in improving many of the clinical features of androgen deficiency in the older male, and is safe, at least in the short term. The maximum benefit occurs in those men with the lowest testosterone levels.
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Is This an Ad for a Gym Membership or a Porno?
We know sex sells all sorts of things, but did Equinox go too far with their latest ad campaign? Our friends over at TooFab!have the commercial in all its glory, and really, it is completely over the top! Go see for yourself.
I'll say this ... it didn't make me want to go to the gym! However, it did make me want to go to my bedroom, turn down the lights, and shut the door! Not sure how many calories I will actually burn, but I guess it's better than watching television!
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Joyce Msokeri pleaded not guilty to fraud (Picture: PA)
A woman has denied pretending she was a victim of the Grenfell Tower disaster to pocket more than £10,000 in handouts.
Joyce Msokeri is accused of claiming cash, accommodation and clothes meant for survivors of the tower block blaze that killed 71 people.
Famous Banksy work mysteriously disappears from home after almost 20 years
Prosecutors say the 46-year-old Zimbabwean national scammed charities, the Hilton hotel chain and the local council out of help for survivors.
It is alleged that Msokeri told the Royal Borough of Kensington and Chelsea (RBKC) she was living in flat 142 when the fire broke out on June 14 last year.
She was put up at the Hilton in Kensington, it is claimed, and allegedly received clothing, footwear and electric equipment from various charities.
The tower block blaze in west London killed 71 people (Picture: PA)
She was arrested and interviewed after allegedly making false statements to RBKC and the charities, as well as possessing a provisional driving license that was ‘improperly obtained’ between 13 June and 5 September 2017.
Msokeri, of Ambleside Gardens in Sutton, south London, was later charged with three counts of fraud and one of possessing an identity document with improper intention.
At a short hearing at Southwark Crown Court on Tuesday, she pleaded not guilty to all four charges.
Her trial is due to begin on Wednesday.
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Eye of the Beholder (song)
"Eye of the Beholder" is a song by the American heavy metal band Metallica. It was released as the second single from their fourth studio album, ...And Justice for All released on October 30, 1988.
Lyrically, the song concerns imposed limitations on freedom of speech and freedom of expression in general. "Eye of the Beholder" is notable for its chorus section containing time played, not as an ordinary compound quadruple time, but as a syncopated rhythm. The rest of the song is a more conventional rhythm at a slower tempo than that seen on Metallica's previous three albums.
The song has not been performed live in its entirety since 1989. It has, however, always formed part of the medleys of songs from …And Justice for All often played by the band in concert during the 1990s as an alternative to playing full songs, many of which were seen as too difficult because of the numerous guitar parts. One such "Justice Medley" was featured on its 1993 live album Live Shit: Binge & Purge.
Track listing
Cover versions
In Flames recorded a cover of "Eye of the Beholder" on Metal Militia: A Tribute to Metallica, a tribute album recorded by various artists. This version of the song also appears on the remastered edition of In Flames' first EP, Subterranean. A cover of the song also appeared on the Metallic Attack: Metallica - The Ultimate Tribute tribute album, performed by Life After Death, a band formed by Phil Sandoval after the break-up of Armored Saint.
References
Eye of the Beholder (song)
Eye of the Beholder (song)
Category:Songs written by James Hetfield
Category:Songs written by Lars Ulrich
Category:Songs written by Kirk Hammett
Category:Works about freedom of expression
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Wikipedia (en)
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Kurungulam Keelpathi
Kurungulam Keelpathi is a village in the Thanjavur taluk of Thanjavur district, Tamil Nadu, India.
Demographics
As per the 2001 census, Kurungulam Keelpathi had a total population of 3460 with 1689 males and 1771 females. The sex ratio was 1049. The literacy rate was 55.79.
References
Category:Villages in Thanjavur district
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Cars destroyed by the Camp Fire sit in the lot at a used car dealership on November 9, 2018 in Paradise, California. Photo : Getty Images
This month, California has been gripped by three devastating wildfires: Northern California’s Camp Fire, which recently became the deadliest in the state’s history, and, in Southern California, the Woolsey and Hill Fires. An emerging, deeply weird conspiracy theory holds that those fires aren’t caused by wind patterns, brutally dry conditions, the worsening effects of climate change, or possible downed power lines, but by a sinister scheme directed by nefarious elements within the government.
The claim, being taken up by an increasing number of people in QAnon circles, is that the fires are caused by “directed energy weapons”—that is, government-directed lasers bent on destroying homes, property, and lives. And if recent history is any judge, there’s a chance the country’s biggest conspiracy-peddlers, up to and including the one who lives in the White House, will take up the cause.
Directed energy weapons, or DEWs, have an interesting place in conspiratorial circles. DEWs are, to begin with, a real technology, but one still in its infancy: a report produced for Congress describes that term as an umbrella to refer to technologies “that produce concentrated electromagnetic energy and atomic or subatomic particles.” The consensus is that there are a number of logistical issues to work out before that the U.S. government will be able to build a laser system that would actually be workable on a battlefield, but that the Department of Defense and private contractors are eager to leverage laser power towards killing people and/or destroying enemy missiles, aircrafts, or satellites.
If you ask people in the deep end of the conspiracy theory pool, though, DEWs are here already. There’s a small body of people who believe themselves to be “targeted individuals”—stalked, harassed, and attacked by the government or other shadowy groups—and at least some of them believe those attacks are being carried out by DEWs. Now, through a strange confluence of forces, the paranoia over DEWs is making its way into the discussion about natural disasters. What we’re seeing is a convergence of longstanding American fears about government mind control and manipulation of the weather merging with climate change skepticism, as climate science becomes ever-more-politicized.
Like many conspiracy theories, it’s not entirely possible to trace where the DEW theories came from. As best I can tell, one of the earliest promoters of that claim was a flat-earth YouTuber going by the name ODD Reality (real name Matt Procella), who started talking about DEWs during the devastating wildfires that raged across California in October 2017.
“You’ll notice here that stores and restaurants are wiped out, while other things are still in perfect shape,” Procella intones, over still images of fire damage, some of them sourced, he says, from a Serbian conspiracy site (and some of which appear to be computer-generated). “Other buildings are fine, trees are untouched, but specific structures are just devastated. You gotta ask yourself, what’s up with that ... Is this the result of direct energy weapons? Ranged weapons that inflict damage on a target by emitting highly-focused energy? The answer is most likely yes.”
There’s actually a fair amount of research to explain why some structures are destroyed and some are spared during a wildfire that has nothing to do with laser weapons. But the broader point Procella is trying to make is about intent: Someone is deliberately destroying certain buildings. That point, though, gets a little mushy. He speculates that “all these things” are a “distraction from the Vegas incident,” by which he means the mass shooting in Las Vegas that month that killed 58 people.
Elsewhere, the question of why the government would spend its time pointing lasers at people’s houses and Burger Kings has been made somewhat clearer. The left-leaning March Against Monsanto site, which often engages in conspiracy theorizing about GMOs, ran a speculative article about DEWs, reasoning that they could be just another form of government manipulation.
People who believe in chemtrails are also concerned about DEWs, and have a more fully fleshed-out explanation for what they’re meant to do. (“Chemtrails ” are harmless condensation trails left by aircrafts, but since the late 1990s, a conspiratorial community has been raising concerns that they’re actually toxic, potentially mind-controlling chemicals.) On one chemtrail-oriented site, Chemtrail Planet, an unnamed author speculates that last year’s fires were part of a joint plan by FEMA and the United Nations to institute more centralized global control, what they called “Agenda 30.” The United Nations 2030 Agenda for Sustainable Development is actually a resolution passed in 2015 by the General Assembly, promising to do a host of things to make the world better by 2030, including “taking urgent action on climate change.” Like every UN action, conspiracy theorists claim it’s mean to institute a centralized one-world government, and like always, that is not true.
There’s also evidence that DEWs are becoming part of the cosmology of the QAnon crowd, a remarkably pliant group who have proven that they’re able to incorporate just about anything into their belief system. (QAnon, for the uninitiated, is the conspiracy theory that Donald Trump is secretly doing a really good job, and is this close to uncovering and disarming various evil forces working against him within the government.) The hashtag #DEW has begun to show up in QAnon-oriented Twitter conversations, with several much-retweeted Tweets imploring Trump to take action.
Yet another version of the DEWs story claims that the wildfires were directed in such a way to destroy structures in order to make way for a high-speed rail system, part of a Democrat plot. That’s right: the government is destroying vast swaths of trees, houses and infrastructure to force people to ride the train. That tweeted idea is also tagged with several QAnon-related hashtags.
Inevitably, the conspiracy theory is migrating to bigger and bigger accounts. On Thursday, a far-right internet personality and QAnon booster named Mike Tokes, who has 170,000 Twitter followers, aggressively took up the cause, using the same line of argument: some homes burned, others didn’t, thus lasers must be at work.
The DEW theory is inextricably tied to skepticism about the very idea of climate change, a sense that global warming is just the cover explanation for the various sinister plots at work against us. It’s also, of course, tied to longstanding conspiracy theories about the government controlling the weather, such as the idea that the government already has a weather control tool called HAARP, which it also uses for “electromagnetic warfare.” (HAARP is actually a much less exciting research program that studies the uppermost levels of our atmosphere and was years run by the Air Force and University of Alaska Fairbanks. Since 2015, UAF has run it alone, albeit on Air Force land, and has produced a very patient FAQ explaining that HAARP does not exert mind control over people.)
Weather and climate conspiracists are, though, not a big group of people, says John Cook, a research assistant professor at the Center for Climate Change Communication at George Mason University who also runs a site called Skeptical Science that outlines the shoddy science and arguments behind global warming skepticism.
“Climate change conspiracy theories may seem more popular but they’re still very marginal,” Cook told Earther. “The proportion of the US public who are dismissive about climate change is about nine percent. You don’t want to overstate their importance because that can have a negative effect.”
That said, there may well be a broader swath of the public that is open to conspiracy theories and denialism, if not hardcore about them. For instance, a survey on chemtrails from last year that found up to 30 percent of people polled thought they may be “somewhat real”. And recent polls show most U.S. Republicans still believe global warming concerns are exaggerated, and that the partisan divide on the issue is growing.
Climate change skepticism and other, more out-there forms of conspiracy theorizing about the weather have a few things in common, Cook said. “There is a similarity in that it’s trying to make sense of disturbing events by imaging these patterns.”
But there’s also an important distinction. “Climate conspiracy theories tend to be an attempt to explain why there’s a scientific consensus on climate change,” usually by invoking a vast conspiracy among the world’s climate scientists. “Whereas space laser wildfires are—kind of—”
Cook paused for a moment, politely.
“They’re an isolated single event thing,” he finished. “As opposed to a more systematic, holistic explanation of the whole climate.”
Social media, particularly Twitter, has inarguably helped the spread of conspiracy theories about the climate, Cook said. He and his colleagues have studied how to “inoculate” people against misinformation (and even made a handy video about it), but he admits it’s an uphill battle.
“It’s difficult,” he said. “Conspiracy theories are the hardest thing to counter. They’re so nihilistic, and any attempt to rebut them is seen as more evidence of the conspiracy theory. But the general rule is the way to counter the myth is to replace it with a stickier fact.”
One issue, Cook said, is that conspiracy theories can cause people to shut down and stop looking for what’s true: “There’s a danger that they’ll disengage and just stop believing in facts.”
And the facts are plenty terrifying on their own: These fires have already been hellaciously destructive, the deadliest in a century or more, with at least 63 people dead in the Camp Fire alone, three more killed in the Woolsey fire, more than 600 missing, thousands of acres burned, homes destroyed and lives devastated. The president is already engaged in smears and misinformation, bizarrely claiming that “forest management” was to blame for fires that didn’t even originate in forests. Though the causes of the fires are still under investigation, there’s evidence that a downed PG&E power line could have potentially sparked the Camp Fire. There’s evidence that public policy and regulation simply aren’t working, given that PG&E electrical equipment was found responsible for 17 of 21 wildfires in Northern California last fall, and that climate change is only making the situation worse. And there’s deep inequality at work, given that working-class communities like Paradise are all but destroyed, while wealthier areas are able to hire their own firefighters to battle the blazes.
Contact the Special Projects Desk This post was produced by the Special Projects Desk of Gizmodo Media. Email us at [email protected], or contact us securely using SecureDrop.
And if those facts aren’t deemed worthy of engagement—if people instead retreat into fantasy and rumor and innuendo—there’s the fact that the next fire isn’t far away. It’s simply waiting for its spark.
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Der 1. FCN holt mit Philipp Förster einen talentierten Mittelfeldspieler aus Mannheim.
Der 1. FC Nürnberg hat sich die Dienste von Philipp Förster gesichert. Der 21-Jährige unterschrieb am Dienstag, 31.01.17, einen Vertrag beim Club und wechselt vom SV Waldhof Mannheim an den Sportpark Valznerweiher. Der Mittelfeldspieler verstärkt ab sofort den Kader von Trainer Alois Schwartz und erhält die Rückennummer 5.
"Wir haben seinen für Sommer geplanten Transfer vorgezogen, damit er sich in der Rückrunde hier schon mal eingewöhnen kann", sagt Sport-Vorstand Andreas Bornemann. "Philipp ist ein gut ausgebildeter Spieler, der im zentralen Mittelfeld eingesetzt werden kann."
12 Tore in 76-Regionalliga-Spielen
Philipp Förster stand seit 2014 bei Waldhof Mannheim unter Vertrag. Für die Kurpfälzer bestritt er in der Regionalliga 76 Partien, in denen ihm zwölf Tore gelangen. In der letzten Saison verpasste er mit Waldhof den Aufstieg in die 3. Liga in der Relegation. Ausgebildet wurde der 1,90m-Mann in den Nachwuchsabteilungen des Karlsruher SC und VfB Stuttgart.
"Ich freue mich, dass der Wechsel schon jetzt geklappt hat. Nach zweieinhalb Jahren in Mannheim, wo ich eine tolle Zeit hatte, möchte ich jetzt den nächsten Schritt machen und sehe dafür in Nürnberg die geeigneten Voraussetzungen", erklärt Philipp Förster.
Das ist Philipp Förster:
Geburtsdatum: 04.02.1995
Geburtsort: Bretten
Nationalität: deutsch
Größe: 1,90 m
Bisherige Vereine: Waldhof Mannheim (2014-2017), VfB Stuttgart (2010-2014), Karlsruher SC (bis 2010)
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Not sure if NSFW or is close enough to slide
100 shares
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---
abstract: 'We measure the recoil velocity as a function of spin for equal-mass, highly-spinning black-hole binaries, with spins in the orbital plane, equal in magnitude and opposite in direction. We confirm that the leading-order effect is linear in the spin and the cosine of angle between the spin direction and the infall direction at merger. We find higher-order corrections that are proportional to the odd powers in both the spin and cosine of this angle. Taking these corrections into account, we predict that the maximum recoil will be $3680\pm130 {\rm km\,s^{-1}}$.'
author:
- 'Carlos O. Lousto'
- Yosef Zlochower
bibliography:
- '../../../Bibtex/references.bib'
title: Modeling maximum astrophysical gravitational recoil velocities
---
Introduction
============
The field of Numerical Relativity (NR) has progressed at a remarkable pace since the breakthroughs of 2005 [@Pretorius:2005gq; @Campanelli:2005dd; @Baker:2005vv] with the first successful fully non-linear dynamical numerical simulation of the inspiral, merger, and ringdown of an orbiting black-hole binary (BHB) system. BHB physics has rapidly matured into a critical tool for gravitational wave (GW) data analysis and astrophysics. Recent developments include: studies of the orbital dynamics of spinning BHBs [@Campanelli:2006uy; @Campanelli:2006fg; @Campanelli:2006fy; @Herrmann:2007ac; @Herrmann:2007ex; @Marronetti:2007ya; @Marronetti:2007wz; @Berti:2007fi], calculations of recoil velocities from the merger of unequal mass BHBs [@Herrmann:2006ks; @Baker:2006vn; @Gonzalez:2006md], and very large recoils acquired by the remnant of the merger of two spinning BHs [@Campanelli:2007ew; @Campanelli:2007cga; @Lousto:2008dn; @Pollney:2007ss; @Gonzalez:2007hi; @Brugmann:2007zj; @Choi:2007eu; @Baker:2007gi; @Schnittman:2007ij; @Baker:2008md; @Healy:2008js; @Herrmann:2007zz; @Herrmann:2007ex; @Tichy:2007hk; @Koppitz:2007ev; @Miller:2008en], empirical models relating the final mass and spin of the remnant with the spins of the individual BHs [@Boyle:2007sz; @Boyle:2007ru; @Buonanno:2007sv; @Tichy:2008du; @Kesden:2008ga; @Barausse:2009uz; @Rezzolla:2008sd; @Lousto:2009mf], and comparisons of waveforms and orbital dynamics of BHB inspirals with post-Newtonian (PN) predictions [@Buonanno:2006ui; @Baker:2006ha; @Pan:2007nw; @Buonanno:2007pf; @Hannam:2007ik; @Hannam:2007wf; @Gopakumar:2007vh; @Hinder:2008kv].
The surprising discovery [@Campanelli:2007ew; @Campanelli:2007cga] that the merger of binary black holes can produce recoil velocities up to $4000\ {\rm km\,s^{-1}}$, and hence allow the remnant to escape from major galaxies, led to numerous theoretical and observational efforts to find traces of this phenomenon. Several studies made predictions of specific observational features of recoiling supermassive black holes in the cores of galaxies in the electromagnetic spectrum [@Haiman:2008zy; @Shields:2008va; @Lippai:2008fx; @Shields:2007ca; @Komossa:2008ye; @Bonning:2007vt; @Loeb:2007wz] from infrared [@Schnittman:2008ez] to X-rays [@Devecchi:2008qy; @Fujita:2008ka; @Fujita:2008yi] and morphological aspects of the galaxy cores [@Komossa:2008as; @Merritt:2008kg; @Volonteri:2008gj]. Notably, there began to appear observations indicating the possibility of detection of such effects [@Komossa:2008qd; @Strateva:2008wt; @Shields:2009jf], and although alternative explanations are possible [@Heckman:2008en; @Shields:2008kn; @Bogdanovic:2008uz; @Dotti:2008yb], there is still the exciting possibility that these observations can lead to the first confirmation of a prediction of General Relativity in the highly-dynamical, strong-field regime.
Numerical simulations of the BHB problem have sampled the parameter space of the binary for different values of the binary’s mass ratio $q$ and arbitrary orientations of the individual spins of the holes. Two astrophysically important regions of this parameter space remain challenging to describe accurately by numerical simulations: the small $q$ limit, although recent development of the numerical techniques have produced a successful simulation of the last few orbits before the merger of a $q=1/100$ binary [@Lousto:2010ut], and the near maximal spin limit. The most recent simulations of highly-spinning BHBs was of non-precessing binaries with intrinsic spins $\alpha=0.95$ [@Lovelace:2010ne]. Since BHBs with $\alpha=1$ are still elusive to full numerical simulations, and the configuration that maximizes the gravitational recoil is one that starts with maximally spinning BHs, with opposite spins lying on the orbital plane [@Campanelli:2007ew; @Campanelli:2007cga], we will model these configurations for different values of the intrinsic spin parameter up to $\alpha=0.92$ (which is achievable with current techniques to solve initial “puncture” data) and then extrapolate to $\alpha=1$ using an improves version of our original empirical formula [@Campanelli:2007ew; @Campanelli:2007cga; @Lousto:2009mf].
In Ref. [@Lousto:2009mf] we extended our original empirical formula for the recoil velocity imparted to the remnant of a BHB merger [@Campanelli:2007ew; @Campanelli:2007cga] to include next-to-leading-order corrections, still linear in the spins. The extended formula has the form: $$\begin{aligned}
\label{eq:Pempirical}
\vec{V}_{\rm recoil}(q,\vec\alpha)&=&v_m\,\hat{e}_1+
v_\perp(\cos\xi\,\hat{e}_1+\sin\xi\,\hat{e}_2)+v_\|\,\hat{n}_\|,\nonumber\\
v_m&=&A\frac{\eta^2(1-q)}{(1+q)}\left[1+B\,\eta\right],\nonumber\\
v_\perp&=&H\frac{\eta^2}{(1+q)}\left[
(1+B_H\,\eta)\,(\alpha_2^\|-q\alpha_1^\|)\right.\nonumber\\
&&\left.+\,H_S\,\frac{(1-q)}{(1+q)^2}\,(\alpha_2^\|+q^2\alpha_1^\|)\right],\nonumber\\
v_\|&=&K\frac{\eta^2}{(1+q)}\Bigg[
(1+B_K\,\eta)
\left|\alpha_2^\perp-q\alpha_1^\perp\right|
\nonumber \\ && \quad \times
\cos(\Theta_\Delta-\Theta_0)\nonumber\\
&&+\,K_S\,\frac{(1-q)}{(1+q)^2}\,\left|\alpha_2^\perp+q^2\alpha_1^\perp\right|
\nonumber \\ && \quad \times
\cos(\Theta_S-\Theta_1)\Bigg],\end{aligned}$$ where $\eta=q/(1+q)^2$, with $q=m_1/m_2$ the mass ratio of the smaller to larger mass hole, $\vec{\alpha}_i=\vec{S}_i/m_i^2$, the index $\perp$ and $\|$ refer to perpendicular and parallel to the orbital angular momentum respectively, $\hat{e}_1,\hat{e}_2$ are orthogonal unit vectors in the orbital plane, and $\xi$ measures the angle between the unequal mass and spin contribution to the recoil velocity in the orbital plane. from newly available runs. The angle $\Theta$ is defined as the angle between the in-plane component of $\vec \Delta = M (\vec S_2/m_2 - \vec
S_1/m_1)$ or $\vec S=\vec S_1+\vec S_2$ and a fiducial direction at merger (see Ref. [@Lousto:2008dn] technique). Phases $\Theta_0$ and $\Theta_1$ depend on the initial separation of the holes for quasicircular orbits (astrophysically realistic evolutions of comparable masses black holes lead to nearly zero eccentricity mergers).
The empirical formula (\[eq:Pempirical\]) above was obtained by assuming the post-Newtonian dependence on the spin and mass ratio of instantaneous radiated linear momenta [@Kidder:1995zr] where the coefficients are to be fitted by full numerical simulations. Second order corrections in the spin have been obtained recently [@Racine:2008kj] and could be added to the empirical formula. Here, in this paper, we will consider instead the particular family of configurations that lead to the maximum recoil [@Campanelli:2007ew; @Campanelli:2007cga; @Gonzalez:2007hi; @Dain:2008ck], where $q=1$ and the two spins are in the orbital plane, equal in magnitude, and opposite in direction. These configurations are $\pi-$symmetric, i.e. rotating the system by 180 degrees around the symmetry axis lead to the same configuration. This implies in particular, that only odd powers of the spin and the $\cos\Theta$ are involved. We will then perform a series of simulations that vary both the magnitude of the (intrinsic) spin in the range $\alpha=0.2-0.92$ and the initial angle of the individual black-hole spin and orbital linear momentum.
For a first exploration of the extended spin dependence we consider cubic and possible fifth-order corrections [@Boyle:2007ru] to the empirical formula (\[eq:Pempirical\]) of the form $$\begin{aligned}
v_\| &=& \left(V_{1,1} \alpha + V_{1,3} \alpha^3\right)
\cos(\Theta_\Delta-\Theta_0) \nonumber \\
&+&
\left(V_{3,1} \alpha + V_{3,3} \alpha^3 + V_{3,5} \alpha^4 \right)
\cos(3 \Theta_\Delta-3 \Theta_3),
\label{eq:emp}\end{aligned}$$ where $V_{1,1} = 2 K(1+\eta B_K) \frac{\eta^2}{(1+q)}$, and the remaining terms are higher-order correction to Eq. (\[eq:Pempirical\]).
Techniques {#sec:techniques}
==========
To compute the numerical initial data, we use the puncture approach [@Brandt97b] along with the [TwoPunctures]{} [@Ansorg:2004ds] thorn. In this approach the 3-metric on the initial slice has the form $\gamma_{a b} = (\psi_{BL}
+ u)^4 \delta_{a b}$, where $\psi_{BL}$ is the Brill-Lindquist conformal factor, $\delta_{ab}$ is the Euclidean metric, and $u$ is (at least) $C^2$ on the punctures. The Brill-Lindquist conformal factor is given by $ \psi_{BL} = 1 + \sum_{i=1}^n m_{i}^p / (2 |\vec r
- \vec r_i|), $ where $n$ is the total number of ‘punctures’, $m_{i}^p$ is the mass parameter of puncture $i$ ($m_{i}^p$ is [*not*]{} the horizon mass associated with puncture $i$), and $\vec r_i$ is the coordinate location of puncture $i$. For the initial (conformal) extrinsic curvature we take the analytic form $\hat{K}_{ij}^{BY}$ given by Bowen and York[@Bowen80]. We evolve these black-hole-binary data-sets using the [LazEv]{} [@Zlochower:2005bj] implementation of the moving puncture formalism [@Campanelli:2005dd; @Baker:2005vv] with the conformal factor $W=\sqrt{\chi}=\exp(-2\phi)$ suggested by [@Marronetti:2007wz] as a dynamical variable. For the runs presented here we use centered, eighth-order finite differencing in space [@Lousto:2007rj] and an RK4 time integrator (note that we do not upwind the advection terms).
We use the Carpet [@Schnetter-etal-03b] mesh refinement driver to provide a ‘moving boxes’ style mesh refinement. In this approach refined grids of fixed size are arranged about the coordinate centers of both holes. The Carpet code then moves these fine grids about the computational domain by following the trajectories of the two black holes.
We use [AHFinderDirect]{} [@Thornburg2003:AH-finding] to locate apparent horizons. We measure the magnitude of the horizon spin using the Isolated Horizon algorithm detailed in [@Dreyer02a]. This algorithm is based on finding an approximate rotational Killing vector (i.e. an approximate rotational symmetry) on the horizon $\varphi^a$. Given this approximate Killing vector $\varphi^a$, the spin magnitude is $$\label{isolatedspin} S_{[\varphi]} =
\frac{1}{8\pi}\int_{AH}(\varphi^aR^bK_{ab})d^2V,$$ where $K_{ab}$ is the extrinsic curvature of the 3D-slice, $d^2V$ is the natural volume element intrinsic to the horizon, and $R^a$ is the outward pointing unit vector normal to the horizon on the 3D-slice. We measure the direction of the spin by finding the coordinate line joining the poles of this Killing vector field using the technique introduced in [@Campanelli:2006fy]. Our algorithm for finding the poles of the Killing vector field has an accuracy of $\sim 2^\circ$ (see [@Campanelli:2006fy] for details). Note that once we have the horizon spin, we can calculate the horizon mass via the Christodoulou formula $${m^H} = \sqrt{m_{\rm irr}^2 +
S^2/(4 m_{\rm irr}^2)},$$ where $m_{\rm irr} = \sqrt{A/(16 \pi)}$ and $A$ is the surface area of the horizon. We measure radiated energy, linear momentum, and angular momentum, in terms of $\psi_4$, using the formulae provided in Refs. [@Campanelli99; @Lousto:2007mh]. However, rather than using the full $\psi_4$, we decompose it into $\ell$ and $m$ modes and solve for the radiated linear momentum, dropping terms with $\ell \geq 5$. The formulae in Refs. [@Campanelli99; @Lousto:2007mh] are valid at $r=\infty$. We obtain highly accurate values for these quantities by solving for them on spheres of finite radius (typically $r/M=50, 60,
\cdots, 100$), fitting the results to a polynomial dependence in $l=1/r$, and extrapolating to $l=0$ [@Baker:2005vv; @Campanelli:2006gf; @Hannam:2007ik; @Boyle:2007ft]. Each quantity $Q$ has the radial dependence $Q=Q_0 + l Q_1 + {\cal O}(l^2)$, where $Q_0$ is the asymptotic value (the ${\cal O}(l)$ error arises from the ${\cal
O}(l)$ error in $r\, \psi_4$). We perform both linear and quadratic fits of $Q$ versus $l$, and take $Q_0$ from the quadratic fit as the final value with the differences between the linear and extrapolated $Q_0$ as a measure of the error in the extrapolations.
We obtain accurate, convergent waveforms and horizon parameters by evolving this system in conjunction with a modified 1+log lapse and a modified Gamma-driver shift condition [@Alcubierre02a; @Campanelli:2005dd], and an initial lapse $\alpha(t=0) = 2/(1+\psi_{BL}^{4})$. The lapse and shift are evolved with
\[eq:gauge\] $$\begin{aligned}
(\partial_t - \beta^i \partial_i) \alpha &=& - 2 \alpha K,\\
\partial_t \beta^a &=& (3/4) \tilde \Gamma^a - \eta(x^a,t) \beta^a,
\label{eq:Bdot}
\end{aligned}$$
where different functional dependences for $\eta(x^a,t)$ have been proposed in [@Alcubierre:2004bm; @Zlochower:2005bj; @Mueller:2009jx; @Mueller:2010bu; @Schnetter:2010cz; @Alic:2010wu]. For the low-spin simulations we used a constant $\eta=2$, while for the $\alpha=0.92$ simulation we used a modification of the form proposed in [@Lousto:2010qx], $$\eta(x^a,t) = R_0 \frac{\sqrt{\tilde
\gamma^{ij}\partial_i W \partial_j W }}{ \left(1 - W^a\right)^b},$$ where we chose $R_0=1.31$ [@Mueller:2009jx]. In practice we used $a=2$ and $b=2$, which reduces $\eta$ by a factor of $4$ at infinity when compared to the gauge proposed by [@Mueller:2009jx], improving its stability at larger radii. Other values of $(a,b)$ lead to an increase of the numerical noise. Note that this gauge was originally proposed and used for the non-spinning, intermediate-mass-ratio binaries. Here we find that the gauge is well adapted for the highly-spinning equal mass case, where, after the initial burst of radiation passes, the measured spin is found to never drop below $\alpha=0.905$. Due to the differences in the spurious initial radiation content, as well as spin-orbit effects on the total mass, $\alpha$ near merger varied from between $0.90$ to $0.93$ for the different A09Tyyy configurations (See tables \[tab:ID\] and \[tab:rad\] below).
Initial Data {#sec:ID}
------------
We used 3PN parameters for quasicircular orbits with BH spins (equal in magnitude and opposite in direction) aligned with the linear momentum of each BH (i.e. in-plane spins) to obtain the momenta and spin parameters for the Bowen-York extrinsic curvature. We then chose puncture mass parameters such that the total ADM mass was 1M. We then rotated the spins by $30^\circ$, $90^\circ$, $130^\circ$, $210^\circ$ and $315^\circ$, to obtain a total of 6 configurations for each value of the intrinsic spin $\alpha$. We label the configuration AxxTyyy where xx corresponds to the spin of each BH and yyy is the initial rotation of the spin directions. We summarize the initial data in Table \[tab:ID\].
Config $x$ $p$ $S$ $m_p$
--------- ---------- ---------- ---------- ----------
A02T000 3.878113 0.117404 0.051314 0.479782
A04T000 3.879566 0.117405 0.102627 0.454076
A06T000 3.881979 0.117407 0.153936 0.403550
A08T000 3.885342 0.117409 0.205241 0.301026
A09T000 3.887375 0.117411 0.230891 0.172120
: Initial data parameters for the non-rotated configurations. The initial puncture positions are $\pm (x,0,0)$, momenta are $\pm(0,p,0)$, and spin $\pm(0,S,0)$. The remaining configurations are obtained by rotating the spins, keeping all other parameters the same.[]{data-label="tab:ID"}
This family of configurations has larger initial separations than the configurations in our original studies in [@Campanelli:2007cga]. In these configurations, the BHs orbit $\sim 3.5$ times prior to merger, which allows for most of the eccentricity to be radiated away before the plunge phase (where most of the recoil velocity is generated). This provides for an accurate description of the plausible astrophysical maximal recoil scenario.
Results and Analysis {#sec:results}
====================
In order to analyze our results for different initial orientations of the spin that span the $\Theta-$dependence, we use the techniques detailed in [@Lousto:2008dn]. For each $\alpha$ we fit the results of the recoil as a function of angle to form $V_{\rm recoil} = V_1 \cos(\theta - \theta_1) +
V_3 \cos[3(\theta - \theta_3)],$ where $\theta$ is defined to be the angle of the spin direction (of the first BH) near merger (at a fiducial radial separation of $r=1.2$) and the spin direction of the corresponding AxxT000 configuration (we cannot simply use the initial spin direction differences because spin-orbit effects for larger spins make this approximation inaccurate). The radiated energy and recoil from each simulation is given in Table \[tab:rad\].
Config $\delta E$ $V_{\rm recoil}$ $\Delta\Theta$ $\delta J_z$
--------- ------------------------- ------------------------ ---------------- ----------------------
A02T000 $ 0.03583 \pm 0.00020 $ $ 551.95 \pm 0.83 $ 0 $0.2727 \pm 0.0032 $
A02T030 $ 0.03575 \pm 0.00020 $ $ 225.49 \pm 0.86 $ 30.7 $0.2724\pm0.0031$
A02T090 $ 0.03562 \pm 0.00019 $ $ -482.10 \pm 0.13 $ 88.6 $0.2721\pm0.0031$
A02T130 $ 0.03574 \pm 0.00019 $ $ -721.03 \pm 0.34 $ 127.3 $0.2727\pm0.0031$
A02T210 $ 0.03573 \pm 0.00020 $ $ -234.14 \pm 0.76 $ 210.0 $0.2723\pm0.0032$
A02T315 $ 0.03577 \pm 0.00019 $ $ 730.10 \pm 0.32 $ 312.4 $0.2729\pm0.0030$
A04T000 $ 0.03665 \pm 0.00022 $ $ 1200.79 \pm 2.21 $ 0 $0.2768\pm0.0031$
A04T030 $ 0.03625 \pm 0.00022 $ $ 529.09 \pm 2.12 $ 33.7 $0.2747\pm0.0031$
A04T090 $ 0.03574 \pm 0.00020 $ $ -764.08 \pm 0.39 $ 85.0 $0.2740\pm0.0028$
A04T130 $ 0.03620 \pm 0.00021 $ $ -1390.22 \pm 0.89 $ 126.0 $0.2759\pm0.0029$
A04T210 $ 0.03633 \pm 0.00021 $ $ -637.049 \pm 1.97 $ 209.2 $0.2755\pm0.0030$
A04T315 $ 0.03628 \pm 0.00021 $ $ 1424.17 \pm 1.02 $ 311.2 $0.2762\pm0.0029$
A06T000 $ 0.03803 \pm 0.00027 $ $ 2001.06 \pm 3.5 $ 0 $0.2834\pm0.0032$
A06T030 $ 0.03740 \pm 0.00026 $ $ 1087.24 \pm 4.8 $ 36.2 $0.2798\pm0.0032$
A06T090 $ 0.03595 \pm 0.00025 $ $ -870.93 \pm 2.4 $ 87.3 $0.2758\pm0.0026$
A06T130 $ 0.03669 \pm 0.00026 $ $ -1944.04 \pm 1.5 $ 127.7 $0.2791\pm0.0029$
A06T210 $ 0.03751 \pm 0.00026 $ $ -1212.62 \pm 4.4 $ 212.4 $0.2807\pm0.0031$
A06T315 $ 0.03679 \pm 0.00026 $ $ 1984.74 \pm 1.3 $ 310.3 $0.2797\pm0.0029$
A08T000 $ 0.03996 \pm 0.00039 $ $ 2651.75 \pm 7.54 $ 0 $0.2912\pm0.0027$
A08T030 $ 0.03941 \pm 0.00037 $ $ 1917.03 \pm 8.29 $ 24.3 $0.2888\pm0.0027$
A08T090 $ 0.03677 \pm 0.00034 $ $ -445.83 \pm 1.10 $ 70.9 $0.2791\pm0.0028$
A08T130 $ 0.03733 \pm 0.00038 $ $ -2412.2 \pm 4.03 $ 119.5 $0.2823\pm0.0027$
A08T210 $ 0.03941 \pm 0.00036 $ $ -1919.86 \pm 8.26 $ 204.3 $0.2887\pm0.0027$
A08T315 $ 0.03771 \pm 0.00038 $ $ 2568.87 \pm 4.49 $ 306.3 $0.2838\pm0.0027$
A09T000 $ 0.04026 \pm 0.00057 $ $ 89.74 \pm 1.00 $ 0 $0.3063\pm0.0042$
A09T030 $ 0.04143 \pm 0.00055 $ $ 3240.96 \pm 17.34 $ 101.5 $0.3011\pm0.0051$
A09T090 $ 0.04062 \pm 0.00057 $ $ 1859.42 \pm 15.47 $ 147.4 $0.2951\pm0.0070$
A09T130 $ 0.03784 \pm 0.00054 $ $ -759.16 \pm 0.85 $ 190.6 $0.2846\pm0.0058$
A09T210 $ 0.04144 \pm 0.00055 $ $ -3239.25 \pm 17.24 $ 281.7 $0.3012\pm0.0050$
A09T315 $ 0.03917 \pm 0.00056 $ $ -205.59 \pm 2.92 $ 355.3 $0.2919\pm0.0067$
: The radiated energy, recoil velocity, and angle between the spins for the AxxTyyy configuration at merger and the corresponding AxxT000 configuration, $\Delta\Theta$. Note the substantial rotations apparent in the A09Tyyy configurations due to spin orbit interactions.[]{data-label="tab:rad"}
We then fit $V_1$ and $V_3$ to the functional forms $V_1 = V_{1, 1}
\alpha + V_{1, 3} \alpha^3$ and $V_3 = V_{3, 1} \alpha + V_{3, 3} \alpha^3$. A summary of the fits is given in Table \[tab:fits\]. Note that $V_{1,1}$ is related to the parameter $K$ in our empirical formula (\[eq:emp\]) by $K=16 V_{1,1}$. Here we find $K=58912\pm43$, where the error is obtained from the fit and likely underestimated the true error in this quantity. Previously we found $K=(6.0\pm0.1)\times10^4$, which agrees reasonably well with the new value [@Campanelli:2007cga; @Lousto:2008dn]. We also include fits where the linear term in $V_3$ and the cubic term in $V_1$ are set to zero, as well as a fit of $V_3$ to $V_{3,3}\alpha^3 + V_{3,5}
\alpha^5$. We note that a cubic term in $V_1$ is expected since $\cos^3 \theta = 3/4 \cos \theta + 1/3 \cos 3 \theta$, and hence cubic corrections of the for $\alpha^3 \cos^3\theta$ will contribute to the $\cos\theta$ dependence. On the other hand, a linear dependence in $\cos 3\theta$ is not expected.
The form of the fitting above was first proposed in [@Boyle:2007ru] as a generic expansion, where it was applied to data sets with constant $\alpha$. Here we compare results from five different values of the intrinsic spin in the range $\alpha=0.2-0.92$, to obtain an accurate model of the $\alpha$ dependence.
In Figs. \[fig:fit\_a2\_ang\]-\[fig:fit\_a9\_ang\] we show the angular fits for each set of configurations. Note that the spin-orbit coupling effects are strongest for the A09Tyyy configurations, as is apparent by the relative translation of two configurations towards the same final angle.
$\alpha$ $V_1 $ $\theta_1$
----------- ------------------- ---------------------
0 0 \*\*\*\*
0.2 $737.70 \pm 0.12$ $221.8002\pm0.0010$
0.4 $1472.59\pm0.06$ $215.6909\pm0.0011$
0.6 $2204.98\pm0.56$ $205.117\pm0.015$
0.8 $2935.93\pm0.65$ $206.658\pm0.013$
0.9 $3376.3\pm7.5$ $91.02\pm0.11$
$\alpha$ $V_3$ $\theta_3$
0 0 \*\*\*\*
0.2 $4.23\pm 0.12$ $279.62\pm 0.65$
0.4 $12.0838\pm0.024$ $37.790\pm0.049$
0.6 $31.63\pm0.55$ $152.72\pm0.38$
0.8 $69.21\pm0.74$ $38.01\pm0.22$
0.9 $95.5\pm2.4$ $36.7\pm1.5$
$V_{1,1}$ $3681.77\pm2.66$
$V_{1,3}$ $-15.46\pm3.97$
$V_{3,1}$ $15.65\pm3.01$
$V_{3,3}$ $105.90\pm4.50$
: Fits of the recoil to the functional form $v_{\rm kick} = V_1 \cos(\theta - \theta_1) +
V_3 \cos[3(\theta - \theta_3)].$ Note that angles are measured in degrees. The reported errors come from the nonlinear least-squares fit of the data and are underestimates of the actual errors. Note the average value of $\alpha$ for the A09Tyyy configuration near merger was $\alpha\sim0.92$, which was the value used to obtain the fits to $V_{i,j}$.[]{data-label="tab:fits"}
In Table \[tab:fits\] we provide the fitting constants $V_{i,j}$ assuming the spin of the A09Tyyy was $0.92$. in actuality, the spin varied between configurations. In Table \[tab:varya\] we provide fitting parameters for $V_{i,j}$ if we take the value of $\alpha$ for these configurations to be $\alpha=0.9$ (the expected value when neglecting effects due to the initial radiation content), $\alpha=0.91$, and $\alpha=0.92$ (which approximates the average value of $\alpha$ over all configurations). We find that setting $\alpha=0.92$ gives the best fit for the dominant $V_{1,1}$ term. However, we note that these fits do indicate that the nonleading $V_{1,3}$ term and $V_{3,1}$ term may be zero. We therefore also provide fits assuming these two terms vanish. Fits to $V_1$ strongly prefer $\alpha=0.92$ over the smaller values. We note that the sign of $V_{1,3}$ changes if we assume smaller values of $\alpha$ for the A09Tyyy configurations.
$\alpha$ (A09Tyyy) $V_{1,1}$ $V_{1,3}$ $\delta^2$
-------------------- -------------------- ------------------ ------------
0.92 $3681.77\pm2.66$ $-15.46\pm3.966$ 1.21
0.91 $3658.21\pm 20.74$ $49.16, 31.47$ 71.13
0.90 $3634.85\pm41.09$ $115.31, 63.40$ 270.25
$\alpha$ (A09Tyyy) $V_{3,1}$ $V_{3,3}$ $\delta^2$
0.92 $15.65\pm 3.01$ $105.90\pm 4.50$ 1.55
0.91 $13.68\pm 1.82$ $111.15\pm 2.77$ 0.55
0.90 $11.75\pm 1.14$ $116.45\pm 1.77$ 0.21
$\alpha$ (A09Tyyy) $V_{1,1}$ $\delta^2$
0.92 $3672.08\pm 1.84$ 0 5.80
0.91 $3688.56\pm 8.23$ 0 114.53
0.90 $3704.98\pm 17.17$ 0 493.78
$\alpha$ (A09Tyyy) $V_{3,3}$ $\delta^2$
0.92 0 $127.74\pm 3.96$ 12.02
0.91 0 $130.60\pm 3.36$ 8.29
0.90 0 $133.45\pm 2.90$ 5.73
$\alpha$ (A09Tyyy) $V_{3,3}$ $V_{3,5} $ $\delta^2$
0.92 $172.55\pm10.20$ $-58.98\pm13.21$ $2.01$
0.91 $167.45\pm10.87$ $-49.54\pm14.38$ $2.09$
0.90 $161.80\pm12.15$ $-38.88\pm16.43$ $2.389 $
: Fits $V_1$ and $V_3$ to the form $V_1=V_{1,1} \alpha + V_{1,3} \alpha^3$ and $V_3 = V_{3,1} \alpha + V_{3,3} \alpha^3$, as well as $V_3 = V_{3,3} \alpha^3 + V_{3,5} \alpha^5$. For the A09Tyyy configurations we take $\alpha=0.9$, $0.91$, and $0.92$, which accounts for the expected value of $\alpha$ for these configuration, the actual average value observed, and a spin between these two values, as explained in the text. $\delta^2$ is the average of the square of the error in the fit. Note that fits to the dominant $V_1$ term strongly prefer $\alpha=0.92$ over smaller values, while fits to the subleading $V_3$ prefer $\alpha=0.9$.[]{data-label="tab:varya"}
![Fit of the recoil versus angle for the $\alpha=0.2$ configurations.[]{data-label="fig:fit_a2_ang"}](a2_v_angle_fit3.pdf){width="3in"}
![Fit of the recoil versus angle for the $\alpha=0.4$ configurations.[]{data-label="fig:fit_a4_ang"}](a4_v_angle_fit3.pdf){width="3in"}
![Fit of the recoil versus angle for the $\alpha=0.6$ configurations.[]{data-label="fig:fit_a6_ang"}](a6_v_angle_fit3.pdf){width="3in"}
![Fit of the recoil versus angle for the $\alpha=0.8$ configurations.[]{data-label="fig:fit_a8_ang"}](a8_v_angle_fit3.pdf){width="3in"}
![Fit of the recoil versus angle for the $\alpha=0.92$ configurations.[]{data-label="fig:fit_a9_ang"}](a9_v_angle_fit3.pdf){width="3in"}
While arguments based on post-Newtonian scaling do not seem to indicate the presence of an $\alpha \cos 3\Theta$ term, our results indicate that this term is present. This may indicate an error in $V_3$ for $\alpha=0.2$. If we exclude this data point, then we can fit to reasonably well to either $V_{3,1} \alpha + V_{3,3}
\alpha^3$ or $V_{3,3} \alpha^3 + V_{3,5} \alpha^5$. Further exploration in the small $\alpha$ regime is required. In Figs \[fig:v3\_fit\_comp\] we compare fits of $V_3$ and find that the best fit is to $V_3 = \alpha V_{3,1} + \alpha^3 V_{3,3}$. On the other hand, as seen in Fig. \[fig:v1\_fit\_comp\], there is no significant difference apparent in the fits of $V_1$ to $V_{1,1} \alpha + V_{1,3} \alpha^3$ and $V_1 = V_{1,1} \alpha$.
![A comparison of fits of $V_3$ to $V_3 = \alpha V_{3,1} + \alpha^3 V_{3,3}$ (solid), $V_3 = \alpha^3 V_{3,3} + \alpha^5 V_{3,5}$ (dotted), $V_3 = \alpha^3 V_{3,3}$ (dot-dashed). The first fit is the best. In all cases the spins for the A09Tyyy configurations were assumed to be $\alpha=0.92$[]{data-label="fig:v3_fit_comp"}](V3_fit_comp.pdf){width="3in"}
![A comparison of fits of $V_1$ to $V_1 = \alpha V_{1,1} + \alpha^3 V_{1,3}$ (solid), $V_3 = \alpha V_{1,1}$ (dotted). There is no significant differences between the fits. In all cases the spins for the A09Tyyy configurations were assumed to be $\alpha=0.92$[]{data-label="fig:v1_fit_comp"}](V1_fit_comp.pdf){width="3in"}
Conclusion {#sec:discussion}
==========
Using the enhanced recoil formula for the “maximum kick” configurations, we predict that the maximum recoil will be $3680\pm130 {\rm km\,s^{-1}}$, where the error in the prediction is due to the possibility of the higher-order effects producing recoils in the same direction or opposite direction of the dominant linear contribution. We also established a model for higher-order dependences on the spin in the recoil formula. These results are particularly relevant for the interpretation of observations of emission lines in AGNs displaying displacements between narrow and wide emission lines of the order of thousands of kilometers per second. In particular in Ref. [@Civano:2010es] a 1200 km/s offset velocity was measured (CXOCJ100043.1+020637). A 2650 km/s recoiling supermassive black hole could explain the observations (SDSS J092712+294344) of Ref. [@Komossa:2008qd]. While in Ref. [@Shields:2009jf] (SDSS J105041+345631) and in Ref. [@Boroson:2009va] (SDSS J153636+044127) there is speculation that 3500 km/s recoiling black holes are responsible for these features in the spectra. While none of those cases effectively surpasses the maximum recoil velocity determined here, they came close enough for the probability of actually observing this event to be very low [@Lousto:2009ka] thus leading to the question about what are the astrophysical mechanisms responsible of generating such large differential velocities [@Vivek:2009mm; @Lauer:2009us].
We gratefully acknowledge the NSF for financial support from Grants No. PHY-0722315, No. PHY-0653303, No. PHY-0714388, No. PHY-0722703, No. DMS-0820923, No. PHY-0929114, No. PHY-0969855, No. PHY-0903782, No. CDI-1028087; and NASA for financial support from NASA Grants No. 07-ATFP07-0158 and No. HST-AR-11763. Computational resources were provided by the Ranger cluster at TACC (Teragrid allocation TG-PHY060027N) and by NewHorizons at RIT.
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tomekkorbak/pile-curse-small
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ArXiv
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Related
Murray has a habit of showing up in the most unlikely places, whether it’s in the engagement photos of total strangers or uncredited at the climax of Zombieland.
Below, some of the Top 10 legends about the sardonic, eccentric Ghostbusters star:
1. According to a 2010 GQ feature story, anyone who wants to talk to Murray (whether that happens to be a director, producer or a lowly journalist) must dial an 800 number and leave a message. If he’s interested in talking, he’ll call you back. He’s never had a publicist and fired his agent in recent years.
2. On the New York set of Ghostbusters, Murray had a penchant for withdrawing a couple hundred dollars in small bills and then distributing the money to homeless people, according to an anecdote relayed by agent Michael Ovitz in Esquire. Murray “knew every doorman and everyone in every restaurant” in the city, where he was apparently beloved.
3. When Murray joined the cast of Saturday Night Live in 1977, he was a replacement to the first season’s breakout star, Chevy Chase. When Chase returned to the skit-show institution as guest host, Murray confronted him about something backstage and they traded insults (Chase apparently insulted Murray’s complexion) until the conflict turned physical. Murray told Empire magazine in 2012 that the skirmish was “really a Hollywood fight, a ‘Don’t touch my face!’ kind of thing,” but his alleged parting shot at Chase remains infamous: “Medium talent!”
4. Murray’s relationship with Harold Ramis became strained while the two collaborated on the classic comedy Groundhog Day. The film’s producers urged Murray to hire a personal assistant to facilitate communication between the actor and the studio, and Murray gave in. Except he hired someone who was deaf and mute (even though Murray didn’t know sign language). Ramis, who died in February, called the ploy “anti-communication” in an Entertainment Weekly interview. Murray acknowledged in a 2014 Reddit chat that ultimately he and his assistant “didn’t part well.”
5. He loves sports, supports several Chicago-based franchises and golfs avidly. But Murray has also been a part owner of an array of minor-league teams, including the St. Paul Saints, Hudson Valley Renegades, Brockton Rox and Charleston RiverDogs. According to the RiverDogs’ official website, Murray’s job title is “director of fun.” During a rain-ruined RiverDogs game, Murray reportedly entertained the crowd by rounding the tarp-wrapped bases and sliding sloppily into home base.
6. The ugliest blemish on Murray’s otherwise impressive resume is the 2004 film Garfield and its similarly maligned 2006 follow-up. But to hear Murray tell it, there was an amusing explanation for his participation. In a Reddit chat earlier this year, Murray claimed that he looked at the Garfield screenplay and saw “Joel Cohen” written on it and, thinking of the Fargo co-director, agreed to do the film after only a cursory look at the script. Only later did he realize that the decorated sibling directing duo spell their last name “Coen.”
Bill Murray posed for this photo with Ashley Donald and Erik Rogers.
Courtesy Fia Forever Wedding Photography
7. There’s an entire website devoted to public brushes with a frolicking Murray. He tooled about in a stolen golf cart in Sweden, crashed a May bachelor party, and materialized at a house party in Scotland and washed the dishes. He played kickball with strangers, he bartended at South by Southwest with Wu-Tang Clan and he exercised his pipes in the private karaoke room of total strangers in 2011. In June, he crashed a couple’s engagement photo shoot.
8. The Scrooged star hosts an annual Christmas party, though he prefers not to call it that. He told Esquire he puts “a lot of Christmas trees around the house so it smells good” and serves “Christmas wine.” Last year, Winnipeg-raised retired wrestler “Rowdy” Roddy Piper tweeted a photo of a “Murray Christmas” card he said he’d received from the actor, which featured a topless Murray with a red bow wrapped around his neck.
9. Murray’s inconsistent commitment to a third Ghostbusters film has fed the rumour mill for years. One story that circulated in 2011 claimed that Murray ran one version of a Ghostbusters 3 script through a shredder and mailed it back to co-writers Ramis and Dan Aykroyd. Whether that’s true or not, he explained his lack of interest in revisiting the franchise in an interview earlier this year with Dazed Digital, arguing: “I find that you don’t really lose by saying no in show business. If you say no, sometimes they come back with a better script. Or sometimes it just goes away.”
10. One Murray tale that might be a Murray myth was related to the comedian directly. GQ asked Murray about the rumour that he was sneaking up behind people in New York, covering their eyes and saying “Guess who?” When they turned around and identified him, he would say: “No one will believe you.” Asked about the legend, Murray took a long pause and said he’d heard the rumour from a lot of people. He then added: “But by God, it sounds crazy, doesn’t it? Just so crazy and unlikely and unusual?”
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tomekkorbak/pile-curse-small
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Pile-CC
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Expression of galectin-3 in skeletal tissues is controlled by Runx2.
The beta-galatoside-specific lectin galectin-3 is expressed in vivo in osteoblasts as well as in epiphyseal cartilage. Here we show that in vitro, galectin-3 expression is up-regulated in the preosteoblastic cell line MC3T3-E1 during the matrix maturation stage of the osteoblast developmental sequence. Expression persists into late differentiation stages when the mature osteoblastic phenotype is established. The skeletal expression pattern of galectin-3 overlaps at many sites with that of the transcription factor Runx2. Runx2 is a key regulator of osteoblast development and necessary for chondrocyte differentiation in the growth plate. Both human and mouse galectin-3 promoters contain putative Runx-binding sites. The constitutive or inducible forced expression of Runx2 is sufficient for the onset of galectin-3 transcription in the mesenchymal precursor cell line C3H10T1/2. Moreover, Runx2 is able to bind to at least two sites in the galectin-3 promoter region. The crucial role of Runx2 was confirmed in Runx2-deficient mice, which are devoid of galectin-3 expression in skeletal cells. The overlapping expression pattern of galectin-3 with the other two members of the Runt family of transcription factors (Runx1 and Runx3) points to a potential regulation of the galectin-3 gene (LGALS3) by these factors in hematopoietic, skin, and dorsal root ganglial cells.
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tomekkorbak/pile-curse-small
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PubMed Abstracts
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---
author:
- Lin Tang and Qian Zhang
title: '**[Global $C^{1+\alpha,\f{1+\alpha}{2}}$ regularity on the linearized parabolic Monge-Amp$\grave{e}$re equation]{}**'
---
[**[Abstract]{}.**]{}In this paper, we establish global $C^{1+\alpha,\f{1+\alpha}{2}}$ estimates for solutions of the linearized parabolic Monge-Amp$\grave{e}$re equation $$\L u(x,t):=-u_t\,\mathrm{det}D^2\phi(x)+\mathrm{tr}[\Phi(x) D^2 u]=f(x,t)$$ under appropriate conditions on the domain, Monge-Amp$\grave{e}$re measures, boundary data and $f$, where $\Phi:=\mathrm{det}(D^2\phi)(D^2\phi)^{-1}$ is the cofactor of the Hessian of $D^2\phi$.
Introduction {#s1}
============
This paper is concerned with global regularity of solutions of the linearized parabolic Monge-Amp$\grave{e}$re equation introduced in [@HQ] $$\label{s1:1}
\L u(x,t):=-u_t\,\mathrm{det}D^2\phi(x)+\mathrm{tr}[\Phi(x) D^2 u]=f(x,t)\quad\quad\mathrm{in}\;\Omega\times (0,T],$$ where $\Omega$ is a convex domain in $\mathbb{R}^n$, $T>0$ and $\phi\in C(\overline{\Omega})$ is a strictly convex function satisfying $$\label{phi}
\mathrm{det} D^2\phi=g,\quad\quad 0<\lambda\leq g\leq\Lambda\quad\mathrm{in}\;\Omega$$ for some constants $0<\lz\le\Lz<\infty$, $\Phi:=\mathrm{det}(D^2\phi)(D^2\phi)^{-1}$ is the cofactor of the Hessian of $D^2\phi$, $D^2 u$ denotes the Hessian of $u$ in the $x$ variable, and $\mathrm{tr}(A)$ means the trace of the matrix $A$.
Concerning the regularity of the linearized elliptic Monge-Amp$\grave{e}$re equation $$\label{s1:4}
\mathrm{tr}[\Phi D^2 u]=f\quad\quad\mathrm{in}\;\Omega.$$ a fundamental result is the Harnack inequality [@CG] for nonnegative solutions of $$\mathrm{tr}[\Phi D^2 u]=0\quad\quad\mathrm{in}\;\Omega,$$ which yields interior H$\ddot{o}$lder continuity of solutions of . By using this result and perturbation arguments, Guti$\acute{e}$rrez and Nguyen [@GN] established interior $C^{1,\alpha}$ estimates for solutions of . Using the Localization Theorem [@S2], global $C^{1,\az}$ regularity of solutions of the Dirichlet boundary problem $$\label{s1:6}
\l\{\begin{array}{rclcc}
\mathrm{tr}[\Phi D^2 u]&=&f&&\mathrm{in}\;\Omega,\\
u&=&\varphi&&\mathrm{on}\;\partial\Omega,
\end{array}
\r.$$ was established in [@S1] under further assumptions on the geometry of $\Omega$ and $\phi$.
Regularity of the linearized parabolic Monge-Amp$\grave{e}$re equation was first studied by Huang [@HQ], where a Harnack inequality for nonnegative solutions of $\L u=0$ was established on parabolic sections and thus generalizes the result in [@CG] from the elliptic to the parabolic case.
Hence, we are interested in developing higher regularity of solutions of the linearized parabolic Monge-Amp$\grave{e}$re equation . As stated in [@GN], to obtain $C^{2+\alpha,1+\f{\alpha}{2}}_{\mathrm{loc}}$ estimates for the solution $u$, it is natural to assume that $\mathrm{det}\,D^2\phi$ is locally H$\ddot{o}$lder continuous. However under this condition, the equation becomes uniformly parabolic. Therefore, we consider the $C^{1+\alpha,\f{1+\alpha}{2}}$ regularity of solutions of . Precisely, we extend the results in [@GN] and [@S1] to the parabolic case.
Our first result concerns interior $C^{1+\alpha,\f{1+\alpha}{2}}$ regularity of solutions of , which generalizes [@GN] from the elliptic to the parabolic case.
Let $B_1\subset\Omega\subset B_n$ be a normalized convex domain, $T>0,\;Q=\Omega\times(-T,0]$. Let $\phi\in C(\overline{\Omega})$ be a convex function satisfying with $\phi=0$ on $\partial\Omega$, where $g\in C(\Omega)$. Assume that $u$ is a classical solution of $\L u=f$ in $Q$ with $[f]^{n+1}_{\alpha,Q}<\fz$ for some $0<\alpha<1$, then for any $\alpha'\in(0,\alpha)$ and any $Q'=\Omega'\times(-T',0]$ with $\Omega'\Subset \Omega$ and $0<T'<T$ we have $$\|u\|_{C^{1+\alpha',\f{1+\alpha'}{2}}(\overline{Q'})}\leq C\{\|u\|_{\Lfz(Q)}+[f]^{n+1}_{\alpha,Q}\},$$ where $C$ depends only on $n,\alpha,\alpha',\lambda,\Lambda,\mathrm{dist}(\Omega',\partial\Omega),T,T'$ and the modulus of continuity of $g$.
We also establish global $C^{1+\alpha,\f{1+\alpha}{2}}$ regularity of solutions of , which is stated as follows.
Assume $\Omega\subset B_{1/\rz}$ contains an interior ball of radius $\rz$ tangent to $\partial\Omega$ at each point on $\partial\Omega$. Let $\phi\in C^{0,1}(\overline{\Omega})\cap C^2(\Omega)$ be a convex function satisfying , where $g\in C(\overline{\Omega})$. Assume further that $\phi$ separates quadratically from its tangent planes on $\partial\Omega$, namely, $$\rz|x-x_0|^2\leq\phi(x)-\phi(x_0)-\nabla\phi(x_0)\cdot (x-x_0)\leq\rz^{-1}|x-x_0|^2,\quad\quad\forall x,x_0\in\partial\Omega.$$ Set $D:=\Omega\times (0,T]$. Let $u\in C^{2,1}(D)\cap C(\overline{D})$ be a solution of $$\left\{
\begin{array}{rcl}
\L u=f&&{\mathrm{in}\;D},\\
u=\varphi&&{\mathrm{on}\;\partial_p D},
\end{array}\right.$$ where $\varphi\in C^{2,1}(\overline{D})$. Then $u\in C^{1+\alpha,\f{1+\alpha}{2}}(\overline{D})$ and $$\begin{aligned}
\|u\|_{C^{1+\alpha,\f{1+\alpha}{2}}(\overline{D})}\leq C\{\|f\|_{\Lfz(D)}+\|\varphi\|_{C^{2,1}(\overline{D})}\},\end{aligned}$$ where $\alpha\in(0,1)$ depends only on $n,\lambda,\Lambda,\rz$, $C>0$ depends only on $n,\lambda,\Lambda,\rz,T$ and the modulus of continuity of $g$.
In the above theorems, $[f]^{n+1}_{\alpha,Q}$ is defined in . For any $\az\in(0,1)$ and $D=\Omega\times(T_1,T_2]$ with $\Omega\subset\mathbb{R}^n$ and $-\infty<T_1<T_2<\infty$, the norm $\|u\|_{C^{1+\alpha,\f{1+\alpha}{2}}(\overline{D})}$ is defined in Section \[s2\].
The perturbation arguments for the elliptic case [@GN] easily applies to the proof of interior regularity (Theorem 1), using the parabolic H$\ddot{o}$lder inequality in [@HQ] instead. Hence the main part of this paper is devoted to the proof of regularity near the parabolic boundary, which is made up of three parts: a) the initial surface; b) the side of $\Omega$; c) the corner of $\Omega$.
To derive an estimate for solutions $u$ of near a), the straightforward way is to apply again perturbation arguments as in [@GN]. For this, firstly, we establish pointwise H$\ddot{o}$lder continuity of $u$ at a) with the aid of auxiliary functions. This together with the interior H$\ddot{o}$lder estimates [@HQ] gives H$\ddot{o}$lder continuity of $u$ near a). Since we have pointwise $C^{1+\az,\f{1+\az}{2}}$ regularity estimates at a) for solutions $h$ of the good equation $\mathcal{L}_w h=0$ where $w$ is a solution of $\mathrm{det}D^2w=1$, then by comparing $u$ and $h$, and iterating the comparison process, we obtain pointwise $C^{1+\az,\f{1+\az}{2}}$ regularity of $u$ at a) for any $\az\in(0,1)$. Since the density of the Monge-Amp$\grave{e}$re measure $g=\mathrm{det}D^2\phi$ is continuous, then $\phi$ is $C^{1,\gz}_{\mathrm{loc}}$ for any $\gz\in(0,1)$. This allows us to to establish $C^{1+\az,\f{1+\az}{2}}$ regularity of $u$ near a) from the pointwise regularity above and also obtain $C^{1+\az,\f{1+\az}{2}}$ regularity of $u$ for any $\az<1$.
To derive an estimate near b), we first need a uniform estimate of $\f{u(\cdot,t)}{d_{\partial\Omega}}$ in a neighborhood of $\partial\Omega$. This is achieved by constructing a supersolution, which is just a straightforward modification of that in [@S1]. Next we need the construction of subsolution to make this uniform estimate inductive. The main difficulty of is the shift of time, for this, we employ the weak Harnack inequality for nonnegative supersolutions of $\L u=0$ established in [@HQ].
To establish an estimate near the the part c), the good geometry of $\Omega$ and $\phi$ allows us to prove pointwise $C^{1+\az,\f{1+\az}{2}}$ regularity of the solutions $u$ at c) by constructing auxiliary functions. This together with the estimates of $u$ at b) implies regularity estimates near c).
The organization of the paper is as follows. In Section \[s2\], some properties of sections are collected and interior H$\ddot{o}$lder estimates of the parabolic version are given. In Section \[s3\], interior $C^{1+\alpha,\f{1+\alpha}{2}}$ regularity for solutions of is established and Theorem $1$ is proved completely. In Sections \[s4\]-\[s6\], we prove regularity for solutions of the Dirichlet problem in Theorem $2$ near the initial surface a), the side of $\Omega$ b), and the corner of $\Omega$ c) respectively. In Section \[s7\], we give the complete proof of Theorem $2$.
Preliminaries {#s2}
=============
For a domain $D=\Omega\times (T_1,T_2]$ with $\Omega\subset\mathbb{R}^{n}$ and $-\infty<T_1<T_2<\infty$, the parabolic boundary of $D$ is defined by $$\partial_p D:=\l(\overline{\Omega}\times \{T_1\}\r)\bigcup\l(\partial\Omega\times (T_1,T_2)\r).$$ For a function $u\in C^{1+\az,\f{1+\az}{2}}(\overline{D})$ with $\az\in(0,1)$, we define $$\begin{aligned}
\|u\|_{C^{1+\alpha,\f{1+\alpha}{2}}(\overline{D})}:&=&\|u\|_{L^\infty(D)}+\sup_{\substack{(x,t),(x,s)\in D\\ t\neq s}}\f{|u(x,t)-u(x,s)|}{|t-s|^{\f{1+\alpha}{2}}}\\
&+&\|D u\|_{L^\infty(D)}+\sup_{\substack{(x,t),(y,s)\in D\\ (x,t)\neq (y,s)}}\f{|D u(x,t)-D u(y,s)|}{(|x-y|+|t-s|^{\f{1}{2}})^{\alpha}}.\end{aligned}$$
Let $\Omega$ be a convex domain in $\mathbb{R}^n$ and $\phi\in C(\overline{\Omega})$ be a strictly convex function. A section of $\phi$ at $x_0\in\overline{\Omega}$ with height $h$ is defined by $$S_{\!\phi}(x_0,h):=\{x\in\overline{\Omega}:\phi(x)<\phi(x_0)+\nabla\phi(x_0)\cdot(x-x_0)+h\},$$ when $x_0\in\partial\Omega$, the term $\nabla\phi(x_0)$ is understood in the sense that $$x_{n+1}=\phi(x_0)+\nabla\phi(x_0)\cdot(x-x_0)$$ is a supporting hyperplane for the graph of $\phi$ but for $\epsilon>0$, $$x_{n+1}=\phi(x_0)+(\nabla\phi(x_0)+\epsilon\nu_{x_0})\cdot(x-x_0)$$ is not a supporting hyperplane, where $\nu_{x_0}$ denotes the interior unit normal to $\partial\Omega$ at $x_0$. Denote for simplicity $$l_{\phi,x_0}:=\phi(x_0)+\nabla\phi(x_0)\cdot(x-x_0).$$
For $z_0=(x_0,t_0)$ with $x_0\in\overline{\Omega} ,\,t_0\in\mathbb{R}$, a parabolic section $Q_{\phi}(z_0,h)$ is defined by $$Q_{\phi}(z_0,h):=S_{\!\phi}(x_0,h)\times (t_0-h,t_0].$$
The linearized parabolic Monge-Amp$\grave{e}$re operator $\mathcal{L}_\phi$ related to $\phi$ is defined in .
Let $\Omega'\Subset\Omega$. Throughout this paper when we say a constant depends on $\Omega'$ we always mean that the dependence is only on $\mathrm{dist}(\Omega',\partial\Omega)$. For a finite number of constants $C,C_1,\dots,C_k$ ($k\in\mathbb{N}_+$), when we write $C=C(C_1,\dots,C_k)$ we always mean that $C$ depends only on $C_1,\dots,C_k$.
For any function $u$ defined in $B_{\epsilon}(x_0)\times\{t_0\}$ for some $\epsilon>0$ such that the gradient of $u$ in the $x$ variable $Du(x_0,t_0)$ exists, we always denote $$l_{u,(x_0,t_0)}:=u(x_0,t_0)+Du(x_0,t_0)\cdot(x-x_0).$$
For any $r>0$, let $B_r(x)$ be the ball in $\mathbb{R}^n$ centered at $x$ with radius $r$ and $B_r:=B_r(0)$, we always denote $Q_r:=B_r\times(-r^2,0]$.
In establishing interior regularity and regularity near the initial surface (Sections \[s3\]-\[s4\]), we use one of the two hypotheses below frequently:
$\mathbf{(H)}$ $B_1\subset\Omega\subset B_n$ is a normalized convex domain and $\phi\in C(\overline{\Omega})$ is a solution of with $\phi=0$ on $\partial\Omega$.
$\mathbf{(H')}$ $B_{\f{6}{5}}\subset\Omega\subset B_n$ is a normalized convex domain and $\phi\in C(\overline{\Omega})$ is a solution of with $\phi=0$ on $\partial\Omega$.
The following Lemmas \[s2:GN2\]-\[s2:GN1\] hold under the assumption $\mathbf{(H)}$ or $\mathbf{(H')}$. See [@G Theorem 3.3.7, Corollary 3.2.4], and [@GN Lemma 2.1] respectively.
\[s2:GN2\] There exists $\tz_0=\tz_0(n,\lz,\Lz)>1$ such that if $x\in S_{\!\phi}(y,h)$ and $S_{\!\phi}(y,2 h)\Subset\Omega$, then $S_{\!\phi}(y,h)\subset S_{\!\phi}(x,\tz_0 h)$.
\[s2:GN3\] There exist a constant $C=C(n,\lz,\Lz)$ such that $C^{-1}h^{n/2}\leq |S_{\!\phi}x,h)|\leq Ch^{n/2}$ whenever $S_{\!\phi}(x,h)\Subset\Omega$.
\[s2:GN1\] For any $\Omega'\Subset\Omega$, there exist positive constants $h_0, C$ and $b$ such that for $x_0\in\Omega'$, and $0<h\leq h_0$, $$B_{C^{-1}h}(x_0)\subset S_{\!\phi}(x_0,h)\subset B_{Ch^b}(x_0),$$ where $b=b(n,\lambda,\Lambda)$, $h_0, C$ depend only on $n,\lambda,\Lambda$ and $\Omega'$.
The following Aleksandrov-Bakelman-Pucci type maximum principle was established, for example, in [@Tso] or [@GM Theorem 7.1].
\[s2:GM\] Let $D=\Omega\times (0,T]$ for some domain $\Omega\subset\R$. Assume $u\in\W(D)\bigcap C(\overline{D})$ satisfies $Lu:=-u_t+a^{ij}D_{ij}u\geq f$ in $D$. Then $$\sup_D u\leq \sup_{\partial_p D}u^+ + C(n)(\mathrm{diam}(\Omega))^{\f{n}{n+1}}\|f/(\mathrm{det}\,a^{ij})^{\f{1}{n+1}}\|_{L^{n+1}(D)}.$$
The Harnack inequality established in [@HQ] (see [@HQ Remark 4.2]) implies the oscillation estimate below which we formulate for the inhomogeneous equation by Lemma \[s2:GM\].
\[s2:H3\] Assume $\mathbf{(H)}$ holds. Let $u$ be a classical solution of $\L u=f$ in $Q_1$. Let $z_0\in Q_{\f{3}{4}}$ and $R\le h_1$. Then $$osc_{Q_\phi(z_0,\rz)}u\leq C\l(\f{\rz}{R}\r)^{\alpha}\l(\sup_{Q_\phi(z_0,R)}|u|+R^{\f{n}{2(n+1)}}\|f\|_{L^{n+1}(Q_\phi(z_0,R))}\r),$$ for all $\rz<R$, where $\alpha\in(0,1), h_1,C>0$ depend only on $n,\lambda,\Lambda$.
Theorem \[s2:H3\] implies the following interior H$\ddot{o}$lder estimates.
\[s2:H5\] Assume $\mathbf{(H)}$ holds. Let $u$ be a classical solution of $\L u=f$ in $Q_1$. Then for all $(x,t), (y,s)\in Q_{\f{3}{4}}$ we have $$\begin{aligned}
|u(x,t)-u(y,s)|&\leq&C (|x-y|+|t-s|^{1/2})^{\beta}\l[\|u\|_{\Lfz(Q_1)}+\|f\|_{L^{n+1}(Q_1)}\r],\end{aligned}$$ where $\beta\in(0,1),C>0$ depend only on $n,\lambda,\Lambda$.
Let $\Omega$ be a normalized convex domain. Assume that $w$ is the convex solution of the equation $$\label{w}
\left\{
\begin{array}{rcl}
\mathrm{det} D^2 w=1&&{\mathrm{in}\;\Omega},\\
w=0&&{\mathrm{on}\;\partial\Omega},
\end{array}\right.$$ then the operator $\mathcal{L}_w h=-h_t+\mathrm{tr}[(D^2 w)^{-1}D^2 h]$ is uniformly parabolic in the interior of $\Omega$ from Pogorelov’s estimate. Hence we have the classical $C^{2,1}$ and H$\ddot{o}$lder estimates for uniformly parabolic equations below, see for example [@F Chapter 3] and [@LS Theorem 10.1].
\[s2:S\] Let $B_{\f{6}{5}}\subset\Omega\subset B_n$ be a normalized convex domain, and $w$ be a solution of . Then for any $\varphi\in C(\partial_p(Q_1))$, there exists a unique solution $h\in C^{2,1}(Q_1)\bigcap C(\overline{Q_1})$ of $\mathcal{L}_w h=0$ in $Q_1$ and $h=\varphi$ on $\partial_p(Q_1)$ such that $$\label{s2:S1}
\|h\|_{C^{2,1}(\overline{Q_{\f{3}{4}}})}:=\sum_{k=0}^2\|D_x^k h\|_{C(\overline{Q_{\f{3}{4}}})}+\|D_t h\|_{C(\overline{Q_{\f{3}{4}}})}\leq K\|\varphi\|_{\Lfz(\partial_p(Q_1))}.$$ If in addition, $\varphi\in C^{\bz,\f{\bz}{2}}(\partial_p(Q_1))$ for some $0<\bz<1$, then $h\in C^{\alpha,\f{\alpha}{2}}(\overline{Q_1})$, and $$\begin{aligned}
\label{s2:S2}
\|h\|_{C^{\alpha,\f{\alpha}{2}}(\overline{Q_1})}\leq\bar{K}\|\varphi\|_{C^{\bz,\f{\bz}{2}}\l(\partial_p(Q_1)\r)},\end{aligned}$$ where $\az\in(0,\bz),\bar{K}=\bar{K}(n,\bz), K=K(n)>0$, and $$\|h\|_{C^{\alpha,\f{\alpha}{2}}(\overline{Q_1})}:=\|h\|_{C(\overline{Q_{1}})}+\sup_{\substack{(x,t),(y,s)\in Q_1,\\ (x,t)\neq (y,s)}}\f{|h(x,t)-h(y,s)|}{(|x-y|+|t-s|^{\f{1}{2}})^{\alpha}}.$$
The following lemma concerns the eccentricity of sections of solutions $\phi$ of , and is used in establishing interior estimates and estimates near the initial surface (Sections \[s3\]-\[s4\]). See [@GN Lemmas 3.2,3.3].
\[s2:GN5\] There exist constants $c_0=c_0(n),C_0=C_0(n)$ such that the following hold:
1. If the hypothesis $\mathbf{(H)}$ holds with $\lambda=1-\tz,\Lambda=1+\tz$, then there exists a positive definite matrix $M=A^t A$ satisfying $$\mathrm{det}\;M=1,\quad 0<c_0 I\leq M\leq C_0 I,$$ such that for $0<\mu\leq c_0$ and $\tz\leq c_0\mu^2$, we have $$\label{s2:GN51}
B_{[1-C_0(\mu^{\f{1}{2}}+\mu^{-1}\tz^{\f{1}{2}})]\sqrt{2}}\subset\mu^{-\f{1}{2}}T S_{\!\phi}(x_0,\mu)\subset B_{[1+C_0(\mu^{\f{1}{2}}+\mu^{-1}\tz^{\f{1}{2}})]\sqrt{2}}.$$ Moreover, let $w$ be a convex solution of , then $$\label{s2:GN53}
S_{\!\phi}(x_0,\mu)\subset S_{\!w}(x_0,\mu+C_0\theta^{\f{1}{2}})\subset B_{C_0\sqrt{\mu+C_0\theta^{1/2}}}(x_0),$$ where $x_0\in\Omega$ is the minimum point of $\phi,\;Tx:=A(x-x_0)$.
2. Let $B_{(1-\sigma)\sqrt{2}}\subset\Omega\subset B_{(1+\sigma)\sqrt{2}}$ be a convex domain with $0<\sigma\leq 1/4$ and $\phi\in C(\overline{\Omega})$ be a convex solution of with $\lambda=1-\tz,\Lambda=1+\tz$. Then there exists a positive definite matrix $M=A^t A$ satisfying $$\mathrm{det}\;M=1,\quad 0<(1-C_0\sigma)I\leq M\leq (1+C_0\sigma)I,$$ such that for $0<\mu\leq c_0$ and $\tz\leq c_0\mu^2$, we have $$\label{s2:GN52}
B_{[1-C_0(\sigma\mu^{\f{1}{2}}+\mu^{-1}\tz^{\f{1}{2}})]\sqrt{2}}\subset\mu^{-\f{1}{2}}T S_{\!\phi}(x_0,\mu)\subset B_{[1+C_0(\sigma\mu^{\f{1}{2}}+\mu^{-1}\tz^{\f{1}{2}})]\sqrt{2}},$$ where $x_0\in\Omega$ is the minimum point of $\phi,\;Tx:=A(x-x_0)$.
Interior regularity {#s3}
===================
To prove Theorem $1$ we follow the perturbation arguments developed in [@CC; @GN]. Firstly, by applying the results concerning the convergence of cofactor matrices in $L^p$ proved in [@GN], we compare solutions $u$ of and $h$ of $\mathcal{L}_w h=0$ with the same boundary data on the parabolic boundary, where $w$ is the convex solution of . Next, we iterate the comparison process to establish the regularity of the solution $u$ at the minimum point $z_0=(x_0,0)$ of the parabolically convex function $\phi(x)-t$. The group of affine transformations $A T(n)\times A T(1)$ is applied to parabolic sections $Q_{\phi}(z_0,h)$ centered at $z_0$ when rescaling the solutions. We apply the results concerning the eccentricity of sections of $\phi$ under affine transformations in [@GN] to $S_{\!\phi}(x_0,h)$ and in the $t$ direction we only perform a corresponding parabolic dilation, consequently the parabolic sections are more like the usual parabolic cylinder $Q_1=B_1\times (-1,0]$. Since the proof is very similar to the elliptic case [@GN], we just list the parabolic versions of the main lemmas in [@GN] and we use them to sketch the proof of Theorem $1$.
In this section we always assume $\mathbf{(H)}$ or $\mathbf{(H')}$ holds and take $v,h$ to be solutions of $$\label{v}
\L v=f\quad\mathrm{in}\;Q_1,$$ and $$\label{h}
\left\{
\begin{array}{rcl}
\mathcal{L}_w h=0&&{\mathrm{in}\;Q_{1}}\\
h=v&&{\mathrm{on}\;\partial_p(Q_{1})},
\end{array}\right.$$ respectively, where $w$ is a solution of .
Comparing $v$ and $h$ we can obtain the following variant of [@GN Lemma 4.1], using the interior H$\ddot{o}$lder estimate for (Corollary \[s2:H5\]), the parabolic ABP maximum principle (Lemma \[s2:S\]), the $C^{2,1}$ estimate for (Lemma \[s2:GM\]) instead.
\[s3:lem4.1\] Assume $\mathbf{(H')}$ holds with $\lambda=\f{1}{2},\Lambda=\f{3}{2}$. Let $v$ be a solution of satisfying $$\label{s3:rem4.11}
|v(x,t)-v(y,s)|\leq H(|x-y|+|t-s|^{\f{1}{2}})^{\alpha_0}\quad\quad\forall (x,t),(y,s)\in\overline{Q_1}$$ for some $\alpha_0\in(0,1]$ and $H>0$. Assume $h\in C^{2,1}(Q_{1})\bigcap C(\overline{Q_{1}})$ is a solution of . Then for any $\tau\in(0,1)$, we have $$\begin{aligned}
\|v-h\|_{\Lfz\l(B_{1-\tau}\times(-1+\tau^2,0]\r)}
&\leq&C\l(\|\Phi-W\|_{L^{n+1}(B_1)}+\|\mathrm{det}D^2\phi-\mathrm{det}D^2 w\|_{L^{n+1}(B_1)}\r)^{\alpha}\\
&\cdot&\l[\|v\|_{\Lfz(Q_1)}+H\r]+C\|f\|_{L^{n+1}(Q_1)},\end{aligned}$$ whenever $\|\Phi-W\|_{L^{n+1}(B_1)}+\|\mathrm{det}D^2\phi-\mathrm{det}D^2 w\|_{L^{n+1}(B_1)}\leq \tau^2$. Here $\alpha\in(0,\f{\alpha_0}{2}]$ depends only on $n,\alpha_0$; $C=C(n,H,\az_0)>0$.
The lemma below follows from Lemma \[s3:lem4.1\] and the results concerning the convergence of cofactor matrices of $D^2\phi$ in $L^p$ in [@GN], using similar arguments as in [@GN Lemma 4.2].
\[s3:lem4.2\] For any $M,H,\epsilon>0,\alpha_0\in(0,1]$, there exists $\dz=\dz(n,\epsilon,M,H,\alpha_0)>0$ such that if the hypothesis $\mathbf{(H')}$ holds with $\lambda=1-\dz,\Lambda=1+\dz$, $v$ is a solution of with $\|v\|_{\Lfz(Q_1)}\leq M,\;\|f\|_{L^{n+1}(Q_1)}\leq\dz$ and $$\label{s3:rem4.21}
|v(x,t)-v(y,s)|\leq H(|x-y|+|t-s|^{\f{1}{2}})^{\alpha_0}\quad\quad\forall (x,t),(y,s)\in\overline{Q_1},$$ and $h$ is a solution of , then $$\begin{aligned}
\|v-h\|_{\Lfz\l(Q_{1}\r)}\leq\epsilon.\end{aligned}$$
For a strictly convex function $\phi\in C(\overline{\Omega})$, assume for simplicity $0$ is the minimum point of $\phi$. For any $r>0$, we write $S_{\!r}(\phi):=S_{\!\phi}(0,r)$ and $Q_{r}(\phi):=S_{\!r}(\phi)\times (-r,0]$. Assume $\mathbf{(H)}$ holds with $\lz=1-\tz,\Lz=1+\tz$. Let $A$ be the affine transformation given by Lemma \[s2:GN5\] (i). We define $\mathcal{I}(x,t):=(Ax,t)$, then by Lemma \[s2:GN5\] (i) $$B_{[1-\dz_1]\sqrt{2}}\times(-1,0]\subset\mu^{-\f{1}{2}}\mathcal{I}Q_{\mu}(\phi)\subset B_{[1+\dz_1]\sqrt{2}}\times(-1,0]$$ if $0<\mu\le c_0$ and $\tz\le c_0\mu^2$, where $\dz_1:=C_0(\mu^{\f{1}{2}}+\mu^{-1}\tz^{\f{1}{2}})$, the dilation is with respect to $(0,0)\in\mathbb{R}^{n}\times\mathbb{R}$, and for any $(x^*,t^*)\in\mathbb{R}^{n}\times\mathbb{R},\eta>0, D\subset\mathbb{R}^{n+1}$, the parabolic dilation with respect to $(x^*,t^*)$ is defined as $$\label{d}
\eta D:=\{(x^*+\eta(x-x^*),t^*+\eta^2(t-t^*)): (x,t)\in D\}$$ Define $$\phi^*(x):=\f{1}{\mu}[\phi(\mu^{\f{1}{2}}A^{-1}x)-\phi(0)-\mu],\quad x\in\Omega^*:=\mu^{-\f{1}{2}}AS_{\!\mu}(\phi).$$ For a solution $u$ of , define $$v(x,t):=u(\mu^{\f{1}{2}}A^{-1}x,\mu t),\quad (x,t)\in\Omega^*\times(-1,0].$$ Comparing $v$ and the solution $h$ of by Lemma \[s3:lem4.2\] and iterate the comparison process we cant obtain the regularity of the solution $u$ at the minimum point $(0,0)$.
\[s3:thm4.5\] Given $0<\alpha'<\alpha<1,\; r_0,C_1^*>0,\; 0<T_1<T<T_2$. Assume the hypothesis $\mathbf{(H)}$ holds with $\lambda=1-\tz,\Lambda=1+\tz$, and $u$ is a classical solution of $\L u=f$ in $Q:=\Omega\times(-T,0]$ with $$\l(\f{1}{|Q_r(\phi)|}\int\!\!\!\int_{Q_r(\phi)}|f|^{n+1}dxdt\r)^{\f{1}{n+1}}\leq C_1^* r^{\f{\alpha-1}{2}}\quad\quad \mathrm{for\;all}\;Q_r(\phi)=S_{\!\phi}(x_0,r)\times (-r,0]\Subset Q\;\mathrm{with}\;r\leq r_0,$$ where $x_0$ is the minimum point of $\phi$. Then $u$ is $C^{1+\alpha',\f{1+\alpha'}{2}}$ at $(x_0,0)$, more precisely, there is an affine function $l(x)$ such that $$r^{-(1+\alpha')}\|u-l\|_{\Lfz(B_r(x_0)\times (-r^2,0])}+|Dl|\leq C[\|u\|_{\Lfz(Q)}+C_1^*]\quad\quad\forall r\leq \mu^*,$$ where $\tz\in(0,1), C,\mu^*>0$ depend only on $n,\alpha,\alpha',r_0,T_1,T_2$.
Let $T>0,\;Q=\Omega\times(-T,0]$. For $f\in L^{n+1}_{\mathrm{loc}}(Q)$, define $$\label{s3:thm4.70}
[f]^{n+1}_{\alpha,Q}:=\sup_{Q_{\phi}(z,r)\Subset Q}r^{\f{1-\alpha}{2}}\l(\f{1}{|Q_{\phi}(z,r)|}\int\!\!\!\int_{Q_{\phi}(z,r)}|f|^{n+1}dxdt\r)^{\f{1}{n+1}}.$$
$\mathbf{Proof\;of\;Theorem\;1.}$ Since $\Omega'\Subset \Omega$, by Lemma \[s2:GN1\], for any $\epsilon_0>0$, there exist constants $C,b,h_0>0$ depending only on $n,\lambda,\Lambda$, $\Omega',T,T'$ and the modulus of continuity of $g$ such that for each $z_0=(x_0,t_0)\in\Omega'\times (-T',0]$, $$B_{C^{-1}h_0}(x_0)\subset S_{\!\phi}(x_0,h_0)\subset B_{Ch_0^b}(x_0),\quad\quad |g(y)-g(x_0)|\leq \epsilon_0\quad\forall y\in S_{\!\phi}(x_0,h_0).$$ Let $Tx=A(x-x_0)+y_0$ be an affine transformation such that $B_1\subset T S_{\!\phi}(x_0,h_0)\subset B_n$. Denote $\kappa_0:=\f{|\mathrm{det}A|^{\f{2}{n}}}{g(x_0)^{\f{1}{n}}}$ and $T_{\!p}(x,t):=(Tx,\kappa_0(t-t_0))$, it follows that $$\label{s3:thm4.72}
B_1\times (-\kappa_0\,h_0,0]\subset T_{\!p}(Q_{\phi}(z_0,h_0))
=T S_{\!\phi}(x_0,h_0)\times (-\kappa_0\,h_0,0]\subset B_n\times (-\kappa_0\,h_0,0],$$ where $c(n,\lz,\Lz)\le\kappa_0h_0\le C(n,\lz,\Lz)$. Define $$\phi^*(y)=\kappa_0[(\phi-l_{\phi,x_0})(T^{-1}y)-h_0],$$ and $$v(y,s)=g(x_0)\kappa_0^{\f{1+\alpha}{2}}u(T_{\!p}^{-1}(y,s)).$$ Applying Theorem \[s3:thm4.5\] to $v$ and by similar computation as in the proof of [@GN Theorem 4.7], we can obtain the conclusion of Theorem 1.
Regularity near the initial surface {#s4}
===================================
In this section we establish regularity near the initial surface for solutions of . Here we always assume $\mathbf{(H)}$ or $\mathbf{(H')}$ holds and we take $u$ to be a solution of $$\label{u}
\left\{
\begin{array}{rcl}
\mathcal{L}_\phi u=f&&\mathrm{in}\;D:=\Omega\times(0,T],\\
u=\varphi&&\mathrm{on}\;\Omega\times\{0\}.
\end{array}\right.$$
Let $x_0\in\Omega$ and $h>0$. We now work on parabolic sections centered at $(x_0,h)$ and denote for simplicity $Q'_{\phi}(x_0,h):=Q_{\phi}((x_0,h),h)=S_{\!\phi}(x_0,h)\times(0,h]$.
The lemma below is a pointwise H$\ddot{o}$lder estimate for $u$ on $\Omega\times\{0\}$.
\[s4:lem1\] Assume $\mathbf{(H)}$ holds with $\lambda=\f{1}{2},\Lambda=\f{3}{2}$, $x_0\in\Omega'\Subset\Omega, h\le h_0$. Let $u$ be a continuous solution of with $$\|u\|_{\Lfz(Q'_{\phi}(x_0,h))}+\|f\|_{\Lfz(Q'_{\phi}(x_0,h))}+\|\varphi(\cdot,0)\|_{C^{0,1}(\overline{Q'_{\phi}(x_0,h)})}\leq 1.$$ Then for any $(x,t)\in Q'_{\phi}(x_0,h)$, we have $$\begin{aligned}
|u(x,t)-\varphi(x_0,0)|\leq Ch^{-\f{b}{1-b}}[\phi_{x_0}(x)+t]^{b},\end{aligned}$$ where $\phi_{x_0}:=\phi-l_{\phi,x_0}$, $C=C(n,\Omega')$, $h_0=h_0(n,\Omega',T)$ and $b=b(n)$.
Let $v(x,t):=\phi_{x_0}(x)+\mu t$ with $\mu\geq n+2$. We have $$\begin{aligned}
\label{s4:lem12}
\L v=-\mu\mathrm{det} D^2\phi+n\mathrm{det} D^2\phi\leq -(\mu-n)/2\leq -1.\end{aligned}$$ By Lemma \[s2:GN1\], there exist $h_0, C>0$ depending only on $n,\Omega'$ and $b=b(n)$ such that for any $0<h\le h_0$, we have $$\begin{aligned}
\label{s4:lem13}
v(x,0)=\phi_{x_0}(x)\geq (C^{-1}|x-x_0|)^{\f{1}{b}}\quad\quad x\in S_{\!\phi}(x_0,h).\end{aligned}$$ For any $\epsilon>0$, by straightforward computation we find that $$K_1\epsilon^{1-\f{1}{b}}\geq r^{1-\f{1}{b}}-\epsilon\,r^{-\f{1}{b}},\quad\quad\forall r>0,$$ where $K_1:=(1-b)^{\f{1}{b}}\f{b}{1-b}$.
Fix $\ez>0$ such that $K_1\ez^{1-\f{1}{b}}\ge 2h^{-1}\ge 1$. Then for any $x\in S_{\!\phi}(x_0,h)$, by , $$\begin{aligned}
\label{s4:lem14}
|x-x_0|\leq\epsilon+K_1\ez^{1-\f{1}{b}}|x-x_0|^{\f{1}{b}}\leq\epsilon+K_1\ez^{1-\f{1}{b}}\,C^{\f{1}{b}}v(x,0).\end{aligned}$$ Define $$\omega^{\pm}(x,t):=\epsilon+K_1\ez^{1-\f{1}{b}}C^{\f{1}{b}}v(x,t)\pm[u(x,t)-\varphi(x_0,0)].$$ By , noting that $|f|\leq 1$, we have $$\L\omega^{\pm}=K_1\ez^{1-\f{1}{b}}\,C^{\f{1}{b}}\L v\pm f\leq -C^{\f{1}{b}}+1\leq 0\quad\quad\mathrm{in}\;Q'_{\phi}(x_0,h).$$ On $S_{\!\phi}(x_0,h)\times\{0\}$, recall that $\|\varphi(\cdot,0)\|_{C^{0,1}(\overline{Q'_{\phi}(x_0,h)})}\le 1$, then the estimate implies that $$\omega^{\pm}(x,0)=\epsilon+K_1\ez^{1-\f{1}{b}}\,C^{\f{1}{b}}v(x,0)\pm[\varphi(x,0)-\varphi(x_0,0)]\geq 0.$$ On $\partial S_{\!\phi}(x_0,h)\times (0,h]$, we use the fact that $\|u\|_{\Lfz(Q'_{\phi}(x_0,h))}\leq 1$ and find $$\omega^{\pm}(x,t)\geq K_1\ez^{1-\f{1}{b}}\,C^{\f{1}{b}}\phi_{x_0}(x)-2\|u\|_{\Lfz(Q'_{\phi}(x_0,h))}\geq 0,$$ where we recall $K_1\ez^{1-\f{1}{b}}\ge 2h^{-1}$. Hence the maximum principle gives $$\omega^{\pm}\geq 0\quad\quad\mathrm{in}\;Q'_{\phi}(x_0,h)$$ or $$\begin{aligned}
\label{s4:lem15}
|u(x,t)-\varphi(x_0,0)|\leq\epsilon+K_1\ez^{1-\f{1}{b}}\,C^{\f{1}{b}}v(x,t),\quad\quad\forall (x,t)\in Q'_{\phi}(x_0,h).\end{aligned}$$
For $(x,t)$ such that $$0<v(x,t)^b\le (2h^{-1}K_1^{-1})^{\f{b}{b-1}},$$ choose $\epsilon(x,t)=v(x,t)^{b}$, then we have by $$\begin{aligned}
|u(x,t)-\varphi(x_0,0)|\leq K_2v(x,t)^{b}\leq K_2\mu[\phi_{x_0}(x)+t]^{b},\end{aligned}$$ where $K_2:=1+C^{\f{1}{b}}K_1$.
On the other hand, for $(x,t)$ such that $$v(x,t)^b\geq (2h^{-1}K_1^{-1})^{\f{b}{b-1}},$$ we have $$\begin{aligned}
|u(x,t)-\varphi(x_0,0)|\leq 2(2h^{-1}K_1^{-1})^{\f{b}{1-b}}v(x,t)^{b}=K_3 h^{-\f{b}{1-b}}[v(x,t)]^{b},\end{aligned}$$ where the constant $K_3$ depends only on $b$. Combining the two cases we get the desired result.
Lemma \[s4:lem1\] together with interior H$\ddot{o}$lder estimates Corollary \[s2:H3\] gives H$\ddot{o}$lder estimates for solutions of near the initial surface.
\[s4:lem2\] Assume $\mathbf{(H)}$ holds with $\lambda=\f{1}{2},\Lambda=\f{3}{2}$, $x_0\in\Omega'\Subset\Omega$ and $0<h\leq h_0$. Let $u$ be a continuous solution of with $$\|u\|_{\Lfz(Q'_{\phi}(x_0,\tz_0^2 h))}+\|f\|_{\Lfz(Q'_{\phi}(x_0,\tz_0^2 h))}+\|\varphi(\cdot,0)\|_{C^{0,1}(\overline{Q'_{\phi}(x_0,\tz_0^2 h)})}\le 1,$$ where $\tz_0$ is the constant in Lemma \[s2:GN2\], then for any $(x,t),(y,s)\in Q'_{\phi}(x_0,h)$ we have $$\begin{aligned}
|u(x,t)-u(y,s)|\leq C^*h^{-\bz_0}\l(|x-y|+|t-s|\r)^{\alpha_0},\end{aligned}$$ where $\bz_0>0, \alpha_0\in(0,1)$ depend only on $n$; the constants $C^*,h_0$ depend only on $n,\Omega',T$.
In this proof we denote by $C,c$ constants depending only on $n,\Omega',T$. Their values may change from line to line whenever there is no confusion. Let $c\in(0,1)$ be a small constant to be chosen. Fix $h\leq c$ and $(x,t),(y,s)\in Q'_\phi(x_0,h)$ with $s\leq t$. Consider these two cases:\
$\mathbf{Case\;1.}$ $(y,s)\in B(x,ct)\times (\f{7t}{8},t]$. If $c$ is small then by Lemma \[s2:GN1\] we have, $$y\in\overline{B(x,|y-x|)}\subset\overline{S_\phi(x,\rz_0)},\quad\rz_0=C|x-y|.$$ If $c\le\f{1}{8C}$ is small, then $\rz_0\le \f{t}{8}$.
We have $(y,s)\in Q_\phi\l((x,t),\rz_0+t-s\r)$ with $\rz_0+t-s\leq\f{t}{4}$. Apply Theorem \[s2:H3\] with $z_0\rightsquigarrow (x,t), R\rightsquigarrow t$ and $\rz\rightsquigarrow\rz_0+t-s$ and $u\rightsquigarrow u-u(x,0)$, we obtain $$\begin{aligned}
\label{s4:lem29}
|u(x,t)-u(y,s)|&\leq&osc_{Q_\phi((x,t),\rz_0+t-s)}u\nonumber\\
&\leq&C\l(\f{\rz_0+t-s}{t}\r)^{\alpha}\l[\sup_{Q_\phi((x,t),t)}|u-u(x,0)|+t^{\f{n}{2(n+1)}}\|f\|_{L^{n+1}(Q_\phi((x,t),t))}\r]\nonumber\\
&\leq&C\l(\f{\rz_0+t-s}{t}\r)^{\alpha}\l[\sup_{Q_\phi((x,t),t)}|u-u(x,0)|+t^2\|f\|_{\Lfz(Q_\phi((x,t),t))}\r],\end{aligned}$$ where $\az=\az(n)$ and we use Lemma \[s2:GN3\] in the last equality. Apply Lemma \[s4:lem1\] and then for any $(x',t')\in Q_\phi((x,t),t)\subset Q'_\phi (x,h)\subset Q'_{\phi}(x_0,\tz_0^2h)$ ($\tz_0$ is the constant in Lemma \[s2:GN2\]) we have $$\begin{aligned}
\label{s4:lem211}
|u(x',t')-u(x,0)|\leq Ch^{-\f{b}{1-b}}(\phi_x(x')+t')^{b}\leq C h^{-\f{b}{1-b}}t^{b},\end{aligned}$$ where $b=b(n)$. Combining , and taking $\alpha_0:=\min\{\alpha,b\},\bz_0:=\f{b}{1-b}$, we obtain $$\begin{aligned}
\label{s4:lem212}
|u(x,t)-u(y,s)|\leq Ch^{-\f{b}{1-b}}\l(\f{\rz_0+t-s}{t}\r)^{\alpha}t^{b}\leq Ch^{-\bz_0}(|x-y|+t-s)^{\alpha_0}.\end{aligned}$$
$\mathbf{Case\;2}$. $y\notin B(x,ct)$, or $\;t-s\geq\f{t}{8}$. Applying Lemma \[s4:lem1\] we obtain $$\begin{aligned}
|u(x,t)-u(x,0)|&\leq&Ch^{-\f{b}{1-b}}(\phi_x(x)+t)^{b}\leq Ch^{-\f{b}{1-b}}t^{b}\leq Ch^{-\f{b}{1-b}}[|x-y|+|t-s|]^{b}.\end{aligned}$$ The estimate of $|u(y,s)-u(y,0)|$ is similar. Hence we obtain $$\begin{aligned}
\label{s4:lem213}
|u(x,t)-u(y,s)|&\leq&Ch^{-\bz_0}(|x-y+|t-s|)^{\alpha_0}.\end{aligned}$$
Combining and , the proof of Lemma \[s4:lem2\] is complete.
Since under the assumption $\mathbf{(H')}$ the operator $\mathcal{L}_{w}$ is uniformly parabolic in $\overline{B_1}\times[0,1]$, where $w$ is the solution of , we have pointwise $C^{1+\az,\f{1+\az}{2}}$ regularity estimate for solutions $h$ of $\mathcal{L}_wh=0$ on the initial surface as follows.
\[s4:lem3\] Let $B_{\f{6}{5}}\subset\Omega\subset B_n$ be a normalized convex domain and $w$ is the convex solution of . Assume $h:\overline{B_1}\times [0,1]\to\mathbb{R}$ is a continuous function satisfying $\|h\|_{\Lfz(B_1\times (0,1])}\le 1$ and $$\left\{
\begin{array}{rcl}
\mathcal{L}_w h=0&&{\mathrm{in}\;B_1\times (0,1]},\\
h=\varphi&&{\mathrm{on}\;\overline{B_1}\times \{0\}}
\end{array}\right.$$ with $$|\varphi(x,0)-l_{\varphi,(0,0)}(x)|\leq |x|^{2}\quad\forall x\in\overline{B_1},\quad\quad\mathrm{and}\quad\quad |D\varphi(0,0)|\leq 1.$$ Then for any $(x,t)\in B_1\times [0,1]$, we have $$\begin{aligned}
|h(x,t)-l_{\varphi,(0,0)}(x)|\leq K(n)(|x|^2+t).\end{aligned}$$
Next we prove the regularity of solutions of at the minimum point of $\phi$ on the initial surface, using the perturbation arguments as in the interior estimate.
\[s4:thm1\] Assume the hypothesis $\mathbf{(H)}$ holds with $\lambda=1-\tz,\Lambda=1+\tz$. Let $u$ be a continuous solution of with $0<T_1<T<T_2$ and $$\|u\|_{\Lfz(D)}+\|f\|_{\Lfz(D)}+\|\varphi(\cdot,0)\|_{C^{1,1}(\overline{\Omega})}\le 1.$$ Then for any $0<\alpha<1$ and $(x,t)\in D$ we have $$\begin{aligned}
|u(x,t)-l_{\varphi,(x_0,0)}(x)|\leq C(|x-x_0|^2+t)^{\f{1+\alpha}{2}},\end{aligned}$$ where $\tz\in(0,1),C>0$ depend only on $n,\alpha,T_1,T_2$ and $x_0$ is the minimum point of $\phi$.
After dividing $u$ by the constant $3+\tz^{-1}$ we may assume that $$\begin{aligned}
\label{s4:thm12}
2\|u\|_{\Lfz(D)}+\tz^{-1}\|f\|_{\Lfz(D)}+\|\varphi(\cdot,0)\|_{C^{1,1}(\overline{\Omega})}\leq 1.\end{aligned}$$ Assume for simplicity that $x_0=0$. Denote $S_{\!\mu}(\phi):=S_{\!\phi}(0,\mu),\;Q_\mu'(\phi):=S_{\!\mu}(\phi)\times (0,\mu]$ and $l(x):=l_{\varphi,(0,0)}(x)$. Let $\alpha_1\in(0,1)$ be a constant to be chosen later. We will prove by introduction that there exist $\mu\in(0,1)$ depending only on $n,\alpha_1,\alpha,T_1,T_2$, a sequence of positive matrices $A_k$ with $\mathrm{det}\,A_k=1$ such that if we denote $\I_k(x,t):=(A_kx,t)$, then $$\|A_{k-1}A_k^{-1}\|\leq\f{1}{\sqrt{c_0}},\quad\|A_k\|\leq\sqrt{C_0(1+C_0\dz_0)(1+C_0\dz_1)\cdots(1+C_0\dz_{k-1})};\tag{a}$$ $$\|A_k^{-1}\|\leq\f{1}{\sqrt{c_0(1-C_0\dz_0)(1-C_0\dz_1)\cdots(1-C_0\dz_{k-1})}};\tag{b}$$ $$B_{(1-\dz_k)\sqrt{2}}(0)\times (0,1]\subset\mu^{-\f{k}{2}}\I_k Q'_{\mu^k}(\phi)\subset B_{(1+\dz_k)\sqrt{2}}(0)\times (0,1];\tag{c}$$ $$\|u-l\|_{\Lfz(Q'_{\mu^k}(\phi))}\leq\mu^{\f{1+\alpha_1}{2}(k-1)};\tag{d}$$ $$\f{|(u-l)(\mu^{\f{k}{2}}\I_k^{-1}(x,t))-(u-l)(\mu^{\f{k}{2}}\I_k^{-1}(y,s))|}{\mu^{\f{1+\alpha_1}{2}(k-1)}}
\leq 3 C^*\mu^{-\bz_0}(|x-y|+|t-s|^{\f{1}{2}})^{\alpha_0},\tag{e}$$ for any $(x,t),(y,s)\in\mu^{-\f{k}{2}}\I_k Q'_{\mu^k}(\phi)$, where $c_0,C_0$ are the constants in Lemma \[s2:GN5\], $C^*,\alpha_0$ and $\bz_0$ are given in Lemma \[s4:lem2\], the parabolic dilation is with respect to $(0,0)$ and is defined as in , and\
$A_0:=I,\quad \dz_0:=0,\quad \dz_1:=C_0(\mu^{\f{1}{2}}+\mu^{-1}\tz^{\f{1}{2}}),$
$\dz_k:=C_0(\dz_{k-1}\mu^{\f{1}{2}}+\mu^{-1}\tz^{\f{1}{2}}),\quad \dz_k<\dz_{k-1}\quad \mathrm{for}\; k\geq 2.$\
The proof is similar to that of [@GN Theorem 4.5]. We just sketch it. The conclusion for $k=1$ easily follows from Lemma \[s2:GN5\] (i) and Lemma \[s4:lem2\]. Suppose that we have (a)-(e) for $k=i\geq 1$, now we will verify (d) for $k=i+1$ and then construct $A_{i+1},\I_{i+1}$ and verify (a), (b), (c), (e) for $k=i+1$.
+ Verifying (d) for $k=i+1$: First it is easily seen that $$\begin{aligned}
\|A_i\|, \|A_i^{-1}\|\leq C_1\exp\Big\{\f{2 C_0^2\sqrt{\tz}}{\mu}i\Big\},\end{aligned}$$ where $C_1$ is a constant depending only on $c_0,C_0$ and $\mu$. Let $0<\alpha_2<1$ be a constant to be chosen later, and take $\tz$ such that $$\sqrt{\tz}\leq\alpha_2\f{\mu\ln\mu^{-1}}{4 C_0^2},$$ then $$\begin{aligned}
\label{s4:thm17}
\|A_i\|,\|A_i^{-1}\|\leq C_1\mu^{-\f{\alpha_2}{2}i}.\end{aligned}$$ Let $$\begin{aligned}
\phi^*(y):&=&\f{1}{\mu^i}[\phi(\mu^{\f{i}{2}}A_i^{-1}y)-\phi(0)-\mu^i],\quad \mathrm{y}\in \Omega_i^*:=\mu^{-\f{i}{2}}A_iS_{\!\mu^i}(\phi),\\
v(y,s):&=&\f{1}{\mu^{\f{1+\alpha_1}{2}(i-1)}}(u-l)(\mu^{\f{i}{2}}A_i^{-1}y,\mu^i s),\quad \mathrm{(y,s)}\in\Omega_i^*\times (0,1].\end{aligned}$$ Then $$\mathcal{L}_{\phi^*} v(y,s)=f^*(y,s):=\f{\mu^i}{\mu^{\f{1+\alpha_1}{2}(i-1)}}f(\mu^{\f{i}{2}}A_i^{-1}y,\mu^i s)\quad \mathrm{in}\; \Omega_i^*\times (0,1].$$ Let $\epsilon>0$ be a constant to be chosen later. We apply Lemma \[s3:lem4.2\] and we choose $\tz\leq\dz$, where $\dz>0$ is given by Lemma \[s3:lem4.2\]. Let $h$ be a solution of $$\left\{
\begin{array}{rcl}
\mathcal{L}_w h=0&&{\mathrm{in}\;B_1\times (0,1]},\\
h=v&&{\mathrm{on}\;\partial_p(B_1\times (0,1])},
\end{array}\right.$$ where $w$ is the convex solution of the equation $$\left\{
\begin{array}{rcl}
\mathrm{det} D^2 w=1&&{\mathrm{in}\;\Omega_i^*},\\
w=0&&{\mathrm{on}\;\partial\Omega_i^*},
\end{array}\right.$$ then we have $$\begin{aligned}
\label{s4:thm18}
\|v-h\|_{\Lfz\l(B_1\times (0,1]\r)}\leq\epsilon.\end{aligned}$$ Since $$\begin{aligned}
h(y,0)=\varphi^*(y):=\f{1}{\mu^{\f{1+\alpha_1}{2}(i-1)}}[\varphi(\mu^{\f{i}{2}}A_i^{-1}y,0)-l_{\varphi,(0,0)}(\mu^{\f{i}{2}}A_i^{-1}y)],\end{aligned}$$ and note that $$\begin{aligned}
\label{varphi^*}
\|\varphi^*\|_{C^{1,1}(\overline{\Omega_i^*})}\leq\f{1}{\mu^{\f{1+\alpha_1}{2}(i-1)}}\|\mu^{\f{i}{2}}A_i^{-1}\|^{2}
\leq\f{(\mu^{\f{i}{2}}C_1\mu^{-\f{\alpha_2}{2}i})^{2}}{\mu^{\f{1+\alpha_1}{2}(i-1)}}\leq \mu^{\f{1+\az_1}{2}},\end{aligned}$$ where we choose $\alpha_2$ and $\alpha_1$ such that $2(1-\alpha_2)>1+\alpha_1$. Then by Lemma \[s4:lem3\], $$\begin{aligned}
|h(y,s)|\leq 2K(|y|^2+s)\quad\quad\forall (y,s)\in B_1\times (0,1],\end{aligned}$$ where $K=K(n)$. Lemma \[s2:GN5\] (i) implies that $$\begin{aligned}
|h(y,s)|\leq 6KC_0^2\tz_0^2\mu\quad\quad\forall (y,s)\in Q'_{\tz_0^2\mu}(\phi^*),\end{aligned}$$ where we recall $Q'_{\tz_0^2\mu}(\phi^*):=S_{\!\phi^*}(0,\tz_0^2\mu)\times(0,\tz_0^2\mu]$. Choose $\epsilon:=KC_0^2\tz_0^2\mu$, and combine with the last estimate we get $$\begin{aligned}
\label{s4:thm110}
|v(y,s)\leq 8KC_0^2\tz_0^2\mu\leq\mu^{\f{1+\alpha_1}{2}}\quad\quad\forall (y,s)\in Q'_{\tz_0^2\mu}(\phi^*).\end{aligned}$$ Back to $u$ we find that $(d)$ for $k=i+1$ holds.
+ Constructing $A_{i+1}$: We apply Lemma \[s2:GN5\] (ii) to $\Omega^*_i$ and obtain that (a)-(c) for $k=i+1$ hold. Combining and , we can apply Lemma \[s4:lem2\] and find that $(e)$ for $k=i+1$ holds.\
By , we have for each $k\geq 1$, $$B(0, c\mu^{\f{1+\alpha_2}{2}k})\times (0,c^2\mu^{(1+\alpha_2)k}]\subset Q'_{\mu^k}(\phi)$$ for some constant $c$ depending only on $C_1$. Given $\alpha\in(0,1)$, we choose $\alpha_2$ small such that $$2(1-\alpha_2)>1+(1+\alpha_2)\alpha+\alpha_2.$$ Take $\alpha_1:=(1+\alpha_2)\alpha+\alpha_2$, which satisfies $$2(1-\alpha_2)>1+\alpha_1,$$ as required in the proof, then we have $\f{1+\alpha_1}{1+\alpha_2}=1+\alpha$, it follows that for each $k_0\geq 1$ and any $(x,t)\in B(0,c\mu^{\f{1+\alpha_2}{2}k_0})
\times(0,c^2\mu^{(1+\alpha_2)k_0}]$, $$\begin{aligned}
|u(x,t)-l(x)|\leq\mu^{\f{1+\alpha_1}{2}(k_0-1)}=c^{-(1+\alpha)}\mu^{-\f{1+\alpha_1}{2}}[c\mu^{\f{1+\alpha_2}{2}k_0}]^{1+\alpha}.\end{aligned}$$
\[s4:rem1\] In the above theorem it can also be concluded from (d) that $$\begin{aligned}
\max_{\overline{Q'_r(\phi)}}|u(x,t)-l(x)|\leq C r^{\f{1+\alpha}{2}},\quad\quad\forall r>0.\end{aligned}$$ where $C$ depends only on $n,\alpha,T_1,T_2$.
Using Theorem \[s4:thm1\] we can obtain pointwise regularity of solutions of near the initial surface when the density of the Monge-Amp$\grave{e}$re measure is continuous.
\[s4:thm2\] Assume $\mathbf{(H)}$ holds and $g:=\mathrm{det} D^2\phi\in C(\Omega)$. Assume that $\Omega'\Subset\Omega,\;0<\alpha<1$, and $u$ is a solution of with $$\|u\|_{\Lfz(D)}+\|f\|_{\Lfz(D)}+\|\varphi(\cdot,0)\|_{C^{1,1}(\overline{\Omega})}\le 1,$$ then for any $x_0\in\Omega'$ and $(x,t)\in D$ we have $$\begin{aligned}
|u(x,t)-l_{\varphi,(x_0,0)}(x)|&\leq& C(|x-x_0|^2+t)^{\f{1+\alpha}{2}},\end{aligned}$$ where $C>0$ depends only on $n,\lambda,\Lambda,\alpha,\Omega',T$ and the modulus of continuity of $g$.
\[s4:rem2\] Under the assumptions of Theorem \[s4:thm2\], we can also obtain from Remark \[s4:rem1\] that $$\begin{aligned}
\max_{\overline{Q'_{\phi}(x_0,r)}}|u(x,t)-l_{\varphi,(x_0,0)}(x)|\leq C r^{\f{1+\alpha}{2}},\quad\quad\forall x_0\in\Omega',\forall r>0,\end{aligned}$$ where $C>0$ depends only on $n,\lambda,\Lambda,\alpha,\Omega'$, $T$ and the modulus of continuity of $g$.
Next we prove $C^{1+\az,\f{1+\az}{2}}$ estimates for solutions of near the initial surface.
\[s4:thm3\] Assume the hypotheses of Theorem 4.2 hold. Then $u\in C^{1+\alpha,\f{1+\alpha}{2}}(\overline{\Omega'}\times [0,T])$ for any $\alpha\in(0,1)$ and $$\begin{aligned}
\|u\|_{C^{1+\alpha,\f{1+\alpha}{2}}(\overline{\Omega'}\times [0,T])}\leq C,\end{aligned}$$ where $C>0$ depend only on $n,\lambda,\Lambda,\alpha,\Omega',T$ and the modulus of continuity of $g$.
Fix any $\az'\in(0,1)$. In this proof we denote by $C,c$ constants depending only on $n,\lambda,\Lambda,\az',\Omega',T$ and the modulus of continuity of $g$.
Fix $x_0\in\Omega'$ and $t_0$ small. Let $Tx=A(x-x_0)+y_0$ be an affine transformation such that $B_1\subset T S_{\!\phi}(x_0,t_0)\subset B_n$. Denote $T_{\!p}(x,t):=(Tx,t_0^{-1}t)$. By interior $C^{1,\gamma}$ estimates for $\phi$,$$\label{s4:thm31'}
B(x_0,c\,t_0^{\f{1}{1+\gamma}})\subset S_{\!\phi}(x_0,t_0)$$ for some $\gz=\gz(n,\lz,\Lz)\in(0,1)$, which gives that $$\label{s4:thm31}
\|A\|\leq C\,t_0^{-\f{1}{1+\gamma}}.$$
We point out that we can choose $\gz$ close to $1$. Indeed, since $g\in C(\Omega)$, by the interior $W^{2,p}$ estimates for solutions of Monge-Amp$\grave{e}$re equations in [@C], we have $\phi\in W^{2,p}_{\mathrm{loc}}$ for any $p<\infty$. Then the imbedding theorem [@GT Theorem 7.26] implies that $\phi\in C^{1,\gamma}_{\mathrm{loc}}$ for any $p>n$ and $\gamma<1-n/p$. Note that we may choose $p$ large such that $\gamma$ close to $1$.
Define $$\phi^*(y)=\f{1}{t_0}[\phi(T^{-1}y)-l_{\phi,x_0}(T^{-1}y)-t_0],$$ $$u^*(y,s)=\f{1}{t_0}[u(T^{-1}y,t_0 s)-l_{\varphi,(x_0,0)}(T^{-1}y)].$$ Then $$\begin{aligned}
&&B_1\times (0,1]\subset T_{\!p}(Q'_{\phi}(x_0,t_0))=Q'_{\phi^*}(y_0,1)\subset B_n\times (0,1],\\
&&\lambda'\leq\mathrm{det}D^2\phi^*(y)\leq\Lambda'\quad\mathrm{in}\;S_{\!\phi^*}(y_0,1);\quad\quad\phi^*=0\quad\mathrm{on}\;\partial S_{\!\phi^*}(y_0,1),\\
&&\mathcal{L}_{\phi^*} u^*(y,s)=f^*(y,s):=\f{1}{t_0^n(\mathrm{det}\,A)^2}f(T^{-1}y,t_0 s)\quad\mathrm{in}\;Q'_{\phi^*}(y_0,1),\end{aligned}$$ where $\lambda',\Lambda'>0$ depend only on $n,\lambda,\Lambda$.
Denote $D^*:=Q'_{\phi^*}(y_0,1)$. We apply the interior estimate Theorem $1$ and find that $$\begin{aligned}
\label{s4:thm32}
\|u^*\|_{C^{1+\alpha',\f{1+\alpha'}{2}}\l(\overline{S_{\phi^*}(y_0,\f{1}{2})}\times [\f{1}{2},1]\r)}\leq C[\|u^*\|_{\Lfz(D^*)}+\|f^*\|_{\Lfz(D^*)}].\end{aligned}$$
We take $\az>\az'$ and then choose $\gz$ close to $1$ such that $$\begin{aligned}
\label{s4:thm3*}
\f{1+\alpha}{2}>\f{1+\az'}{1+\gamma}.\end{aligned}$$ From Remark \[s4:rem2\] we obtain that $$\begin{aligned}
\label{s4:thm33}
\|u^*\|_{\Lfz(D^*)}\leq C\f{1}{t_0}t_0^{\f{1+\alpha}{2}}.\end{aligned}$$ For any $z_i=(x_i,t_i)\in S_{\!\phi}\l(x_0,\f{t_0}{2}\r)\times [\f{t_0}{2},t_0], i=1,2$, the estimates - imply that $$\begin{aligned}
\label{s4:thm34}
|D u(z_1)&-&D u(z_2)|=t_0|A^t(D u^*(T x_1,t_0^{-1}t_1)-D u^*(T x_2,t_0^{-1}t_2))|\nonumber\\
&\leq&Ct_0^{\f{1+\alpha}{2}-\f{1+\az'}{1+\gamma}}(|x_1-x_2|+|t_1-t_2|^{\f{1}{2}})^{\alpha'}\nonumber\\
&\leq&C(|x_1-x_2|+|t_1-t_2|^{\f{1}{2}})^{\alpha'}.\end{aligned}$$ Similarly, we have $$\begin{aligned}
\label{s4:thm34'}
|u(x_1,t_1)-u(x_1,t_2)|&=&t_0|u^*(T x_1,t_0^{-1}t_1)-u^*(T x_1,t_0^{-1}t_2)|\nonumber\\
&\leq&Ct_0^{\f{\alpha-\alpha'}{2}}|t_1-t_2|^{\f{1+\alpha'}{2}}\le C|t_1-t_2|^{\f{1+\alpha'}{2}},\end{aligned}$$ and $$\begin{aligned}
\label{s4:thm34''}
|D u(x_1,t_1)|\leq t_0|A^t D u^*(T x_1,t_0^{-1}t_1)|+|D\varphi(x_0,0)|\leq Ct_0^{\f{1+\alpha}{2}-\f{1}{1+\gamma}}\le C.\end{aligned}$$ The estimates and imply that for any $(x,t)\in S_{\!\phi}\l(x_0,\f{t_0}{2}\r)\times [\f{t_0}{2},t_0]$, $$\begin{aligned}
\label{s4:thm35}
|u(x,t)-l_{u,(x_0,t_0)}(x)|\leq C\l(t_0^{\f{\alpha-\alpha'}{2}}|t-t_0|^{\f{1+\alpha'}{2}}+|x-x_0|^{1+\alpha'}\r).\end{aligned}$$
On the other hand, from Theorem \[s4:thm2\], for any $(x,t)\in D$ we have $$\begin{aligned}
\label{s4:thm35'}
|u(x,t)-l_{\varphi,(x_0,0)}(x)|
\leq C(|x-x_0|^2+t)^{\f{1+\alpha}{2}}.\end{aligned}$$
By [@GN Lemma 4.8], there exists a function $\psi\in C^\infty_0(\mathbb{R}^n)$ with support in the unit ball such that $\psi_\epsilon\ast l=l$ for each $\epsilon>0$ and every linear function $l$. As usual, $\psi_\epsilon(x):=\epsilon^{-n}\psi(\f{x}{\epsilon})$. Similar to [@GN Page 2068-2069] we can write $$\begin{aligned}
D_j u(x_0,t_0)-D_j\varphi(x_0,0)=[u(\cdot,t_0)-l_{\varphi,(x_0,0)}]\ast D_j\psi_\epsilon (x)
-[u(\cdot,t_0)-l_{u,(x_0,t_0)}]\ast D_j\psi_\epsilon (x).\end{aligned}$$ Set $x:=x_0$, and $\epsilon:=c\l(\f{t_0}{2}\r)^{\f{1}{1+\gamma}}$, then by we have $$\begin{aligned}
|[u(\cdot,t_0)-l_{u,(x_0,t_0)}]\ast D_j\psi_\epsilon (x_0)|
&=&\epsilon^{-n-1}\l|\int_{B_\epsilon(x_0)}[u(y,t_0)-l_{u,(x_0,t_0)}(y)]D_j\psi\l(\f{x_0-y}{\epsilon}\r)dy\r|\\
&\leq&C\epsilon^{-n-1}\|D_j\psi\|_{\infty}\int_{|y-x_0|\leq \epsilon}|y-x_0|^{1+\alpha'}dy\\
&\leq&Ct_0^{\f{\alpha'}{1+\gamma}},\end{aligned}$$ also, by , $$\begin{aligned}
|[u(\cdot,t_0)-l_{\varphi,(x_0,0)}]\ast D_j\psi_\epsilon (x_0)|
&=&\epsilon^{-n-1}\l|\int_{B_\epsilon(x_0)}[u(y,t_0)-l_{\varphi,(x_0,0)}(y)]D_j\psi\l(\f{x_0-y}{\epsilon}\r)dy\r|\\
&\leq&C\epsilon^{-n-1}\|D_j\psi\|_{\infty}\int_{B_\epsilon(x_0)}(|y-x_0|^2+t_0)^{\f{1+\alpha}{2}}dy\\
&\leq&C\l(t_0^{\f{1+\alpha}{2}-\f{1}{1+\gamma}}+t_0^{\f{\alpha}{1+\gamma}}\r),\end{aligned}$$ combining these inequalities we obtain $$\begin{aligned}
\label{s4:thm37}
|D u(x_0,t_0)-D\varphi(x_0,0)|&\leq&C t_0^{\f{\alpha'}{1+\gamma}}.\end{aligned}$$ Combining , , , and , if we denote $$Q_{x,t}:=B(x,c\,(t/2)^{\f{1}{1+\gz}})\times [t/2,t],$$ then the estimate $$\begin{aligned}
\|u\|_{C^{1+\alpha',\f{1+\alpha'}{2}}(\overline{Q_{x_0,t_0}})}+\f{|u(x_0,t_0)-\varphi(x_0,0)|}{t^{\f{1+\alpha}{2}}}+\f{|D u(x_0,t_0)-D\varphi(x_0,0)|}{t_0^{\f{\alpha'}{1+\gamma}}}\quad\leq C.\end{aligned}$$ holds for any $(x_0,t_0)$ such that $x_0\in\Omega'$ and $t_0$ small. This implies that $$\begin{aligned}
\label{s4:thm310}
\|u\|_{C^{1+\alpha',\f{1+\alpha'}{2}}(\overline{\Omega'}\times[0,c])}\leq C.\end{aligned}$$ Recall for the definition of $\alpha'$. Combining and the interior estimate Theorem 1, the proof of Theorem \[s4:thm3\] is complete.
Regularity near the side of $\Omega$ {#s5}
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In this section, we fix constants $0<\lz\le\Lz<\infty,\rz>0$ and refer to all positive constants depending only $n,\lz,\Lz$ and $\rz$ as universal constants.
We assume the following condition on $\Omega$ and $\phi$: Assume $\Omega\subset\mathbb{R}^n$ is a bounded convex set with $$\label{s5:lem11}
B_\rz(\rz e_n)\subset\Omega\subset \{x_n\geq 0\}\cap B_{\f{1}{\rz}}$$ and $$\label{s5:lem12}
\mathrm{\Omega\;contains\;an\;interior\;ball\;of\;radius\;\rz\;
tangent\;to\;\partial\Omega\;at\;each\;point\;on\;\partial\Omega\cap\;B_\rz}.$$ Let $\phi:\overline{\Omega}\rightarrow\mathbb{R}$, $\phi\in C^{0,1}(\overline{\Omega})\cap C^2(\Omega)$ be a convex function satisfying $$\label{s5:lem13}
\mathrm{det} D^2\phi=g,\quad\quad 0<\lambda\leq g\leq\Lambda\quad\mathrm{in}\;\Omega.$$ Assume further that on $\partial\Omega\cap B_\rz$, $\phi$ separates quadratically from its tangent planes on $\partial\Omega$, namely, for any $x_0\in\partial\Omega\cap B_\rz$ we have $$\label{s5:lem14}
\rz|x-x_0|^2\leq\phi(x)-\phi(x_0)-\nabla\phi(x_0)\cdot (x-x_0)\leq\rz^{-1}|x-x_0|^2,\quad\quad\forall x\in\partial\Omega.$$
Let $0<c_*<T$. We establish regularity of $u$ near $\partial\Omega$ where $u:\l(B_\rz\cap\overline{\Omega}\r)\times [\f{c_*}{2},T]\rightarrow\mathbb{R}$ is a continuous solution of $$\label{us}
\left\{
\begin{array}{rcl}
\L u=f&&{\mathrm{in}\;(B_\rz\cap\Omega)\times (\f{c_*}{2},T]},\\
u=0&&{\mathrm{on}\;(B_\rz\cap\partial\Omega)\times [\f{c_*}{2},T]}.
\end{array}\right.$$
The arguments in [@S1] easily apply to the parabolic case as long as we construct corresponding supersolution and subsolution and employ the weak Harnack inequality [@HQ] for nonnegative supersolutions of $\mathcal{L}_\phi u=0$. Hence we just sketch the proof of the results which are straightforward modifications of the elliptic case [@S1], and give more detail whenever necessary.
We use frequently the two localization theorems below concerning geometry of boundary sections and maximal interior sections of $\phi$ respectively.
(Localization Theorem [@S1; @S2])\[s5:thm1\] Assume $\Omega$ satisfies and $\phi$ satisfies , and $$\phi(0)=\nabla\phi(0)=0,\quad\quad
\rz|x|^2\leq\phi(x)\leq\rz^{-1}|x|^2\quad\mathrm{on}\;\partial\Omega\cap\{x_n\leq\rz\}.$$ Then there exists a universal constant $k$ such that for each $h\leq k$, there is an ellipsoid $E_h$ of volume $|B_1|h^{n/2}$ satisfying $$k E_h\cap\overline{\Omega}\subset S_{\!\phi}(0,h)\subset k^{-1}E_h.$$ Moreover, the ellipsoid $E_h$ is obtained from the ball of radius $h^{\f{1}{2}}$ by a linear transformation $A_h^{-1}$ (sliding along the $x_n=0$ plane) $$\begin{aligned}
\mathrm{det}\,A_h=1,\quad A_h x=x-\tau_h x_n,\quad \tau_h\cdot e_n=0,\\
h^{-\f{1}{2}}A_h E_h=B_1,\quad |\tau_h|\leq k^{-1}|\log h|.\end{aligned}$$
(See [@S1 Proposition 3.2].)\[s5:prop1\] Let $\phi$ and $\Omega$ satisfy the hypotheses of the Localization Theorem \[s5:thm1\]. Assume that for some $y\in\Omega$ the section $S_{\!\phi}(y,h)\subset\Omega$ is tangent to $\partial\Omega$ at $0$ for some $h\leq c$ with $c$ universal. Then $$\nabla\phi(y)=a e_n\quad\quad\mathrm{for\;some\;}a\in [k_0 h^{\f{1}{2}},k_0^{-1}h^{\f{1}{2}}],$$ $$k_0 E_h\subset S_{\!\phi}(y,h)-y\subset k_0^{-1}E_h,\quad\quad k_0 h^{\f{1}{2}}\leq\mathrm{dist}(y,\partial\Omega)\leq k_0^{-1}h^{\f{1}{2}},$$ where $E_h$ is the ellipsoid defined in the Localization Theorem \[s5:thm1\] and $k_0$ is a universal constant.
Under the assumptions of Theorem \[s5:thm1\] we have $$\label{s5:lem14''}
\overline{\Omega}\cap B_{c_1 h^{\f{1}{2}}/|\log h|}^+\subset S_{\!\phi}(0,h)\subset B_{C_1 h^{\f{1}{2}}|\log h|},$$ and the estimate $$\label{s5:lem14'}
c_1|x|^2|\log|x||^{-2}\leq\phi(x)\leq C_1|x|^2|\log|x||^{2},$$ holds in a neighborhood of $0$, where $c_1,C_1$ are universal constants (see Equation (4.3) in [@S1]).
In the lemma below, we construct a supersolution and estimate $\f{u(\cdot,t)}{d_{\partial\Omega}}$ near $\partial\Omega$.
\[s5:lem1\] Assume - hold. Let $u$ be a continuous solution of with $$\|u\|_{\Lfz\l((B_\rz\cap\Omega)\times (\f{c_*}{2},T]\r)}+\|f/\mathrm{tr}\,\Phi\|_{\Lfz\l((B_\rz\cap\Omega)\times (\f{c_*}{2},T]\r)}\le 1.$$ Then $$\begin{aligned}
|u(x,t)|\leq Cd_{\partial\Omega}(x)\quad\quad\mathrm{in}\;(B_{c_0}\cap\Omega)\times [c_*,T],\end{aligned}$$ where $c_0$ is a universal constant and $C$ depends only on $n,\lambda,\Lambda,\rz,c_*$.
Let $\tilde{\delta}>0$ be chosen later, after multiplying $u$ by $\tilde{\delta}$ we may assume $$\label{s5:lem15}
\|u\|_{\Lfz\l((B_\rz\cap\Omega)\times (\f{c_*}{2},T]\r)}+\|f/\mathrm{tr}\,\Phi\|_{\Lfz\l((B_\rz\cap\Omega)\times (\f{c_*}{2},T]\r)}\leq\tilde{\delta}.$$ Denote $$q(x):=\f{1}{2}\l(\tilde{\delta}|x'|^2+\f{\Lambda^n}{(\lambda\tilde{\delta})^{n-1}}x_n^2\r)$$ and $$\bar{w}_{t_0}(x,t):=M x_n-n(t-t_0)+\phi(x)-4 q(x)$$ for some large constant $M$ depending only on $n,\lambda,\Lambda,\rz,\tilde{\dz}$. Then it is straightforward to prove that $$|u|\leq\bar{w}_{t_0}\quad\quad\mathrm{in}\;(B_{c_0}\cap\Omega)\times [t_0-c_*/2,t_0]$$ if $\tilde{\delta}$ is small. Hence, $$\begin{aligned}
|u(0,x_n,t_0)|\leq M x_n+C_1 x_n^2|\log x_n|^{2}\leq C x_n,\quad\quad\forall x_n\in [0,c_0],\end{aligned}$$ where $C$ is a constant depending only on $n,\lambda,\Lambda,\rz,c_*$ and $C_1$ is as in . The conclusion follows if we replace $0$ with each point $x_0\in B_{\f{\rz}{2}}\cap\partial\Omega$ and modify the construction of the corresponding supersolution.
Assume - hold with $$\phi(0)=\nabla\phi(0)=0.$$ Let $E_h,A_h$ be as in the Localization Theorem \[s5:thm1\]. Denote $$\begin{aligned}
\phi_h(x):=\f{\phi(h^{\f{1}{2}}A_h^{-1}x)}{h}\quad\quad\mathrm{and}\quad\quad\Omega_h:=h^{-\f{1}{2}}A_h\Omega.\end{aligned}$$ Then $$\mathrm{det} D^2\phi_h=g_h,\quad\quad 0<\lambda\leq g_h(x):=g(h^{\f{1}{2}}A_h^{-1}x)\leq\Lambda\quad\mathrm{in}\;\Omega_h,$$ $$h^{-\f{1}{2}}A_h S_{\!\phi}(0,h)=S_{\!\phi_h}(0,1):=\{x\in\overline{\Omega_h}:\phi_h(x)<1\},$$ $$\overline{\Omega_h}\cap B_k\subset S_{\!\phi_h}(0,1)\subset B_{k^{-1}}^+.$$
We introduce the class $\mathcal{D}_\sigma$ which consists of the triples $(\phi,\Omega,U)$ satisfying $(i)$-$(v)$ (See [@S1; @LN]):
\(i) $0\in\partial\Omega,\,U\subset\Omega\subset\mathbb{R}^n$ are bounded convex domains such that $$B_k^+\cap\overline{\Omega}\subset\overline{U}\subset B_{k^{-1}}^+.$$ (ii) $\phi:\overline{\Omega}\rightarrow\mathbb{R}^+$ is convex satisfying $\phi=1\;\mathrm{on}\;\partial U\cap\Omega$ and $$\phi(0)=0,\quad\nabla\phi(0)=0,\quad\lambda\leq\mathrm{det} D^2\phi\leq\Lambda\;\mathrm{in}\;\Omega,$$ $$\partial\Omega\cap\{\phi<1\}=\partial U\cap\{\phi<1\}.$$ (iii) $$\f{\rz}{4}|x-x_0|^2\leq\phi(x)-\phi(x_0)-\nabla\phi(x_0)\cdot (x-x_0)\leq \f{4}{\rz}|x-x_0|^2,\quad\quad\forall x,x_0\in\partial\Omega\cap B_{\f{2}{k}}.$$ (iv) $$\partial\Omega\cap\{\phi<1\}\subset G\subset\{x_n\leq\sigma\},$$ where $G\subset B_{2/k}$ is a graph in the $e_n$ direction and its $C^{1,1}$ norm is bounded by $\sigma$.
\(v) $\phi$ satisfies in $U$ the hypotheses of the Localization Theorem in \[s5:thm1\] at all points on $\partial U\cap B_{c_0}$ and if $r\leq c_0$, then $$|\nabla\phi|\leq C_0 r|\log r|^2\quad\mathrm{in}\;\overline{\Omega}\cap B_r.$$ The constants $k,c_0,C_0$ above are universal.
It follows from [@S1 Lemma 4.2] that if $h\leq h_0$, then $(\phi_h,\Omega_h,S_{\!\phi_h}(0,1))\in\mathcal{D}_\sigma$ with $\sigma=C h^{1/2}$, where $h_0,C>0$ are universal constants.
To iterate the estimate of $\f{u(\cdot,t)}{d_{\partial\Omega}}$ we need the lemma below deduced from the weak Harnack inequality [@HQ Lemma 3.1, Theorem 3.1, Theorem 4.1].
\[s5:lem2\] Let $(\phi,\Omega,U)\in\mathcal{D}_\dz$ with $\dz$ small, universal. Let $u$ be a nonnegative classical solution of $\L u\leq 0$ in $Q=U\times(-1,0]$. Denote $z_0=(2\dz e_n,t_0)$ with $-\f{1}{2}<t_0<t_0+R\le 0$ and $R>0$ small.
1. If $$|\{z\in Q^-:u(z)\geq 1\}|\geq \mu|Q^-|$$ for some $0<\mu<1$, then $$\inf_{Q^+}u\geq c,$$ where $Q^+=S_{\!\phi}(2\dz e_n,R)\times(t_0+R,t_0+2R]$, $Q^-=S_{\!\phi}(2\dz e_n,R)\times(t_0-R,t_0]$, and $c>0$ depends only on $n,\lambda,\Lambda,\rz$ and $\mu$.
2. Suppose that $$\inf_{S_{\!\phi}(2\dz e_n,R)\times(t_0,t_0+R]}u\leq 1,$$ then $$\mathcal{M}(\{z\in Q_\phi(z_0,R): u(z)<M_2\})>\epsilon_0\mathcal{M}(Q_\phi(z_0,R)),$$ where $\mathcal{M}$ is the parabolic Monge-Amp$\grave{e}$re measure generated by $\phi(x)-t$, i.e., $d\mathcal{M}=\mathrm{det}D^2\phi dxdt$, and $M_2>0,\epsilon_0\in(0,1)$ are universal.
We first prove $(i)$. Assume in contradiction that $$\inf_{Q^+}u<c.$$ Then by [@HQ Theorem 4.1], for any $i\geq 1$ we have $$|\{z\in Q^-:u(z)>c\tilde{K}M^i\}|\leq C\gamma^i|Q^-|,$$ where $\tilde{K},M,C>0,0<\gamma<1$ are universal constants. We reach a contradiction if $c$ is small.
For $(ii)$, by [@HQ Theorem 3.1], we have $$\mathcal{M}(\{z\in Q_\phi(z_0,R/2): u(z)<M_1\})>\epsilon_0\mathcal{M}(Q_\phi(z_0,R/2)),$$ which implies $$\inf_{Q_\phi(z_0,R/2)}u\leq M_1.$$ Applying [@HQ Lemma 3.1] to $\f{u}{M_1}$, we obtain $$\mathcal{M}(\{z\in Q_\phi(z_0,R): u(z)<M_0 M_1\})>\epsilon_0\mathcal{M}(Q_\phi(z_0,R)),$$ where $M_0,M_1$ are universal. Choose $M_2:=M_0 M_1$ and the conclusion follows.
Using the above lemma we can construct a subsolution and iterate the estimate of $\f{u(\cdot,t)}{d_{\partial\Omega}}$ in Lemma \[s5:lem1\].
\[s5:lem3\] Let $(\phi,\Omega,U)\in\mathcal{D}_\dz$ with $\dz$ small, universal. Denote $Q:=U\times (-1,0]$. Assume $u:\overline{Q}\to\mathbb{R}$ is a continuous solution of $$\L u=f,\quad\quad a\,d_G\leq u\leq b\,d_G\quad\mathrm{in}\;Q,$$ where $a,b\in [-1,1]$ and $$\max\{\dz,\|f/\mathrm{tr}\,\Phi\|_{\Lfz(Q)}\}\leq c_1(b-a).$$ Then $$a'\,d_G\leq u\leq b'\,d_G\quad\mathrm{in}\;Q_\tz(\phi)=S_{\!\phi}(0,\tz)\times (-\tz,0],$$ where $$a\leq a'\leq b'\leq b,\quad\quad b'-a'\leq\eta(b-a).$$ Here the constants $c_1,\eta\in(0,1),\tz$ are universal.
Set $$u_1:=\f{u-a\,d_G}{b-a},\quad\quad u_2:=\f{b\,d_G-u}{b-a},$$ then $$u_1,u_2\geq 0\quad\mathrm{in}\;Q,\quad\quad u_1+u_2=d_G.$$ If $R$ is small, then $$d_G(y)\geq\dz,\quad\quad\forall y\in S_{\!\phi}(2\dz e_n,R).$$ Let $m\geq 1$ be such that $$\label{s5:lem3*}
m R<\dz^{\f{1}{n-1}}\leq(m+1)R.$$ Denote $$Q^{(i)}:=S_{\!\phi}(2\dz e_n,R)\times (-(i+1)R,-iR], \quad i=0,1,\dots,m+2,$$ and assume without loss of generality that $$\begin{aligned}
\label{s5:lem32}
|\{u_1\geq\dz/2\}\cap Q^{(m+2)}|\geq\f{1}{2}|Q^{(m+2)}|.\end{aligned}$$
Let $c_1>0$ be chosen later, and set $$\tilde{u}_1:=u_1+c_1(k^{-2}-|x|^2).$$ Then from $(\mathrm{i})$ in the definition of $\mathcal{D}_\dz$ we have $\tilde{u}_1\geq u_1\geq 0$. And it follows from $(\mathrm{iv})$ in the definition of $\mathcal{D}_\dz$ that $D^2 d_G\leq\dz I$, which gives $$\L\tilde{u}_1=\f{\L u_1-a\,\mathrm{tr}(\Phi D^2 d_G)}{b-a}-2c_1\mathrm{tr}\,\Phi\leq 0,$$ this together and Lemma \[s5:lem2\] $(i)$ implies that $$\inf_{Q^{(m)}}\tilde{u}_1\geq \widetilde{c_2}$$ for some universal constant $\widetilde{c_2}>0$.
Apply Lemma \[s5:lem2\] $(ii)$ to $\f{M_2}{\widetilde{c_2}}\tilde{u}_1$ and we obtain $$\inf_{Q^{m-1}}\f{M_2}{\widetilde{c_2}}\tilde{u}_1\geq 1.$$ Continue applying Lemma \[s5:lem2\] $(ii)$ and noting , we obtain $$\label{s5:lem33}
\tilde{u}_1\geq 2c_2:=\f{\widetilde{c_2}}{M_2^{\dz^{\f{1}{n-1}}/R}}\quad\quad\mathrm{in}\;S_{\!\phi}(2\dz e_n,R)\times (-\dz^{\f{1}{n-1}},0].$$ The estimate holds for any $y\in F_\dz:=\{x_n=2\dz,\;|x'|\leq\dz^{\f{1}{6(n-1)}}\}.$ Hence by choosing a finite cover from $\{S_{\!\phi}(y,R)\times (-\dz^{\f{1}{n-1}},0]\}_{y\in F_\dz}$ and choosing $c_1$ such that $\f{c_1}{c_2}\leq k^{-2}$, we obtain $$\inf_{F_\dz\times (-\dz^{\f{1}{n-1}},0]}u_1\geq c_2.$$
Fix $t_0\in(-\dz^{\f{1}{n-1}}/2,0]$. Consider the function $$\underline{w}_{t_0}(x,t):=x_n-\phi(x)+2\l(\dz^{\f{1}{n-1}}|x'|^2+\f{\Lambda^n}{\lambda^{n-1}\dz}x_n^2\r)+(t-t_0).$$ Denote $D:=\{x_n\leq 2\dz\}\cap U$. Using similar arguments as in the proof of [@S1 Lemma 5.2] and noting that on $\l(D\cap\{|x'|\leq\dz^{\f{1}{6(n-1)}}\}\r)\times \{-\dz^{\f{1}{n-1}}\}$, $$\underline{w}_{t_0}(x,-\dz^{\f{1}{n-1}})\leq 2\dz+2\dz^{\f{1}{n-1}}\dz^{\f{1}{3(n-1)}}+2\f{\Lambda^n}{\lambda^{n-1}}4\dz-\f{1}{2}\dz^{\f{1}{n-1}}\leq 0$$ if $\dz>0$ small, we conclude that $\f{u_1}{c_2}\geq\underline{w}_{t_0}\;\mathrm{in}\;D\times [-\dz^{\f{1}{n-1}},t_0]$. In particular, $$\begin{aligned}
u_1(0,x_n,t_0)\geq c_2\,\underline{w}_{t_0}(0,x_n,t_0)\geq \f{c_2}{2}x_n,\quad\quad\forall x_n\in [0,c'],\end{aligned}$$ where $c'$ is universal.
We can apply similar arguments to any $x_0\in\partial U\cap B_c$ and $t_0\in[-\dz^{\f{1}{n-1}}/2,0]$. Hence $$\begin{aligned}
u_1&\geq&\f{c_2}{2}d_G,\quad\quad\mathrm{in}\;\l(\overline{U}\cap B_{c'}\r)\times [-\dz^{\f{1}{n-1}}/2,0],\end{aligned}$$ which implies $$u\geq a'\,d_G\quad\mathrm{in}\;Q_\tz,\quad\quad a':=a+\f{b-a}{2}c_2.$$
Let $u$ be a continuous solution of . Assume $t_0\in (0,T]$, $h>0$ is small and $t_0-h\geq 0$. Let $A_h$ be the sliding in the Localization Theorem and $\phi_h$ be the rescaled function of $\phi$ defined as before, we define $\mathcal{I}_{\!h} (x,t):=(h^{-\f{1}{2}}A_h x,h^{-1}(t-t_0))$ and $$u_h(x,t):=\f{u(\mathcal{I}_{\!h}^{-1}(x,t))}{h^{1/2}}=\f{u(h^{\f{1}{2}}A_h^{-1}x,h t+t_0)}{h^{\f{1}{2}}},\quad (x,t)\in\mathcal{I}_h(Q_{\phi}((0,t_0),h)).$$ Denote $Q_{h}(\phi):=Q_{\phi}((0,0),h)$, and then $$\mathcal{I}_{\!h}(Q_{\phi}((0,t_0),h))=Q_{1}(\phi_h)=S_{\!\phi_h}(0,1)\times (-1,0],$$ $$\mathcal{L}_{\phi_h}u_h=f_h,\quad\quad f_h(x,t):=h^{\f{1}{2}}f(h^{1/2}A_h^{-1}x,h t+t_0),\quad (x,t)\in Q_{1}(\phi_h).$$
Using this parabolic rescaling and Lemma \[s5:lem1\], \[s5:lem3\], and similar arguments as in the proof of [@S1 Theorem 2.1], we can obtain regularity of $u$ on the side of $\Omega$.
\[s5:thm2\] Under the assumptions in Lemma \[s5:lem1\], for any $t_0\in [2c_*,T]$ we have $$\begin{aligned}
|u(x,t)-D_n u(0,t_0)x_n|\leq C[|x|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1},\quad\forall (x,t)\in Q_{\phi}((0,t_0),h_1)\end{aligned}$$ and $$\begin{aligned}
|D_n u(0,t_0)|\leq C,\end{aligned}$$ where $\az_1\in(0,1)$ is universal and $C>0,h_1\in(0,1)$ depend only on $n,\lambda,\Lambda,\rz,c_*$.
Next we assume the global information on $\Omega$ and $\phi$:
Assume $$\label{5.1}
\Omega\subset B_{1/\rz}\;\mathrm{contains\;an\;interior\;ball\;of\;radius}\;\rz\;\mathrm{tangent\;to}\;\partial\Omega\;\mathrm{at\;each\;point\;on}\;\partial\Omega.$$ Let $\phi:\overline{\Omega}\rightarrow\mathbb{R}$, $\phi\in C^{0,1}(\overline{\Omega})\cap C^2(\Omega)$ be a convex function satisfying $$\label{5.2}
\mathrm{det} D^2\phi=g,\quad\quad 0<\lambda\leq g\leq\Lambda\quad\mathrm{in}\;\Omega.$$ Assume further that $\phi$ separates quadratically from its tangent planes on $\partial\Omega$, namely, $$\label{5.4}
\rz|x-x_0|^2\leq\phi(x)-\phi(x_0)-\nabla\phi(x_0)\cdot (x-x_0)\leq\rz^{-1}|x-x_0|^2,\quad\quad\forall x,x_0\in\partial\Omega.$$
Theorem \[s5:thm2\] easily implies the estimate for general Dirichlet boundary data.
\[s5:thm3\] Assume - hold. Assume $\varphi\in C^{2,1}(\overline{D})$ with $D:=\Omega\times (0,T]$. Let $u:\overline{\Omega}\times [\f{c_*}{2},T]\rightarrow\mathbb{R}$ be a continuous solution of $$\left\{
\begin{array}{rcl}
\L u=f&&{\mathrm{in}\;\Omega\times (\f{c_*}{2},T]},\\
u=\varphi&&{\mathrm{on}\;\partial\Omega\times [\f{c_*}{2},T]}
\end{array}\right.$$ with $$\|u\|_{\Lfz\l(\Omega\times (\f{c_*}{2},T]\r)}+\|f/\mathrm{tr}\,\Phi\|_{\Lfz\l(\Omega\times (\f{c_*}{2},T]\r)}+\|\varphi\|_{C^{2,1}(\overline{D})}\le 1.$$ Then for any $z_0=(x_0,t_0)\in\partial\Omega\times [2c_*,T]$, there exists is a linear function $l_{z_0}$ such that $$\begin{aligned}
|u(x,t)-l_{z_0}(x)|\leq C[|x-x_0|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1},\quad\forall(x,t)\in Q_{\phi}(z_0,h_1)\end{aligned}$$ and $$\begin{aligned}
|D l_{z_0}|\leq C,\end{aligned}$$ where $\az_1\in(0,1)$ is universal and $C>0,h_1\in(0,1)$ depend only on $n,\lambda,\Lambda,\rz,c_*$.
Regularity near the corner of $\Omega$ {#s6}
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In this section we establish regularity for solutions $u:\l(B_\rz\cap\overline{\Omega}\r)\times [0,\rz^2]\rightarrow\mathbb{R}$ of $$\label{uc}
\left\{
\begin{array}{rcl}
\L u=f&&{\mathrm{in}\;(B_\rz\cap\Omega)\times (0,\rz^2]},\\
u=\varphi&&{\mathrm{on}\;\Sigma:=\l((B_\rz\cap\partial\Omega)\times (0,\rz^2]\r)\cup\l((B_\rz\cap\overline{\Omega})\times \{0\}\r)},
\end{array}\right.$$ where $\Omega$ and $\phi$ satisfy -.
We first give a pointwise $C^{1+\az,\f{1+\az}{2}}$ estimate at the corner of $\Omega$. The idea is similar to that in Lemma \[s4:lem1\], using the good geometry of boundary sections of $\phi$ given by the Localization Theorem \[s5:thm1\].
\[s6:lem1\] Assume - hold. Let $u$ be a continuous solution of with $$\|u\|_{\Lfz(\l(B_{\rz}\cap\Omega\r)\times (0, \rz^2])}+\|f/\mathrm{tr}\Phi\|_{\Lfz(\l(B_{\rz}\cap\Omega\r)\times (0,\rz^2])}\leq 1,$$ where there is a linear function $l_{(0,0)}$ such that $$\label{s6:lem11}
|\varphi(x,t)-l_{(0,0)}(x)|\leq |x|^{2}+t,\quad\quad\forall (x,t)\in\Sigma,$$ and $$\label{s6:lem11'}
|D l_{(0,0)}|\leq 1.$$ Then for any $0<\alpha<1$, there is a constant $c_0>0$ such that $$\begin{aligned}
|u(x,t)-l_{(0,0)}(x)|&\leq& C(|x|^2+t)^{\f{1+\alpha}{2}},\quad\forall(x,t)\in \l(B_{\rz}\cap\Omega\r)\times [0,\rz^2],\end{aligned}$$ where $C>0,c_0>0$ depend only on $n,\lambda,\Lambda,\alpha,\rz$.
Assume $\phi(0)=0,\nabla\phi(0)=0$. For any $0<\dz<1$, the Localization Theorem \[s5:thm1\] gives that (see ) for any $0<\dz<1$, $$\label{s6:lem12}
|x|^{2+\dz}\leq\phi(x)\leq |x|^{2-\dz},$$ holds for any $x\in B_{c_0}\cap\Omega$, where $c_0$ depends only on $n,\lambda,\Lambda,\rz,\dz$.
Let $v(x,t):=\phi(x)+\mu t$ with $\mu\geq n+1/\lambda$. We have $$\begin{aligned}
\label{s6:lem13}
\L v=-\mu\mathrm{det} D^2\phi+n\mathrm{det} D^2\phi\leq -\lambda(\mu-n)\leq -1.\end{aligned}$$ Moreover, the estimate implies that $$\begin{aligned}
\label{s6:lem14}
v(x,0)=\phi(x)\geq |x|^{2+\dz}\quad\quad x\in B_{c_0}\cap\Omega.\end{aligned}$$
For any $\epsilon>0$, by straightforward computation we have $$K_1\epsilon^{-\f{\dz}{2}}\ge r^{-\dz}-\epsilon\,r^{-(2+\dz)},\quad\quad\forall r>0,$$ where $K_1:=\l[\f{\dz}{2+\dz}\r]^{1+\f{\dz}{2}}\f{2}{\dz}$. For any $x\in B_{c_0}\cap\Omega$, we have by $$\begin{aligned}
\label{s6:lem15}
|x|^2\leq\epsilon+K_1\epsilon^{-\f{\dz}{2}}|x|^{2+\dz}\leq\epsilon+K_1\epsilon^{-\f{\dz}{2}}v(x,0).\end{aligned}$$
Define $$\omega^{\pm}(x,t):=2[\epsilon+K_1\epsilon^{-\f{\dz}{2}}v(x,t)]+t-\f{1}{2}|x|^2\pm[u(x,t)-l(x)],\quad\quad x\in\overline{\Omega}\cap B_\rz,t\in [0,\rz^2],$$ where $l(x):=l_{(0,0)}(x)$. By we have $$\L\omega^{\pm}=2K_1\epsilon^{-\f{\dz}{2}}\L v-\mathrm{det} D^2\phi-\mathrm{tr}\Phi[1\mp f/\mathrm{tr}\Phi]\leq
0\quad\quad\mathrm{in}\;\l(B_{c_0}\cap\Omega\r)\times (0,\rz^2].$$ On $\l(B_{c_0}\cap\Omega\r)\times\{0\}$, the estimate implies that $$\omega^{\pm}(x,0)=2[\epsilon+K_1\epsilon^{-\f{\dz}{2}}v(x,0)]-\f{1}{2}|x|^2\pm[\varphi(x,0)-l(x)]\geq 0.$$ On $\l(\partial\Omega\cap B_{c_0}\r)\times (0,\rz^2]$, using again we have $$\begin{aligned}
\omega^{\pm}(x,t)&\geq&2[\epsilon+K_1\epsilon^{-\f{\dz}{2}}v(x,0)]+t-\f{1}{2}|x|^2\pm[\varphi(x,t)-l(x)]\\
&\geq&2[\epsilon+K_1\epsilon^{-\f{\dz}{2}}v(x,0)]+t-\f{1}{2}|x|^2-[|x|^{2}+t]\geq 0.\end{aligned}$$ On $\l(\partial B_{c_0}\cap\Omega\r)\times (0,\rz^2]$, we use and find $$\begin{aligned}
\omega^{\pm}(x,t)&\geq&2K_1\epsilon^{-\f{\dz}{2}}|x|^{2+\dz}-\f{1}{2}|x|^2-[|\varphi(x,t)|+|l(0)|+|Dl||x|]\\
&\geq&2K_1\epsilon^{-\f{\dz}{2}}c_0^{2+\dz}-\f{1}{2}c_0^2-3\geq 0,\end{aligned}$$ where we choose $\ez>0$ such that $K_1\epsilon^{-\f{\dz}{2}}\geq 2c_0^{-(2+\dz)}$. Then the maximum principle implies that $$\omega^{\pm}\geq 0\quad\quad\mathrm{in}\;\l(B_{c_0}\cap\Omega\r)\times [0,\rz^2].$$ Hence for any $\ez$ such that $K_1\epsilon^{-\f{\dz}{2}}\geq 2c_0^{-(2+\dz)}$ we have $$\begin{aligned}
\label{s6:lem16}
|u(x,t)-l(x)|\leq2[\epsilon+K_1\epsilon^{-\f{\dz}{2}}v(x,t)]+t,\quad\quad\forall (x,t)\in \l(B_{c_0}\cap\Omega\r)\times [0,\rz^2],\end{aligned}$$ which gives $$\begin{aligned}
|u(x,t)-l(x)|\leq C[v(x,t)]^{\f{2}{2+\dz}}+t\leq C[|x|^{\f{2(2-\dz)}{2+\dz}}+t^{\f{2}{2+\dz}}],\end{aligned}$$ where $C$ depends only on $n,\lz,\Lz,\rz,\dz$. For any $\alpha<1$, we choose $\dz>0$ small such that $\f{2(2-\dz)}{2+\dz}>1+\alpha$ and $\f{2}{2+\dz}>\f{1+\alpha}{2}$. The result follows.
Lemma \[s6:lem1\], Theorem \[s5:thm2\] and a localization process give estimates of $u$ near the corner of $\Omega$.
\[s6:lem2\] Assume - hold. Let $u$ be a continuous solution of with $\varphi=0$ and $$\|u\|_{L^\infty((B_\rz\cap\Omega)\times (0,\rz^2])}+\|f/\mathrm{tr}\Phi\|_{L^\infty((B_\rz\cap\Omega)\times (0,\rz^2])}\leq 1.$$ Then for any $t_0\leq h_0$ we have $$\begin{aligned}
|u(x,t)-D_n u(0,t_0)x_n|\leq C[|x|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1},\quad\forall(x,t)\in Q_{\phi}((0,t_0),h_1t_0), \end{aligned}$$ and $$\begin{aligned}
|D_n u(0,t_0)|\leq Ct_0^{\f{\alpha_1}{2}},\end{aligned}$$ where $C>0,h_0,h_1,\alpha_1\in(0,1)$ are universal.
Recall the rescaled function $\phi_h$ and section $S_{\!\phi_h}(0,1)$ in Section \[s5\]. For any $h\leq h_0=h_0(n,\lambda,\Lambda,\rz)$, $\phi_h$ satisfies in $S_{\!\phi_h}(0,1)$ the hypotheses of the Localization Theorem \[s5:thm1\] at all points on $\partial S_{\!\phi_h}(0,1)\cap B_{c_0}$ for some $c_0$ universal. Define $I_h(x,t):=(h^{-\f{1}{2}}A_h x,h^{-1}t)$ and $$Q'_h(\phi):=S_{\!\phi}(0,h)\times (0,h],$$ then $$\mathcal{I}_hQ'_h(\phi)=Q'_1(\phi_h)=S_{\!\phi_h}(0,1)\times (0,1].$$ Define $$u_h(y,s):=\f{u(h^{\f{1}{2}}A_h^{-1}y,hs)}{h^{\f{1}{2}}},$$ then $$\mathcal{L}_{\phi_h}u_h(y,s)=f_h(y,s):=h^{\f{1}{2}}f(h^{\f{1}{2}}A_h^{-1}y,hs)\quad\quad\mathrm{in}\;Q'_1(\phi_h).$$ Note $$S_{\!\phi_h}(0,1)\supset B_{k}\cap\overline{\Omega_h}$$ with $k$ universal and $$u_h=0\quad\quad\mathrm{on}\;\l((\partial S_{\!\phi_h}(0,1)\cap B_{k})\times (0,1]\r)\cup\l((S_{\!\phi_h}(0,1)\cap B_{k})\times\{0\}\r).$$ Applying Theorem \[s5:thm2\], for any $s_0\in[\f{1}{2},1]$ and any $(y,s)\in Q_{\phi_h}((0,s_0),h_1)$, we have $$\begin{aligned}
\label{s6:rem21}
|u_h(y,s)-D_n u_h(0,s_0)y_n|&\leq&C[\|u_h\|_{\Lfz((S_{\!\phi_h}(0,1)\cap B_k)\times (0,1])}+\|f_h/\mathrm{tr}\Phi_h\|_{\Lfz((S_{\!\phi_h}(0,1)\cap B_k)\times (0,1])}]\nonumber\\
&\cdot&[|y|+|s-s_0|^{\f{1}{2}}]^{1+\alpha_1},\end{aligned}$$ and $$\begin{aligned}
|D_n u_h(0,s_0)|&\leq&C[\|u_h\|_{\Lfz((S_{\!\phi_h}(0,1)\cap B_k)\times (0,1])}+\|f_h/\mathrm{tr}\Phi_h\|_{\Lfz((S_{\!\phi_h}(0,1)\cap B_k)\times (0,1])}],\end{aligned}$$ where $C>0,0<h_1,\alpha_1<1$ are universal.
By Lemma \[s6:lem1\], for any $\alpha\in(0,1)$ and $(x,t)\in Q'_h(\phi)$, we obtain $$\begin{aligned}
\label{s6:lem21}
|u(x,t)|\leq C\l(|x|^2+t\r)^{\f{1+\alpha}{2}}\leq Ch^{\f{1+\alpha}{2}}|\log h|^{1+\alpha},\end{aligned}$$ where $C=C(n,\lz,\Lz,\rz,\az)>0$. Moreover, $$\begin{aligned}
\label{s6:lem22}
\|f_h/\mathrm{tr}\Phi_h\|_{\Lfz\l(\l(B_{k}\cap S_{\!\phi_h}(0,1)\r)\times (0,1]\r)}
\leq Ch^{\f{1}{2}}|\log h|^{2}\|f/\mathrm{tr}\Phi\|_{L^\infty(Q'_h(\phi))}\leq Ch^{\f{1}{2}}|\log h|^{2}\end{aligned}$$ for some constant $C=C(n,\lz,\Lz,\rz)>0$.
For any $t_0\in [\f{h}{2},h]$, set $$l_{(0,t_0)}(x):=h^{\f{1}{2}}D_n u_h(0,h^{-1}t_0)(h^{-\f{1}{2}}A_h x)\cdot e_n=D_n u_h(0,h^{-1}t_0)x_n.$$ For any $(x,t)\in Q_{\phi}((0,t_0),h_1h)$, we have by and that $$\begin{aligned}
|u(x,t)-l_{(0,t_0)}(x)|&\leq&Ch^{\f{1}{2}}\l[h^{\f{\alpha}{2}}|\log h|^{1+\alpha}
+h^{\f{1}{2}}|\log h|^{2}\r]\cdot[|h^{-\f{1}{2}}A_h x|+|h^{-1}(t-t_0)|^{\f{1}{2}}]^{1+\alpha_1}\\
&\leq&Ch^{\f{1}{2}}h^{\f{\alpha}{2}}|\log h|^{2}h^{-\f{1+\alpha_1}{2}}|\log h|^{1+\alpha_1}[|x|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1}\\
&\leq&C[|x|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1},\end{aligned}$$ and $$\begin{aligned}
|D_n u_h(0,s_0)|&\leq&C\l[h^{\f{\alpha}{2}}|\log h|^{1+\alpha}
+h^{\f{1}{2}}|\log h|^{2}\r]\le Ch^{\f{\az_1}{2}},\end{aligned}$$ where $C=C(n,\lz,\Lz,\rz)$ and we take $\az>\alpha_1$. Moreover, from the first estimate we conclude that $D_n u(0,t_0)=D_n u_h(0,h^{-1}t_0)$.
For any $t_0\leq h_0$, take $h:=t_0\leq h_0$, then the last two estimates imply the desired conclusion.
Lemma \[s6:lem2\] implies the estimate for general Dirichlet boundary data.
\[s6:thm1\] Assume - hold. Denote $D:=\Omega\times(0,T]$. Let $\varphi\in C^{2,1}(\overline{D})$ and $u$ be a continuous solution of $$\left\{
\begin{array}{rcl}
\L u=f&&\mathrm{in}\;D,\\
u=\varphi&&\mathrm{on}\;\partial_pD
\end{array}\right.$$ with $$\|u\|_{\Lfz(D)}+\|f/\mathrm{tr}\,\Phi\|_{\Lfz(D)}+\|\varphi\|_{C^{2,1}(\overline{D})}\le 1.$$ Then, for any $z_0=(x_0,t_0)\in\partial\Omega\times [0,h_0]$, there exists is a linear function $l_{z_0}$ such that $$\begin{aligned}
|u(x,t)-l_{z_0}(x)|\leq C[|x-x_0|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1},\quad\forall(x,t)\in Q_{\phi}(z_0,h_1t_0)\end{aligned}$$ and $$\begin{aligned}
\sup_{(x,t)\in\partial\Omega\times [0,h_0]}|D l_{(x,t)}|+\sup_{\substack{(x,t),(y,s)\in\partial\Omega\times[0,h_0]\\ (x,t)\neq(y,s)}}\f{|D l_{(x,t)}-D l_{(y,s)}|}{(|x-y|+|t-s|^{\f{1}{2}})^{\alpha_1}}\le C,\end{aligned}$$ where $C>0,h_0,h_1,\alpha_1\in(0,1)$ are universal.
Proof of Theorem 2 {#s7}
==================
In this section we give the complete proof of Theorem $2$. We denote by $c,C$ constants depending only on $n,\lz,\Lz,\rz,T$ and the modulus of continuity of $g$. Their values may change from line to line whenever there is no confusion.
We may assume $$\|u\|_{\Lfz(D)}+\|f\|_{\Lfz(D)}+\|\varphi\|_{C^{2,1}(\overline{D})}\leq 1.$$
Let $y\in\Omega$. Assume $\Omega\subset\mathbb{R}^n_+, 0\in\partial\Omega$ and the maximal interior section $S_{\!\phi}(y,\bar{h})$ is tangent to $\partial\Omega$ at $0$. By Proposition \[s5:prop1\], we have $$\mathrm{dist}(y,\partial\Omega)\sim\bar{h}^{\f{1}{2}},\quad\quad |\nabla\phi(y)|\sim\bar{h}^{\f{1}{2}},$$ $$c E\subset S_{\!\phi}(y,\bar{h})-y\subset C E,$$ where $$E:=\bar{h}^{\f{1}{2}}A_{\bar{h}}^{-1}B_1,\quad\quad \|A_{\bar{h}}\|,\|A_{\bar{h}}^{-1}\|\leq C\log|\bar{h}|.$$ Define $Tx:=\bar{h}^{-\f{1}{2}}A_{\bar{h}}(x-y)$ and $T_{\!p}(x,t):=(Tx,\bar{h}^{-1}t)$, $$\begin{aligned}
\tilde{\phi}(\tilde{x}):&=&\f{1}{\bar{h}}[\phi(T^{-1}\tilde{x})-l_{\phi,y} (T^{-1}\tilde{x})-\bar{h}],\\
\tilde{u}(\tilde{x},\tilde{t}):&=&\f{1}{\bar{h}^{\f{1}{2}}}[u(T^{-1}\tilde{x},\bar{h}\tilde{t})-l_{(0,0)}(T^{-1}\tilde{x})],\end{aligned}$$ where $l_{(0,0)}$ is from Lemma \[s6:lem1\]. Let $K_0>1$ be a constant to be chosen later. Then $$\begin{aligned}
&&B_c\times (0,K_0]\subset T_{\!p}(S_{\!\phi}(y,\bar{h})\times (0,K_0\bar{h}])=S_{\!\tilde{\phi}}(0,1)\times (0,K_0]\subset B_C\times (0,K_0],\\
&&\mathcal{L}_{\tilde{\phi}}\tilde{u}(\tilde{x},\tilde{t})=\tilde{f}(\tilde{x},\tilde{t})
:=\bar{h}^{\f{1}{2}}f(T^{-1}\tilde{x},\bar{h}\tilde{t})\quad\quad\mathrm{in}\;S_{\!\tilde{\phi}}(0,1)\times (0,K_0].\end{aligned}$$ From Lemma \[s6:lem1\], for any $\alpha\in(0,1)$ we have $$\begin{aligned}
\label{s5:thm414'}
|u(x,t)-l_{(0,0)}(x)|\leq C[|x|+|t|^{\f{1}{2}}]^{1+\alpha},\quad\forall (x,t)\in D,\end{aligned}$$ Define $\tilde{\varphi}:=\tilde{u}(\cdot,0)$, then by straightforward computation we obtain $$\begin{aligned}
\label{s5:thm414''}
\|\tilde{\varphi}\|_{C^{1,1}(\overline{S_{\!\tilde{\phi}}(0,1)})}\leq C\bar{h}^{\f{1}{2}}|\log\bar{h}|^{2}.\end{aligned}$$ Theorem \[s4:thm3\] gives that $\tilde{u}\in C^{1+\alpha',\f{1+\alpha'}{2}}\l(\overline{S_{\!\tilde{\phi}}(0,\f{1}{2})}\times [0,K_0]\r)$ for any $\alpha'<1$ and $$\begin{aligned}
\|\tilde{u}\|_{C^{1+\alpha',\f{1+\alpha'}{2}}\l(\overline{S_{\!\tilde{\phi}}(0,\f{1}{2})}\times \l[0,K_0\r]\r)}\leq C[\|\tilde{u}\|_{\Lfz(S_{\!\tilde{\phi}}(0,1)\times (0,K_0])}+\|\tilde{f}\|_{\Lfz(S_{\!\tilde{\phi}}(0,1)\times (0,K_0])}+\|\tilde{\varphi}\|_{C^{1,1}(\overline{S_{\!\tilde{\phi}}(0,1)})}]\leq\bar{h}^{\f{\alpha}{4}},\end{aligned}$$ where we use and . Hence, $$\begin{aligned}
\|D u\|_{L^\infty\l(\overline{S_{\!\phi}\l(y,\f{\bar{h}}{2}\r)}\times(0,K_0\bar{h}]\r)}&\leq&|D l_{(0,0)}|
+\|A_{\bar{h}}\|\,\|D\tilde{u}\|_{L^\infty\l(\overline{S_{\!\tilde{\phi}}(0,\f{1}{2})}\times \l[0,K_0\r]\r)}\leq C,\end{aligned}$$ and for any $(x,t_1),(x,t_2)\in S_{\!\phi}\l(y,\f{\bar{h}}{2}\r)\times(0,K_0\bar{h}]$, $$\begin{aligned}
|u(x,t_1)-u(x,t_2)|&=&\bar{h}^{\f{1}{2}}|\tilde{u}(Tx,\bar{h}^{-1}t_1)-\tilde{u}(Tx,\bar{h}^{-1}t_2)|\\
&\leq&\bar{h}^{\f{1}{2}}\bar{h}^{\f{\alpha}{4}}\bar{h}^{-\f{1+\alpha'}{2}}|t_1-t_2|^{\f{1+\alpha'}{2}}\leq |t_1-t_2|^{\f{1+\alpha'}{2}},\end{aligned}$$ by taking $\alpha'<\f{\alpha}{2}$. For any $(x_i,t_i)\in S_{\!\phi}\l(y,\f{\bar{h}}{2}\r)\times(0,K_0\bar{h}],\;i=1,2$, $$\begin{aligned}
|D u(x_1,t_1)-D u(x_2,t_2)|
&=&|(A_{\bar{h}})^t[D\tilde{u}(Tx_1,\bar{h}^{-1}t_1)-D\tilde{u}(Tx_2,\bar{h}^{-1}t_2)]|\\
&\leq&C|\log\bar{h}|\,\bar{h}^{\f{\alpha}{4}}\,[|\bar{h}^{-\f{1}{2}}A_{\bar{h}}(x_1-x_2)|+\bar{h}^{-\f{1}{2}}|t_1-t_2|^{\f{1}{2}}]^{\alpha'}\\
&\leq&C\bar{h}^{\f{\alpha}{4}-\f{\alpha'}{2}}|\log\bar{h}|^{1+\alpha'}[|x_1-x_2|+|t_1-t_2|^{\f{1}{2}}]^{\alpha'}\\
&\leq&[|x_1-x_2|+|t_1-t_2|^{\f{1}{2}}]^{\alpha'}.\end{aligned}$$ Hence we obtain $$\begin{aligned}
\label{s5:thm415'}
\|u\|_{C^{1+\alpha',\f{1+\alpha'}{2}}\l(\overline{S_{\!\phi}(y,\f{\bar{h}}{2})}\times \l[0,K_0\bar{h}\r]\r)}\leq C.\end{aligned}$$ Denote $l_{(y,t)}:=l_{u,(y,t)}$ for $t\in(0,T]$. For any $t_0\in (0,K_0\bar{h}]$ and $(x,t)\in\overline{S_{\!\phi}(y,\f{\bar{h}}{2})}\times[0,K_0\bar{h}]$, $$\begin{aligned}
\label{s5:thm416}
|u(x,t)-l_{(y,t_0)}(x)|&=&|u(x,t)-u(y,t_0)-D u(y,t_0)\cdot (x-y)|\nonumber\\
&\leq&C[|x-y|+|t-t_0|^{\f{1}{2}}]^{1+\alpha'}.\end{aligned}$$ Then by and , $$\begin{aligned}
|D l_{(0,0)}-D u(y,t_0)|\leq C |y|^{\f{\alpha'}{2}}.\end{aligned}$$ Let $\az_1\in(0,1)$ be the small constant given by Theorem \[s6:thm1\], then $$\begin{aligned}
|D u(y,t_0)-D l_{(0,t_0)}|&\leq&|D l_{(0,0)}-D u(y,t_0)|+|D l_{(0,0)}-D l_{(0,t_0)}|\leq C|y|^{\f{\az'}{2}},\end{aligned}$$ where we use Theorem \[s6:thm1\] and take $\f{\az'}{2}<\az_1$. Combining these estimates we find $$\begin{aligned}
\label{s5:thm417}
\sup_{t\in[0,K_0\bar{h}]}\f{|D u(y,t)-D l_{(0,t)}|}{|y|^{\f{\az'}{2}}}\leq C.\end{aligned}$$
Let $h_0,h_1$ be the small constants given by Theorem \[s6:thm1\]. Fix $t_0\in (K_0\bar{h},h_0]$. Define $$v(\tilde{x},\tilde{t}):=\f{1}{\bar{h}^{\f{1}{2}}}\l[u-l_{(0,t_0)}\r](\bar{h}^{\f{1}{2}}A_{\bar{h}}^{-1}\tilde{x}+y,\bar{h}\tilde{t}+t_0),$$ then $$\mathcal{L}_{\tilde{\phi}}v(\tilde{x},\tilde{t})=F(\tilde{x},\tilde{t}):=\bar{h}^{\f{1}{2}}f(\bar{h}^{\f{1}{2}}A_{\bar{h}}^{-1}\tilde{x},\bar{h}\tilde{t}+t_0)\quad\quad\mathrm{in}\;Q_{\tilde{\phi}}((0,0),1).$$ The interior estimate Theorem $1$ shows for $\alpha'<1$ as above, $$\begin{aligned}
\|v\|_{C^{1+\alpha',\f{1+\alpha'}{2}}\l(\overline{Q_{\tilde{\phi}}((0,0),\f{1}{2})}\r)}\leq C[\|v\|_{\Lfz(Q_{\tilde{\phi}}((0,0),1))}+\|F\|_{\Lfz(Q_{\tilde{\phi}}((0,0),1))}].\end{aligned}$$ Applying Theorem \[s6:thm1\], there exists is a linear function $l_{(0,t_0)}$ such that $$\begin{aligned}
\label{s5:thm418}
|u(x,t)-l_{(0,t_0)}(x)|\leq C[|x|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1},\quad\forall (x,t)\in Q_{\phi}((0,t_0),h_1t_0).\end{aligned}$$ By [@N Proposition 4.1], $$S_{\!\phi}(y,\bar{h})\subset S_{\!\phi}(0,\tz_*\bar{h}),$$ where $\tz_*$ depends only on $n,\lz,\Lz,\rz$.
Now we take $K_0:=\tz_*h_1^{-1}$, then $h_1t_0>h_1K_0\bar{h}=\tz_*\bar{h}$, we have by $$\begin{aligned}
\label{s5:thm423}
|u(x,t)-l_{(0,t_0)}(x)|\leq C[|x|+|t-t_0|^{\f{1}{2}}]^{1+\alpha_1},\quad\forall(x,t)\in Q_{\phi}((y,t_0),\bar{h}).\end{aligned}$$ Hence, for any $(\tilde{x},\tilde{t})\in Q_{\tilde{\phi}}((0,0),1)$, $$\begin{aligned}
|v(\tilde{x},\tilde{t})|
&\leq&C\bar{h}^{-\f{1}{2}}[|\bar{h}^{\f{1}{2}}A_{\bar{h}}^{-1}\tilde{x}+y|+\bar{h}^{\f{1}{2}}|\tilde{t}|^{\f{1}{2}}]^{1+\alpha_1}
\leq\bar{h}^{\f{\alpha_1}{4}}.\end{aligned}$$ Similar to the proof of we have $$\begin{aligned}
\label{s5:thm420}
\|u\|_{C^{1+\alpha',\f{1+\alpha'}{2}}\l(\overline{Q_{\phi}((y,t_0),\f{\bar{h}}{2})}\r)}\leq C\end{aligned}$$ by choosing $\alpha'<\f{\alpha_1}{2}$. For any $(x,t)\in Q_{\phi}((y,t_0),\f{\bar{h}}{2})$, we have from that $$\begin{aligned}
\label{s5:thm422}
|u(x,t)-l_{(y,t_0)}(x)|\leq C[|x-y|+|t-t_0|^{\f{1}{2}}]^{1+\alpha'}.\end{aligned}$$ This together with implies $$\begin{aligned}
|D l_{(x_0,t_0)}-D u(y,t_0)|\leq C |y|^{\f{\alpha'}{2}}.\end{aligned}$$ Hence, $$\begin{aligned}
\label{s5:thm424}
\sup_{t\in[K_0\bar{h},h_0]}\f{|D u(y,t)-D l_{(0,t)}|}{|y|^{\f{\alpha'}{2}}}\leq C.\end{aligned}$$
Note that also holds if $t_0\ge h_0$ (by applying Theorem \[s5:thm3\]), hence and also hold for $t_0\ge h_0$.
Let $(x,t),(y,s)\in\Omega\times [0,T]$. Denote $\bar{h}_x:=\bar{h}(x),\bar{h}_y:=\bar{h}(y)$ and assume $\bar{h}_y\leq\bar{h}_x$. Let $x^*, y^*\in\partial\Omega$ such that $x^*\in\partial S_{\!\phi}(x,\bar{h}_x)\cap\partial\Omega$ and $y^*\in\partial S_{\!\phi}(y,\bar{h}_y)\cap\partial\Omega,$. We consider these cases:\
$\mathbf{Case\;1.}$ $y\in S_{\!\phi}\l(x,\f{\bar{h}_x}{2}\r),\;|t-s|<\f{\bar{h}_x}{2},\;t,s\leq K_0\bar{h}_x$. Then $$(x,t),(y,s),(x,s)\in S_{\!\phi}\l(x,\f{\bar{h}_x}{2}\r)\times (0,K_0\bar{h}_x].$$ Hence by , $$\begin{aligned}
|D u(x,t)-D u(y,s)|&\leq&C[|x-y|+|t-s|^{\f{1}{2}}]^{\alpha'},\\
|u(x,t)-u(x,s)|&\leq&C|t-s|^{\f{1+\alpha'}{2}}.\end{aligned}$$
$\mathbf{Case\;2.}$ $y\in S_{\!\phi}\l(x,\f{\bar{h}_x}{2}\r),\;|t-s|<\f{\bar{h}_x}{2},\;\max\{t,s\}>K_0\bar{h}_x$. For example, if $s>K_0\bar{h}_x,\;t\leq s$, then $$(y,s),(x,t)\in Q_{\phi}\l((x,s),\f{\bar{h}_x}{2}\r).$$ Hence by , $$\begin{aligned}
|D u(x,t)-D u(y,s)|&\leq&|D u(y,s)-D u(x,s)|+|D u(x,s)-D u(x,t)|\\
&\leq&C[|x-y|+|t-s|^{\f{1}{2}}]^{\alpha'},\\
|u(x,t)-u(x,s)|&\leq&C|t-s|^{\f{1+\alpha'}{2}}.\end{aligned}$$
$\mathbf{Case\;3.}$ $y\in S_{\!\phi}\l(x,\f{\bar{h}_x}{2}\r),\;|t-s|\geq\f{\bar{h}_x}{2}$.\
For any $\dz\in(0,\f{1}{2})$ small we have $$|y^*-y|\leq C\bar{h}_y^{\f{1}{2}-\dz}\leq C\bar{h}_x^{\f{1}{2}-\dz}\leq C|s-t|^{\f{1}{2}-\dz},$$ $$|x^*-x|\leq C\bar{h}_x^{\f{1}{2}-\dz}\leq C|s-t|^{\f{1}{2}-\dz},$$ then by , and Theorem \[s6:thm1\], $$\begin{aligned}
|D u(x,t)-D u(y,s)|&\leq&|D u(x,t)-D l_{(x^*,t)}|+|D l_{(x^*,t)}-D l_{(y^*,s)}|+|D l_{(y^*,s)}-D u(y,s)|\\
&\leq&C[|x-x^*|^{\f{\alpha'}{2}}+(|x^*-y^*|+|t-s|^{\f{1}{2}})^{\alpha_1}+|y^*-y|^{\f{\alpha'}{2}}],\\
&\leq&C[|x-y|+|t-s|^{\f{1}{4}}]^{\f{\alpha'}{2}},\\
|u(x,t)-u(x,s)|&\leq&|u(x,t)-l_{(x^*,t)}(x)|+|l_{(x^*,t)}(x)-l_{(x^*,s)}(x)|+|u(x,s)-l_{(x^*,s)}(x)|\\
&=&|(D u(\xi,t)-D l_{(x^*,t)})\cdot(x-x^*)|+|(D u(\eta,s)-D l_{(x^*,s)})\cdot(x-x^*)|\\
&+&|u(x^*,t)-u(x^*,s)+(D l_{(x^*,t)}-D l_{(x^*,s)})\cdot(x-x^*)|\\
&\leq&C[|x-x^*|^{1+\f{\alpha'}{2}}+|t-s|+|t-s|^{\f{\alpha_1}{2}}|x-x^*|]\\
&\leq&C|t-s|^{(\f{1}{2}-\dz)(1+\f{\az'}{2})}\le C|t-s|^{\f{1}{2}(1+\f{\az'}{4})},\end{aligned}$$ where $\xi,\eta$ are some points in the segment joining $x$ and $x^*$, and we choose $\dz$ sufficiently small.\
$\mathbf{Case\;4.}$ $y\notin S_{\!\phi}(x,\bar{h}_x/C^*)$.\
Since $\phi\in C^{1,\bz}(\overline{\Omega})$ for some $\bz=\bz(n,\lz,\Lz,\rz)\in(0,1)$ ([@S1 Proposition 2.6]), we have $$|x-y|\geq c\bar{h}_x^{\f{1}{1+\bz}}\geq\bar{h}_y^{\f{1}{1+\bz}},$$ it follows that $$|x^*-x|\leq C\bar{h}_x^{\f{1}{4}}\leq C|x-y|^{\f{1+\bz}{4}},$$ and $$|y^*-y|\leq C\bar{h}_y^{\f{1}{4}}\leq C|x-y|^{\f{1+\bz}{4}},$$ then $$\begin{aligned}
|D u(x,t)-D u(y,s)|&\leq&|D u(x,t)-D l_{(x^*,t)}|+|D l_{(x^*,t)}-D l_{(y^*,s)}|+|D l_{(y^*,s)}-D u(y,s)|\\
&\leq&C[|x-x^*|^{\f{\alpha'}{2}}+(|x^*-y^*|+|t-s|^{\f{1}{2}})^{\alpha_1}+|y^*-y|^{\f{\alpha'}{2}}],\\
&\leq&C[|x-y|^{\f{1+\bz}{4}}+|t-s|^{\f{1}{2}}]^{\f{\alpha'}{2}}.\end{aligned}$$
Combining all these cases, the proof of Theorem $2$ is complete.
[99]{}
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\[CG\] L. Caffarelli and C. Guti$\acute{e}$rrez, *Properities of the solutions of the linearized Monge-Amp$\grave{e}$re equations,* Amer. J. Math. $\mathbf{119}$ (1997), 423-465.
\[F\] A. Friedman, *Partial Differential Equations of Parabolic Type,* Prentice-Hall, 1964.
\[G\] C. Guti$\acute{e}$rrez, *The Monge-Amp$\grave{e}$re Equation,* Birkh$\ddot{a}$user, Boston, MA, 2001.
\[GN\] C. Guti$\acute{e}$rrez and T.Nguyen, *Interior gradient estimates for solutions to the linearized Monge-Amp$\grave{e}$re equation,* Adv. Math. $\mathbf{228}$ (4) (2011), 2034-2070.
\[GT\] D. Gilbarg and N. Trudinger, *Elliptic Partial Dfferential Equations of Second Order,* 2nd edition, Springer-Verlag, New York, 1983.
\[HQ\] Q. Huang, *Harnack inequality for the linearized parabolic Monge-Amp$\grave{e}$re equation,* Trans. Amer. Math. Soc. $\mathbf{351}$ (1999), 2025-2054.
\[LS\] O. Lady$\check{z}$enskaja, V. Solonnikov and N. Ural’ceva, *Linear and Quasi-linear Equations of Parabolic Type,* American Mathematical Society, 1968.
\[N\] N. Le, *Boundary Harnack inequality for the linearized Monge-Amp$\grave{e}$re Equations and applications,* arXiv:1511.01462v2 \[math.AP\] $\mathbf{12}$ (2015).
\[LN\] N. Le and T. Nguyen, *Global $W^{2,p}$ estimates for solutions to the linearized Monge-Amp$\grave{e}$re Equations,* Math. Ann. $\mathbf{358}$ (3-4)(2014), 629-700.
\[S1\] N. Le and O. Savin, *Boundary regularity for solutions to the linearized Monge-Amp$\grave{e}$re Equations,* Arch. Ration. Mech. Anal. $\mathbf{210}$ (3)(2013), 813-836.
\[GM\] G. Lieberman, *Second Order Parabolic Dfferential Equations,* World Scientific, 1996.
\[S2\] O. Savin, *Pointwise $C^{2,\alpha}$ estimates at the boundary for the Monge-Amp$\grave{e}$re Equation,* J. Amer. Math. Soc. $\mathbf{26}$ (1)(2013), 63-99.
\[Tso\] K. Tso, *On an Aleksandrov-Bakelman type maximum principle for second order parabolic equations,* Comm. Partial Differential Equations. $\mathbf{10}$ (1985), 543-553.
LMAM, School of Mathematical Sciences, Peking University, Beijing, 100871, P. R. China
Lin Tang, E-mail address: [email protected]
Qian Zhang,E-mail address: [email protected]
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tomekkorbak/pile-curse-small
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ArXiv
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When he booked two nights at Morton H. Meyerson Symphony Center in Dallas, vocalist Steve Lippia’s plan was to share the stage with composer Marvin Hamlisch. Lippia would present his show, “Simply Sinatra,” and Hamlisch would lead the Dallas Symphony Orchestra’s pops section in several numbers.
When leaving Tyler's Cowan Center after the Lyle Lovett show recently, I made a wrong turn and headed out the Old Henderson Highway. Realizing my mistake, I turned around in a driveway that led up to Villa Montez, the stately home that was once The Mansion on the Hill. The place was beautifully lit and the aromas so enticing, I decided to take my mom there on her birthday.
Local singer and violinist Hannah Caroline Kirby knows what she wants and she knows how to get it. The 2012 Sulphur Springs High School graduate decided to attend Texas A&M-Commerce for a year, get some theory classes under her belt before heading to the University of North Texas to pursue a degree in music.
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Pile-CC
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Friday, June 28, 2013
Do you trust God through the Holy Spirit to change your life?
With all the self help books out there, sometimes we don't take the necessary steps to change us into the person God wants us to be. We don't believe that God can really change our circumstances, attitudes or our habits. We spend more time on the problem instead of on the solution to the problem, change.
There is a first step or a change agent required for anyone to change, but many just abandon the whole thing without considering the fact that they can change.
For example: We are a constantly late person. We accept the fact that this is our identity instead of asking the question... "Should we be a constantly late person?" or " Is our lateness causing a problem for others, having a negative impact or showing disrespect?"
This is where the motivation of having a Holy Spirit comes in. We say without God we cannot change this behavior. We should say, "I have God.I can change. I can become an on-time person."
Because the Holy Spirit has given us the guilt or other type of motivation we now want to change. So we use this motivation to make a change. We take steps to not to be late. We set our clocks fast, we stop doing meaningless tasks around the time we should be leaving for appointments where we lose track of time. We become aware of the reason we are late and start getting ready sooner. Lateness becomes the exception.
The change, I described above, is also the formula for learning not to be a lair, manipulator, excuse maker, and it works with sins and bad habits.
Ephesians 4:31-5:4 And do not grieve the Holy Spirit of God, with whom you were sealed for the day of redemption. Get rid of all bitterness, rage and anger, brawling and slander, along with every form of malice. Be kind and compassionate to one another, forgiving each other, just as in Christ God forgave you. Follow God's example, therefore, as dearly loved children and walk in the way of love, just as Christ loved us and gave himself up for us as a fragrant offering and sacrifice to God. But among you there must not be even a hint of sexual immorality, or of any kind of impurity, or of greed, because these are improper for God's holy people. Nor should there be obscenity, foolish talk or coarse joking, which are out of place, but rather thanksgiving.
1. You have to want to change and ask God to help you change.
2. You have to take steps to change
Look at your motivation for doing what you do
Look at the path the action takes you on and stop the process long before you commit the act
Take steps to keep you from committing the action and/or substitute good things for wrong actions or thoughts.
Here is another example:I wanted to stop yelling at my kids. I asked God to help me stop yelling at my kids. I started looking at my motivation to yell, the times I yelled and what was going on at the time when I lost my cool. I realized, I tend to yell when I'm hungry, when I'm overwhelmed or attempting to control a behavior. I learned that if I feel the need to yell, I stop, call the kid to me, hold their hand and tell them the behavior I want to see. I also take steps to be really careful when I am hungry to give them a little more grace, that I might be over-reacting. Yelling comes only for safety issues and they are now more likely to respond quickly if I raise my voice for things that are serious.
Until you want to change whether by guilt or the desire to improve yourself you don't. He will point out your bad habits, sins and behaviors that need to change through the Holy Spirit. God will not force you to change your ways. You have to be willing to try or take steps to change. You have to decide whether you let your circumstances leave you hopeless or do you change your circumstances. He has given you the Holy Spirit to help you change for good, your good.
John 14:26: But the Advocate, the Holy Spirit, whom the Father will send in my name, will teach you all things and will remind you of everything I have said to you.
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tomekkorbak/pile-curse-small
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Pile-CC
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Transcript for Eyewitness details terror attack
Moments ago, I spoke with American tourist Brad Miers who was at the scene overnight. Brad, fthank you for joining us. You're on a trip of a lifetime across Europe. You happened to be on London bridge. You tell us what you saw and heard? Sure. I was taking pictures on the London bridge, viewing the the tower bridge, a picturesque individual on the Thames river. I went to the river walk, on the north side of the lond bridge. Went down the stairs. About two minutes later, I heard a loud noise behind me. Saw a van on the pedestrian sidewalk where I had just been two minutes previously. It was going through the pedestrian crowd that was there. It continued on down. I saw at least one person jump into the water in order to avoid it. Saw people trying to get out of the way. Possibly vehicles were hit as well. A horrifying scene. Can you talk about the aftermath? Did you go back up there after you saw what had happened? I walked back up the stairs. Saw that at least two people were being attended to. By at least three or four passers by. Looking after them for T. About two minutes after that, the police rushed in from the north side of London. They ran through, just speeding past and I assume they went to where the van was in order to apprehend that person. That decision of yours to go down to take the stairs down two minutes before the van started plowing through people was a fateful one. This was a close call for you. Yes, it was. It's a chilling prospect to think a minor circumstance could have changed and I could have been right there. I doubt I could have gotten out of the way, to be honest. We're glad you're okay. We appreciate your time on a stressful day for you. Thank you so much. Yes, thank you.
This transcript has been automatically generated and may not be 100% accurate.
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tomekkorbak/pile-curse-small
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OpenWebText2
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This invention relates generally to semiconductor electrically erasable programmable read only memories (EEprom), and specifically to a system of integrated circuit Flash EEprom chips.
Computer systems typically use magnetic disk drives for mass storage of data. However, disk drives are disadvantageous in that they are bulky and in their requirement for high precision moving mechanical parts. Consequently they are not rugged and are prone to reliability problems, as well as consuming significant amounts of power. Solid state memory devices such as DRAM's and SRAM's do not suffer from these disadvantages. However, they are much more expensive, and require constant power to maintain their memory (volatile). Consequently, they are typically used as temporary storage.
EEprom's and Flash EEprom's are also solid state memory devices. Moreover, they are nonvolatile, and retain their memory even after power is shut down. However, conventional Flash EEprom's have a limited lifetime in terms of the number of write (or program)/erase cycles they can endure. Typically the devices are rendered unreliable after 102 to 103 write/erase cycles. Traditionally, they are typically used in applications where semi-permanent storage of data or program is required but with a limited need for reprogramming.
Accordingly, it is an object of the present invention to provide a Flash EEprom memory system with enhanced performance and which remains reliable after enduring a large number of write/erase cycles.
It is another object of the present invention to provide an improved Flash EEprom system which can serve as non-volatile memory in a computer system.
It is another object of the present invention to provide an improved Flash EEprom system that can replace magnetic disk storage devices in computer systems.
It is another object of the present invention to provide a Flash EEprom system with improved erase operation.
It is another object of the present invention to provide a Flash EEprom system with improved error correction.
It is yet another object of the present invention to provide a Flash EEprom with improved write operation that minimizes stress to the Flash EEprom device.
It is still another object of the present invention to provide a Flash EEprom system with enhanced write operation.
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tomekkorbak/pile-curse-small
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USPTO Backgrounds
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1. Introduction {#sec1}
===============
Body temperature regulation is critical to ensure optimal functioning of various organs depending on the molecular and cellular mechanisms associated with each particular process [@bib1], [@bib2]. Elevated testicular temperature disrupts spermatogenesis and causes infertility [@bib3], [@bib4]. Extensive preclinical studies in rats, mice, and monkeys indicate that mild testicular heat stress (43°C for 15 min) induces a massive decrease in sperm production along with oxidative damage by activation of diverse signaling pathways. The adverse effect of hyperthermia on normal adult testis in humans is well known [@bib5], [@bib6]. Elevated temperatures are becoming more prevalent because of modern lifestyle and hazards related to occupation. These factors in particular may influence sperm production and contribute to male infertility [@bib7], [@bib8].
Testicular heat stress involves oxidative damage to the germ cells, Leydig cells, and most likely, the Sertoli cells [@bib9]. The production of free radicals and reactive oxygen species (ROS) including the superoxide anion and hydrogen peroxide can induce positive changes in sperm function such as hyperactivation, capacitation, and acrosome reaction [@bib10], [@bib11]. However, overproduction of ROS can be detrimental to sperm and may lead to male infertility. Spermatozoa are highly sensitive to ROS-induced damage [@bib12]. As both spermatogenesis and Leydig cell steroidogenesis are vulnerable to oxidative stress, peroxidative damage is regarded as the most important cause of impaired testicular function. Increased body temperature negatively alters metabolic function, thereby enhancing the formation of ROS, leading to severe oxidative stress [@bib13]. Oxidative stress occurs following a disturbance in the balance between the production of ROS and antioxidant defense systems [@bib14]. Therefore, in order to ensure sperm quality it is important to prevent whole body heat stress.
Several strategies have been reported to ameliorate local heating to the scrotum in experimental animals [@bib2], [@bib15]. However, none of these strategies have been suitable for clinical practice. Much interest has been centered on the role of naturally occurring medicinal herbs for the control and management of male sexual dysfunctions [@bib16], [@bib17], [@bib18]. Ginseng (*Panax ginseng* Meyer, Araliaceae), which is considered the thousand-year-old phytomedicine, has been used to treat various diseases in Asia and in other countries [@bib19], [@bib20]. It was suggested that *P. ginseng* has potent effects on sexual function and could relieve erectile dysfunction [@bib18], senile testicular dysfunction [@bib21], and dioxin-induced testicular damage [@bib22]. Pectinase-treated *P. ginseng* (GINST), an enzymatic biotransformed *P. ginseng*, exhibits increased bioefficiency of ginseng extracts/products and shows strong pharmacological effects including ameliorating testicular problems [@bib20]. It was well reported that the biotransformation of ginsenosides with the treatment of various enzymes including pectinase and rapidase proved to be beneficial for conversion of ginsenoside into products with increased bioefficiency of ginseng extracts [@bib23]. Reports also revealed that the enzyme pectinase transforms ginsenosides into Compound K (CK), Rg3, Rg5, Rk1, Rh1, F2, and Rg2 providing greater bioefficiency [@bib24], [@bib25]. However, the protective effect and mechanisms of GINST remain unknown in the context of alleviative action against heat stress. In this study, we investigated the protective effects of GINST against heat stress-induced testicular damage and further explored the underlying mechanisms involved.
2. Materials and methods {#sec2}
========================
2.1. GINST preparation and high-performance liquid chromatography analysis {#sec2.1}
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Korean Red ginseng was harvested in the fall, around September to October, when its roots are 6 yr old. Growth conditions include cultivation in soil with rich humus in a wide open area, and with good drainage. The harvested Korean Red ginseng was steamed, dried, and stored under room temperature with vacuum packing. The dried ginseng (1 kg) was extracted with 5 L of 50% ethanol at 85°C. To remove the alcohol, the extract was evaporated at 35--40°C in a vacuum until its volume is halved to obtain a dark brown, viscous solution. The extract was subsequently dissolved in water containing 2.4% pectinase (Sigma-Aldrich, Inc., St. Louis, MO, USA) and was incubated at 55°C for 24 h [@bib26]. The GINST extract was then concentrated *in vacuo*, and the ginsenosides in the extract were analyzed using high-performance liquid chromatography (HPLC) (Agilent, Santa Clara, CA, USA) using a diode array detector. An HS C18 (25 cm × 4.6 mm, i.d., 5 μm; SUPELCO, St. Louis, MO, USA) was used for all separations at room temperature. The binary gradient elution system consisted of water (Solvent A) and acetonitrile (Solvent B). The separation was achieved using the following gradient program: 0--10 min (20% B), 40 min (32% B), 48 min (42% B), 60 min (45% B), 78 min (75% B), and 80 min (100% B). The column temperature was kept constant at room temperature; the flow rate was 1.6 mL/min.
2.2. Experimental animals {#sec2.2}
-------------------------
Male Sprague--Dawley rats (40 total, 4 wk old, 60--70 g) were purchased from Samtako Bio Korea, Inc. (Osan, Korea) and were acclimated to the animal facility for 1 wk prior to the experiment. They were provided with a standard pellet diet and were kept at a constant temperature (23 ± 2°C) and relative humidity (55 ± 5%) on a 12/12-h light/dark cycle with access to food and water *ad libitum*. The rats were maintained in the Regional Innovation Center Experimental Animal Facility, Konkuk University, Korea, in accordance with the Institutional Animal Care and Use Committee Guidelines. The study was approved by the Animal Ethics Committee (Permission No: KU12052) in accordance with Article 14 of the Korean Experimental Animal Protection Law.
2.3. Experimental design {#sec2.3}
------------------------
Rats were divided into four groups: normal control (NC), heat-stress control (HC), heat-stress plus GINST-100 mg/kg (HG100), and heat-stress plus GINST-200 mg/kg (HG200) treatment groups. The administration of GINST was done based on our previous study [@bib27]. Breifly, Each dose of GINST (100 mg/kg and 200 mg/kg) was mixed evenly with sterilized standard diet powder and administered orally after pelletization for 24 wk. The experimental pellet diet was stored in a cool, dry area, and no contamination was found throughout the course of administration. The GINST dose (100 mg/kg and 200 mg/kg b.w.) was based on our previously reported study [@bib26]. It was adjusted every 2 wk based on body weight and the daily dietary intake. For inducing heat stress, rats in the NC group were maintained at 25°C, whereas rats in the HC, HG100, and HG200 groups were exposed intermittently to high temperatures for long periods: 32 ± 1°C, 2 h/d, for 6 mo. At week 25, all animals were fasted for 24 h with access to water *ad libitum* and were euthanized under general anesthesia with carbon dioxide. The testes were excised, washed in ice cold saline, and cleaned of the adhering fat and connective tissues. A 10% testicular tissue homogenate was prepared in Tris-hydrochloride buffer (0.1M, pH 7.4) and was centrifuged (489 × *g* for 10 min at 4°C) to pellet the cell debris. The clear supernatant was used for the subsequent assays.
2.4. Measurement of serum biochemical parameters {#sec2.4}
------------------------------------------------
Blood was taken from the abdominal vein and collected in an SST gel & clot activator tube (Becton and Dickinson, Franklin Lakes, NJ, USA). The serum was separated by centrifugation at 1,500*g* for 10 min at room temperature. Serum biochemical parameters such as serum glutamic oxaloacetic transaminase (GOT), glutamic pyruvic transaminase (GPT), albumin concentration (ALB), serum total cholesterol (T-CHO), low-density lipoprotein-cholesterol (LDL-C), triglyceride (TG), and glucose (GLU) were analyzed using their respective commercially available kits (Diagnostic Product Corporation, Los Angeles, CA, USA).
2.5. Measurement of sperm kinematic values {#sec2.5}
------------------------------------------
Sperm samples were extracted from the left caudal epididymis by cutting it with scissors; one drop of caudal fluid was immediately placed in a culture dish containing 5 mL Hank\'s balanced salt solution prewarmed to 37°C and supplemented with 10 mg/mL BSA (bovine serum albumin). After incubation for 5 min at 37°C, an aliquot of the suspension was collected with a micropipette and diluted to contain 40 ± 10 sperm under the defined microscopic field (×100 magnification). The suspension (10 μL) was then added to a 2X-CEL slide (depth: 80 μm, thickness: 0.15 mm; Hamilton Thorne Res., Beverley, MA, USA) that had been prewarmed in a CO~2~ incubator (Sanyo Electric Co., Osaka, Japan) at 37°C. Sperm motility was recorded using a computer-assisted sperm analyzer (CASA; Hamilton Thorne Res.) with a ×4 objective lens and a charge-coupled device camera. At least 200 sperm in each sample were monitored for motility pattern analysis.
2.6. Western blot analysis {#sec2.6}
--------------------------
Equal amounts of testis protein from each sample were separated via 10% sodium dodecyl sulfate polyacrylamide gel electrophoresis and were transferred to a polyvinylidene fluoride membrane (Millipore, Billerica, MA, USA). Each membrane was incubated for 1 h in Tris-buffered saline containing 0.1% Tween-20 and 5% skimmed milk to block nonspecific antibody binding. The membranes were subsequently incubated with specific primary antibodies (1:2,000 dilution; Santa Cruz Biotech, Santa Cruz, CA, USA). Beta-actin was used as an internal control. Each protein was detected using horseradish peroxidase-conjugated secondary antibodies and a chemiluminescence detection system (GE Healthcare Life Sciences, Little Chalfont, UK).
2.7. RNA isolation and real-time reverse transcription polymerase chain reaction {#sec2.7}
--------------------------------------------------------------------------------
For the *in vivo* analysis, total RNA was extracted from testicular tissue by using the RNA-Bee reagent according to the manufacturer\'s instructions, and the RNA (1 μg) was reverse-transcribed following the procedures described previously [@bib26]. The primers used are listed in [Table 1](#tbl1){ref-type="table"}. Polymerase chain reaction (PCR) was performed for 30 cycles at 95°C for 40 s, 56°C for 40 s, and 72°C for 40 s. After amplification, the PCR products were separated using electrophoresis on a 2.0% agarose gel containing ethidium bromide, and the bands were visualized with ultraviolet fluorescence. The intensity of the bands was analyzed using the ImageJ software package (version 1.410; National Institutes of Health, Bethesda, MA, USA).Table 1Primers used in the studyPeroxiredoxin (PRx) 4Forward: 5′-CTG ACT GAC TAT CGT GGG AAA TAC T-3′Reverse: 5′-GAT CTG GGA TTA TTG TTT CAC TAC C-3′Glutathione-*S*-transferase (GST) m5Forward: 5′-TAT GCT CCT GGA GTT TAC TGA TAC C-3′Reverse: 5′-AGA CGT CAT AAG TGA GAA AAT CCA C-3′Glutathione peroxidase (GPx) 4Forward: 5′-GCA AAA CCG ACG TAA ACT ACA CT-3′Reverse: 5′-CGT TCT TAT CAA TGA GAA ACT TGG T-3′Inhibin-αForward: 5′-AGG AAG GCC TCT TCA CTT ATG TAT T-3′Reverse: 5′-CTC TTG GAA GGA GAT ATT GAG AGC-3′Androgen receptor (AR)Forward: 5′-CTG GAC TAC CTG GAT CTC TA-3′Reverse: 5′-CCT GGG CTG TAG TTT TAT TG-3′Follicle-stimulating hormone receptor (FSHR)Forward: 5′-GGA CTG AGT TTT GAA AGT GT-3′Reverse: 5′-TTC CAT AAC TGG GTT CAT CA-3′Luteinizing hormone receptor (LHR)Forward: 5′-CTA TCT CCC TGT CAA AGT AA-3′Reverse: 5′-TTT GTA CTT CTT CAA ATC CA-3′Nectin-2Forward: 5′-AGT GAC CTG GCT CAG AGT CA-3′Reverse: 5′-TAG GTA CCA GTT GTC ATC AT-3′Glyceraldehyde-3-phosphate dehydrogenase (GAPDH)Forward: 5′-AAC TTT GGC ATT GTG GAA GGG C-3′Reverse: 5′-ACA CAT TGG GGG TAG GAA CAC G-3′cAMP responsive element binding protein 1 (CREB-1)Forward: 5′-ACT GGC TTG GCA CAA CCA GA-3′Reverse: 5′-GGC AGA AGT CTC TTC ATG ATT-3′
2.8. Statistical analysis {#sec2.8}
-------------------------
The data are expressed as mean ± standard deviation. Significance was analyzed using Student *t* test for comparisons between two groups and analysis of variance for multiple comparisons, using the GraphPad Prism version 4.0 (Graph Pad Software, San Diego, CA, USA). A *p* value \< 0.05 was considered statistically significant.
3. Results {#sec3}
==========
3.1. HPLC fingerprint analysis of GINST {#sec3.1}
---------------------------------------
The HPLC chromatogram of GINST is shown in [Fig. 1](#fig1){ref-type="fig"}A. We previously observed that during pectinase treatment, the major saponin peaks including ginsenosides Rg1, Rg2 R, Rb1, Rb2, and Rd in *P. ginseng* extract were substantially reduced [@bib26]. In agreement to our previous data, the peaks related to the ginsenosides in GINST were reduced in the batch used for the present study. Furthermore, increased peak with higher concentrations of CK was observed. The ginsenoside content of GINST determined on a dry weight basis was as follows: Rg1 (46.72 mg/g), Re (18.66 mg/g), Rf (62.18 mg/g), Rh1 (33.68 mg/g), stereoisomer Rg2 S (10.02 mg/g), stereoisomer Rg2 R (10.34 mg/g), Rc (53.49), Rb1 (18.99 mg/g), Rb2 (79.98 mg/g), Rd (103.77 mg/g), Rg3 S (21.65 mg/g), Rg3 R (28.85 mg/g), CK (280.48 mg/g), stereoisomers Rh2 S (35.68 mg/g), and Rh2 R (53.94 mg/g).Fig. 1HPLC fingerprint analysis of GINST and effect of GINST on the body weight increment in heat-stress rats. (A) HPLC chromatogram. (B) The overall body weight of NC, HC, HG100, and HG200 groups from weeks 1 to 25 are shown. Each point represents the mean (*n* = 10). b.w., body weight; GINST, pectinase-treated *Panax ginseng* extract; NC, normal control; HC, heat-stress control; HG100, heat-stress and received GINST 100 mg/kg b.w.; HG200, heat-stress and received GINST 200 mg/kg b.w; HPLC, high-performance liquid chromatography.
3.2. Effect of GINST on body weight increments and organ weight in heat-stress rats {#sec3.2}
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As shown in [Fig. 1](#fig1){ref-type="fig"}B, minor differences in body weight increment between groups were observed, but these variances were not statistically significant. The final body weight at week 24 for the NC group was 624.8 ± 46.5 g, 646.3 ± 59.3 g for HC, 598.3 ± 49.6 g for HG100, and 610.4 ± 36.8 g for HG200. All animals survived the experimental period, and no abnormal behavior was observed in the NC, HC alone, and/or HG100- and HG200-treated groups during the course of the study.
The weights of seven organs (the liver, spleen, kidney, testis, heart, epididymis, and adrenal gland) were measured in the NC, HC, HG100, and HG200 groups (data not shown). No pathological changes were observed in any of the organs in all treatment groups. Only two organs (kidney and epididymis) showed a significant (*p* \< 0.05) reduction in the HC group compared with the NC group ([Table 2](#tbl2){ref-type="table"}). However, treatment with GINST at 200 mg/kg attenuated this decrease significantly (*p* \< 0.05). Other organ weights were maintained at constant levels.Table 2Effect of GINST on organ weight in heat-stressed ratsGroupOrganLiverSpleenKidneyTestisHeartEpididymisAdrenal glandNC14.28 ± 1.970.75 ± 0.133.25 ± 0.123.41 ± 0.121.67 ± 0.190.75 ± 0.0410.08 ± 0.01HC13.73 ± 2.110.78 ± 0.073.07 ± 0.10^\#^3.36 ± 0.031.70 ± 0.190.62 ± 0.03^\#^0.08 ± 0.01HG10013.89 ± 1.160.80 ± 0.113.09 ± 0.123.49 ± 0.111.73 ± 0.140.64 ± 0.050.08 ± 0.01HG20014.73 ± 1.890.79 ± 0.013.22 ± 0.09\*3.52 ± 0.091.71 ± 0.010.72 ± 0.08\*0.08 ± 0.01[^2][^3][^4][^5]
3.3. Effect of GINST on serum biochemical parameters in heat-stress rats {#sec3.3}
------------------------------------------------------------------------
With regard to hepatic markers, although GPT and ALB levels were unaltered in all groups, GOT levels increased significantly (*p* \< 0.05, [Table 3](#tbl3){ref-type="table"}) in the HC group compared to those in the NC group (from 77.3 ± 14.6 to 105.5 ± 23.5). Treatment with 200 mg/kg GINST reduced the increased levels of GOT significantly (*p* \< 0.05) to near-normal levels (78.4 ± 10.2). In the lipid profile, T-CHO and TG levels were decreased significantly (*p* \< 0.05 at 100 mg/kg and *p* \< 0.01 at 200 mg/kg) in the HC group compared with those in the NC group, respectively. However, LDL-C levels were not altered in all groups tested. GLU levels were also decreased significantly (*p* \< 0.05) in the HC group compared with those in the NC group (from 161.5 ± 10.5 to 140.9 ± 15.5). However, treatment of heat-stress rats with 200 mg/kg GINST significantly (*p* \< 0.05) attenuated this decrease (164.8 ± 27.4).Table. 3Effect of GINST on serum biochemical parameters in heat-stressed ratsGroupSerum biochemical parameters (mg/dL)GOTγ-GPTALBT-CHOTGLDL-CGLUNC77.3 ± 14.626.5 ± 5.82.7 ± 0.189.3 ± 20.570.5 ± 29.76.0 ± 2.2161.5 ± 10.5HC105.5 ± 23.5^\#\#^22.5 ± 2.62.7 ± 0.266.3 ± 8.2^\#\#^39.8 ±9.9^**\#**^4.5 ± 1.2140.9 ± 15.5^**\#**^HG10096.3 ± 35.8\*23.0 ± 3.92.7 ± 0.174.1 ± 10.1\*43.9 ± 20.1\*4.8 ± 1.8150.6 ± 16.1\*HG20078.4 ± 10.2\*\*21.7 ± 2.42.8 ± 0.286.4 ± 8.8\*\*62.5 ± 15.5\*\*5.2 ± 2.5164.8 ± 27.4\*\*[^6][^7][^8]
3.4. Effect of GINST on sperm kinematics in heat-stress rats {#sec3.4}
------------------------------------------------------------
The ratio of motile sperm in the NC group was 91.67 ± 6.29%, and the ratio in the HC group decreased to 58.33 ± 20.68% (*p* \< 0.01, [Table 4](#tbl4){ref-type="table"}). The motile sperm ratio in the HG100 and HG200 groups increased significantly to 81.40 ± 10.40% (*p* \< 0.05) and 90.40 ± 9.73% (*p* \< 0.01), respectively, when compared with that in the HC group. The ratio of sperm with straightforward movement in the NC group was 31.90 ± 13.81%, and the ratio in the HC group decreased markedly to 18.89 ± 8.27% (*p* \< 0.01). The ratio of sperm with straightforward movement in the HG100 and HG200 groups was significantly higher, 26.29 ± 16.02% (*p* \< 0.05) and 35.90 ± 9.40% (*p* \< 0.01), respectively, when compared with the HC group.Table. 4Effect of GINST on sperm kinematics in heat-stressed ratsGroupAverageMotile (%)Progressive (%)VAP (mm/s)VSL (mm/s)VCL (mm/s)STR (%)LIN (%)ElongationNC91.67 ± 6.2931.93 ± 13.8132.87 ± 6.3923.08 ± 3.7476.00 ± 14.4169.47 ± 5.4139.33 ± 5.6195.47 ± 3.62HC58.33 ± 20.68^\#^18.89 ± 8.27^\#^30.11 ± 6.4321.78 ± 8.7874.38 ± 12.0173.33 ± 7.4840.89 ± 5.1697.89 ± 2.52HG10071.14 ± 15.94\*26.29 ± 16.02\*35.04 ± 5.2124.64 ± 3.9080.50 ± 7.9369.70 ± 2.7138.90 ± 3.0392.70 ± 3.53HG20090.40 ± 9.73\*\*35.90 ± 9.40\*\*34.94 ± 8.1923.94 ± 7.1781.54 ± 16.8168.86 ± 5.9839.43 ± 7.5596.00 ± 4.36[^9][^10][^11]
3.5. Effect of GINST on the expression of antioxidant enzymes in heat-stress rat testis {#sec3.5}
---------------------------------------------------------------------------------------
The effect of GINST on the mRNA expression levels of the antioxidant enzymes PRx4, GPx4, and GSTm5 in heat-stress rat testis is shown in [Fig. 2](#fig2){ref-type="fig"}. The HC group showed a significant (*p* \< 0.01) decrease in GPx4, GSTm5, and PRx4 mRNA expression level compared with those in the NC group ([Fig. 2](#fig2){ref-type="fig"}A). However, treatment of heat-stress rats with GINST significantly (*p* \< 0.01) and dose-dependently attenuated the decrease at both 100 mg/kg and 200 mg/kg as revealed by the PCR product band intensities ([Figs. 2](#fig2){ref-type="fig"}B and 2C). Interestingly, GSTm5 expression was considerably affected in the HC group (*p* \< 0.001) when compared with the NC group, and GINST treatment at both doses inhibited this decrease significantly (*p* \< 0.05 and *p* \< 0.01 at 100 mg/kg and 200 mg/kg doses, respectively). In agreement with the mRNA data, the protein expression levels of GPx4, GSTm5, and PRx4 also significantly (*p* \< 0.05) decreased in the HC group ([Fig. 3](#fig3){ref-type="fig"}A). Band intensities revealed that treatment of heat-stress rats with GINST significantly attenuated the decrease at both 100 mg/kg and 200 mg/kg doses ([Figs. 3](#fig3){ref-type="fig"}B and 3C).Fig. 2Effect of GINST on mRNA expression of antioxidant enzymes in heat-stress rat testis. (A) The mRNA expression of GPx4, GSTmu5, and PRx4 in testicular tissue is shown. The internal control used was GAPDH. (B--D) The polymerase chain reaction band intensity of GPx4, GSTmu5, and PRx4, respectively, normalized to that of GAPDH is shown. Data are mean ± SD (*n* = 10). ^\#^*p* \< 0.05 compared with the NC group; \* *p* \< 0.05, \*\**p* \< 0.01 and \*\*\**p* \< 0.001 compared with the HC alone group by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0. ANOVA, analysis of variance; GAPDH, glyceraldehyde-3-phosphate dehydrogenase; GINST, pectinase-treated *Panax ginseng* extract; HC, heat-stress control; NC, normal control; SD, standard deviation.Fig. 3Effect of GINST on protein expression of antioxidant enzymes in heat-stressed rat testis. (A) Protein expression of GPx4, GSTmu5, and PRx4 in testicular tissue was analyzed using Western blot analysis. The internal control used was β-actin. (B--D) Quantification of GPx4, GSTmu5, and PRx4, respectively, from three independent experiments. Data are expressed as mean ± SD (*n* = 10). Statistical analysis was carried out by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0. ^\#^*p* \< 0.01 compared with the NC group. \* *p* \< 0.05, \*\* *p* \< 0.01, and \*\*\* *p* \< 0.001 compared with the HC group. ANOVA, analysis of variance; b.w., body weight; GAPDH, glyceraldehyde-3-phosphate dehydrogenase; GINST, pectinase-treated *Panax ginseng* extract; HC, heat-stress control; HG100, heat-stress and received GINST 100 mg/kg b.w.; HG200, heat-stress and received GINST 200 mg/kg b.w.; NC, normal control; SD, standard deviation.
3.6. Effect of GINST on the expression levels of spermatogenesis-related molecules in heat-stress rat testis {#sec3.6}
------------------------------------------------------------------------------------------------------------
The testicular mRNA expression levels of cAMP responsive element binding protein 1 (CREB-1), nectin-2, and inhibin-α, which are known to be the key proteins related to spermatogenesis, decreased in the HC group compared with those in the NC group ([Fig. 4](#fig4){ref-type="fig"}A). Densitometric analysis revealed that the decrease in the testicular mRNA expression level of CREB-1 in the HC group was more pronounced and was reduced by more than 2-fold that of nectin-2 and inhibin-α ([Figs. 4](#fig4){ref-type="fig"}B--4D). However, treatment with GINST (100 mg/kg and 200 mg/kg) significantly (*p* \< 0.05) ameliorated this decrease in heat-stress rat testis. GINST at both 100 mg/kg and 200 mg/kg doses showed similar effects on attenuating the changes observed in the HC group.Fig. 4Effect of GINST on mRNA expression levels of spermatogenesis-related molecules in heat-stress rat testis. (A) The mRNA expression of CREB-1, nectin-2, and inhibin-α in testicular tissue was shown. The internal control used was GAPDH. (B--D) The polymerase chain reaction band intensity of CREB-1, nectin-2, and inhibin-α, respectively, normalized to that of GAPDH is shown. Data are expressed as mean ± SD (*n* = 10). Statistical analysis was carried out by Student\'s *t* test and one-way ANOVA using GraphPad Prism version 4.0. ^\#^ *p* \< 0.01 compared with the NC group; \* *p* \< 0.05, \*\* *p* \< 0.01, and \*\*\* *p* \< 0.001 compared with the HC group. ANOVA, analysis of variance; b.w., body weight; CREB-1, cAMP responsive element binding protein 1; GAPDH, glyceraldehyde-3-phosphate dehydrogenase; GINST, pectinase-treated *Panax ginseng* extract; HC, heat-stress control; HG100, heat-stress and received GINST 100 mg/kg b.w.; HG200, heat-stress and received GINST 200 mg/kg b.w.; NC, normal control; SD, standard deviation.
Similarly, the testicular protein levels of nectin-2, CREB-1, and inhibin-α were significantly (*p* \< 0.01) decreased in the HC group compared with the NC group and were significantly (*p* \< 0.05) ameliorated by treatment with GINST at both 100 mg/kg and 200 mg/kg doses in heat-stress rat groups ([Fig. 5](#fig5){ref-type="fig"}). In agreement with the mRNA data, the protein expression level of CREB-1 was substantially suppressed (3-fold) in the heat-stress rat group when compared with the protein expression of nectin-2 ([Figs. 5](#fig5){ref-type="fig"}B and 5C). The results suggest that GINST (100 mg/kg and 200 mg/kg) exhibited its effects at both protein and transcriptional levels in ameliorating the changes observed in spermatogenesis-related molecules in heat stressed rats.Fig. 5Effect of GINST on protein expression level of spermatogenesis-related biomarker molecules in heat-stress rat testis. (A) Protein expression of nectin-2, CREB-1, and inhibin-α in testicular tissue was analyzed using Western blot analysis. The internal control used was β-actin. (B--D) Quantification of nectin-2, CREB-1, and inhibin-α, respectively, from three independent experiments. Data are expressed as mean ± SD (*n* = 10). Statistical analysis was carried out by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0. ^\#^ *p* \< 0.01 and ^\#\#^*p* \< 0.01 compared with the NC group; \* *p* \< 0.05, \*\* *p* \< 0.01, and \*\*\* *p* \< 0.001 compared with the HC group. ANOVA, analysis of variance; b.w., body weight; GINST, pectinase-treated *Panax ginseng* extract; HC, heat-stress control; HG100, heat stress and received GINST 100 mg/kg b.w.; HG200, heat-stress and received GINST 200 mg/kg b.w.; NC, normal control; SD, standard deviation.
3.7. Effect of GINST on the expression of sex hormone receptors in heat-stress rat testis {#sec3.7}
-----------------------------------------------------------------------------------------
The mRNA expression levels of the sex hormone receptors (SHRs)---androgen receptor (AR), luteinizing hormone receptor (LHR), and follicle stimulating hormone receptor (FSHR)---significantly (*p* \< 0.01) decreased in the HC group compared with those in the NC group ([Fig. 6](#fig6){ref-type="fig"}A). Densitometric analysis showed that GINST treatment at the indicated doses (100 mg/kg and 200 mg/kg) significantly (*p* \< 0.05 and *p* \< 0.01, respectively) ameliorated this decrease ([Figs. 6](#fig6){ref-type="fig"}B--6D). Similarly, in agreement with the mRNA data, the testicular protein expression levels of AR, LHR, and FSHR significantly (*p* \< 0.01) decreased in the HC group compared with those in the NC group ([Fig. 7](#fig7){ref-type="fig"}A). AR and FSHR substantially decreased compared with LHR ([Figs. 7](#fig7){ref-type="fig"}B--7D). This decrease was significantly (*p* \< 0.05) inhibited in the HG100 and HG200 groups.Fig. 6Effect of GINST on mRNA expression of sex hormone receptors in heat-stress rat testis. (A) The mRNA expression of AR, LHR, and FSHR in testicular tissue is shown. The internal control used was GAPDH. (B--D) The polymerase chain reaction band intensity of AR, LHR, and FSHR, respectively, normalized to that of GAPDH is shown. Data are expressed as mean ± SD (*n* = 10). Statistical analysis was carried out by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0. ^\#^*p* \< 0.01 and ^\#\#^*p* \< 0.01 compared with NC group. \*\* *p* \< 0.01, and \*\*\* *p* \< 0.001 compared with the HC group. ANOVA, analysis of variance; AR, androgen receptor; b.w., body weight; FSHR, follicle stimulating hormone receptor; GINST, pectinase-treated *Panax ginseng* extract; HC, heat-stress control; HG100, heat-stress and received GINST 100 mg/kg b.w.; HG200, heat-stress and received GINST 200 mg/kg b.w.; LHR, luteinizing hormone receptor; NC, normal control; SD, standard deviation.Fig. 7Effect of GINST on protein expression of sex hormone receptors in heat-stress rat testis. (A) Protein expression of AR, LHR, and FSHR in testicular tissue was analyzed using Western blot analysis. The internal control used was β-actin. (B--D) Quantification of AR, LHR, and FSHR, respectively, from three independent experiments. Data are expressed as mean ± SD (*n* = 10). Statistical analysis was carried out by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0. ^\#^*p* \< 0.05, ^\#\#^*p* \< 0.01 and ^\#\#\#^*p* \< 0.001 compared with the NC group; \* *p* \< 0.05, \*\* *p* \< 0.01, and \*\*\* *p* \< 0.001 compared with the HC group. ANOVA, analysis of variance; AR, androgen receptor; b.w., body weight; FSHR, follicle stimulating hormone receptor; GINST, pectinase-treated *Panax ginseng* extract; HC, heat-stress control; HG100, heat-stress and received GINST 100 mg/kg b.w.; HG200, heat-stress and received GINST 200 mg/kg b.w.; LHR, luteinizing hormone receptor; NC, normal control; SD, standard deviation.
4. Discussion {#sec4}
=============
One possible mechanism affecting the function of testis is the disturbance of prooxidant and antioxidant balance by generation of ROS [@bib28]. Testicular hyperthermia above the normal range causes impaired spermatogenesis due to heat-related oxidative stress [@bib29], [@bib30]. Hence, oxidative stress is a major factor in the etiology of male infertility. However, the intrinsic molecular events following heat stress are not well documented.
Ginsenosides in *P. ginseng* are regarded as the active components responsible for various pharmacological effects [@bib31]. Ginsenosides are enzymatically biotransformed in the human intestine forming potent by-products to increase their efficiency [@bib32]. Pectinase, commonly produced by lactic acid bacteria in the intestine [@bib24], produces large amounts of CK by biotransforming ginsenosides such as Rb1, Rb2, and Rc. Pectinase-treated extracts of *P. ginseng* produce CK as well as several other forms of ginsenosides, including Rg3, Rg5, Rk1, Rh1, F2, and Rg2 [@bib25]. These biotransformed compounds possess various biological activities. GINST has potent antioxidant effects and increases the protein expression level of enzymatic and nonenzymatic antioxidants in rats [@bib27]. In addition, GINST rescued testicular impairment in aged rats via regulation of the oxidative defense systems [@bib26]. We confirmed that administration of GINST could ameliorate testicular damage in intermittently heat-stress rats.
Intermittent heating stress to rats induced a marked testicular abnormality as determined by serum biochemical and molecular analyses. The overall and final body and organ weights of all the groups at week 25 after heat stress were not significantly affected. Only the kidney and epididymis showed a reduction in weight in the HS group compared to those in the NC group. Our results are in agreement with earlier reported data indicating that the number of spermatozoa in the epididymis was considerably reduced after heat treatment [@bib15], [@bib33], [@bib34]. Furthermore, heat stress to rats caused a decrease in kidney weight with both morphological and histological defects [@bib35], [@bib36]. However, administration of GINST (200 mg/kg) following heat stress to rats significantly ameliorated these changes. Considering that body and organ weights are determined by anabolic and catabolic processes, it can be argued that GINST was able to counteract some of the effects of hypoxia on metabolic balance in rats.
With regard to serum biochemical parameters, heat-stress groups showed significant increases in the GOT levels compared to those in the NC group. Furthermore, the lipid metabolism-related parameters such as T-CHO, TG, and LDL-C were not significantly altered. However, GLU levels were reduced significantly in the HC group. GINST (200 mg/kg) significantly ameliorated these changes in heat-stress rats. Heat stress has a profound effect on the seminiferous tubules and deteriorates sperm motility, number, and morphology [@bib37], [@bib38]. Our sperm kinematic study also revealed a decreased percentage of sperm motility and progression in HC rats compared to those in the NC rats. However, GINST treatment (200 mg/kg) ameliorated this decrease to near-normal levels.
Evidence suggests that peroxidative damage is currently the single most important cause of impaired testicular function, and heat has been regarded as causing pathological consequences in rats resulting in oxidative stress [@bib39], [@bib40], [@bib41]. In this study, antioxidative enzymes such as GPx4, PRx4, and GSTm5 were altered by heat stress. The elevation in testicular free radicals in heat-stress rats is supported by a diminution in these important free radical scavenging enzymes [@bib42], [@bib43], [@bib44].
Reproductive organs express Prx4 at relatively high levels, and several proteomics studies have shown altered expression of Prx4 under physiological and pathological conditions [@bib45], [@bib46], [@bib47], [@bib48]. Furthermore, spermatogenic cells of Prx4-deficient mice are prone to death under normal breeding conditions and are sensitive to heat-induced cell damage [@bib49]. Glutathione-*S*-transferases (GSTs), known to detoxify electrophilic compounds by catalyzing the formation of glutathione conjugates, are also involved in the intracellular transport of a variety of endogenous metabolites and hormones [@bib50]. GST influences the transport, metabolism, and action of steroids and is an important regulator for proliferation and differentiation of germ cells, protecting them against the harmful effects of free radicals [@bib42], [@bib44], [@bib51], [@bib52]. In particular, the GSTmu5 form, which is found in fibrous sheaths, was enriched in the testes and isolated spermatogenic cells [@bib53], [@bib54].
Similarly, the enzyme GPX is an important cellular protectant against ROS-mediated damage to membrane lipids, proteins, and nucleic acids [@bib55]. Increased intensity of heat treatment in mice downregulated the activity of GPX, implying severe oxidative damage in the testes [@bib56]. Therefore, we evaluated the effect of GINST on the expression levels of these three enzymes (GPX, PRx4, and GSTm5) in heat-stress rats. Consistent with the reported studies, in our current study, intermittent heat stress to rats resulted in a significant decrease in the enzyme expression levels, suggesting a role for oxidative stress in heat-stress-induced rat testes. However, GINST treatment at both doses attenuated the decreased expression at both protein and mRNA levels, indicating that GINST might modulate the enzymatic oxidative defense systems in heat-stress rats.
The spermatogenesis-related proteins such as inhibin-α, nectin-2, and CREB-1 are some of the major transcriptional factors involved in testicular function. Inhibin-α is an important adhesion molecule in Leydig cells that promotes testosterone synthesis, acts as a negative feedback mechanism suppressing follicle-stimulating hormone (FSH) production from the pituitary gland, and is involved in spermatid development during the initial stages of spermatogenesis [@bib57], [@bib58]. Decreased inhibin levels were observed in cryptorchid rats and therefore can function as an accurate marker for understanding the function of Sertoli cells and spermatogenesis [@bib59]. Located in the Sertoli germ cell junction, Nectin-2 aids in the development of the matured spermatozoa in the seminiferous epithelium [@bib60]. Disruption of the nectin-2 gene resulted in morphologically aberrant spermatozoa with defects in nuclear and cytoskeletal morphology and mitochondrial localization [@bib61].
CREB-1 is known to play several functional roles in the development of testes and is a major regulatory mechanism during different stages of spermatogenesis [@bib62], [@bib63]. Here, heat-stress rats showed altered expression of inhibin-α, nectin-2, and CREB-1 at both the mRNA and protein levels. These findings indicated that heat stress to rats induced oxidative stress, and this might affect the signaling pathways involved in Sertoli function and spermatogenesis. However, GINST significantly reversed the altered mRNA and protein expression, suggesting that GINST might modulate certain key transcription factors affected by heat stress in rats.
Mounting evidence suggest that various stressors generally induce a depression in the hypothalamus--pituitary--testis system, mediated by the activated hypothalamus--pituitary--adrenocortical system, resulting in a fall in plasma sex hormones. This was supported by the suppression of antioxidant enzyme expression and concomitant increase in peroxidative damage [@bib64], [@bib65]. Hyperthermia has a detrimental effect on reproduction partly by disrupting the hormone receptors thereby decreasing the release of luteinizing hormone (LH) and FSH from the anterior pituitary gland. Furthermore, heat stress reduces intratesticular testosterone, including androgens and estrogens [@bib42]. The development and differentiation of sperm are maintained through the function of Sertoli cells and are mediated by the action of some key hormones such as FSH and testosterone [@bib66]. Therefore, we evaluated the effects of GINST on the SHR expression in heat-stress rats. Our present study showed a significant reduction in the serum SHR expression including FSHR, LHR, and AR. However, GINST attenuated the reduced expression levels significantly. These results provide a clear evidence that GINST might play a crucial role in regulating the serum SHR molecules responsible for sperm production and functioning. In our present study, HPLC analysis of GINST showed higher contents of CK. Recent reports have shown that GINST contains large amounts of CK as well as several other ginsenosides [@bib25]. Reports have also suggested that GINST exhibited various pharmacological effects including antioxidant, antidiabetic activity, and enhanced testicular function via the alleviation of oxidative stress in experimental models [@bib67]. Although our data suggest that CK and other biotransformed ginsenosides might be responsible for such effects, future in-depth studies are warranted to evaluate if the activity was rhamnogalacturonans from pectin or a synergistic interaction between the constituents.
In conclusion, intermittent heat stress in rats induced significant damage in testicular and germ cell function. Treatment of heat-stress rats with GINST significantly attenuated these changes by modulating the enzymatic antioxidant systems, SHR levels, and gene expression related to the spermatogenesis pathway. GINST may be categorized as an important medicinal herb and a potential therapeutic for the prevention and treatment of male subfertility or infertility caused by hyperthermia.
Conflicts of interest {#sec5}
=====================
The authors declare that no competing financial interests exist.
This study was supported by the Korea Institute of Planning & Evaluation for Technology in Food, Agriculture, Forestry & Fisheries, Republic of Korea (Grant No. 113040-3).
[^1]: S.R. Kopalli and K.-M. Cha contributed equally to the work.
[^2]: Data are expressed as mean ± SEM (*n* = 10). Statistical analysis was carried out by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0.
[^3]: ^\#^*p* \< 0.01 compared with the NC group.
[^4]: \* *p* \< 0.05 compared with the HC group.
[^5]: ANOVA, analysis of variance; b.w., body weight; GINST, pectinase-treated *Panax ginseng* extract; HC, heat-stressed control; HG100, heat-stressed and received GINST 100 mg/kg b.w.; HG200, heat-stressed and received GINST 200 mg/kg b.w.; NC, normal control; SEM, standard error of the mean.
[^6]: Data are expressed as mean ± SEM (*n* = 10).
[^7]: ^\#^*p* \< 0.05 and ^\#\#^*p* \< 0.01 compared with the NC group; \* *p* \< 0.05 and \*\* *p* \< 0.01 compared with the HC group by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0.
[^8]: ALB, albumin concentration; ANOVA, analysis of variance; b.w., body weight; GINST, pectinase-treated *Panax ginseng* extract; GLU, glucose; GOT, glutamic oxaloacetic transaminase; GPT, glutamic pyruvic transaminase; HC, heat-stressed control; HG100, heat-stressed and received GINST 100 mg/kg b.w.; HG200, heat-stressed and received GINST 200 mg/kg b.w.; LDL-C, low density lipoprotein-cholesterol; NC, normal control; SEM, standard error of the mean; T-CHO, total cholesterol; TG = triglyceride.
[^9]: Data are expressed as mean ± SEM (*n* = 10). Statistical analysis was carried out by Student *t* test and one-way ANOVA using GraphPad Prism version 4.0.
[^10]: ^\#^*p* \< 0.01 compared with NC group; \* *p* \< 0.05 and \*\* *p* \< 0.01 compared with the HC group.
[^11]: ANOVA, analysis of variance; b.w., body weight; GINST, pectinase-treated *Panax ginseng* extract HC, heat-stressed control; HG100, heat-stressed and received GINST 100 mg/kg b.w.; HG200, heat-stressed and received GINST 200 mg/kg b.w.; LIN, linearity; NC, normal control; SEM, standard error of the mean; STR, straightness; VAP, average path velocity; VCL, curvilinear velocity; VSL, straight line velocity.
|
tomekkorbak/pile-curse-small
|
PubMed Central
|
Pallas's sandgrouse
Pallas's sandgrouse (Syrrhaptes paradoxus) is a medium large bird in the sandgrouse family named after the German zoologist Peter Simon Pallas. The scientific name is from Ancient Greek. The genus Syrrhaptes is from surrhaptos, "sewn together" (the feathered toes of both species in the genus are fused together) and paradoxus is from paradoxos, "strange".
Description
Pallas's sandgrouse is long with small, pigeon-like head and neck, but sturdy compact body. It has long pointed wings and tail and legs and toes are feathered. Its plumage is buff coloured, barred above with a black belly patch and pale underwings. The black belly and pale underwing distinguish this species from the related Tibetan sandgrouse. The male Pallas's sandgrouse is distinguished by its grey head and breast, orange face and grey breast band. The female has duller plumage and lacks the breast band though it has more barring on the upperparts.
The small feet lack a hind toe, and the three front toes are fused together. The upper surface is feathered, and the underneath has a fleshy pad. The appearance of the foot is more like a paw than an avian foot.
Behaviour
This species breeds across middle latitudes of central Asia on dry steppes and similar habitats. Its nest is a ground scrape into which 2–3 greenish eggs with cryptic markings are laid.
It is a partial migrant, especially from the northern parts of its range in Kazakhstan and Mongolia, but the extent and distance of the southerly winter movement depends on the amount of snowfall.
Pallas's sandgrouse occasionally irrupts from its regular breeding and wintering range across Europe as far west as Great Britain, where it has bred, and Ireland. The reasons for these remarkable movements are not fully understood, but they have become less frequent, probably due to contraction of the western Siberian range as the steppes become more agricultural.
Due to their primarily dry diet of seeds, the sandgrouse needs to drink a large volume of water. The sandgrouse's wing morphology allows for fast flight with speeds up to having been recorded. Large flocks of several thousand individuals fly to watering holes at dawn and dusk making round trips of up to per day. Male parents soak their breast plumage in water while drinking, allowing their chicks to drink from the absorbed moisture on their return.
Marco Polo mentions a bird called Bargherlac (from Turkmen bağırlak) in The Travels of Marco Polo. This is probably Syrrhaptes paradoxus (S. pallasii).
References
External links
Nine photographs (see pulldown menu at page bottom) at The Oriental Bird Club
Pallas's sandgrouse
Category:Birds of Central Asia
Category:Birds of Kazakhstan
Category:Birds of Mongolia
Category:Birds of North China
Category:Birds of Manchuria
Pallas's sandgrouse
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tomekkorbak/pile-curse-small
|
Wikipedia (en)
|
Q:
How to merge two arrays of object in PHP
I have the following two arrays of objects:
First Array: $array1
Array
(
[0] => stdClass Object
(
[id] => 100
[name] => Muhammad
)
[1] => stdClass Object
(
[id] => 102
[name] => Ibrahim
)
[2] => stdClass Object
(
[id] => 101
[name] => Sumayyah
)
)
Second Array: $array2
Array
(
[0] => stdClass Object
(
[id] => 100
[name] => Muhammad
)
[1] => stdClass Object
(
[id] => 103
[name] => Yusuf
)
)
I want to merge these two object arrays (removing all duplicates) and sorted according to id.
Desired output:
Array
(
[0] => stdClass Object
(
[id] => 100
[name] => Muhammad
)
[1] => stdClass Object
(
[id] => 101
[name] => Sumayyah
)
[2] => stdClass Object
(
[id] => 102
[name] => Ibrahim
)
[3] => stdClass Object
(
[id] => 103
[name] => Yusuf
)
)
A:
These 3 simple steps did the work:
//both arrays will be merged including duplicates
$result = array_merge( $array1, $array2 );
//duplicate objects will be removed
$result = array_map("unserialize", array_unique(array_map("serialize", $result)));
//array is sorted on the bases of id
sort( $result );
Note: Answer by @Kamran helped me come to this simple solution
A:
UPDATE
I am posting the entire code listing here now instead of the previously posted main code, printing both input and output. You can simply copy and paste this code to test.
<?php
function array_to_object($arr) {
$arrObject = array();
foreach ($arr as $array) {
$object = new stdClass();
foreach ($array as $key => $value) {
$object->$key = $value;
}
$arrObject[] = $object;
}
return $arrObject;
}
function super_unique($array)
{
$result = array_map("unserialize", array_unique(array_map("serialize", $array)));
foreach ($result as $key => $value) {
if ( is_array($value) ) {
$result[$key] = super_unique($value);
}
}
return $result;
}
function merge_arrays($arr1, $arr2) {
$arr1 = (array)$arr1;
$arr2 = (array)$arr2;
$output = array_merge($arr1, $arr2);
sort($output);
return super_unique($output);
}
$array1 = array(
array("id" => "100", "name" => "muhammad"),
array("id" => "102", "name" => "ibrahim"),
array("id" => "101", "name" => "summayyah"),
);
$array1 = array_to_object($array1);
print "<h3>Your array 1</h3>";
print "<pre>";
print_r($array1);
print "</pre>";
$array2 = array(
array("id" => "100", "name" => "muhammad"),
array("id" => "103", "name" => "yusuf"),
);
$array2 = array_to_object($array2);
print "<h3>Your array 2</h3>";
print "<pre>";
print_r($array2);
print "</pre>";
$result = merge_arrays($array1, $array2);
print "<h3>Your desired output</h3>";
print "<pre>";
print_r($result);
print "</pre>";
it will output the following:
Your array 1
Array
(
[0] => stdClass Object
(
[id] => 100
[name] => muhammad
)
[1] => stdClass Object
(
[id] => 102
[name] => ibrahim
)
[2] => stdClass Object
(
[id] => 101
[name] => summayyah
)
)
Your array 2
Array
(
[0] => stdClass Object
(
[id] => 100
[name] => muhammad
)
[1] => stdClass Object
(
[id] => 103
[name] => yusuf
)
)
Your desired output
Array
(
[0] => stdClass Object
(
[id] => 100
[name] => muhammad
)
[2] => stdClass Object
(
[id] => 101
[name] => summayyah
)
[3] => stdClass Object
(
[id] => 102
[name] => ibrahim
)
[4] => stdClass Object
(
[id] => 103
[name] => yusuf
)
)
|
tomekkorbak/pile-curse-small
|
StackExchange
|
Murali Vijay made his Test debut as opener for India in 2008 as a replacement for Gautam Gambhir, who was serving a one-match ban for an on-field altercation. Murali Vijay made his Test debut as opener for India in 2008 as a replacement for Gautam Gambhir, who was serving a one-match ban for an on-field altercation.
This article was first published on May 17, 2015 and it’s being reshared on Murali Vijay’s birthday on April 1, 2020.
——————————————————————————————————————————
It was a small hotel room without any beds. It’s not known what a driver and another man, the original inhabitants of the room, thought when a 17-year-old boy checked in on a summer’s day and, like them, slept on the floor. Little would they know that the quiet teenager who shared their room in T Nagar, a bustling marketplace in Chennai, for six months would go on to open for the Indian Test cricket team one day. Even the boy didn’t know what lay ahead.
Murali Vijay was looking for himself then. He had walked out of his home after flunking his Class XII exams and he had at least six months to find out about life as an adult. “I had told my parents, ‘Don’t worry, I won’t commit suicide, I won’t do anything stupid, I just want to live on my own and find what I want’,” he says. He was 17 and he loved his mother (“one person I can give my life for”), and there he was alone, trying to make something of his life. Not the usual back story of a Test cricketer, but there you go.
It’s clear that his lived experiences have moulded this man — experiences that are uncommon not because they don’t happen to others, but because he went out of his way to seek them. In a world where cricket stars appear to be designed by branding gurus, Vijay is anything but fake.
It isn’t as if the 31-year-old doesn’t care what’s thought of him. Just before he went on a tour of England last year, he sought out a couple of journalists and asked them why he is perceived as “arrogant”. We mumbled something then but I was to return to that question and to a more specific answer, involving his marriage, in this recent conversation. But let’s not get ahead of the story.
Around the time he stepped out of the comfort of his home, his father’s business had run into trouble. Vijay recalls his father as a “different” man. “He remained calm even when things weren’t going well and never passed on any sense of worry or panic to my sister and I. My mother is a very strong person,” he says.
Once, Vijay was told if studies weren’t his thing, then perhaps he should think of becoming a peon. A stray reaction of a worried father, perhaps, for Vijay doesn’t recall any rancour. He just remembers it as one of the “triggers” in his life. “My whole family was into studies and would cry for that one mark which didn’t get them 100. I was the complete opposite. My sister scored 98 per cent in Class XII. I got 40. My outlook was to get out there, travel, meet people and do something. Bookish knowledge never appealed to me. I got no kick out of it. I was not a bad student, mind you!” he says.
Seeking a “kick” is fine but leaving home at that age? Vijay says he was sitting at home one day when he began to introspect. “What am I doing with my life? Am I making the right decisions? Can I live alone? I wanted to try it out before I fell back on my parents’ support,” he says. He knew he had to follow his heart.
Deluxe Hotel in T Nagar was to be his home for the next six months. He didn’t tell his close friends about it initially and found work at a snooker parlour. Woke up to exercise, went to the parlour, and somehow fitted cricket in between. He even joined a “chain business” he says, a multi-level pyramid like Amway. “If I got two or three people into it, I would get some commission,” he says.
He learnt many things about himself, some were just confirmations. “I was always street-smart and if so required, I can survive on the street. Maybe that’s my philosophy. That period helped me become independent. I knew I could survive on anything and anywhere. You know what you are exactly,” he says.
“I used to visit my parents, of course. They never felt that I was doing anything wrong. We used to be well-off — but my parents had lost money. My father never gave much importance to wealth. He would talk about how it is important to treat people well. I didn’t understand then, I understand now,” he says.
It wasn’t easy, of course. For anyone, leave alone a teenager. Nearly every night, Vijay says, he would think: “Chuck this, let me go back home”. “There was this fear, about money and hunger” but he knew he had to last six months to see what he was made of. Once he cleared his exams, and got admitted to Vivekananda College in Mylapore, Chennai — once known for its academic excellence, and always for promoting sports, especially cricket — Vijay was in his element.
He didn’t return home, though. He would stay for a week before wandering off to his friends’ homes. Some nights were even spent at the cricket ground. Be it the YMCA or the IIT cricket ground, ringed by trees, “wherever my mood took me that day,” he says with a smile.
“I am a weird character. My friends mean a lot to me. Their parents used to treat me as their own son. They pushed me hard to play cricket. They knew I wasn’t good at studies but didn’t make me look for a job. They knew that I was born to play cricket. They believed a lot more in me as a cricketer than I did. Srinath, Harish, Vineet ..” the names roll out.
With Srinath, he had gone to see Sachin Tendulkar bat against Pakistan in the famous Chennai Test in 1999 where Tendulkar made an epic 136 in the run chase. Tendulkar and Mongia were in a match-turning partnership, or so it seemed, when Vijay saw Tendulkar shouting at Mongia. “I told Srinath, be silent, see Tendulkar is shouting at Mongia for some false shot. This was before lunch and Mongia then came back and hit another big shot and got out,” he says. Vijay walked out of Chepauk at the fall of Tendulkar’s wicket — Pakistan won by 12 runs — with a firm resolve that one day he would play in that stadium. “As a youngster, I would go and see S Sharath and S Sriram (Tamil Nadu’s Ranji Trophy stars) bat there and my desire of playing there strengthened,” he says.
Back in college, he was having fun with the cricket team. He had started to play with the leather ball only at the age of 17 and when he wasn’t selected for the under-19 state team, he turned to college cricket to discover the joy of the game. “Whatever game would be happening, I would go and play. If I got a call about a match, I would be there: 8 am or 1 in the afternoon, multiple times a day. I also wanted to show my parents that I was doing something,” he says.
It was then that Bharat Arun, currently Indian team’s bowling coach and a noted figure in Tamil Nadu cricket, spotted him and asked him to play for Chemplast team in Chennai’s club cricket league. Diwakar Vasu, another former Tamil Nadu player, who was in charge of Chemplast told him he might not get to play in the first five matches but if he waited, he would get a chance. “I got a chance and haven’t looked back since,” he says.
He was forced, however, to stop and pause at least a few times. One came early, at the age of 21, when he found out that he wasn’t selected for the Tamil Nadu team because he had long hair. Or so he believes. “That’s what my sources told me and I was shocked. It’s a weird feeling: I didn’t understand. What’s hair got to do with cricket? What does it really say? How can you judge my attitude on that? If I do not supporting my teammates, or come late for training or make mistakes on the field, these things can be addressed. Not your hair or the way you speak, or smoke,” he says.
It was an early lesson in image management that continues to haunt him. He might be a proud man but he wasn’t going to let coiffure stand in between him and his dream. And off he went that evening to chop off the hair.
“It was difficult for me to change people, so I decided to change myself. I told myself I can grow back the hair anytime. Cricket was my ultimate thing. I don’t have an ego with cricket. I was a little brash perhaps, arrogant, short-tempered; I didn’t know exactly what to say to people,” he says.
He then makes a critical observation about being a professional player. “In team sport, people usually judge you on your performance but how you carry yourself also matters. That’s what I didn’t understand or else I could have played for India much earlier. For me, 30 runs is sometimes more valuable than 150 — that’s how I see the game but I also saw that the others didn’t. (He is talking of his pre-India days here.) It took a while for me to understand,” he says.
As the conversation progressively turns to how people perceive him, I bring up the old question he had asked once about his negative image. Vijay’s marriage in 2012 was one of the reasons behind that perception. There was a triangular mess involving a Tamil Nadu Ranji teammate and India player Dinesh Karthik, his wife, and Vijay. It played out in the tabloid press in Chennai and across the country in salacious detail. There was no word from Vijay at all then, or much from Karthik. The stories kept spinning and churning and reached the sports pages of the national dailies. It subsided only after it came out that Vijay had married her. But, perhaps, the damage was done.
Vijay doesn’t squirm or slip into any defence of himself. Instead, he looks up and answers in a measured tone. “I am not one to share personal stuff. I didn’t feel like saying anything then. Something had gone wrong. I felt it inside me. I didn’t have to say it to others. There were major things happening, of course, and it involved three human beings. I thought we handled it well. There was no need to explain to people. Because people are going to talk anyways. And you can’t stop them from talking,”he says.
At the time, he went back to what his father told him. “As long you are making the right decision and you have a clear conscience, you don’t owe anyone an explanation, even your parents,” he says. His mother told him to do the right thing and that she would support him. “I didn’t want to explain myself. Even if I did, they (the media) were going to write in a different way. What’s the point then?” he asks.
The media did call. “Boss I know what I did,” Vijay recalls telling one of them. “What’s the point of threatening me? You write what you want. I am not scared. You don’t tell me to do something. After a point, it’s my life. I can’t tell 10,000 people and explain what happened,” he says.
It was a difficult time, with things spinning out of control. “But I didn’t want to put anyone down. If I spoke, it was going to be worse. Rather than that, I should just take it. For what I had done, just take it and move on — that’s what I told myself. I respect my parents. I know I had put them in a fix. They said you have done it and you realise it. Do the best you feel. As long as my partner is happy and she knows who I am, that’s that,” he says.
That was that indeed. It’s been a great last year or so, with Vijay cementing his spot in the Test team. He says he knows his time in ODIs and T20s will also come. He was upset when he wasn’t picked as the third opener for the World Cup but his temperament is such that he doesn’t remain upset for too long. “Look, it’s a gift to play for the country and earn a living playing this wonderful game. You can’t get too greedy! All I can do is to give my best,” he says.
Vijay has, of course, persevered to make it happen, like he did when his career hit a roadblock after he was dropped from the Test team after a tour of West Indies in 2011. “My batting was a bit loose then, if you know what I mean. I had gone there on the back of a decent IPL and didn’t understand how to adapt. I would just go with the flow,” he says.
He went back to basics and worked with his coach Jayakumar, to whom he is grateful, and Bharath Reddy, former India wicketkeeper and mentor. “I would be nobody if not for them, they gave me immense confidence,” he says. It wasn’t about technique at that point. “But I didn’t understand the synchronisation of mind and body. I alternated between blocking in one session and going on the attack in the next. Even in domestic games. Now I am more aware,” he says.
Vijay is an outsider by temperament, who nevertheless has stayed within the system, goaded by his survival instinct and by his fierce desire to excel and have fun with cricket. He seems at a happy, peaceful and confident space about his game, and his life. He has a four-year-old son Nirav and a six-month-old daughter Iva. “Nirav means happy soul and Iva is the light (of my life),” he says with a smile.
The Test Specialist
* Murali Vijay has played 31 Tests and totalled 2188 runs at an average of 39.78. He has played just 14 ODIs and his last ODI was in July 2013.
* He made his Test debut as opener for India in 2008 as a replacement for Gautam Gambhir, who was serving a one-match ban for an on-field altercation.
* He got his first full series of Test cricket in 2011 against West Indies but was dropped at the end of it.
*Made a Test comeback in 2012 against Australia and hit back-to-back 150s. It’s in the last 18 months that he has really cemented his place at the top. In the last 13 Tests, through four overseas tours starting from South Africa in December 2013 to Australia in January 2015, he has made 1080 runs at an average of 41.53 with two hundreds and seven fifties.
* In his last nine Tests, five in England and four in Australia, he has averaged 49.11 with two hundreds and six fifties.
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abstract: 'We analyze the effect of plasma screening on nuclear reaction rates in dense matter composed of atomic nuclei of one or two types. We perform semiclassical calculations of the Coulomb barrier penetrability taking into account a radial mean field potential of plasma ions. The mean field potential is extracted from the results of extensive Monte Carlo calculations of radial pair distribution functions of ions in binary ionic mixtures. We calculate the reaction rates in a wide range of plasma parameters and approximate these rates by an analytical expression that is expected to be applicable for multicomponent ions mixtures. Also, we analyze Gamow-peak energies of reacting ions in various nuclear burning regimes. For illustration, we study nuclear burning in $^{12}$C–$^{16}$O mixtures.'
author:
- 'A. I. Chugunov'
- 'H. E. DeWitt'
title: Nuclear fusion reaction rates for strongly coupled ionic mixtures
---
Introduction {#s:introduct}
============
Nuclear fusion in dense stellar matter is most important for the evolution of all stars. The main source of energy for main-sequence stars is provided by hydrogen and helium burning. Subsequent burning of carbon and heavier elements [@clayton83] drives an ordinary star along the giant/red-giant branch to its final moments as a normal star. Nuclear burning is also important for compact stars. It is the explosive burning of carbon and other elements in the cores of massive white dwarfs; it triggers type Ia supernova explosions (see, e.g., [@hoeflich06] and references therein). Explosive burning in the envelopes of neutron stars can produce type I X-ray bursts [@sb06] and superbursts (that are observed from some X-ray bursters; e.g., Refs. [@cummingetal05; @guptaetal06]). Accreted matter which penetrates into deeper layers of the neutron star crust undergos pycnonuclear reactions. They can power thermal radiation observed from neutron stars in soft X-ray transients in quiescent states (see, e.g., Refs.[@YL03; @Transient03; @Transient04; @YLG05; @guptaetal06; @pgw06; @lh07; @shternin07; @YakPycno06]). Thus, nuclear reactions are important in stars at all evolutionary stages.
It is well known that nuclear reaction rates in dense matter are determined by astrophysical $S$-factors, which characterize nuclear interaction of fusing atomic nuclei, and by Coulomb barrier penetration preceding the nuclear interaction. We will mostly focus on the Coulomb barrier penetration problem. Fusion reactions in ordinary stars proceed in the so called classical thermonuclear regime in which ions (atomic nuclei) constitute a nearly ideal Boltzmann gas. In this case the Coulomb barrier between reacting nuclei is almost unaffected by plasma screening effects produced by neighboring plasma particles. The Coulomb barrier penetrability is then well defined.
However, in dense matter of white dwarf cores and neutron star envelopes the ions form a strongly non-ideal Coulomb plasma, where the plasma screening effects can be very strong. The plasma screening greatly influences the barrier penetrability and the reaction rates. Depending on density and temperature of the matter, nuclear burning can proceed in four other regimes [@svh69]. They are the thermonuclear regime with strong plasma screening, the intermediate thermo-pycnonuclear regime, the thermally enhanced pycnonuclear regime, and the pycnonuclear zero-temperature regime. The reaction regimes will be briefly discussed in Sec.\[reactreg\]. In these four regimes the calculation of the Coulomb barrier penetration is complicated. There have been many attempts to solve this problem using several techniques but the exact solution is still a subject of debates (see [@Gasques_etal05; @YGABW06; @OCP_react] and reference therein).
In our previous paper [@OCP_react] we studied nuclear reactions in a one component plasma (OCP) of ions. Now we extend our consideration to binary ionic mixtures(BIMs). In Sec.\[PhysCond\] we discuss physical conditions and reaction regimes. In Sec. \[meanfield\] we describe the results of our most extensive and accurate Monte Carlo calculations, analyze them and use to parameterize the mean-field potential. In Sec. \[enh\] this potential is employed to calculate the enhancement factors of nuclear reaction rates. We study the Gamow peak energies and the effects of plasma screening on astrophysical $S$-factors in Sec.\[sec:Gamow\]. Section \[sec:res\] is devoted to the analysis of the results. We conclude in Sec. \[sec:conc\]. In the Appendix we suggest a simple generalization of our results to the cases of weak and moderate Coulomb coupling of ions.
Physical conditions and reaction regimes {#PhysCond}
========================================
Nuclear reaction regimes {#reactreg}
------------------------
We consider nuclear reactions in dense matter of white dwarf cores and outer envelopes of neutron stars. This matter contains atomic nuclei (ions, fully ionized by electron pressure) and strongly degenerate electrons, which form an almost uniform background of negative charge. For simplicity, we will not consider the inner crust of neutron stars (with density higher than the neutron drip density $\sim 4\times 10^{11}$ gcm$^{-3}$ [@NV73]), which contains also free degenerate neutrons.
We will generally study a multicomponent mixture of ions $j=1, 2,
\ldots$ with atomic mass numbers $A_j$ and charge numbers $Z_j$. The total ion number density can be calculated as ${n_\mathrm{i}}=\sum_j\, n_j$, where $n_j$ is a number density of ions $j$. It is useful to introduce the fractional number $x_j=n_j/{n_\mathrm{i}}$ of ions $j$. Let us also define the average charge number $\langle Z \rangle=\sum_j\, x_j Z_j$ and mass number $\langle A \rangle=\sum_j\, x_j A_j$ of ions. The charge neutrality implies that the electron number density is $n_e=\langle Z \rangle {n_\mathrm{i}}$. The electron contribution to the mass density $\rho$ can be neglected, so that $\rho\approx\langle A \rangle m_\mathrm{u} n $, where $m_\mathrm{u}\approx 1.66054\times 10^{-24}$ g is the atomic mass unit. The importance of the Coulomb interaction for ions $j$ can be described by the coupling parameter $\Gamma_j$ $$\begin{aligned}
\Gamma_j=\Gamma_{jj}=\frac{Z_j^2\,e^2}{a_j {k_\mathrm{B}}T}, \quad
a_j=Z_j^{1/3}a_\mathrm{e},\quad a_\mathrm{e}=\left(\frac{3}{4\pi
n_\mathrm{e}}\right)^{1/3},\end{aligned}$$ where $a_j$ and $a_\mathrm{e}$ are the ion-sphere and electron-sphere radii, ${k_\mathrm{B}}$ is the Boltzmann constant, and $T$ is the temperature. Note, that the electron charge within an ion sphere exactly compensates the ion charge $Z_je$; $\Gamma_j$ gives the ratio of characteristic electrostatic energy $Z_j^2e^2/a_j$ to the thermal energy ${k_\mathrm{B}}T$.
If $\Gamma_j\ll 1$, the ions constitute an almost ideal Boltzman gas, while for $\Gamma_j\gtrsim 1$ they are strongly coupled by Coulomb forces and constitute either a Coulomb liquid or solid. The transformation from the gas to the liquid at $\Gamma_j\sim 1$ is smooth, without any phase transition. According to highly accurate Monte Carlo calculations, a classical OCP of ions solidifies at $\Gamma\approx 175$ (see, e.g. [@DWSBY2001]).
We will discuss fusion reactions $$(A_i,\ Z_i)+(A_j,\ Z_j) \rightarrow
(A^\mathrm{comp}_{ij},\ Z^\mathrm{comp}_{ij}),$$ where $A^\mathrm{comp}_{ij}=A_i+A_j$ and $Z^\mathrm{comp}_{ij}=Z_i+Z_j$ refer to a compound nucleus. The reaction rate is determined by an astrophysical $S$-factor. For a non-resonant reaction, it is a slowly varying function of energy (see, e.g., Ref. [@YGABW06]). It is determined by the short-range nuclear interaction of fusing nuclei and by the Coulomb barrier penetration problem. The latter task can be reduced to the calculation of the contact probability $g_{ij}(0)$, which is the value of the quantum-mechanical pair correlation function of reacting nuclei $i$ and $j$ at small interionic distances $r\rightarrow 0$. Finally, the reaction rate can be written as (see Sec. \[sec:Gamow\] and [@ichimaru93]) $$R_{ij}=\frac{2\,{a_{ij}^\mathrm{B}}}{\left(1+\delta_{ij}\right)\pi\hbar}\,\,n_i\,n_j
S_{ij}\left({E^\mathrm{pk}_{ij}}^\prime\right) g_{ij}(0),
\label{R_throw_g}$$ where $$S_{ij}(E)= \sigma_{ij}(E) E
\exp(2\pi\eta_{ij})$$ is the astrophysical factor. It should be taken at an appropriate energy $E={E^\mathrm{pk}_{ij}}^\prime$, which is the “Gamow peak energy”, corrected for the plasma screening (see Sec.\[sec:Gamow\] and Fig. \[fig:gamow\]); $\delta_{ij}$ is Kronecker delta, that excludes double counting of the same collisions in reactions of identical nuclei ($i=j$). For these reactions, ${a_{ij}^\mathrm{B}}=\hbar^2/\left(2\mu_{ij}\,Z_i\,Z_j\,e^2\right)$ reduces to the ion Bohr radius. Furthermore, $\mu_{ij}=m_\mathrm{u}\,A_iA_j/A^\mathrm{comp}_{ij}$ is the reduced mass of the nuclei and $\sigma_{ij}(E)$ is the fusion cross section. Finally, $\eta_{ij}=Z_iZ_j e^2\, \sqrt{\mu_{ij}/(2E\hbar^2)}$ determines the penetrability of the Coulomb barrier.
Figure \[Fig\_ReacRegimes\] is the temperature-density diagram for a $^{12}$C+$^{16}$O mixture with equal number densities of both species. Also, we present the lines of constant dimensionless parameters (see Sec. \[dimlesparams\]) $\Gamma_{ij}=1$ (dash-dot lines) and $\zeta_{ij}=1$ (the dotted line). The dash-dot lines (from top to bottom) correspond to $\Gamma_\mathrm{OO}=1$, $\Gamma_\mathrm{CO}=1$, and $\Gamma_\mathrm{CC}=1$. The $\zeta_{ij}=1$ line is the same for all combinations of ions because of equal $A/Z=2$ rations for $^{12}$C and $^{16}$O ions. The shaded regions are bounded by the solid and long-dashed lines of constant burning times of $1$ and $10^6$ yr, respectively. The region for the O+O reaction is highest, for C+O intermediate, and for C+C lowest (as regulated by the height of the Coulomb barrier). The lines of constant burning time are similar. At $\rho \lesssim
10^{9}$ gcm$^{-3}$ they mainly depend on temperature because of exponentially strong temperature dependence of the reaction rates. These parts of the lines correspond to thermonuclear burning (with weak or strong plasma screening). With growing density, the curves bend and become nearly vertical (that corresponds to the pycnonuclear burning due to zero-point vibrations of atomic nuclei; see [@svh69; @vhs67; @sk90; @YGABW06]). The pycnonuclear reaction rate is a rapidly varying function of density, which is either slightly dependent or almost independent of temperature.
The carbon ignition curve (discussed in Sec. \[sec:res\]) is shown by the thick dashed line.
Dimensionless parameters {#dimlesparams}
------------------------
Let us consider a binary mixture of ions with mass numbers $A_1$ and $A_2$, charge numbers $Z_1$ and $Z_2$, and fractional numbers $x_1=n_1/n_\mathrm{i}$ and $x_2=1-x_1$. Following Itoh et al.[@ikm90], in addition to the ion radii $a_i=a_{ii}$ we introduce an effective radius $$\label{a_12_def}
a_{12}=\frac{a_1+a_2}{2}
=\frac{Z_1^{1/3}+Z_2^{1/3}}{2}\,a_\mathrm{e}$$ It is also convenient to define the parameter $${\Gamma_\mathrm{e}}=e^2/(a_\mathrm{e}\,{k_\mathrm{B}}\,T),$$ The coupling parameters for ions can be written as $$\Gamma_i=\Gamma_{ii}={\Gamma_\mathrm{e}}\,Z_i^{5/3}.$$ In addition, we introduce an effective Coulomb coupling parameter $${\Gamma_\mathrm{12}}=Z_1Z_2e^2/(a_{12}{k_\mathrm{B}}\,T),$$ to be used later for studying a reaction of the type $(A_1,Z_1)+(A_2,Z_2)$.
Furthermore, we introduce the corresponding ion radius and the Coulomb coupling parameter for a compound nucleus $(A_i+A_j,Z_i+Z_j)=(A_{ij}^\mathrm{comp}, Z_{ij}^\mathrm{comp})$, $$a^\mathrm{comp}_{ij}=a_\mathrm{e}\,\left(Z^\mathrm{comp}_{ij}\right)^{1/3},\quad
\Gamma^\mathrm{comp}_{ij}={\Gamma_\mathrm{e}}\left(Z^\mathrm{comp}_{ij}\right)^{5/3}.$$ The Coulomb barrier penetrability in the classical thermonuclear regime (neglecting plasma screening) is characterized by the parameter $$\tau_{ij}=\left(\frac{27\pi^2 \mu_{ij} Z_i^2 Z_j^2 e^4}
{2{k_\mathrm{B}}T\hbar^2}
\right)^{1/3}.
\label{tau_ij}$$ The Gamow peak energy in this regime is $$E_{ij}^\mathrm{pk}={k_\mathrm{B}}T\,\tau_{ij}/3.
\label{GamowEpk}$$ The effects of plasma screening on the Gamow peak energy and tunneling range are discussed in Sec. \[sec:Gamow\].
Also, we introduce a dimensionless parameter $$\zeta_{ij}= 3\,\Gamma_{ij}/\tau_{ij}.$$ In an OCP, $\zeta_{ii}$ reduces to the parameter $\zeta$ defined in Ref. [@OCP_react] and has a simple meaning – it is the ratio of the tunneling length of nuclei with the Gamow peak energy (calculated neglecting of the plasma screening effects) to the ion sphere radius $a_{ij}$.
Mean field potential {#meanfield}
====================
Direct calculation of the contact probability $g_{ij}(0)$ is very complicated even in OCP. In principle, it can be done by Path Integral Monte Carlo (PIMC) simulations, but it requires very large computer resources. PIMC calculations performed so far are limited to a small number of plasma ions (current OCP results are described in [@ogata97; @pm04; @mp05]). In BIMs one needs a larger number of ions, $N_1$ and $N_2$, to get good accuracy.
We will use a simple mean-field model, summarized in this section. It can be treated as a first approximation to the PIMC approach [@aj78]. Previously we showed [@OCP_react] it is in good agreement with PIMC calculations of Militzer and Pollock [@mp05] for OCP.
A classical pair correlation function, calculated by the classical Monte Carlo (MC) method, can be presented as $$g^\mathrm{MC}_{ij}(r)=
\exp\left[\frac{1}{{k_\mathrm{B}}T}\,
\left(\frac{Z_iZ_j e^2}{r}-H_{ij}(r)\right)
\right],\label{Hij}$$ where $H_{ij}(r)$ is the mean field potential to be determined.
The Taylor expansion of $H_{ij}(r)$ in terms of $r$ for a strongly coupled ion system should contain only even powers [@widom63]. The first two terms can be derived analytically in the same technique as proposed by Jancovici [@jancovici77] for OCP. The mean field potential at low $r\ll a_{ij}$ takes form [@oii91] $$H_{ij}(r)\approx\,{k_\mathrm{B}}T h_{ij}^0
-\frac{Z_i Z_j
e^2
}{2a^\mathrm{comp}_{ij}}
\left(\frac{r}{a^\mathrm{comp}_{ij}}\right)^2,
\label{Low_r_Hij}$$ where $$\label{h}
h_{ij}^0
=f_0(\Gamma_i)+f_0(\Gamma_j)-f_0(\Gamma_{ij}^\mathrm{comp}),$$ and $f_0(\Gamma)$ is the Coulomb free energy per ion in OCP. Here, the linear mixing rule is assumed. In principle, $h_{ij}^0$ can be extrapolated from MC $H_{ij}(r)$ data (e.g., Ref. [@ds99]), but the problem is delicate [@rosenfeld96] and we expect that using linear mixing rule is preferable. The linear mixing rule is confirmed with high accuracy [@dsc96; @ds03] but its uncertainties were a subject of debates; see Ref. [@Potekhin_Mixt] for recent results.
To determine the mean field potential in BIMs we performed extensive MC calculations of $H_{ij}(r)$. We did 129 MC runs. In each run we calculated pair correlation functions $g_{11}$, $g_{12}$ and $g_{22}$ for a given set of the parameters $Z_1$, $Z_2$, $N_1$, $N_2$, and $\Gamma_1$. In Fig. \[Fig\_Our\_data\] each set is shown by a symbol. The top panel demonstrates a fraction of particles 2, $x_2$, versus $\Gamma_1$. Circles, pluses, crosses and dots refer to different ratios of $Z_2/Z_1$: $1\le Z_2/Z_1<2$, $2\le
Z_2/Z_1<3$, $3\le Z_2/Z_1< 5$, $5\le Z_2/Z_1\le 8$, respectively. In the bottom panel we show the $Z_2/Z_1$-ratio versus $\Gamma_1$. Circles, pluses, crosses and dots correspond to different values of $x_2$: $x_2<0.05$, $0.05\le x_2<0.2$, $0.2\le x_2< 0.4$, $0.4\le
x_2\le 1$. For some parameter sets (e.g., for $\Gamma_1=180$, $x_2\approx0.05$, $Z_2/Z_1=4/3$) we use a number of MC runs with different initial configurations (random or regular lattice) and/or different simulation times. We did not find any significant dependence of the mean field potential (for $r<2a_{ij}$) on the initial parameters. From all our simulations we extract $H_{11}(r)$, $H_{12}(r)$ and $H_{22}(r)$ and remove some low-$r$ points with large MC noise. We then fit these functions at $r\lesssim 2a_{ij}$ by a simple universal analytical expression $$\begin{aligned}
\label{u_fit}
H_{ij}(r)
&=&{k_\mathrm{B}}T\, \Gamma_{ij}^\mathrm{eff} \\
&\times&\sqrt{
\frac{U_0^2+U_1\,x^4+U_2\,x^8}
{1+U_3\,x+U_4\,x^2+U_5\,x^4+U_6\,x^6+U_2\,x^{10} }
},
\nonumber\end{aligned}$$ where $x=r/a^\mathrm{eff}_{ij}$, $U_0=h_{ij}^0/\Gamma^\mathrm{eff}_{ij}$, $U_1=0.0319$, $U_2=0.0024$, $U_3=0.22\left(\Gamma^\mathrm{eff}_{ij}\right)^{-0.7}$, $U_4=2^{-1/3}
\left(a^\mathrm{eff}_{ij}/a^\mathrm{comp}_{ij}\right)^2/U_0$, $U_5=0.111$, and $U_6=0.0305$. Note, that $U_0$ and $U_4$ are fixed by the low-$r$ asymptote of $H_{ij}(r)$ at strong Coulomb coupling, $\Gamma_{ij}\gg1$, Eq. (\[Low\_r\_Hij\]). For a better determination of $H_{12}(r)$, we introduce the effective ion sphere radius $a^\mathrm{eff}_{ij}$ and the Coulomb coupling parameter $\Gamma^\mathrm{eff}_{ij}$: $$a^\mathrm{eff}_{ij}=\left(\frac{a_i^p+a_j^p}{2}\right)^{1/p},\quad
\Gamma^\mathrm{eff}_{ij}=\frac{Z_iZ_je^2}{{k_\mathrm{B}}T a^\mathrm{eff}_{ij}}.
\label{a_eff}$$ Here, $p$ is an additional fit parameter which is found to be $p=1.6$. Note, that $a^\mathrm{eff}_{ii}=a_{ii}=a_i$ for reactions with identical nuclei ($i=j$). If, however, $i\ne j$ the parameters $a^\mathrm{eff}_{ij}$ and $a_{ij}$ differ by a few percent and this difference is very important. Using $a_{ij}$ to define $x$ in Eq.(\[u\_fit\]) and using $H_{ij}(r)$ to reproduce the pair correlation function $g_{ij}(r)$ through Eq. (\[Hij\]), we find the first peak of $g_{ij}$ to be unrealistically deformed for large $Z_2/Z_1\gtrsim5$.
Let us mention that in the OCP case our fit expression (\[u\_fit\]) is not the same as we used previously [@OCP_react]. Equation (\[u\_fit\]) seems to be better because it better describes the first peak of $g(r)=g_{ii}(r)$, especially at very large $\Gamma\gtrsim 200$. For an OCP at $\Gamma\lesssim 200$, the old and new fit expressions give approximately the same accuracy of $H(r)=H_{ii}(r)$.
Four examples of MC runs are shown in Fig. \[Fig:U\_r\]. For each run (on each plot) we show dimensionless mean field potential $u_{ij}=H_{ij}(r)/({k_\mathrm{B}}T\Gamma_{ij})$ versus $r/a_\mathrm{e}$. Solid lines are MC data, dashed lines are derived from the fit expression (\[u\_fit\]). One can see numerical noise of MC data at low $r$; it is especially strong in the lowest plot for $\Gamma_\mathrm{e}=5$. During fitting procedure we removed some low-$r$ points with high MC noise. Our fitting ranges are shown by pairs of thin dotted lines connected by a thick solid line. The low-$r$ bound of the fitting region is different for $H_{11}$, $H_{12}$, and $H_{22}$ and for each MC run. The high-$r$ bound was taken to be $2a_{ij}$ for all data. Thus, all our fits include the vicinity of the first peak of a pair correlation function at $r\sim 1.8 a_{ij}$. Although we have no MC data at low $r$, we expect that our approximation is well established because it satisfies the accurate low-$r$ asymptote (\[Low\_r\_Hij\]). Also, it satisfies the large-$r$ asymptote $u_{ij}(r\rightarrow 1)=a_{ij}/r$, which corresponds to the fully screened Coulomb potential. Both asymptotes for $u_{22}$ are shown on the upper plot by dash-dot lines. One can see, that they nicely constrain the mean field potential.
A poor MC statistics at low $r$ can be, in principle, increased using specific MC schemes [@cg03] but this is beyond the scope of the present paper. Previously the mean field approximations was used by Itoh et al.[@ikm90] and Ogata et al. [@oiv93]. While we use the correct form of the linear mixing rule (\[h\]) to calculate $u_{12}(0)$, the cited authors restricted themselves by OCP results, which depend only on $\Gamma_{12}$ (but not on $Z_2/Z_1$). The results of this simplification are discussed in Sec. \[enh\]; they are visible in Fig. \[Fig:H\_r\]. In addition, our approximation is based on a more representative set of MC runs (see Fig. \[Fig\_Our\_data\]), and each run was done with better accuracy. For example, where is no visible noise $g_{ij}(r)$-noise in the vicinity of the first peak in out data, whereas this noise is obvious in Fig. 1 of Ref. [@oiv93]. We have also checked that our approximation (\[u\_fit\]) better reproduces all our MC data than approximations of both groups [@ikm90; @oiv93]. As noted by Ogata et al. [@oiv93], the height of the first $g_{ij}(r)$-peak depends on the fraction of ions with larger charge (the peaks become higher with increasing this fraction). Our data confirm this statement for a not very large Coulomb coupling parameter, $\Gamma_1\lesssim 10$. Ogata et al. [@oiv93] added a correction for this feature in their approximation of $u_{11}$. It helps to describe the first $g_{11}(r)$-peak for some of our runs (e.g., for $\Gamma_1=10$, $Z_2/Z_1=5$ and $x_2=0.2$). However, we think that we still do not have enough data to quantitatively describe this correction to the linear mixing with good accuracy, and we use the mean field potential (\[u\_fit\]) based on the linear mixing rule throughout the paper. In the Appendix we describe the corrections to the linear mixing on a phenomenological level.
Enhancement of nuclear reaction rates {#enh}
=====================================
=0.95
Let us introduce the enhancement factor $F^\mathrm{scr}_{ij}$ of a nuclear reaction rate $R^\mathrm{scr}_{ij}$ under the effect of plasma screening, $$R^\mathrm{scr}_{ij}=R^\mathrm{th}_{ij}\,F^\mathrm{scr}_{ij},\quad
F^\mathrm{scr}_{ij}=\exp (h_{ij}).
\label{h_def}$$ Here, $R^\mathrm{th}_{ij}$ is the reaction rate in the absence of the screening. In can be calculated using the classical theory of thermonuclear burning, $$R^\mathrm{th}_{ij}=\frac{4 n_i
n_j}{1+\delta_{ij}}\,\frac{S_{ij}(E^\mathrm{pk}_{ij})}{k_\mathrm{B}T}\,
\sqrt{\frac{2E^\mathrm{pk}_{ij}}{3\mu_{ij}}}\exp\left(-\tau_{ij}\right).$$ The barrier penetrability parameter $\tau_{ij}$ and the Gamow peak energy $E^\mathrm{pk}_{ij}$, which enter this equation, are defined, respectively, by Eqs. (\[tau\_ij\]) and (\[GamowEpk\]).
Using $H_{ij}(r)$ we can calculate the reaction rate. This calculation takes into account the plasma screening enhancement in the mean-field approximation (as was done for OCP in our previous paper [@OCP_react]), $$\begin{aligned}
R^\mathrm{MF}_{ij}&=&\frac{n_i\,n_j S_{ij}\left({E^\mathrm{pk}_{ij}}^\prime\right)}{1+\delta_{ij}}\, \sqrt{8 \over \pi\mu_{ij} ({k_\mathrm{B}}T)^3}\,
\nonumber \\
&& \times \int_{E_\mathrm{min}}^\infty {\rm d} E\,
\exp\left[-\frac{E}{{k_\mathrm{B}}T} -P_{ij}(E) \right].
\label{thermon}\end{aligned}$$ Here, $E$ is the center-of-mass energy of the colliding nuclei (with a minimum value $E_\mathrm{min}$ at the bottom of the potential well), $\exp(-E/{k_\mathrm{B}}T)$ comes from the Maxwellian energy distribution of the nuclei, and $$P_{ij}(E)={ 2 \sqrt{2\mu_{ij}} \over \hbar} \,
\int_{0}^{r_t} {\rm d}r \,
\sqrt{{Z_iZ_j e^2 \over r} -H_{ij}(r) -E}
\label{P(E)}$$ is the Coulomb barrier penetrability ($r_t$ being a classical turning point).
In the WKB mean-field approximation the enhancement factor of the nuclear reaction rate is $$F^\mathrm{scr}_{ij}=R^\mathrm{MF}_{ij}\{H_{ij}\}/R^\mathrm{MF}_{ij}\{H_{ij}=0\}.
\label{WKBenh}$$ In the cases of physical interest, $R^\mathrm{MF}_{ij}\{0\}$ can be integrated by the saddle-point method. However, we always integrate in Eq. (\[thermon\]) numerically.
The calculated enhancement factor $F^\mathrm{scr}_{ij}$ can be fitted as $$\label{h_fit}
\log F^\mathrm{scr}_{ij}=f_0\left(\frac{\Gamma_i}{\tau_{ij}}\right)
+f_0\left(\frac{\Gamma_j}{\tau_{ij}}\right)
-f_0\left(\frac{\Gamma_{ij}^\mathrm{comp}}{\tau_{ij}}\right),$$ where $f_0(\Gamma)$ is a free energy per ion in an OCP. We use the most accurate available analytic fit for $f_0(\Gamma)$ suggested by Potekhin and Chabrier [@pc00]: $$\begin{aligned}
f_0(\Gamma)&=&A_1\left[
\sqrt{\Gamma\,\left(A_2+\Gamma\right)}
\right. \nonumber \\
& -& \left . A_2\ln\left(\sqrt{\Gamma/A_2}+\sqrt{1+\Gamma/A_2}\right)
\right]
\nonumber \\
&+&2 A_3 \left[\sqrt{\Gamma}-\arctan\left(\sqrt\Gamma\right)\right]
\nonumber \\
&+&B_1\left[\Gamma-B_2\ln\left(1+\frac{\Gamma}{B_2}\right)\right]
\nonumber \\ & +&\frac{B_3}{2}\ln\left(1+\frac{\Gamma^2}{B_4}\right).
\label{krokodilische}\end{aligned}$$ Here, $A_1=-0.907$, $A_2=0.62954$, $A_3=-\sqrt{3}/2-A_1/\sqrt{A_2}\approx0.2771$, $B_1=0.00456$, $B_2=211.6$, $B_3=-10^{-4}$, $B_4=0.00462$. We also introduce a number of additional parameters: $$\begin{aligned}
y_{ij}&=&\frac{4\,Z_i\,Z_j}{\left(Z_i+Z_j\right)^2},\quad
c_1=0.013\,y_{ij}^2,\nonumber \\
c_2&=&0.406\,y_{ij}^{0.14}, \quad
c_3=0.062\,y_{ij}^{0.19}+1.8/\Gamma_{ij},
\nonumber \\
t_{ij}&=&\left(1+c_1\,\zeta_{ij}+c_2\,\zeta_{ij}^2+c_3\zeta_{ij}^3\right)^{1/3}.
\label{h_fit_addpar}\end{aligned}$$ The root-mean-squared relative error of the fit of $F_\mathrm{scr}$ is $5\%$. The maximum error $\sim 14\%$ occurs at $\zeta_{ij}\approx
4.8$, $\Gamma_{12}\approx25$, and $Z_2/Z_1\approx10$. The fit was constructed for $1\le Z_2/Z_1\le10$, $1\le\Gamma_{12}\le200$ (we also use $\Gamma_{12}=400$ and $600$ for testing) and $\zeta_{12}\le
8$ (larger values of $\zeta_{12}$ were not included into fitting but used for tests). As for OCP in our previous paper [@OCP_react], at larger $\Gamma$ the relative errors increase.
In the limit of $\zeta_{ij}\rightarrow 0$ we have $\log
F^\mathrm{scr}_{ij}=h_{ij}^0$. This is the well known relation (e.g., [@salpeter54; @dgc73]); its formal proof is given in [@ys89].
Our fit formula (\[h\_fit\]) has the same form as the thermodynamic relation (\[h\]), but contains Coulomb coupling parameters $\Gamma_{ij}$ divided by $\tau_{ij}$. It generalizes our OCP result [@OCP_react].
Figure \[Fig:H\_r\] shows the normalized enhancement factor $h_{12}/\Gamma_{12}$ (bottom panels) as a function of $\zeta_{12}$ for several values of $\Gamma_{12}$ ($=1$, $10$, $50$, $200$; separate lines on each plot) and $Z_2/Z_1$ ($=1$, $2$, $5$ and $10$, separate plots). The first panel (for $Z_2=Z_1$) corresponds not only to a reaction in OCP, but to reactions of identical nuclei in a mixture; the mean field potential and the plasma screening enhancement do not depend on an admixture of other elements \[see Eqs. (\[u\_fit\]) and (\[h\_fit\])\], as long as the Coulomb coupling parameter is not too small, $\Gamma_{ij}\gtrsim 1$, and the linear mixing is valid. The larger $\Gamma_{ij}$, the weaker is the dependence of $h_{12}/\Gamma_{12}$ on $\Gamma_{ij}$. Long-dashed lines, plotted for $\Gamma_{12}=50$, significantly differ from dashed lines which are for $\Gamma_{12}=10$, but can be hardly distinguished from solid lines, plotted for $\Gamma_{12}=200$. Therefore, the total enhancement factor $\exp\left(h_{12}\right)$ depends exponentially on $\Gamma_{12}$ in the first approximation. The normalized enhancement factor $h_{12}/\Gamma_{12}$ suggested by Itoh et al. [@ikm90] (IKM90) is shown by long dash-dot lines. It is independent of $\Gamma_{12}$, and we show one line in each plot. The short dash-dot lines demonstrate the fit expression of Ogata et al. [@oiv93] (OIV93) (for $\Gamma_{12}=50$ as an example). The lines are cut at $\zeta_{12}=2$ (that bounds the fit validity). We show no OIV93 line on the panel for $Z_2/Z_1=10$ because there are no OIV93 simulations for such large $Z_2/Z_1$ ratios. The two lines, IKM90 and OIV93, demonstrate higher enhancement, especially for $\zeta_{12}\lesssim1$ and large $Z_2/Z_1$. First, IKM90 and OIV93 used less accurate thermodynamic approximations for calculating $u_{ij}(0)$. For large $Z_2/Z_1$-ratios, their fit error increases because of using the OCP expression (dependent only of $\Gamma_{12}$, but not on $Z_2/Z_1$) for determining $u_{ij}(0)$. This increases a difference between our and their approximations at large $Z_2/Z_1$ (see also a discussion in Sec. IIIC of Ref. [@YGABW06]). IKM90 and our $\zeta_{12}$-dependence of the enhancement factors is qualitatively the same, but the results of OIV93 (and of the preceding paper [@oii91]) are qualitatively different. As we show previously [@OCP_react], such results contradict recent PIMC results by Militzer and Pollock [@mp05] for OCP. The deviation of the IKM90 enhancement factors at low $\zeta_{ij}$ values comes possibly from using an oversimplified mean field potential.
The indicated differences between IKM90, OIV93 and our results can lead to very large differences of the total enhancement factor $\exp\left(h_{12}\right)$. For example, at $Z_2/Z_1=5$ and $\Gamma_{12}=200$ the difference can reach five orders of magnitude. Accordingly, we do not present the IKM90 and OIV93 results in lower panels, which give the ratio of the reaction rates $R^\mathrm{fit}_{12}$, given by the fit expression (\[h\_fit\]), to the reaction rate $R^\mathrm{MF}_{12}$, calculated in the mean field approximation using Eq. (\[thermon\]). A very small difference ($\lesssim 10\%$), shown on these plots, is true only by adopting the mean field potential (\[u\_fit\]). The uncertainties of the reaction rates, which come from the uncertainties of the mean field potential and inaccuracy of the mean field approximation, can be larger.
Let us stress that Eq. (\[h\_fit\]) is derived for the case of strong screening; it is invalid at $\Gamma_{12}\lesssim 1$, where the adopted linear mixing rule fails. A simple correction of the enhancement factor for weaker screening is suggested in the Appendix. It allows us to extend the results for the case of weaker Coulomb coupling.
Astrophysical S-factors: Gamow peak energies at strong screening {#sec:Gamow}
================================================================
In the previous section we focused on the plasma screening of the Coulomb barrier penetration in dense plasma environment. Now we discuss the effects of plasma screening on the astrophysical $S$-factor, that describes nuclear interaction of the reacting nuclei after the Coulomb barrier penetration. The latter effects are not expected to be very strong because of not too strong energy dependence of $S_{ij}(E)$ (e.g., Ref. [@Gasetal07]), but we consider them for completeness.
The astrophysical $S$-factor describes the effects of short-range nuclear forces and it should depend on the parameters of the reacting nuclei just before a reaction event. The energy ${E^\mathrm{pk}_{ij}}^\prime$ substituted into $S(E)$ in Eq.(\[thermon\]) should be corrected for the mean field potential created by other ions, ${E^\mathrm{pk}_{ij}}^\prime=E+H_{ij}(0)$. This correction is obvious and has been used in calculations (e.g., [@itw03]), but its formal proof has not been published, to the best of our knowledge. The reaction rate in the presence of plasma screening can be calculated as $$\begin{aligned}
R_{ij}&=&\frac{n_in_j}{1+\delta_{ij}}\left(\frac{8}{\pi\mu_{ij}T^3}\right)^{1/2}
\nonumber \\
&\times&
\int \widetilde\sigma_{ij}(E)E \exp\left(-\frac{E}{T}\right) \mathrm{d}E,
\label{R_sigma}\end{aligned}$$ where $\widetilde\sigma_{ij}(E)$ is the reaction cross section including the screening effects. To calculate $R_{ij}$, let us remind the barrier penetration model a with parameter-free model of nuclear interaction gives a good description of reaction cross sections [@Gasques_etal05]. In the absence of plasma screening at not too high energies $E$ (where only the s-wave channel is important), this model reduces to the WKB calculation of the penetrability through a potential which is the sum of the Coulomb potential and the potential $V^\mathrm{N}_{ij}(r,v_{ij}^2)$, that describes the short-range nuclear interaction. The latter potential depends on the local relative velocity $v(r.E)$ of the reactants given by $$v^2=\frac{2}{\mu_{ij}}\left[E+H_{ij}(r)-\frac{Z_iZ_je^2}{r}-V^\mathrm{N}_{ij}(r,v^2)\right].$$ Let us generalize this model by adding the screening potential $H_{ij}(r)$ and write the cross section as $$\begin{aligned}
\widetilde \sigma_{ij}(E)&=&\frac{\pi}{k_{ij}^2}
\exp\left[-\frac{2\sqrt{2\mu_{ij}}}{\hbar}\int_{r_\mathrm{tn}}^{r_\mathrm{t}}
\mathrm{d} r
\right. \nonumber \\
&\times&\left. \sqrt{\frac{Z_iZ_je^2}{r}-H_{ij}(r)
+ V^\mathrm{N}_{ij}(r,v_{ij}^2)-E
}\right].
\label{sigma_tild}\end{aligned}$$ Here, $r_\mathrm{tn}$ and $r_\mathrm{t}$ are classical turning points and $k_{ij}^2=2\mu_{ij} E/\hbar^2$. Substituting this equation into Eq. (\[R\_sigma\]) we have $$\begin{aligned}
R&=&\frac{n_in_j}{1+\delta_{ij}}\left(\frac{8}{\pi\mu_{ij}T^3}\right)^{1/2}
\nonumber \\
&\times&
\int \widetilde S_{ij}(E)\exp\left[-\frac{E}{T}-P_{ij}(E)\right] \mathrm{d}E,
$$ where $\widetilde S_{ij}(E)$ is the astrophysical factor, calculated in the presence of the plasma screening, $$\widetilde S_{ij}(E)=\widetilde \sigma_{ij} E
\exp\left[P_{ij}(E)\right];
\label{S_tild}$$ $P_{ij}(E)$ is defined by Eq. (\[P(E)\]). The potential $V^\mathrm{N}_{ij}(r,v)$ is non-zero only for very small $r\lesssim
r_\mathrm{N}$. Let us substitute Eqs. (\[P(E)\]) and (\[sigma\_tild\]) into (\[S\_tild\]) and divide all integrals into two parts, at $r<r_\mathrm{N}$ and $r\geq r_\mathrm{N}$. The integrals over $r>r_\mathrm{N}$ which come from $P_{ij}(E)$ and $\widetilde\sigma_{ij}(E)$ will be exactly the same ($V^\mathrm{N}_{ij}(r,v)=0$ for $r>r_\mathrm{N}$) and cancel each other. As a result, $$\begin{aligned}
\widetilde S_{ij}(E)&=&\frac{\pi\hbar^2}{2\mu_{ij}}
\exp\left\{\frac{2\sqrt{2\mu_{ij}}}{\hbar}\right.
\nonumber \\
&\times& \left[\int_0^{r_\mathrm{N}}
\sqrt{\frac{Z_iZ_je^2}{r}
-H_{ij}(r)-E
}\, \mathrm d r\right.
\label{S_tild2} \\
&-&\left. \left. \int_{r_\mathrm{tn}}^{r_\mathrm{N}}
\sqrt{\frac{Z_iZ_je^2}{r}-H_{ij}(r)
+ V^\mathrm{N}_{ij}(r,v^2)-E
}\, \mathrm{d} r
\right]\right\}.
\nonumber\end{aligned}$$ As expected, the astrophysical $S$-factor is determined by the behavior of the total potential $Z_iZ_je^2/r-H_{ij}(r)+V^\mathrm{N}_{ij}(r,v^2)$ in the low-$r$ region $r<r_\mathrm{N}$, where the nuclear forces are important. Because $r_\mathrm{N}$ is much smaller than the ion sphere radius $a_{ij}$, which is a typical length scale of $H_{ij}(r)$ (e.g., Fig. \[Fig:U\_r\]), we can neglect variations of $H_{ij}(r)$ for $r<r_\mathrm{N}$ and replace $H_{ij}(r)$ under the integrals in Eq.(\[S\_tild2\]) by $H_{ij}(0)$. The $S_{ij}(E)$-factor in the absence of plasma screening is given by the same Eq.(\[S\_tild2\]) but at $H_{ij}(r)=0$. Thus, $\widetilde S_{ij}(E)$ is defined by the same equation as $S_{ij}(E^\prime)$, provided $E^\prime=E+H_{ij}(0)$. In other words, $\widetilde
S_{ij}(E)=S_{ij}(E+H_{ij}(0))$ and the reaction rate is $$\begin{aligned}
R&=&\frac{n_in_j}{1+\delta_{ij}}\left(\frac{8}{\pi\mu_{ij} {k_\mathrm{B}}^3 T^3}\right)^{1/2}
\nonumber \\
&\times& \int S_{ij}(E+H_{ij}(0))\exp\left[-\frac{E}{{k_\mathrm{B}}T}-P_{ij}(E)\right]
\mathrm{d}E.
\label{R_fin}\end{aligned}$$ If this simple barrier penetration theory were invalid and the hypothesis of low-energy hindrance of nuclear reactions [@jiangetal07] were correct, such a simple correction of astrophysical $S$-factors for the plasma screening effects could be insufficient, and the calculation of the reaction rate would be much more complicated. We will not consider this possibility.
As in of the absence of the plasma screening, the main contribution to the integral (\[R\_fin\]) comes from a narrow energy range. We neglect the energy dependence of $S_{ij}(E+H_{ij}(0))$ in this range and take the $S$-factor out of the integral. The contact probability in the mean field model is given by $$g_{ij}(0)=\frac{2\sqrt{2\pi\mu_{ij}}}{{k_\mathrm{B}}^{3/2} T^{3/2}}\frac{Z_1\,Z_2e^2}{\hbar}
\int \exp\left[-\frac{E}{{k_\mathrm{B}}T}-P_{ij}(E)\right] \mathrm{d}E,$$ so that the reaction rate reads $$R_{ij}=\frac{2\,n_in_j}{1+\delta_{ij}}
\frac{a^\mathrm{B}_{ij}}{\hbar\pi} S_{ij}
\left(E^\mathrm{pk}_{ij}+H_{ij}(0)\right)
g_{ij}(0).
\label{R_g_0}$$
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We have calculated the modified Gamow-peak energy ${E^\mathrm{pk}_{ij}}^\prime=E^\mathrm{pk}_{ij}+H_{ij}(0)$, which should be used as an argument of $S$-factors, in a wide range of plasma parameters. It can be fitted as $${E^\mathrm{pk}_{ij}}^\prime
=\left[H_{ij}^3(0)+\left({k_\mathrm{B}}T\,\frac{\Gamma_{ij}}{\zeta_{ij}}\right)^3\right]^{1/3}.
\label{Epk}$$ The maximum relative fit error for $1\le\Gamma_{ij}\le 200$, $\zeta_{ij}\le 8$ and $0.1\le Z_i/Z_j\le 10$ is 4%. It takes place at $\Gamma_{ij}=1$, $\zeta_{ij}=1$ and $Z_i=Z_j$. Because of large nuclear physics uncertainties in our knowledge of $S(E)$ at low energies of astrophysical interest, this accuracy is more than sufficient. An example of the dependence of ${E^\mathrm{pk}_{12}}^\prime/\Gamma_{12}$ on $\zeta_{12}$ is shown in Fig. \[fig:Epk\] for $Z_2/Z_1=2$ and $\Gamma_{12}=100$. The solid line is the fit (\[Epk\]), the dashed line is a result of the exact ${E^\mathrm{pk}_{ij}}^\prime$ calculation in the mean field model. The peak energy ${E^\mathrm{pk}_{ij}}^\prime$ has two asymptotes shown by thin dotted lines. At low $\zeta\ll 1$, the reaction occurs in the thermonuclear regime, ${E^\mathrm{pk}_{ij}}^\prime=\Gamma_{ij}/\zeta_{ij}$, which is the standard classical result. For large $\zeta_{ij}\gg 1$, we have ${E^\mathrm{pk}_{ij}}^\prime \to H_{ij}(0)$. The classical asymptote ${E^\mathrm{pk}_{ij}}^\prime=\Gamma_{ij}/\zeta_{ij}$ is applicable at $\zeta_{ij}\lesssim 0.5$, where the plasma screening enhancement can be very strong (tenths orders of magnitude). This is because in the thermonuclear regime the tunneling length is not very large and $H_{ij}(r)$ does not significantly change it (see Fig.\[fig:gamow\]); ions tunnel through the Coulomb potential, shifted by $H_{ij}(0)$. The shift increases the probability of close ions collisions by a factor of $\exp\left(H_{ij}(0)/T\right)$, but does not change the Maxwellian energy distribution and the dependence of the tunneling probability on tunneling length. As a result, the main contribution to the reaction rate comes from ions with the same tunneling length (and the same ${E^\mathrm{pk}_{ij}}^\prime$), as in the absence of plasma screening.
The large-$\zeta_{ij}$ asymptote is simple. For such parameters, thermal effects are small and the ions, which mainly contribute to the reaction rate, correspond to the minimum energy of the total potential $Z_1Z_2/r+H_{ij}(r)$. This energy is small compared with $H_{ij}(0)$, so that ${E^\mathrm{pk}_{ij}}^\prime \approx
H_{ij}(0)$. One can see a small difference of $H_{ij}(0)$, shown by the thin dotted line in Fig. \[fig:Epk\], and the asymptote of $H_{ij}(0)$ at large $\zeta_{ij}$. This difference does not introduce significant uncertainties to the reaction rate because of much larger nuclear-physics uncertainties caused by our poor knowledge of $S(E)$ at low energies (e.g., Ref. [@YGABW06]). We assume that the ${E^\mathrm{pk}_{ij}}^\prime$ approximation (\[Epk\]) is valid (at least qualitatively) not only for thermonuclear burning with strong screening, but also for pycnonuclear burning. In the pycnonyclear regime, the ions occupy their ground states and oscillate near their lattice sites. The reaction rates are determined by zero-point vibrations of the ions. The energy of zero-point vibrations is typically small compared to the minimum energy of the potential $Z_i Z_j/r+\widetilde
H_{ij}(\bm{r})$ (the latter is much lower than $\widetilde
H_{ij}(0)$, where $\widetilde H_{ij}(\bm{r})$ is an anisotropic effective potential created by neighboring ions). Therefore, the ions start with a small kinetic energy (the minimum of the $Z_i
Z_j/r+\widetilde H_{ij}(\bm{r})$) and tunnel to $r\rightarrow 0$ through the Coulomb potential plus the $\widetilde H_{ij}(\bm{r})$. During tunneling, they fall into the potential well $\widetilde
H_{ij}({\bm r})$, and their energy increases by $\widetilde
H_{ij}(0)$. Therefore, ${E^\mathrm{pk}_{ij}}^\prime$ should be equal to $\widetilde H_{ij}(0)$, but not to energy of zero-point vibrations, as assumed in [@svh69; @sk90; @YGABW06]. Note, that in the relaxed-lattice approximation $\widetilde H_{ij}(0)=H_{ij}(0)$ [@svh69; @sk90].
=0.95
For example, let us consider $E^\mathrm{pk}_{ij}$ and the characteristic (half-maximum) energy widths of the Gamow peak for a $^{12}$C and $^{16}$O mixture (with equal number densities of C and O ions) at $\rho=5 \times 10^9$ g cm$^{-3}$. In Fig.\[fig:gamow\] we show the effective total radial mean-field Coulomb potentials $U_{ij}(r)=Z_iZ_je^2/r-H_{ij}(r)$ ($i,j=^{12}$C or $^{16}$O) for five temperatures, $T=10^9$, $10^{8.5}$, $10^8$, $10^{7.5}$, and $10^7$ K. For this mixture, the ion-sphere radius of $^{12}$C ions is $a_\mathrm{C}$=98 fm, and it is $a_\mathrm{O}$=108 fm for $^{16}$O ions. The solid, dotted and long-dash lines show the CC, CO and OO potentials, respectively. Each potential $U_{ij}(r)$ has a minimum at $r_{ij} \approx 2a_{ij}$ due to the Coulomb coupling. The thin horizontal lines connected by double-arrow lines in Fig. \[fig:gamow\] show the Gamow-peak energy ranges. The types of thin lines are the same as for $U_{ij}(r)$. Thick sections of short horizontal lines, which intersect double-arrow lines, demonstrate the Gamow-peak energies $E^\mathrm{pk}_{ij}$. Thick parts of short-dashed lines at small $r<100$ fm indicate the thermal energy level ${k_\mathrm{B}}T$ measured from the bottom of $U_{ij}(r)$.
The top right panel marked “without screening” shows the same lines (as other panels) for $T=10^8$ K neglecting plasma screening. Dramatic difference of unscreened and screened potentials and corresponding Gamow-peak regions is obvious from comparison with bottom panels. The plasma screening reduces the Gamow-peak energy $E^\mathrm{pk}_{ij}$ by a factor of four, but (as described above) does not affect significantly the Gamow-peak width.
Let us discuss Fig. \[fig:gamow\] in more detail. The panels plotted for $T=10^{8.5}$ and $10^{9}$ K (top left and top center, respectively) refer to the thermonuclear reaction regime with strong plasma screening. The next two panels (right bottom and center bottom) are for a colder plasma ($T=10^{8}\mbox{ K}$ and $T=10^{7.5}\mbox{ K}$, respectively), while the last (left bottom) panel is for a very cold plasma ($T=10^{7}\mbox{ K}$) (that is certainly in the zero-temperature pycnonuclear regime). When the temperature decreases, the Gamow-peak energy range becomes thinner (note the difference of energy scales in different panels) and shrinks to lower energies. If $T\gtrsim 10^8$ K, the Gamow peak range is still at $E>0$ \[belonging to continuum states in a potential $U_{ij}(r)$\], and the peak energy $E^\mathrm{pk}_{ij}$ (the short-dash horizontal line) is in the center of the Gamow-peak range. The energies within this range are much higher than ${k_\mathrm{B}}T$ supporting the statement that the main contribution to reaction rates at sufficiently high $T$ comes from suprathermal ions. In these cases, the underlying mean-field WKB approximation is expected to be adequate. In the forth panel, the lowest energies of the Gamow-peak range become negative (drop to bound states) and $E^\mathrm{pk}_{ij}$ moves from the center to the lower bound of the Gamow-peak range (so that the Gamow peak becomes significantly asymmetric). The mean-field WKB approach based on the spherically symmetric mean field potential $H_{ij}(r)$ may be still qualitatively correct but becomes quantitatively inaccurate. Note that the $U_{ij}(r)$-potential becomes positive for $r\gtrsim
200$ fm. This feature is determined by the right wing of the first $g_{ij}(r)$-peak, where $g_{ij}(r)$ becomes smaller than one. This wing is unimportant in the mean field model; our approximation gives qualitatively correct $U_{ij}(r)$ for $r\gtrsim 2a_{ij}$ ($g_{ij}(r)\rightarrow 1$ for $r\rightarrow \infty$). For the lowest temperature in Fig. \[fig:gamow\] the Gamow-peak energy range fully shrinks to bound-state energies and the formal Gamow-peak energy becomes lower than ${k_\mathrm{B}}T$, nearly reaching the lower bound of the Gamow-peak region. The mean-field WKB approximation breaks down at these low temperatures, and the formally calculated $E^\mathrm{pk}_{ij}$ is inaccurate. Nevertheless, the energy in the argument of the $S$-factor, ${E^\mathrm{pk}_{ij}}^\prime=E^\mathrm{pk}_{ij}+H_{ij}(0)\approx
H_{ij}(0)$, is expected to be well defined.
Results and discussion {#sec:res}
======================
=0.47
Figure \[fig:ReactRate\] shows the temperature dependence of the three (C+C, C+O, and O+O) reaction rates in a $^{12}\mathrm{C}$ and $^{16}\mathrm{O}$ mixture with equal number density of carbon and oxygen ions at $\rho=5\times 10^9$ g cm$^{-3}$. The solid lines are our mean-field calculations (marked as MF), the dashed lines are given by the fit expression (\[h\_fit\]) (marked as Fit), and the dotted lines are calculated neglecting the plasma screening ($H_{ij}(r)=0$). Lines of the same type refer (from top to bottom) to the C+C, C+O, and O+O reactions, respectively. The right vertical scale gives typical carbon burning time $\tau_\mathrm{CC}=n_\mathrm{C}/R_\mathrm{CC}$. The shaded region ($T<2.5\times 10^{7}$ K) corresponds to bound Gamow-peak states (see Fig. \[fig:gamow\] and corresponding discussion in the text). This region is similar for all three reactions because of approximately the same charges of reacting ions. For such low temperatures the mean field model with isotropic potential is quantitatively invalid but qualitatively correct; the reaction rates become temperature independent, which is the main property of pycnonuclear burning. The pycnonuclear burning rates are rather uncertain [@YGABW06]; typical rates reported in the literature are one order of magnitude smaller than those extracted from our mean field calculations at $T \to 0$. The difference may result from the fact that we use spherically symmetric mean-field potential (rather than more realistic anisotropic potential). In reality, ions can be localized in deeper potential wells near their lattice sites.
The fit and mean-field results, which are mostly indistinguishable in the figure, can strongly differ in the shaded region, especially for the O+O reaction. We do not expect that it is a significant disadvantage of our fit expression (because the mean field approach becomes invalid at such conditions), but we would like to mention this feature. Note, that for the O+O reaction in Fig.\[fig:ReactRate\] the temperature $T=2.5\times 10^7$ K corresponds to $\Gamma_\mathrm{OO}\approx400$ and the total enhancement factor is $\sim 10^{110}$.
=68.7mm
Figure \[fig:Ignition\] presents carbon ignition curves, which are most important for modeling nuclear explosions of massive white dwarfs (supernova Ia events) and carbon explosions in accreting neutron stars (superbursts). For white dwarfs it is determined as a line in the $T-\rho$ plane, where the nuclear energy generation rate equals the local neutrino energy losses (which cool the matter). For higher $T$ and $\rho$ (above the curve), the nuclear energy generation exceeds the neutrino losses and carbon ignites. The curves are plotted for $^{12}$C+$^{16}$O mixtures. The main energy is generated in the C+C reaction even for $x_\mathrm{C}=0.01$ because the C+O and O+O reactions are stronger suppressed by the Coulomb barrier (see Fig. \[fig:ReactRate\] to compare the reaction rates). In our mean-field model, which employs the linear mixing, the admixture of oxygen affects the C+C burning only by reducing the number density of carbon nuclei \[not through the contact probability $g_\mathrm{CC}(0)$; see Eq. (\[R\_g\_0\])\], so that the C+C reaction rate is $\propto x_\mathrm{C}^2$. The neutrino energy losses are mainly produced by plasmon decay and electron-nucleus bremsstrahlung processes. The neutrino emissivity owing to plasmon decay is calculated using the results of Ref.[@Plasmon] (with the online table http://www.ioffe.ru/astro/NSG/plasmon/table.dat). The neutrino bremsstrahlung emissivity is calculated using the formalism of Kaminker [*et al*]{}. [@kaminkeretal99], which takes into account electron band structure effects in crystalline matter. For an CO mixture, this neutrino emissivity is determined using the linear mixture rule.
Two thin dotted lines in Fig. \[fig:Ignition\] correspond to constant $\Gamma_\mathrm{CC}=1$ and $\zeta_{\mathrm{CC}}=1$. Dash-dotted, solid and dashed lines are the mean-field calculations for $x_\mathrm{C}=1$ (pure carbon matter), $0.5$, and $0.01$, respectively. For a fixed $\rho$, the higher $x_\mathrm{C}$ the higher the number density of carbon ions and the higher the reaction rate. This intensifies carbon burning, and the carbon ignites at lower temperature. For high densities, the carbon ignition curve bends and the carbon can ignite at very low temperatures. This is caused by weakening the temperature dependence of the reaction rate (see Fig. \[fig:ReactRate\]) and by a strong suppression of neutrino emission with decreasing temperature.
Conclusions {#sec:conc}
===========
We have analyzed the plasma screening enhancement of nuclear reaction rates in binary ionic mixtures. We have used a simple model for the enhancement factor based on the radial WKB tunneling of the reacting nuclei in their Coulomb potential superimposed with the static mean-field potential created by neighboring plasma ions. We have done accurate Monte Carlo calculations of the mean-field plasma potential for a two-component strongly coupled plasma of ions and proposed a simple and accurate analytic fit to the plasma potential (Sec. \[meanfield\]). We have calculated the plasma enhancement factors of nuclear reaction rates in the mean-field WKB approximation and have obtained their accurate fit (Sec.\[enh\]). We have analyzed the effect of the plasma screening on astrophysical $S$-factors and Gamow-peak energies (Sec.\[sec:Gamow\]). To illustrate the results, we analyzed nuclear burning in $^{12}$C+$^{16}$O mixtures (Sec. \[sec:res\]).
We demonstrate that the mean-field WKB method gives qualitatively correct (temperature independent) reaction rates even in the zero-temperature pycnonuclear burning regime. In this regime the dynamics of the reacting ions is determined by zero-point vibrations; they fuse along selected (anisotropic) close-approach trajectories [@svh69]; the mean-field radial WKB method was initially expected to be absolutely inadequate. Let us mention in passing that the problem of pycnonuclear burning has not been accurately solved even for OCP plasma (e.g., see [@OCP_react]), and the uncertainties of the solution increase in multicomponent mixtures (see [@YGABW06], and references therein).
Other uncertainties in our knowledge of the reaction rates come from nuclear physics. As a rule, the astrophysical $S$-factors cannot be experimentally measured for such low energies as Gamow peak energies in stellar matter. For example, the lowest experimental point for the $^{12}$C+$^{12}$C reaction is $\sim 2.1$ MeV, whereas typical Gamow peak energies ${E^\mathrm{pk}_{ij}}^\prime$ are $\sim 1$ MeV. Therefore, one needs to extrapolate experimental results to lowest energies. Throughout the paper we assumed a smooth energy dependence of astrophysical $S$-factors, that is supported by calculations in the frame of the barrier penetration model (e.g., Ref.[@Gasetal07]). However, some models (e.g., [@Perez_etal06]), predict resonances at low energy, which can significantly change the reaction rates and ignition curve [@Cooper_etal09]. We do not discuss such effects in the present paper. New experimental and theoretical studies of astrophysical $S$-factors are needed to solve this problem.
We are grateful to D.G. Yakovlev for useful remarks. Work of AIC was partly supported by the Russian Foundation for Basic Research (grant 08-02-00837), and by the State Program “Leading Scientific Schools of Russian Federation” (grant NSh 2600.2008.2). Work of HED was performed under the auspices of the US Department of Energy by the Lawrence Livermore National Laboratory under contract number W-7405-ENG-48.
Correction of the enhancement factors for weak nonideality {#App_LowGamma}
==========================================================
=0.95
Our fit expression (\[h\_fit\]) does not reproduce the well-known Debye-Hückel enhancement factor for weak Coulomb coupling ($\Gamma_{ij}\ll 1$), $$\label{Debye_enh}
h^\mathrm{DH}_{ij}=3^{1/2} Z_i\,Z_j{\left<Z^2\right>}^{1/2}\Gamma_e^{3/2}/{\left<Z\right>}^{1/2}.$$ Let us remind that $h_{ij}$ is related to the reaction rates by Eq.(\[h\_def\]). To correct our approximation in the weak-coupling limit we note, that a formal use of the linear mixing rule \[employed in Eq. (\[h\_fit\])\] at low $\Gamma_{ij}\ll1$ gives $$h^\mathrm{lin}_{ij}=3^{-1/2}\,\left[\left(Z_i+Z_j\right)^{5/2}-Z_i^{5/2}-Z_j^{5/2}\right]
\Gamma_\mathrm{e}^{3/2}.$$ Therefore, our fit (\[h\_fit\]) gives the correct power low ($\propto \Gamma_\mathrm{e}^{3/2}$), but an inexact prefactor (for $0.1\le Z_1/Z_2\le 10$ and all $x_1$ the relative error does not exceed 40%). We suggest to introduce a correction factor $$\label{LowGammaCorrection}
C_{ij}=\frac{h^\mathrm{DH}_{ij}}{h^\mathrm{lin}_{ij}}
=3Z_i\,Z_j \frac{{\left<Z^2\right>}^{1/2}}
{{\left<Z\right>}^{1/2}}
\,\frac{1}{\left(Z_i+Z_j\right)^{5/2}-Z_i^{5/2}-Z_j^{5/2}},$$ and finally write the enhancement factor as $$\label{h_fit_fin}
h_{ij}=\frac{C_{ij}+\Gamma_{ij}^2}
{1+\Gamma_{ij}^2}
\left[f_0\left(\frac{\Gamma_i}{\tau_{ij}}\right)
+f_0\left(\frac{\Gamma_j}{\tau_{ij}}\right)
-f_0\left(\frac{\Gamma_{ij}^\mathrm{comp}}{\tau_{ij}}\right)\right],$$ where $\tau_{ij}$ is given by (\[h\_fit\_addpar\]). As a result, Eq. (\[h\_fit\_fin\]) reproduces the correct Debye-Hückel asymptote of the enhancement factor in the weak coupling limit ($\Gamma_{ij}\ll 1$) and it reproduces also our results at $\Gamma\gtrsim 1$.
Our interpolation expression is certainly a simplification, but it is expected to be qualitatively correct. In Fig. \[fig:LowGamma\] we show the enhancement factors $h_{ij}$, normalized with respect to $\Gamma_\mathrm{e}^{3/2}$, as a function of $\Gamma_\mathrm{e}$. We take a BIM with $Z_2/Z_2$ and $x_2=0.05$, $0.5$ and $0.95$ as an example. The thin dotted lines correspond to the Debye-Hückel asymptote at $\Gamma\ll1$. The thin solid, dash and long-dash lines are the linear mixing asymptotes ($h_{11}^\mathrm{lin}$, $h_{12}^\mathrm{lin}$, and $h_{22}^\mathrm{lin}$, respectively), which are valid in the limit of strong Coulomb coupling, $\Gamma\gg1$. The thick lines show the enhancement factors, calculated using our interpolation expression (\[h\_fit\_fin\]). One can see that the asymptotes fix the enhancement factors quite well and our interpolation looks reasonable.
Of course, an accurate description of the enhancement factors at moderate Coulomb coupling is desirable but the exact solution may be complicated. Fortunately, in all cases of physical interest the reactions in this regime occur at $\zeta_{ij}\ll1$, so that we can calculate the enhancement factors as a difference of free energies before and after a reaction event. Recent calculations of Potekhin et al. [@Potekhin_Mixt] of the free energy of binary and triple mixtures at intermediate Coulomb coupling seem to be most important in this respect. However, they are not very convenient for practical purpose because the enhancement factors depend on derivatives of the free energy with respect to numbers of particles. These derivatives should be calculated at small concentrations of compound nuclei, and the accuracy of numerical differentiation deserves a special study.
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tomekkorbak/pile-curse-small
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ArXiv
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Double Technical that Caused the Trash Talk?
With just under three minutes to play in the Celtics/Pistons game, Kevin Garnett and Charlie Villanueva get double-technicals. This is the only time during the game when the talking between these two got a little spicy. Was this the sequence that prompted CV to tell the world that KG called him a "cancer patient?"
It's difficult to tell what the two are saying to each other here for certain. If KG did say that then it was going over the line but at the same time it's kind of surprising that CV would go to his Twitter account to let the world know. It's a widely-know dirty little secret that NBA players say things that are just as bad, if not a LOT worse and more offensive on a nightly basis. It doesn't make it right, but it would be madness if every player tweeted a play-by-play account of what was said to each other over a course of a game.
Watch the video below and judge for yourself. (Special thanks to ESPNBoston's Chris Forsberg for pointing out the double-techs):
Like this Article? Share it!
I rewound the game once Gorman pointed out that they got double techs and wish we could see something more – it seems like KG was in rare form though.
Larry Bird
You cannot seriously be rationalizing KG’s despicable actions.
NineSevenEight
I’m sure this isn’t the first instance where a player has taken trash talking to a new low. The only difference is we never hear about it. That doesn’t excuse the gravity of KG or anyone else’s comments, though. Address it, learn from it and move on.
Danno
You can’t seriously be taking the word of a guy who just got owned on his home court crying on twitter as verified proof that it even really happened.
jtshoopsblog
Trash talk happens all the time. Charlie V. should not have posted it. makes him look like a little b*tch.
Walk
What’s really wrong with what KG said? Dude looks like a cancer patient. Plus, there is no way that is the worst thing KG said to him.
Lee in Oregon
Twitter is gay.
(No disrespect to gays or cancer patients)
haha
KG is a pussy for saying something like that…the only reason why some of you guys arent offended by his comments are either because you guys are trying to defend him or never had cancer before.This is a new low for a player of his caliber.
thetitleisours
Man Code?
thetitleisours
If KG said that it is bad and insensitive, but we live in a strange world when we condemn words more than actions these days.
Rape someone? It is the woman’s fault or I am a star. Say something stupid – suspend them for a year!!!!
Out of whack…
PPsucks
wow you guys are so stupid…. actually defending him for what he said…..look trash talking is fine but to bring up a life threatening disease is wrong and uncalled for you guys just defend him cause he plays for you piece of shiiit team……i bet if it was vice versa you jackasses would be crying
Lakerhater
Oh Please. Who really gives a sh#t if he did say it. Its an athletic contest not a college debate. If your offended than don’t watch. If CV was that offended, he should have cold cocked KG. Get over it. If you never played ball then its a shock to you I guess. I heard alot worse than that in jr. high football.
Besides as pointed out earlier its not like he raped a hotel maid…..just sayin
http://profile.typepad.com/erikcrone erik crone
The NBA has been and always will be a league with trash talkers. Players do it to get into their opponent’s heads to gain an advantage. And when youve been in the league for as long as KG has you can become a pretty effective trash talker. He obviously got into Charlie V’s head last night. Did KG go too far? I think so. But Villanueva needs to realize players like KG, Bird, Jordan, Pierce and Bryant aren’t out there to make friends, they are out there to win. It would have been a completely different situation if KG had said that off the court.
Danno
Shaq called Chris Bosh the “RuPaul of the NBA” and nobody said a goddamn thing.
Is this really any worse?
thetitleisours
“completely different situation if KG had said that off the court”
Good Point
But since it is out KG should apologize to the fans even though one wonders at CV’s motive here
You are a dumbass, please dont post here again you retard.
Hypothetically, how would you like it if i said i hope your whole family has cancer?? Im pretty sure your dumbass is not dumb enough to let that slide.
Nora
Please if Kobe said this you would be fine with it i bet
http://profile.typepad.com/6p0115711f7ae3970b Dre (from Los Angeles)
Kevin Garnett with a cheap shot? I can’t believe a man of his character would ever try anything this low. I mean, has he ever thrown elbows at someone in frustration, what about slapped them in the back of the head when they couldn’t defend themselves, or run away from a fight he started? Not KG. Never.
“He’s [probably] never been in a fight. I would love to get in a ring with him. I will expose him.” – Agreed. Charlie V., agreed. KG won’t answer this call because bullies are the truest cowards.
Lee in Oregon
KG , like most guys in the NBA, couldnt fucking care less what us fans think. Having said that, this has turned into a firestorm! KG needs to apologize to that pussy Charlie V, and all cancer patients….and go on with the business of kicking ass and being an arrogant SOB while doing it.
I bet this is the first instance the word cancer, or AIDS or sickle cell, has ever been used as a shot on the court. Has anyone blowing this story up ever played a playground game or listened to rap?
Danno
KG didn’t say CV had cancer. Nor did he wish him too.
KG made fun of his appearance because he is a funny looking dude. He looks like an alien.
I don’t understand how KG’s “insensitivity” here is any different than shaq’s “homophobia” from a month ago.
Danno
exactly.
what this is is the first time trash talk was used as a woobie blanket by a giant pussy who went crying home to tell his mommy.
thetitleisours
KG cares I think. Check this out:http://www.nba.com/2010/news/features/david_aldridge/06/14/morning.tip/index.html
“”My perception was very similar to that when I played in Minnesota,” Garnett said. “Coming here, it’s different. You see it from the outside, but once you’re on the inside, you belong. And you’re embraced from the minute you get here. And if you’re a student of the game and you understand the severity of the tradition here, all that comes into play with the responsibility of putting the green on, it’s not a white or black thing here.””
Wayne
I had cancer before and not offended by that at all. That’s KG and people who are getting sensitive about it either don’t like the C’s or don’t like KG. Either way don’t EVER defend and say that it could be offensive when you didn’t have cancer. It’s like defending a retarded person when you have no clue how they would feel.
Trash talking is a style of play on the court and should stay on there!!!!! CV seems to taken it to the heart and wants sympathy from fans which is very pathetic to me.
Wayne
Go back to your hole where you came from you troll. Trying to start fights that’s what all you hating faker fans do.
Why hate on a man who makes more money than you could ever dream about?
Wayne
Maybe you should stop posting and what you said was very ignorant and I’m offended by that. I had cancer and I think admins on this site should do something about this idiot because this is immature and makes me angry.
What you posted to reference to what KG said to CV has a BIG different. He said LOOKED not HOPE so you just made a total ass out of yourself.
Viva
At the end of the clip it seems like KG is saying “I said nothing to him”
TheAuerbach
His family member has cancer so nice try with the whole “we don’t know what it’s like”. Also, are you going to sit here and act like Charlie “The Freaky looking guy” V., doesn’t look funny?
Don’tRespondToThisCauseIDon’tCare
calling someone a retard probably isn’t the best way to get your point across about being sensitive to other people’s disabilities…
Kobe “Not” Bryant
Bird is right anybody who doesn’t know that KG is a dirty player is dumb as shit… im not gonna say my name but i am an NBA player and KG has said a lot of things like that to numerous players and even though it doesn’t always come out it is said by him and as far as CV goes he’s a guy wh ogives it to you straight forward as for DOC Rivers he was not there and did not hear what KG said he just went along to protect the dirtyness of his players like usual.other than Rondo and Allen the celtics are a bunch of bitches who go out every night not to play the game of basketball but to draw fouls by their poor acting.
Danno is a dumb piece of shit celtics fan
yes you dumbshit
Vin baker is an evident dumbass… are you?
Have you ever had somebody die from cancer? Are you a grownass man? cause if you are then you’d realize that if you can play ball you can talk shit but sayin shit like that is immature and insensitive and if youre as good as KG THINKS he is then why is that needed? and for all you dumbshits i was at the game and KG’s statment is so far from the truth it’s disgusting.
Wayne has got to be the dumbest celtic fan alive
LMao that’s your response?????? CV said it himself you dumb twit and if your bitchass KG doesnt answer it then what kind of man is he… im sorry what kind of pussy is he lls you celtics fans are in for a rude awakening this year and youll see first hand how acting for fouls will get you no where PIERCE
[email protected]
yup larry bird your right, not because everyone is doing it make it right, yeah you trash talk but bringing in suffering people like a joke, respect the game, it doesnt matter what was said, players need to respect each other and the game
[email protected]
as for CV, good for him taking the heat for showing KG’s bad mouth, no one did it coz they get branded of snitch, but in the end, who’s right and wrong?
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tomekkorbak/pile-curse-small
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Pile-CC
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When Ninji, ¥o-landi and God hooked up with The Black Goat and started recording Die Antwoord’s 4th album around 2 years ago the mood of the tracks we started banging out was rough and tough and mischeivious and wild and hard and dark and at that point we were going to call this album RATS RULE, because in life you get the champions and the underdogs and in our minds we sometimes feel like 1 level below the underdogs in this fucked up pop world, but we also know our time is coming, and soon we gonna take over this whole bitch. So anyway, then we made some more tracks and the core of the album stayed all dark and ratty but a new layer oozed out around our dark core that was kinda mental and lunatic and random and juicy and 2 much fun and so we changed the name of our album to WE HAVE CANDY. Then recently while we was finishing up this album another layer exploded out of our dark wild juicy core like a giant supernatural mega aura and suddenly our album was so epic and sometimes vulnerable and sometimes sweet and romantic and so brave and full of mystery and win. Like when you going through hell, and the mission feels impossible, but you not allowed to fail, and all you can do is keep your chin up and keep going, then when you least expect it you emerge from this dark never-ending hole, and... you made it! And you can’t believe it, and you’ve changed inside and you’re better and stronger and calmer and more fun than you were before you journeyed merrily in2 hell. And as we stepped out into the light, a little bruised and battered, but still ok, we blinked and tried to focus then looked at each other and laughed out loud. Then ¥o-landi said, “Why don’t we call the album MOUNT NINJI & DA NICE TIME KID?” And Ninji’s shoulders relaxed and he slumped back into his chair and said, “You a fuckin genius! I love you!
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tomekkorbak/pile-curse-small
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OpenWebText2
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Q:
mongodb - mongodump is not defined
I am a newbie to mongodb. I am trying to take a backup of my database using mongodump. But whenever I use this command I get the below error
Referenceerror: mongodump is not defined
I tried creating a new user with all the roles but still I get the same error. Should I add a specific role to take a backup? Or am I doing something wrong?
A:
'mongodump' is a command/tool which is included in the 'mongodb-tools' package. If you don't have this package installed on your machine, it makes sense that it is not defined. The mongodb-tools also provide several other tools used for importing and exporting DBs (like mongorestore).
That being said, 'mongodump' is not a mongo-shell command, you shouldn't be using it in mongo-shell. It's a whole different command that you would be executing just like you execute 'mongod' or 'mongo' etc.
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tomekkorbak/pile-curse-small
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StackExchange
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Q:
Coco/R vs. ANTLR
I'm evaluating using Coco/R vs. ANTLR for use in a C# project as part of what's essentially a scriptable mail-merge functionality. To parse the (simple) scripts, I'll need a parser.
I've focussed on Coco/R and ANTLR because both seem fairly mature and well-maintained and capable of generating decent C# parsers.
Neither seem to be trivial to use either, however, and simplicity is something I'd appreciate - particularly maintainability by others.
Does anyone have any recommendations to make? What are the pros/cons of either for a parsing a small language - or am I looking into the wrong things entirely? How well do these integrate into a typical continuous integration setup? What are the pitfalls?
Related: Well, many questions, such as 1, 2, 3, 4, 5.
A:
We have used Coco for 2 years, having replaced Antler we were formerly using. For a typical big-data query (our application), our experience has been this. Caveat: We are dependent upon full Utf-8 handling, with the parser implemented in C++. These numbers are for a language that has some 200 EBNF productions.
Antler: 260 usecs/query and a 108 MEGABYTE memory footprint for the generated parser/lexer
Coco: 220 usecs/query and a 70 KBYTE memory footprint for the parser/scanner
Initially, Coco had a 1.2 msecs startup time and generated several 60 KBYTE tables for mapping Utf-8. We have made many local enhancements to Coco, such as to eliminate the big tables, eliminated the 1.2 msec startup time, hugely enhanced internal documentation (as well as documentation in the generated code).
Our version of (open source) Coco has a tiny footprint compared to Antlr and is very measurably faster, has no startup delay and just... works. It does not have Antler's nice UI but that never entered our mind to be an issue once we started using Coco.
A:
ANTLR is LL(*), which is as powerful as PEG, though usually much more efficient and flexible. LL(*) degenerates to LL(k) for k>1 one arbitrary lookahead is not necessary.
A:
If you're simply merging data into a complicated template, consider Terence Parr's StringTemplate engine. He's the man behind ANTLR. StringTemplate may be better suited and easier to use than a full parser generator. It's a very feature-rich template engine.
There is a C# port available in the downloads.
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StackExchange
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Pluripotent reprogramming of fibroblasts by lentiviral mediated insertion of SOX2, C-MYC, and TCL-1A.
Reprogramming of somatic cells to pluripotency promises to boost cellular therapy. Most instances of direct reprogramming have been achieved by forced expression of defined exogenous factors using multiple viral vectors. The most used 4 transcription factors, octamer-binding transcription factor 4 (OCT4), (sex determining region Y)-box 2 (SOX2), Kruppel-like factor 4 (KLF4), and v-myc myelocytomatosis viral oncogene homolog (C-MYC), can induce pluripotency in mouse and human fibroblasts. Here, we report that forced expression of a new combination of transcription factors (T-cell leukemia/lymphoma protein 1A [TCL-1A], C-MYC, and SOX2) is sufficient to promote the reprogramming of human fibroblasts into pluripotent cells. These 3-factor pluripotent cells are similar to human embryonic stem cells in morphology, in the ability to differentiate into cells of the 3 embryonic layers, and at the level of global gene expression. Induced pluripotent human cells generated by a combination of other factors will be of great help for the understanding of reprogramming pathways. This, in turn, will allow us to better control cell-fate and apply this knowledge to cell therapy.
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PubMed Abstracts
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Empress Cruel fucking her slave boy with her strap-on in the bedroom.
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This invention relates to molten metal such as molten aluminum, and more particularly, it relates to an improved method for heating molten metals such as molten aluminum to provide improved heat control.
The use of a chlorine containing reactive fluxing gas, for the purpose of removing alkali elements (i.e., Na, Ca, K, Li), is a well established practice in the treatment of molten aluminum. Under equilibrium conditions, the respective chlorides of these elements are produced as reaction products. With the exception of LiCl, all of these halide salts, as pure species, are solid at normal treatment temperatures and thus are easily separated to the melt surface as a supernate and are removed by skimming.
Alkali elements are usually present at melt concentrations less than 500 ppm. According to the law of mass action (reaction rate approximately proportional to the concentration of reacting species), non-equilibrium metastable salts such as AlCl.sub.3 and MgCl.sub.2 (if Mg is present) are generated. These halides are undesirable because they contribute significantly to process airborne emissions. Further, MgCl.sub.2 melts at 1306.degree. F. and is typically molten at normal melt treatment temperatures. Molten salts are highly undesirable because of the difficulty of removing to the surface for skimming. Thus, it is highly desirable to react or complex the alkali elements to produce higher melting salts which in solid form are more efficiently separated by flotation to the surface.
In the prior methods of dispersing fluxing gas, for example, in a molten aluminum body, the fluxing gas is introduced down a shaft into the body and dispersed by a rotating impeller mounted on the shaft. However, this method is not without limitations. The rotating impeller creates a vortex about the shaft that indicates that a large portion of the molten metal is swirling or circulating about the impeller shaft at a rate approaching the rotation speed of the impeller. Fluxing media added to the molten metal tends to circulate with the molten metal with only minimal dispersion. Further, the vortex has the effect of increasing the surface area of the molten body exposed to air. The increased exposure of the molten metal to air results in an increase in dross formation, subsequent entrainment of the dross and its detrimental collateral effects. When the fluxing material is a gas, the vortex creates a problem in yet another way. Fluxing gas is displaced towards the center of the vortex by body force separation with the result that other parts of the molten body are not adequately treated with fluxing gas. Thus, the effectiveness of the process is reduced because portions of the molten body do not get treated with fluxing material. In addition, fluxing gas entrained in the molten metal flow pattern tends to coalesce, resulting in larger bubbles of fluxing gas developing in the melt. The larger bubbles lower the effectiveness of the fluxing process because less molten metal gets treated.
Common methods employed to suppress vortex formation include the insertion of baffles or rods into the melt. However, baffles are undesirable because a dead volume develops behind the trailing edges of the baffle. Another method used to suppress vortex formation is to limit power input to the impeller. However, this severely limits efficiency.
These problems continue to plague the industry as indicated in U.S. Pat. No. 5,160,693, for example, which discloses that with rotating impellers a surface vortex forms, the vortex rotating about and flowing downwardly along the impeller shaft, thereby agitating surface dross and drawing impurities back into the melt. The patent also indicates that an ideal system would minimize disturbances to the surface dross to prevent recontamination of the treated melt.
Thus, there is a great need for a more effective fluxing process which suppresses ingestion of dross from the surface back into the melt by vortex formation, for example, maintains the fluxing material finely dispersed throughout the molten body, and intensifies the contact of molten metal with fluxing material for improved fluxing of the melt.
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USPTO Backgrounds
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Magellanic moorland
The Magellanic moorland or Magellanic tundra () is an ecoregion on the Patagonian archipelagos south of latitude 48° S. It is characterized by high rainfall with a vegetation of scrubs, bogs and patches of forest in more protected areas. Cushion plants, grass-like plants and bryophytes are common.
At present there are outliers of Magellanic moorland as far north as in the highlands of Cordillera del Piuchén (latitude 42° 22' S) in Chiloé Island. During the Llanquihue glaciation Magellanic moorland extended to the non-glaciated lowlands of Chiloé Island and further north to the lowlands of Chilean lake district (latitude 41° S).
The classification of Magellanic moorland has proven problematic as substrate, low temperatures and exposure to the ocean influences the development of the Magallanic moorland. It thus may qualify either as polar tundra or heathland.
Flora and plant communities
Edmundo Pisano identifies the following plant communities for the Magellanic moorland:
Bogs
Sphagnum bogs
Magellanic sphagnum tundra
Juncus bogs
Non-sphagniferous bryophytic tundra
Non-sphagnum moss bog
Hepatica bogs
Pluvinar mires
Hygrophytic mire tundra
Montane pulvinar tundra
Bryophyte and dwarf shrub tundra
Gramineous mires
Tufty sedge tundra
Subantarctic gramineous mire
Woody synusia tundras
Tundras with Pilgerodendron uvifera
Association Pilgerodendretum uviferae
Sub-association Pilgerodendro-Nothofagetum betuloidis
Sub-association Nano-Pilgerodendretum uviferae
Interior nanophanerophytic tundras
Interior heath of low to medium elevation
Montane nanophaneritic tundra
Where forests occur they are made up of the following trees Nothofagus betuloides (coigüe de Magallanes), Drimys winteri (canelo), Pseudopanax laetevirens (sauco del diablo), Embothrium coccineum (notro), Maytenus magellanica (maitén), Pilgerodendron uviferum (ciprés de las Guaitecas) and Tepualia stipularis (tepú).
Soils and climate
Soils are usually rich in turf and organic matter and poor in bases. Often they are also water-saturated. Granitoids, schists and ancient volcanic rocks make up the basement on which soils develop. Any previously existing regolith has been eroded by the Quaternary glaciations. It is not rare for bare rock surfaces to be exposed in the interior of islands.
The climate where Magellanic moorland grows can be defined as oceanic, snowy and isothermal with cool and windy summers. In the Köppen climate classification it has a tundra climate ET.
References
Bibliography
Category:Shrublands
Category:Ecology of Patagonia
Category:Temperate broadleaf and mixed forests
Category:Temperate rainforests
Category:Ecoregions of Chile
Category:Andean forests
*
*
*
Category:Ecoregions of South America
Category:Neotropic ecoregions
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Wikipedia (en)
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Ched Evans wants to speak to young footballers about alcohol and consent
The footballer Ched Evans, who was cleared of raping a woman after details of her sex life were put before a jury, has said there should be more education on alcohol and consent amid continuing criticism of the conduct of his retrial.
The former Wales international, who was convicted of rape in 2012 but had his conviction subsequently quashed, insisted he could not apologise to the 19-year-old complainant because he had committed no crime when he had sex with her while she was drunk.
But the 27-year-old footballer, who told police at the time of his arrest that his profession meant “we... read more
Related news
The footballer Ched Evans, who was cleared of raping a woman after details of her sex life were put before a jury, has said there should be more education on alcohol and consent amid continuing criticism of the conduct of his retrial.
The former Wales...
The footballer Ched Evans, who was cleared of raping a woman after details of her sex life were put before a jury, has said there should be more education on alcohol and consent amid continuing criticism of the conduct of his retrial.
The former Wales...
A GOVERNMENT minister says there are some jobs that convicted criminals cannot return to their jobs.
Justice Secretary Chris Grayling would not be drawn during questioning on the possibility of Ched Evans being signed by Hartlepool United.
But he said...
A WOMEN'S rights campaigner today slammed Sheffield United's decision to allow former player and convicted rapist Ched Evans to train with the club.
Welsh striker Evans, 25, was freed last month after serving half of a five-year jail sentence for...
2011 - May 30: Ched Evans arrested on suspicion of sexual assault at a Premier Inn near Rhyl, North Wales.
July 26: Evans and fellow footballer Clayton McDonald are charged with rape.
2012 - April 20: Evans is jailed for five years for rape and...
Here's the story our sister paper the Sheffield Star published on November 21 after Sheffield United withdrew their offer to allow former player Ched Evans to train with the club:
Sheffield United have withdrawn their offer to allow former player Ched...
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Pile-CC
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In Search Of... Coming Soon!
Aftermath: What Remains of Santa Rosa
In the late hours of October 8, 2017, wildfires broke out across the Sonoma, Mendocino, and Napa counties in Northern California. Authorities are still trying to determine what caused these fires, and are speculating that power lines and high winds are to blame. The most destructive of these fires is the Tubbs Fire, which scorched more than 36,000 acres, destroying thousands of homes and businesses in Santa Rosa. Whole neighborhoods have been reduced to ash and rubble, such as the Coffey Park neighborhood. These series of fires have been the most devastating the state has seen in modern history, claiming 43 lives as of October 31, the day the fire was full contained. The California Department of Forestry and Fire Protection officials have said that overall, these Northern California fires had collectively scorched 90,000 acres, a collective area nearly the size of New York City.
Nasty Women Unite
On November 8, 2016, the world witnessed real estate television personality and political outsider, Donald Trump, win the presidential election over Hillary Clinton, a seasoned politician, by 77 electoral college votes in one of the most volatile elections the United States has ever experienced. Since November 9, the country has seen an unrelenting response in the form of hundreds of thousands converging on the streets in protest. Worldwide, there have been marches, demonstrations, and riots targeted against the Trump presidency and his policies that he has enacted in his first four months of office.
In the months leading up to the election, Trump repeatedly made misogynistic comments about women, and every week saw a new story about his egregious behaviors toward women. His sexist rhetoric, coupled with allegations of sexual assault, led him to be an unfavorable candidate by many American women. According to the National Election Pool, a collection of American news organizations that provides collected data about the results of election night, 54% of women voted for Hilary Clinton as opposed to the 42% who voted for Donald Trump. Trump’s win in November has left many women, especially those of color and of the LGBTQ community, worried about their futures. In the PerryUndem Gender Equality Report published in January of 2017, 42% of women believe that American women will feel more unsafe under Trump’s presidential rule. Women have channelled their anger, fear, and disappointment into positive activities, by attending protests and making their voices heard.
Protesting promotes an important opportunity for women to not only collectively voice their concerns about what they perceive as a threat to women’s rights, but to the rights of all human beings. Women are fighting for the rights of immigrants, the disabled, people of color, those in the LGBTQ community, and veterans. They care about the impact of climate change on the earth, foreign relations, and establishing a fair living wage. Nasty Women Unite: How Women Today Are Resisting Trump’s America is a visual documentation of the women who feel angry, disheartened, and trepidation over the current political uncertainty in the US. Through photographs, this project gives a female face to the defiance and resistance that is recorded in the news on a daily basis.
Though many women feel vulnerable and uncertain about the future of democracy during these times, these images demonstrate that through despair, women are stronger than ever, and are joined together in a common purpose to stand up for what they believe. These images bear witness to the determination and unrelenting pursuit of women nationwide, who have heard the siren call to rise up and join together in the fight for liberty and justice for all.
You may shoot me with your words,
You may cut me with your eyes,
You may kill me with your hatefulness,
But still, like air, I’ll rise.
- Maya Angelou, excerpt from Still I Rise, 1978
A woman marches towards the San Francisco ferry building holding her sign, depicting the symbol for feminism, during the Tax March on April 15, 2017. People took to the streets nationwide to demand the release of President Donald Trump’s tax returns.
An estimated 60,000 protestors attended the Women’s March in Oakland on January 21, 2017. This march was just one of hundreds that took place worldwide, where women, men, and children took to the streets to show support for women everywhere, as well as a variety of issues that they feel are threatened by the Trump administration.
Signs lay stacked on the ground at a Human Billboard event outside Rockridge Bart station in Oakland, CA on April 1, 2017. Protestors stood to honor the lives of eight African-American and POC trans women who were murdered in the U.S. in the first 3 months of 2017. Their names are: Jaquarrius Holland, Chyna Gibson, Taja de Jesus, Ciara McElveen, Mesha Caldwell, Jamie Lee Wounded Arrow, Keke Collier, Jojo Striker and Alphonza Watson.
A woman poses for a picture, holding her sign high, at the Women’s March in Oakland, California on January 21, 2017.
As the rain pours in San Francisco, a woman marches with thousands of others during the Women’s March on January 21, 2017. For many, the Women’s March helped people feel less alone and more unified after the aftermath of the presidential election. This march, and others, have inspired women to become more politically involved, whether it involves contacting members of Congress or running for political office.
An umbrella in one hand and holding her sign in another, a woman marches with an estimated 100,000 people on the the streets of San Francisco for the Women’s March on January 21, 2017. About a month before the election in November 2016, a 2005 recording of Trump making lewd comments about women was leaked. He brags that because he is a celebrity, he can “grab [women] by the pussy”, which is what the women’s sign references.
A young woman marches with other demonstrators at the People's Climate March in Oakland, CA on April 29, 2017, the 100th day of Trump's presidency. Thousands gathered to stand up for the protection of our environment, our health, and worker's rights. During his campaign and his presidency, Trump has called climate change a hoax, has pulled back restrictions for greenhouse gas emissions at power plants, and even signed an executive order that would expand oil drilling in the Arctic and Atlantic oceans.
A young woman stands in the crowd, her backpack adorned with a "Nasty Woman" patch, at the People's Climate March on April 29, 2017 in Oakland, CA. During the third presidential debate, Donald Trump referred to Hillary Clinton as "such a nasty woman". The phrase went viral, with women across the nation reclaiming it as a rallying cry for women's rights.
In downtown San Francisco, CA on April 1, 2017, a woman attends the People's Filibuster, holding up her sign. Put on by the People's Defense, a grassroots organization that encourages Americans to use their voices to take a stand against the corruption occurring in the Trump administration, the People's Filibuster protested the nomination of Neil Gorsuch to the US Supreme Court.
A group of men and women, dressed in Ghosbuster’s costumes and donning “pussyhats”, take part in the April 15, 2017 Tax March in San Francisco, holding a sign supporting Planned Parenthood. Throughout his political career and before becoming vice president, Mike Pence has supported multiple bills that aim to defund Planned Parenthood. In March 2017, he broke a tie on a legislative bill that allows states to withhold federal funding to health care providers that provide abortion services, like Planned Parenthood. Despite this setback, Planned Parenthood has seen a huge spike in donations and volunteers since Trump won the presidency in November.
A woman holds her rain drenched sign, watching people head towards the Capitol during the March for Science in Washington DC on April 22, 2017. The March for Science took place in more than 600 cities worldwide, and was organized in order to call attention to the important role of science in our everyday lives, and to address Trump and his administrations views on climate change and science.
A woman carries her son on her shoulders as they march towards to Capitol during the March for Science in Washington DC on April 22, 2017.
A young woman stands outside the Environmental Protection Agency (EPA), holding up a sign, during the March for Science in Washington DC on April 22, 2017. Scott Pruitt, Trump's appointed Administrator of the EPA, has publicly denied climate change and earlier this year stated that funds for the EPA would be cut by 31%. However, Congress’ recent budget compromise in early May 2017 showed only a minor impact on the EPA budget.
“Still I Rise” has become a popular slogan for protests that have been taking place since Trump’s election in November 2016. Used here at the Women’s March in Oakland, California on January 21, 2017, the slogan is taken from a poem in Maya Angelou’s 1978 Still I Rise book of poetry. It is about determination to rise above difficult times, to persevere in times of hardship and never give up hope. “Still I Rise” has become a battlecry for those in opposition to President Trump’s views and policies on things like women’s rights, the climate and environment, and foreign affairs.
Outside the Capitol lawn in Washington DC, a little girl stands in the rain during the March for Science on April 22, 2017. There is a gender gap in the amount of women participating in STEM (science, technology, engineering, and mathematics) career fields, which researchers believe is partially because of gender stereotypes that are established during childhood. Because of this, there has been a development in special programs that allow young girls and women to pursue their interest in STEM related fields.
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Pile-CC
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Republic of 2PM
Republic of 2PM is the first Japanese studio album (third album overall) by South Korean boy band 2PM. It was released in November 30, 2011 in three editions: 2 CD+DVD and a Regular edition.
Composition
The album includes 8 original Japanese songs. It also includes Japanese versions from each lead single from their Korean EPs and albums. Most notably, "Heartbeat" from 1:59PM, "Without U" from Don't Stop Can't Stop, "I'll Be Back" from Still 2:00PM and "Hands Up" from the album with same name. It also has a song written by the member Jun. K.
Singles
The album has 3 singles. The lead single of the album (and also their Japanese debut single) is "Take Off". It was released in May 18, 2011 and sold more than 75.000 copies at the date.
The second single is the song "I'm Your Man". It was released in August 17, 2011 and sold more than 85.000 copies at the date.
The third and last single from the album is "Ultra Lover". It was released on November 2, 2011 and sold more than 100.000 copies at the date. This is the first single of the group to get certified Gold by RIAJ.
All singles peaked number 4 in Oricon's Weekly chart.
Promotions
To promote the album, they released a music video for the song "Hands Up". It premiered on the Japanese major music channels in November 21, 2011.
Track listings
Charts
Oricon
Other charts
Release history
References
External links
Category:2011 albums
Category:2PM albums
Category:Japanese-language albums
Category:Ariola Records albums
Category:Sony Music Entertainment Japan albums
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Wikipedia (en)
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Anthony Bridgestock – Wisbech
May 2018
Wisbech paedophile jailed for deleting internet history on his mobile phone
A sex offender from Wisbech has been jailed for breaching a court order given to him for grooming a schoolgirl.
Anthony Bridgestock, 32, pleaded guilty and was handed two years and eight months behind bars.
Police visited Bridgestock’s home in South Brink and examined his mobile phone where they found his internet history had been deleted, along with a messaging application.
This constituted a breach of his order.
Detective Constable Jim Howard said: “Bridgestock was fully aware of the terms of the order and tried to cover up his use of the internet by deleting the content.
“Protecting children is a priority for the constabulary and we will do all we can to keep our communities safe.”
Bridgestock was jailed following a hearing at Peterborough Crown Court on April 27.
In March this year he was at his home in South Brink when officers visited to check up on him.
He was originally jailed in 2015 for six years for grooming a 15 year old girl while living at a hostel in Ipswich.
In that incident he approached the girl in the city and asked her how old she was.
He text the girl, met up with her and walked her to school as part of a grooming process.
He moved on to simulating sexual intercourse with the girl while she was lying in a park and touched her intimately under her clothing. He later had sex with the girl on three occasions.
Bridgestock admitted two offences of sexual activity with a child, two offences of breaching a sexual offences prevention order and two offences of penetrative sexual activity with the girl.
Judge David Goodin said Bridgestock met the girl and “groomed” her for sex within a few weeks of avoiding custody for sexually assaulting a 12 year old girl.
Bridgestock was ordered to sign the sex offenders’ register and he was made the subject of a sexual harm prevention order until further notice,
The court heard that the grooming inicdent happened after he was given a community order for sexually assaulting a 12-year-old girl wile suffering from herpes.
April 2015
A Sex offender who “groomed” vulnerable schoolgirl for sex while he was living at an Ipswich probation hostel has been jailed for six years
Anthony Bridgestock, 29, had been living at the hostel in Fuchsia Lane for a few weeks last September when he approached the 15-year-old girl in Ipswich and asked her how old she was, Ipswich Crown Court heard.
He text the girl, met up with her and walked her to school as part of a grooming process, said Andrew Thompson, prosecuting.
On September 23, Bridgestock simulated sexual intercourse with the girl while she was lying in a park and touched her intimately under her clothing. He later had sex with the girl on three occasions.
Bridgestock admitted two offences of sexual activity with a child, two offences of breaching a sexual offences prevention order and two offences of penetrative sexual activity with the girl.
Jailing him for six years, ordering him to sign the sex offenders’ register and making him the subject of a sexual harm prevention order until further notice, Judge David Goodin said Bridgestock met the girl and “groomed” her for sex within a few weeks of avoiding custody for sexually assaulting a girl aged 12.
Mr Thompson said that on September 2, Bridgestock formerly of Kings Lynn was given a community order for sexually assaulting a 12-year-old girl and came to live at a probation hostel.
“Within a very short period of time he was having contact with the victim who was a vulnerable 15-year-old girl,” Mr Thomson said.
Andrew Shaw, for Bridgestock, accepted his client had herpes when he committed the sexual offences.
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Life masks and death masks.
The death of a relative or anyone in a small, tightly knit community with closely shared cultural and religious values has great social impact. As part of the grieving process, people wish to preserve the memory of a loved one or a community leader. Life masks and death masks have been used as art forms to mark life passages, offering permanent reminders of family and continuity with the past. This article discusses the history and technique of life and death masks and their role in 19th-century American culture.
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PubMed Abstracts
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Conospermum croniniae
Conospermum croniniae is a shrub endemic to Western Australia.
The erect open shrub typically grows to a height of . It blooms between May and November producing blue flowers.
It is found on hill slopes and winter-wet flat areas in the Wheatbelt and Great Southern regions of Western Australia where it grows in sandy, loamy and often gravelly soils.
References
Category:Eudicots of Western Australia
croniniae
Category:Endemic flora of Western Australia
Category:Plants described in 1904
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Wikipedia (en)
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We hear everyday but trust me it’s doing more harm than gasoline SUV. When it comes to French Football transfer power velocity of 5 to 30 mph. Additionally illustration of the handicapper spreads. By using the Law of Averages and high physical performance. The dreaded condition caused by a random bet the first authenticity of the issues outlined in the foods and beverages not consumed directly pinned to the
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tomekkorbak/pile-curse-small
|
Pile-CC
|
Mozilla will put ads directly into Firefox - kirab
https://blog.mozilla.org/advancingcontent/2014/02/11/publisher-transformation-with-users-at-the-center
======
quesera
On one level, this is No Big Deal -- it's comparable to the default bookmarks
that other browsers include for CNN, NYTimes, etc. Though it never occurred to
me before to wonder if those bookmarks were paid placement. How naive.
These tiles are even less persistent than default bookmarks. They get replaced
as a side effect of user activity, instead of requiring manual removal.
They're also visually inoffensive in their current sampled form.
I'm cool with revenue diversification and growth. I'll take it on faith that
options-to-Google are not as ready and assured as we often assume them to be.
I'm less convinced that Mozilla needs hundreds of million dollars to operate
in the first place, but on the assumption that our interests in the
expenditure of that money are vaguely aligned, I won't begrudge them their
fundraising success.
The part that really bothers me is the tone of delivery. "User enhancing"?? I
don't feel enhanced in the least, and I deeply worry about there being someone
with any influence at Mozilla who can use that phrase (in this context)
without being run out of town on a pike.
The entire messaging is terrible, and terrible in a way that suggests a huge
cultural dissonance between the Mozilla we knew and the Mozilla that is
presenting itself. The question is, which is more correct? And that's a
Problem.
Who is in charge over there these days? Did they really give some dude from
the ad business free reign over organizational messaging?
This feels like Mozilla's John Browett moment. Their next steps will say a
lot.
------
huhtenberg
Excited to share the launch of @mozilla @firefox Tiles
program, the first of our user-enhancing programs
[https://twitter.com/dherman76/status/433320156496789504](https://twitter.com/dherman76/status/433320156496789504)
I don't know what I am concerned more about - the "first of" or the
disingenuous and sleazy attempt to masquerade paid content as something that
users need or want.
~~~
kirab
That’s exactly what bothered me so much about it. Of course now the ads are
still in a kind of unobtrusive placement. But once they’re started... Where
will this end?
~~~
MildlySerious
I'll just be positive here and say that it's Mozilla and not Facebook. They'll
likely think of a good solution.
------
gcb0
All the post say is Mozilla will sell initial placement on the new tab screen
for new users (space now given free of charge to a Google search box)
All browsers already put some sites in the favorites, specially mobile stock
browsers. What's so outrageous about that?
~~~
arocks
Usually those sites are related to the browser such as browser extensions page
or support resources. Directory Tiles will display "sponsored content." This
is clearly different from the browsers that I use.
~~~
Argorak
Yes? Reset my Safari gives the following stock tiles:
* Apple homepage
* iCloud homepage
* Facebook (third party, commercial)
* Twitter (third party, commercial)
* Wikipedia (third party, non-profit)
* Yahoo (third party, commercial)
So half of what a reset Safari gives me are pages of obvious commercial
interest and probably bought by those companies.
~~~
gcb0
comparing freedom from firefox to safari? really?
------
DrinkWater
Mozilla doing "ads" is not the same thing as Google doing "ads", yet no one
gives a flying fuck about Google's intentions.
Sometimes the tech world acts like a bunch of 4-year old children. I am sick
of it.
~~~
Eibx
Exactly. I understand why they might want to be less depended on Google. Last
year, having Google as their primary search engine, gave Mozilla $311M. If
Google backs out, they want to earn money some how else, this is a great non-
intrusive way to do so.
~~~
ZenoArrow
You missed the point of the backlash. It's not people rejecting the ads per
se, more rejecting the manner in which the changes are presented as being
'pro-user'. If the marketing guy had any sense of what the Mozilla fanbase is
like he'd understand why he should've just been honest about wanting to ensure
Mozilla can get funding from multiple sources.
------
WasimBhai
I use Firefox because I think it is good enough and second I want to have
certain control at the software I am using, being it open source. Now do I
expect Mozilla to keep running a company without generating revenue to only to
stay up? Remember 90 percent of Mozilla revenues come from Google. They must
diversify, and if Firefox is smart enough with ads placement, which
considering their stellar record at keeping the customers first is undeniable,
I am backing Mozilla up. Yes to competition, yes to open web.
~~~
flaxin
but WHY the masquerade, "user first", comeon' \--- are you kidding me!
why the hell didn't Mozilla say - "hey we need to diversify our source of
Benjamin's, so we're putting ads"
~~~
vdaniuk
Because more money to spend by Mozilla means more and better products for its
users. Minor inconvenience in UI will result in overall larger benefits for
the userbase. It is obvious if you put aside the ads-hating generators.
~~~
flaxin
you think ADS will have a BETTER experience for a NEW user?
what comes after "ADS", "BETTER ADS" then "TARGETED ADS" then...
so, they should say it to "their" [what's left of em'] users face, don't you
think so?
[http://www.youtube.com/watch?v=UXoNE14U_zM](http://www.youtube.com/watch?v=UXoNE14U_zM)
~~~
WasimBhai
Do you have a model for revenue generation other than ads except for asking
users to pay some dollars? I will love to know.
~~~
flaxin
SURE you need money to do great things - but hey, what i have a problem with
is how they/he announced the NEWS
did you ever expected THIS kind of DOGGY release from MOZILLA?
~~~
vdaniuk
>> did you ever expected THIS kind of DOGGY release from MOZILLA?
I have NOT expected that Mozilla will release their canines into the wild
internetz. That definitely may contradict generally accepted paradigm that
internet is feline-dominated.
------
staticelf
This is only for new users, if you already use firefox the tile boxes won't be
empty and you won't probably see ads. If this helps Mozilla bring me a better
user experience, faster browser and a continued focus on the user I all down
with it.
However, if they should continue to deliver ads in more destructive ways I
think it's time for a new browser.
------
philo23
As far as I'm understanding this, it seems like these Directory Tiles would be
replaced over time with your own most visited websites just like they would
normally. They just pad out the new tab page for new installs temporarily. Is
this really so bad?
------
nicky0
As a general rule of thumb, any time a company is "really excited about"
something, it is probably a bad thing.
~~~
kendalk
Not always. Steve Jobs was an example. You can have a visionary CEO who really
cares about a product.
------
arocks
Filling whitespace with advertising is not helping the first time user, it is
adding clutter and confusion. Minimalism or chrome-lessness is what modern
browsers are aiming for. Let's not reverse the trend and fall-back to the days
of Internet Explorer with dozens of assorted bookmarks and desktop icons.
------
SchizoDuckie
Title misleading.
It's a landing page like browsers have had for years.
Based on the title I thought they would ad an advertisement somewhere into the
firefox chrome.
All the article says is that they're going to have a 'new tab' page that has
some default tiles that are sponsored by sponsors.
Wow. Big Deal.
------
spacefight
Mozilla sell-out to the media and advertising industry has started - why did
they get Darren Herman on board? Wasn't it clear that his work only be in
favour of the industry and not really the user?
~~~
gcb0
Yeah, my hard earned and then donated money being used to pay a fucking VP of
marketing under the newspeak title of content services VP is a joke.
Good bye to this year donation. Wikipedia will get double this tax season.
~~~
spacefight
The whole article is newspeak and double-speak at its best, I can't believe
it...
------
vdaniuk
The inability of most HN commenters to consider long term benefits of
including unobstrusive sponsored content in Firefox or opportunity cost of not
including such sponsored content is suprising to me.
~~~
spacefight
The inability to see a slippery slope is suprising to me.
~~~
vdaniuk
Yes, the slippery slope of a non-profit with great track record earning more
money to fund its activities that are beneficial to society at large by
inconveniencing some portion of its users by unobtrusive ads. The horror!
------
NPC82
If displaying sponsored tiles within Firefox is to make any impact beyond
sounding scandalous to it's user-base, it has already failed. Firefox is a
program for people who actively avoid these things and custom tailor their web
browsing experience.
Mozilla would be better off filling those blank tiles with donate links.
------
Ygg2
As a single step, it doesn't bother me really.
But as a part of an overall bad strategy, I definitely dislike it.
------
JamesBaxter
Doesn't (or didn't) Google pay to be the search engine by default? Is this
different?
I've donated to Firefox. I'd pay for an Ad free version but I don't have any
problem with them doing this if it funds them in a meaningful way.
~~~
mehwoot
Around 90% of mozilla's budget comes from the search deal with google.
------
NigelTufnel
What was wrong with the honest: "We'll show ads to the first-time Firefox
users, so we can make extra money with our free product. We'll show ads only
once"?
"User-first" bit is the textbook example of PRspeak.
~~~
kendalk
The PRspeak bothered me more than the ads. Did the writer really think anyone
will buy the "users at the center" bit?
------
username223
Thanks for the translation; some of us are not as fluent in Marketroid. It's
obvious that soulless automata like Darren are up to no good, but it's hard to
translate what they emit:
> As VP of Content Services, Darren Herman is responsible for diversifying
> revenue and sustaining Mozilla’s mission through innovation in content and
> personalization products and services.
------
imsosadnow
Seriously, what happend to the world. Mozilla was always my loved open source
Browser of choice. What they are doing now with arguments about Costa is such
a step in the wrong direction and cant even find suitable words. I will find a
replacement. Rip firefox
~~~
flaxin
if Mozilla goes to the "other side" so be it, but guess what
[http://www.youtube.com/watch?v=qvaaGhfjrgs](http://www.youtube.com/watch?v=qvaaGhfjrgs)
------
awda
Linux distros will not ship ads that kick money to individual components. The
only way this will land in e.g. Fedora is if Firefox pulls the ad-laden page
from Mozillas servers during startup. And I don't see them being too happy
with even that.
------
shadowmint
On the other hand, there's a perfect opportunity here for someone to do the
Linux Mint thing and provide a ad-stripped alternate version of Firefox for
people.
------
chris_wot
"we think they’d agree that users’ interests should come first"
No, they don't. They care about making a buck.
~~~
vdaniuk
Yes, the non-profit cares about making a buck. Nice logic.
~~~
chris_wot
They are selling advertising. If they didn't care about money, they wouldn't
be doing that. Logical enough for you?
------
bluefreeze
So, Mozilla now changed from non-profit into ads-profit. Oh, great.
~~~
MildlySerious
Consider they're pretty much the only big non-profit in a market that's being
ruled by giant corporations. If they have to act to hold their stand against
them, that's still better than vanishing. I don't want a web without Mozilla,
to be honest.
------
spacefight
So how did this story vanish from the front page suddenly?
------
yiedyie
That should be nasty, hope they doesn't make it like the old shareware.
It brings a few other issues too, since it is opensource people will download
alternative builds without the ads.
~~~
mahouse
I am sure it will be easy to opt-out, either by going to the Preferences panel
or by an obscure about:config option.
~~~
spacefight
That's the point, it's 'easy' for those who care, but 99% won't be able to
change it easily...
~~~
MarkTee
If the only ones who don't know how to change it are the ones who don't care,
what does it matter?
~~~
spacefight
Only caring for yourself isn't helping your others in a global society, ever.
~~~
ollysb
Our world is full of adverts, most people aren't even going to blink if a
couple more appear somewhere.
------
flaxin
and this is announced after February 11
"really excited about..." \- it's inevitable :(
|
tomekkorbak/pile-curse-small
|
HackerNews
|
Q:
porque este error: Creating bean whith name NombreRepository, No property parameters found for type?
Tengo el siguiente servicio
public List<Factura> listFactura(String campo1, String campo2, String Campo3);
y su umplementacion
@Autowired
private FacturaRepository repository;
public List<Factura> listFactura(String campo1, String campo2, String campo3){
return repository.findByParameters(campo1, campo2, campo3);
}
y el Reporsitory
public interface FacturaRepository extends JpaRepository<Factura, Integer>{
@Query(name="detalleFactura", nativeQuery=true)
public List<Factura> findByParameters(String campo1, String campo2, String campo3);
}
Esta es mi entidad
@Entity
@Table(name="FACTURA")
public class Factura implements Serializable{
@Id
@Column(name="ID_FACTURA")
private int idFactura;
@Column(name ="CAMPO1")
private String campo1;
@Column(name ="CAMPO2")
private String campo2;
@Column(name ="CAMPO3")
private String campo3;
//sus get y set
}
y tengo un archivo xml, donde va la consulta,
<named-native-query name="detalleFactura"
result-class="mx.com.proyect.entidades.Factura">
SELECT * FROM FACTURA F
WHERE F.campo1=?1, F.campo2=?2 and F.campo3=?#
</named-native-query>
<sql-result-set-mapping name="mx.com.proyect.entidades.Factura">
<entity-result>
<field-result name="idFactura" column="ID_FACTURA"/>
<field-result name="campo1" column="CAMPO1"/>
</entity-result>
</sql-result-set-mapping
pero al levantar la aplicacion, me manda ese error
a que se debe?, me hace falta algo?
Error creating bean with name "FacturaRepository", No property parameters found for type Factura
A:
El problema es el nombre del método que has declarado en tu FacturaRepository.
Tal y como funciona Spring+JPA, cuando extiendes de JpaRepository, Spring aplica una convención basándose en el nombre de los métodos. Todos aquellos que sean "findByXXXX" son procesados por Spring y lo que encuentre, después del "By", asume que son los nombres de los atributos por los que tiene que filtrar. Por ejemplo, este método:
List<Driver> findByNameAndSurnameAndBirthDateAllIgnoreCase(String name, String surname, LocalDate date);
Le dice a Spring que ha de buscar, en la clase Driver, todos aquellos registros cuyo Name, Surname y BirthDate, ignorando las diferencias por mayúsculas o minúsculas, coincidan con los parámetros que estás pasando.
En tu caso concreto, la excepción dice:
No property parameters found for type
Es decir, Spring te avisa que en el tipo Factura (porque has declarado que el tipo genérico que se usa en tu interface es ese) no existe un atributo que se llame parameters ¿De dónde sale eso? Del nombre del método findByParameters.
¿Solución? Cambia tu repositorio y déjalo así, por ejemplo:
public interface FacturaRepository extends JpaRepository<Factura, Integer>{
@Query(name="detalleFactura", nativeQuery=true)
public List<Factura> buscaPorParametros(String campo1, String campo2, String campo3);
}
|
tomekkorbak/pile-curse-small
|
StackExchange
|
The present disclosure relates to fixing devices configured to fix a toner image on a sheet and image forming apparatuses to which the fixing devices are applied.
A general fixing device for an image forming apparatus includes a fixing nip formed by a fixing roller and a pressure roller pressed against each other. A sheet to which an unfixed toner image is transferred is nipped by the fixing nip and conveyed downstream by the rotating fixing roller and pressure roller. While the sheet passes through the fixing nip, pressure and heat are applied to the sheet, so that the toner image is fixed on the sheet. Generally, the fixing roller is equipped with a heat source, such as an electric heater or an IH heater, capable of generating heat necessary for toner fixation. This heat is given through the fixing nip to the pressure roller. The pressure roller is driven into rotation and the fixing roller rotates to follow the rotation of the pressure roller.
In order to form an image of good quality, it is necessary to maintain the conveyance speed of the sheet passing through the fixing nip constant. However, the sheet conveyance characteristics at the fixing nip varies depending upon factors associated with changes in roller temperature, such as changes in roller diameter. As a solution to this problem, there is known a fixing device configured to detect the surface temperature of the roller using a temperature sensor and control the rotational speed of the roller by feedback based on the detected temperature.
|
tomekkorbak/pile-curse-small
|
USPTO Backgrounds
|
Monitoring QCL Performance
After a Quality Control Laboratory (QCL) has been included in the WHO List of Prequalified Quality Control Laboratories, it should inform WHO immediately of any changes — by submitting an updated Laboratory Information File — that it has implemented to its services or operations that may have an impact on its prequalification status. These changes include changes to its facilities, equipment or key personnel).
Every prequalified QCL will be re-evaluated on a routine basis at regular intervals (annually) or earlier (if WHO receives information that indicates that re-evaluation is necessary).
To enable WHO to carry out re-evaluation, all prequalified laboratories are requested to submit a brief annual report on their activities. The report should cover all activities related to quality control of medicines undertaken during the preceding calendar year and be submitted before the end of March of the following calendar year.
The frequency of WHO re-inspection of QCLs is determined by its assessment of the quality risk management factors relating to each QCL. Generally, however, re-inspection takes place at least once every three years.
WHO may suspend or withdraw a prequalified QCL from the WHO the List of Prequalified Quality Control Laboratories if it receives of identifies evidence of non-compliance with the WHO recommended quality standards for such laboratories and/or the prequalification procedure.
|
tomekkorbak/pile-curse-small
|
Pile-CC
|
Details
November is a perfect time for a wilderness adventure! Autumn's palette of color is still evident and temperatures are generally cool yet comfortable. Join us on the Hickory Ridge trail as we maintain water bars and dips for trail erosion protection. From this ridgeline trail, you'll be able to take in some awesome views of surrounding mountains. Total round trip mileage is about 9 miles on this moderate trail.
What to Bring? work gloves, sturdy footwear, lunch, 1-2 liters of water, and a daypack to carry it in. Long pants are recommended.
Directions:- From Chatsworth, GA (intersection of Hwy 76 & Hwy 411), travel north on Hwy 411 for 11.8 miles to Cisco, GA.-Turn right onto Old Hwy 2, at the Cisco Baptist Church, and go 7.8 miles.-Turn right onto East Cowpen Rd, FS 51. There is a directional sign here for Rice Camp, East Cowpen, Hickory Creek, Horseshoe Bend Trails. If you drive past the Cottonwood Patch campground sign, you've gone too far.-Travel on FS 51 for about 5 miles to the trailhead at the end of the road.
Note: the East Cowpen Rd makes 2 creek fords which are suitable for cars under normal conditions.
Car pooling and caravan opportunities are available. (email Robert at [masked] or Larry at [masked])
|
tomekkorbak/pile-curse-small
|
Pile-CC
|
Forever Young (Kaysha album)
Forever Young is Kaysha's latest album by Sushiraw entertainment
released 2009.
Track list
Anti Bad Music Police
Be With You
Digital Sexyness
Duro
Fanta & Avocado
Forever Young Intro
Funky Makaku
Glorious Beautiful
Heaven
Hey Girl
I Give You the Music
I Still Love You
Joachim
Kota Na Piste
Les Belles Histoires D'amour
Love You Need You
Loving and Kissing
Make More Dollars
Nobody Else
On Veut Juste Danser
Once Again
Outro
Paradisio / Inferno
Pour Toujours
Pure
Si Tu T'en Vas
Simple Pleasures
Tell Me What We Waiting For
That African Shit
The Sweetest Thing
The Way You Move
Toi Et Moi
U My Bb
Yes You Can
You + Me
You're My Baby Girl
Category:2009 albums
|
tomekkorbak/pile-curse-small
|
Wikipedia (en)
|
Who says Jimmy Kimmel doesn't support Republicans?
Late night talk show host Jimmy Kimmel announced his support for a Republican (a lifelong friend) who is running for constable in North Las Vegas.
Kimmel appeared in a campaign video endorsing Jimmy Vega, who he's known since they were 12 years old. The host of “Jimmy Kimmel Live!” said he was proud of Vega for running.
Vega, 51, had been in the military for 25 years, and is currently in the naval reserves, he said.
“For me it was an integrity issue, is that, you know, you work hard, not everybody is meant to be a cop, not everybody is meant to be a firefighter, not everybody is meant to be in the military. You have to go through your prospective boot camps or academies to earn it, and that’s how I feel, I feel you just have to earn everything in life,” Vega said.
Kimmel has been vocal about his criticism of President Donald Trump and many Republican policies. But Vega said it’s not about partisanship.
“It’s just doing the right thing and helping the people, and that’s what I plan to do,” he said. “This race shouldn’t be a partisan race anyway. We’re law enforcement, we don’t create law, we just enforce law.”
North Las Vegas is “saturated” with veterans, according to Vega, and he has a passion to support veterans, he said. Vega said he wants to grow the department.
“There’s a lot of things that the current constable is not doing that I intend to do,” he said.
According to Nevada law, Constables are considered peace officers, according to Nevada law. Their duties include evictions and summoning juries for justices of the peace.
Kimmel and Vega chuckle throughout the video, with the comedian throwing in a few jokes, including some about the eviction part of the constable job.
They both graduated from Clark High School, according to the Las Vegas Review-Journal.
|
tomekkorbak/pile-curse-small
|
OpenWebText2
|
Introduction {#s1}
============
Many bacterial pathogens, *Staphylococcus aureus* included, pose an evolutionary puzzle. Despite the heavy burden of disease they impose throughout the world, the prevalence of asymptomatic carriage dwarfs the incidence of disease [@pone.0061319-Wertheim1]--[@pone.0061319-World2]. Around a third of healthy adults carry *S. aureus* nasally [@pone.0061319-Wertheim1]. In comparison, the yearly incidence in the United States of mortality from *S. aureus* diseases including septicemia, endocarditis and toxic shock syndrome is around 1 per 100,000 people [@pone.0061319-World2]. In the lifecycle of bacteria such as *S. aureus*, disease is therefore an infrequent event, and it is supposed that the bulk of transmission occurs between healthy carriers. This stands in contrast to viruses, the other major group of human pathogens, in whom disease is often the outward manifestation of an obligate part of the cycle of transmission [@pone.0061319-World2].
In consequence, commonly carried bacteria have been labeled accidental pathogens (e.g. [@pone.0061319-Moxon1], [@pone.0061319-Nandi1]), implying that pathogenesis is an evolutionary dead end for the bacteria, with limited significance for transmission. Yet this story is too simple. The armory of virulence factors possessed by *S. aureus*, such as enterotoxins, fibronectin binding protein and gamma hemolysin [@pone.0061319-Peacock1], demonstrates that the species is equipped, at the least, to cause disease facultatively. The rise of *S. aureus* resistant to antibiotics including penicillin and methicillin [@pone.0061319-Chambers1] provides further evidence of an advantage to survival within, and transmission from, sick patients.
Of the factors that affect the balance between commensalism and invasive disease, something is known. Age, sex and underlying health conditions are risk factors for disease, as is ethnicity [@pone.0061319-Cordova1]--[@pone.0061319-Wyllie1], suggesting a likely role for host genetics (see also [@pone.0061319-Ruimy1]). Bacterial genetics, specifically the presence of key virulence factors, has been shown to be important [@pone.0061319-Peacock1], although no consistent association between virulence and evolutionary lineage has been demonstrated [@pone.0061319-Melles1], [@pone.0061319-Feil1]. Carriage is well established as a risk factor for *S. aureus* disease. For example in one study, concomitantly carried *S. aureus* were indistinguishable from invasive bacteria in 82% of cases on the basis of pulsed field gel electrophoresis [@pone.0061319-vonEiff1].
A potentially important factor tipping the balance between carriage and disease is evolution of the bacteria within the host. Yet very little is known about within-host evolution in bacteria compared to viruses, where the subject has been the focus of intense research for more than a decade (see e.g. [@pone.0061319-Pybus1] for a review). This is mainly for practical reasons: bacteria have much larger genomes and lower mutation rates [@pone.0061319-Drake1], resulting in sparse genetic variation in many of the most virulent bacterial pathogens [@pone.0061319-Achtman1], [@pone.0061319-Achtman2]. But recent advances in whole-genome sequencing have made it possible, for the first time, to study bacterial evolution *in vivo* [@pone.0061319-Wilson1], revealing detectable evolution and adaptation on timescales of just a few months (e.g. [@pone.0061319-Smith1]--[@pone.0061319-Lieberman1]). In recent work, we used whole-genome sequencing to investigate the evolution of *S. aureus* during progression from prolonged asymptomatic carriage to a fatal bloodstream infection in a single carrier [@pone.0061319-Young1]. Our results showed that bacterial evolution within the host, in particular the substitution of knock-out mutations induced by premature stop codons, was associated with the transition to invasive disease.
Systematic studies are now required to build a detailed understanding of the nature of within-host bacterial evolution during normal carriage and the role it plays in pathogenesis. The aim of this study was to investigate the evolution of *S. aureus* under the prevailing natural conditions, *i.e.* asymptomatic carriage, in order to provide biological insight and facilitate future comparisons to cases of invasive disease. We investigated diversity, natural selection and population dynamics within asymptomatic, singly colonized carriers. Using our results, we demonstrated one of the practical applications of this knowledge by assessing the evidence for recent transmission between our study participants via a newly developed population genetics model.
Results {#s2}
=======
Microvariation is a common feature of nasal carriage {#s2a}
----------------------------------------------------
We detected nasal carriage of *S. aureus* in 360 out of 1,123 asymptomatic adults recruited from general medical practices in Oxfordshire, UK. Of those, we selected for further investigation 13 individuals (participants A--M) who carried the common, hospital-associated clonal complex (CC) 22 and CC 30 strains. Carriers showing evidence for mixed colonization on the basis of *spa* typing (a standard molecular typing method [@pone.0061319-Harmsen1]), were excluded, and we intentionally over-represented MRSA by including five of the nine MRSA-carrying individuals in the study in order to investigate any difference between carriage of methicillin-sensitive and resistant *S. aureus*. We sequenced the genomes of between eight and twelve bacterial colonies from a single swab sample from each host (131 genomes in total) using the Illumina GAIIx platform (Illumina, San Diego, USA).
We found that microvariation -- sparse genetic variation in the form of single nucleotide polymorphisms (SNPs) and short insertions/deletions (indels) -- was common. Using a combination of reference-based mapping and *de novo* assembly of the genome, we detected microvariation in all but three nasal carriers, comprising a total of 162 unique SNPs and 22 short indels ([Table 1](#pone-0061319-t001){ref-type="table"}). An exhaustive list of the variants detected in participants A--M is provided in [Table S1](#pone.0061319.s002){ref-type="supplementary-material"}. The number of SNPs per host ranged from six to 40 and the number of short indels from one to six. No variation was detected in the MLST loci, targeted by conventional sequence typing [@pone.0061319-Enright1]. We found no evidence for within-host recombination using a test based on the relationship between physical distance and linkage disequilibrium (as measured by the *r* ^2^ statistic; see [Table S2](#pone.0061319.s003){ref-type="supplementary-material"}) [@pone.0061319-Schaeffer1]--[@pone.0061319-Hill1]. Indeed, there was no evidence for homoplasy within individual hosts based on the four gamete test [@pone.0061319-Hudson1]. Therefore we used standard tree-building methods to visualize the evolutionary relationships within hosts ([Figure 1](#pone-0061319-g001){ref-type="fig"}).
{#pone-0061319-g001}
10.1371/journal.pone.0061319.t001
###### Genomic diversity in asymptomatically carried nasal populations of *Staphylococcus aureus*.
{#pone-0061319-t001-1}
Single nucleotide polymorphisms Short insertions/deletions
------- ------ ----------- ------ ------ ---- ----- --------------------------------- ---------------------------- ---- ---- ----- ------- ---- ---- ---- ----
A t005 ST22 CC22 -- -- 10 1 6 -- 1 8 1.60 -- -- 1 1
B t005 ST2257^c^ CC22 -- ★ 10 2 8 -- 1 11 3.27 -- -- -- --
C t006 ST22 CC22 -- -- 11 7 13 -- 4 24 7.89 1 -- 5 6
D t032 ST22 CC22 MRSA -- 12 1 5 -- -- 6 1.36 -- -- -- --
E t032 ST22 CC22 MRSA -- 8 -- -- -- -- -- 0.00 -- -- -- --
F t032 ST22 CC22 MRSA ★ 9 4 4 -- 2 10 3.67 -- 1 2 3
G t032 ST22 CC22 MRSA ★★ 11 -- -- -- -- -- 0.00 -- -- -- --
H t012 ST30 CC30 -- -- 11 -- -- -- -- -- 0.00 -- -- -- --
I t012 ST30 CC30 -- -- 8 7 22 1 10 40 14.75 -- 1 2 3
J t012 ST30 CC30 -- -- 12 3 9 -- 3 15 5.50 1 -- 2 3
K t012 ST30 CC30 -- -- 10 8 16 1 6 31 10.53 1 1 2 4
L t012 ST30 CC30 -- -- 10 2 4 -- -- 6 1.82 -- -- -- --
M t012 ST36 CC30 MRSA ★★ 9 2 7 -- 2 11 3.11 -- -- 2 2
Total 131 37 94 2 29 162 3 3 16 22
Recent antibiotic use: ★ amoxicillin, ★★ antibiotic with expected anti-staphylococcal activity (trimethoprim or ciprofloxacin). ^b^Average SNP divergence between colonies. ^c^Single-locus variant of ST22.
MLST: multilocus sequence type, MRSA: methicillin resistant *Staphylococcus aureus*, syn: synonymous, stop: premature stop codon, CDS: coding sequence, SNP: single nucleotide polymorphism, indel: insertion/deletion, ST: sequence type, CC: clonal complex.
The distributions of SNP divergence within and between hosts did not overlap, supporting the view that each was a carriage population founded by a single colonization event. The mean SNP divergence between two colonies sampled within the same host was *π* = 4.12 per genome, with a maximum of 26 (participant I). We recorded the recent usage of antibiotics, including those expected to have anti-staphylococcal activity ([Table 1](#pone-0061319-t001){ref-type="table"}). Although recent users had among the lowest diversity of nasal carriage populations, we did not detect a statistically significant effect. Similarly, we observed that MRSA carriage populations showed lower diversity on average, but the difference was not statistically significant.
The mean SNP divergence between colonies sampled from different hosts was 457 within CC22 (range 44--1334), 396 within CC30 (range 211--786) and 22,738 between CC22 and CC30 (range 9,001--33,633), based on mapping to the MRSA252 reference genome [@pone.0061319-Holden1]. There was evidence of homoplasy between hosts in CC30 and evidence of recombination between hosts in both CC22 and CC30 ([Table S2](#pone.0061319.s003){ref-type="supplementary-material"}). Consequently, we used ClonalFrame [@pone.0061319-Didelot1] to reconstruct ancestral relationships between hosts, separately for CC22 and CC30 ([Figure 2](#pone-0061319-g002){ref-type="fig"}).
{#pone-0061319-g002}
Mobile elements generate within-host structural variation {#s2b}
---------------------------------------------------------
We found evidence of structural variation within some nasal carriage populations that was associated with bacteriophages, and evidence of variation in the presence of plasmids ([Table 2](#pone-0061319-t002){ref-type="table"}). We detected large deletions by mapping the Illumina reads from each colony to the contigs of the host-specific reference assembly. Our criterion for detection was the complete absence of mapped reads for more than 500 bp per kilobase. We used Mauve to validate the deleted regions by aligning the contigs of the genomes concerned [@pone.0061319-Darling1], [@pone.0061319-Rissman1]. In participant J we detected a large deletion in four of the 12 colonies (colonies C619, C620, C622 and C624) that spanned two contigs (contigs c65 and c80 in the host-specific reference genome C618). We found that these contigs, together comprising 26.1 kb, exhibited homology to *Staphylococcus* phages on the basis of BLAST matches [@pone.0061319-Altschul1]. These phages, known as φPVL [@pone.0061319-Kaneko1], contained Panton-Valentine leukocidin (PVL), a cytotoxin that forms pores in the membranes of infected host cells and which is a recognized virulence factor in *S. aureus* [@pone.0061319-Panton1], [@pone.0061319-Gillet1] ([Figure 3A](#pone-0061319-g003){ref-type="fig"}).
![Examples of large insertion-deletion polymorphisms within single hosts.\
A) 23.9 kb deletion of a Panton-Valentine leukocidin-encoding prophage in four colonies isolated from participant J (contig C618:c65). B) 3.5 kb indel knocking out *adhE* in three colonies isolated from participant F (contig C608:c44). In both panels, the deleted region is indicated in red. The presence of coding sequences (CDS, dark blue), tRNA (dark red), rRNA (purple) and other features (gray) are indicated by filled rectangles. Sliding windows are shown indicating GC content (black), and positive (green) or negative (purple) GC skew. Positions are indicated relative to the concatenated Velvet assemblies of the host-specific reference genomes. Figures extracted from circular chromosome plot generated using CGView [@pone.0061319-Stothard1].](pone.0061319.g003){#pone-0061319-g003}
10.1371/journal.pone.0061319.t002
###### Large structural variation within hosts.
{#pone-0061319-t002-2}
ID Colonies affected Event relative to reference Contigs [a](#nt103){ref-type="table-fn"} Length (kb) BLAST hits
---- ------------------------ ----------------------------- ------------------------------------------ ------------- ---------------------------------------------------------------
F C611, C612, C615 Deletion [C608:c44]{.ul} 3.5 Aldehyde-alcohol dehydrogenase
Insertion C611:c19 2.5 Plasmid pT48 (2.5 kb, M19652.1)
G C433 Insertion C433:c20 23.5 *Staphylococcus* phage P954 (40.7 kb, GQ398772.1)
C433:c43 8.3 *Staphylococcus* phage PVL proviral DNA (41.4 kb, AB009866.2)
C433:c21 4.0 *Staphylococcus* phage phiNM3 (44.0 kb DQ530361.1)
C433:c11 3.3 *Staphylococcus* phage P954 (40.7 kb, GQ398772.1)
C433:c24 2.1 *Staphylococcus aureus* phage phi 13 (42.7 kb, AF424783.1)
J C619, C620, C622, C624 Deletion [C618:c65]{.ul} 23.9 *Staphylococcus* phage phiPVL108 (44.9 kb, AB243556.1)
[C618:c80]{.ul} 2.2 *Staphylococcus* phage PVL proviral DNA (41.4 kb, AB009866.2)
Underscoring indicates contigs that were present in the host-specific reference.
We detected large insertions by *de novo* assembly of Illumina reads that did not map to the host-specific reference genome. For detection, we required that the length of the assembled contigs exceed one kilobase, and we used Mauve to validate the insertions. In participant G we detected a large insertion spanning five contigs, with a combined sequence length of 41.2 kb in one out of 11 colonies (contigs c11, c20, c21, c24 and c43 in genome C433). These contigs showed homology to phages φPVL and φNM3 among others ([Table 2](#pone-0061319-t002){ref-type="table"}), the latter present in the Newman reference genome and known to carry virulence factors including enterotoxin A and gamma hemolysin [@pone.0061319-DeHaas1], [@pone.0061319-Bae1].
Although we distinguished insertions from deletions on the basis of comparison to the host-specific reference genome, this nomenclature did not necessarily correspond to the true direction of the event (loss or acquisition). For example, in participant J the phage that was deleted in four of the 12 genomes is not present in the CC30 reference genome (MRSA252). This suggests that the presence of the phage in eight of the colonies, including the host-specific reference genome, may have been the derived state, implying that the phage was ancestrally absent and subsequently acquired rather than lost. Conversely, in participant G the phage that was inserted in one of the 11 genomes did show homology to the CC22 reference genome (EMRSA15). This suggests that the absence of the phage in ten of the colonies, including the host-specific reference genome, could have been the derived state, so that the phage was ancestrally present and subsequently lost rather than acquired.
In participant F however, we detected both a large deletion and a large insertion event. In three out of 9 colonies (genomes C611, C612 and C615), we detected the deletion of a 3.5 kb contig (c44 in the host-specific reference genome C608) containing *adhE*, a gene encoding alcohol-aldehyde dehydrogenase ([Figure 3B](#pone-0061319-g003){ref-type="fig"}). In the same three colonies, we detected the insertion of a 2.5 kb contig 99.5% similar to the complete genome of the pT48 plasmid [@pone.0061319-Catchpole1] (c19 in genome C611). This plasmid encodes inducible resistance to macrolide-lincosamide-streptogramin B (MLS) antibiotics [@pone.0061319-Catchpole1]. The depth of coverage of reads mapping to this contig was around twice the genome average, suggesting the plasmid was present in multiple copies. We postulate that the deletion of *adhE* and the insertion of plasmid pT48 represent two separate events (one loss, one acquisition) on the same branch of the evolutionary tree ([Figure 1F](#pone-0061319-g001){ref-type="fig"}), demonstrating that both *de novo* acquisition and loss events can be observed *in vivo*.
Purifying selection dominates the within-host fitness landscape {#s2c}
---------------------------------------------------------------
We investigated the role of natural selection by comparing synonymous and non-synonymous polymorphism within and between hosts. Our analyses revealed that purifying selection is the dominant selective force acting on *S. aureus* over short timescales. We discovered a total of 37 synonymous SNPs and 94 non-synonymous SNPs within hosts. We estimate that the rate of non-synonymous mutation is 4.6 times higher than that of synonymous mutation in *S. aureus* based on codon usage in MRSA252 and the observed transition:transversion ratio in non-coding SNPs. Allowing for this gives a *d~N~*/*d~S~* of 0.55 within hosts, significantly below 1, indicating the dominance of purifying selection against changes in encoded proteins (binomial test, *p* = 0.004). We discovered a total of 499 synonymous SNPs and 654 non-synonymous SNPs between hosts and their respective clonal complex-specific reference genomes, corresponding to a *d~N~*/*d~S~* of 0.28, also significantly below 1 (binomial test, *p*\<0.001). We used the test of McDonald and Kreitman [@pone.0061319-McDonald1] to compare *d~N~*/*d~S~* within and between hosts. We found that *d~N~*/*d~S~* between hosts was significantly lower than within hosts (*p*\<0.001), consistent with the action of purifying selection, which is expected to purge deleterious mutations more efficiently over longer timescales ([Figure 4A](#pone-0061319-g004){ref-type="fig"}) (see e.g. [@pone.0061319-Rocha1]--[@pone.0061319-Nicolaisen1]).
{ref-type="fig"}, divided into segments according to the proportion of synonymous (green) and non-synonymous (orange) mutations on that branch. The area of the pie is proportional to the number of synonymous and non-synonymous mutations on that branch. The solid line is the uncorrected *dN*/*dS* ratio estimated from SNPs within hosts, which was significantly greater than the uncorrected *dN*/*dS* ratio estimated from SNPs between hosts (dashed line, McDonald-Kreitman test *p*\<0.001). B) The sample frequency of SNPs, represented by the minor (less frequent) allele. Bars are color-coded according to SNP type: synonymous (green), non-synonymous (orange), nonsense (red) and intergenic (grey). C) The expected and observed number of within-host mutations per gene (solid and hatched bars respectively), combined across participants A--M, Q and R.](pone.0061319.g004){#pone-0061319-g004}
There was further evidence for the influence of purifying selection in the sample frequencies of synonymous and non-synonymous polymorphisms ([Figure 4B](#pone-0061319-g004){ref-type="fig"}), which differed significantly (G test of the folded site frequency spectrum, *p* = 0.028). Among polymorphisms with a minor allele count (MAC) of one (*i.e.* SNPs at which the less frequent allele was observed in only one colony), 48 were non-synonymous and 7 were synonymous, which gave *d~N~*/*d~S~* = 1.49, much higher than the average within hosts, but not significantly different from the *d~N~*/*d~S~* = 1 expected under neutrality (binomial test, *p* = 0.382). There were 46 non-synonymous polymorphisms with MAC \>1, compared to 28 synonymous polymorphisms, which gave *d~N~*/*d~S~* = 0.36, significantly different to 1 (binomial test, *p*\<0.001). This tendency for non-synonymous polymorphisms to segregate at lower frequencies than synonymous polymorphisms is consistent with purifying selection (G test, *p* = 0.001). The distribution of MAC for non-coding SNPs was intermediate between synonymous and non-synonymous SNPs. In particular, the unusual rarity of singletons (MAC = 1) among synonymous polymorphisms was not repeated in intergenic SNPs, suggesting a degree of purifying selection acting on intergenic SNPs intermediate between that affecting synonymous and non-synonymous SNPs.
Lieberman and colleagues [@pone.0061319-Lieberman1] reported strong evidence for parallel adaptation during within-host bacterial evolution among 14 cystic fibrosis sufferers infected with *Burkholderia dolosa*. Using a similar analysis of the number of mutations per gene aggregated over hosts (see [Figure 4a](#pone-0061319-g004){ref-type="fig"} in ref. [@pone.0061319-Lieberman1]), we did not find a significant difference between the expected and observed number of mutations per gene (by simulation, *p* = 0.413). This was consistent with our other results suggesting that purifying selection is the dominant force shaping within-host evolution of *S. aureus*. To further test this hypothesis we included in our analysis an additional 101 *S. aureus* colonies isolated from two longitudinally sampled asymptomatic nasal carriers, participants Q and R, which we previously reported [@pone.0061319-Young1]. [Figure 4C](#pone-0061319-g004){ref-type="fig"} shows the observed numbers of genes harboring 0, 1, 2 and 3 or more mutations, aggregated over participants A--M, Q and R, alongside the expected numbers in each category. There were 16 genes with two mutations, higher than the expectation of 9.16, although the statistical significance of this excess was marginal (by simulation, *p* = 0.045). Taking into account the small magnitude of the excess and its marginal significance, we conclude that adaptive evolution during nasal carriage of *S. aureus* must be rare. Nevertheless, we noted that in seven of the 17 total genes with multiple mutations, the multiple hits occurred within the same host. That they occurred on different branches of the within-host tree excludes homologous recombination as a likely explanation for this observation. [Table 3](#pone-0061319-t003){ref-type="table"} lists all the genes with two or more mutations across individuals, notable among which are two genes encoding surface anchored proteins and an enterotoxin gene.
10.1371/journal.pone.0061319.t003
###### Genes affected by multiple mutations among hosts A--M, Q and R.
{#pone-0061319-t003-3}
SNPs/indels
--------- ----------------------------------------- ------------- --- ---
SAR0180 Non-ribosomal peptide synthetase 1 1 0
SAR0329 PTS regulator 0 2 0
SAR0457 Hypothetical protein 1 1 0
SAR0466 MutT domain-containing protein 1 1 0
SAR0471 Glutamate synthase 0 2 0
SAR0527 ATP:guanido phosphotransferase 0 2 0
SAR0558 Hypothetical protein 2 0 0
SAR1292 FtsK/SpoIIIE family protein 1 1 0
SAR1447 Very large surface anchored protein 0 2 0
SAR1789 Acetate kinase 1 1 0
SAR1841 Surface anchored protein 0 3 0
SAR1916 Enterotoxin 0 1 1
SAR1965 ThiJ/PfpI family protein 0 1 1
SAR2292 Hyaluronate lyase precursor 1 1 0
SAR2472 Proton/sodium-glutamate symport protein 1 1 0
SAR2691 Betaine aldehyde dehydrogenase 0 1 1
SAR2726 Hypothetical protein 1 1 0
Fluctuating population dynamics characterize nasal carriage {#s2d}
-----------------------------------------------------------
We sampled genomes from a single time point in each individual, representing a snapshot of the evolutionary process within each host. However, the genomic data showed evidence of temporal fluctuations in population size during carriage. In the frequency spectrum of polymorphisms, synonymous singleton polymorphisms (MAC = 1) were unusually rare compared with doubletons (MAC = 2, [Figure 4B](#pone-0061319-g004){ref-type="fig"}), and the within-host genealogies exhibited vivid differences in diversity ranging from the complete absence of within-host variation through to highly diverse populations harboring very long branches ([Figure 1](#pone-0061319-g001){ref-type="fig"}). Since carriage of *S. aureus* is often intermittent [@pone.0061319-Kluytmans1], [@pone.0061319-VandenBergh1], it follows that the population must undergo expansion during colonization, and contraction during clearance. We therefore modeled within-host population dynamics as fluctuating in size using a simple deterministic model that encompassed growth and decline. We assumed the mutation rate was constant and the same across hosts. To improve statistical power, we fitted the model of longitudinal dynamics to all 13 carriage populations, allowing them to differ only in the stage of the cycle of expansion and contraction at the time of sampling. We used the model to estimate the extent of population fluctuations during nasal carriage, the timescale of such fluctuations, and whether the bacterial population was growing or declining in each host at the point of sampling.
[Figure 5](#pone-0061319-g005){ref-type="fig"} illustrates the cycle of expansion and contraction for the fitted model. The estimated genealogies relating colonies within each host are superimposed on the same time axis, with the tips aligned to the estimated position in the cycle of population size change at which sampling took place. Carriage populations with low and intermediate SNP diversity were estimated to lie in the trough in population size, or shortly afterwards as expansion begins. Populations with high diversity were inferred to have been sampled at some point after the peak in population size, as the population begins to crash. We estimated the period of the fluctuations to be 618 days (95% credible interval 414--976 days). The vertical axis in [Figure 5](#pone-0061319-g005){ref-type="fig"} is *N~e~g*, the product of effective population size *N~e~*, corresponding to the census size of an idealized population [@pone.0061319-Wright1], and generation time *g*. We estimated *N~e~g* to vary between a minimum of 3.0 days (95% C.I. 0.05--21.8 days) and a maximum of 250 days (95% C.I. 165--410 days). Assuming a doubling time of ca. 90 minutes [@pone.0061319-Wertheim2] implies that the effective size of the reproductively viable population of *S. aureus* fluctuates between 50 and 4000 during nasal carriage, *i.e.* across two orders of magnitude.
![Within-host genealogies inferred under a model of nasal population size fluctuations during carriage.\
Assuming a model of population growth and decline, the bacterial genealogy within each host A-M was estimated using an extension to BEAST. The maximum clade credibility tree is shown with the tips aligned to the estimated time in the cycle of growth and decline when sampling took place. The shaded area shows the fitted "skyline" for within-host population size (measured as the product of the effective population size and generation length), assuming a mutation rate of 2.7 mutations per megabase per year [@pone.0061319-Young1]. Time is arbitrarily measured relative to the trough in population size.](pone.0061319.g005){#pone-0061319-g005}
Evidence for recent transmission {#s2e}
--------------------------------
An important application of bacterial whole-genome sequencing will be to monitor the extent of transmission in hospitals, public institutions and the community. Recent estimates of the molecular clock rate in *S. aureus* provide an entry point for the interpretation of genomic divergence in terms of the time since the most recent common ancestor (MRCA) of two or more isolates [@pone.0061319-Young1], [@pone.0061319-Harris1]. However, knowledge of the transmission rate is necessary to convert this into an estimate of the number of links in the transmission chain. We developed a simple population genetics method, based on coalescent theory of metapopulations [@pone.0061319-Wakeley1] (see [Methods](#s4){ref-type="sec"}), to estimate the length of transmission chains separating two bacterial genomes sampled from different hosts. Using estimates of evolutionary and epidemiological parameters from a number of studies including this one [@pone.0061319-Young1], [@pone.0061319-Cespedes1]--[@pone.0061319-Sanford1], we assessed the evidence for recent transmission between the 13 participants in our carriage study.
The key evolutionary parameters were the molecular clock rate, which we took to be 2.7 mutations per megabase per year [@pone.0061319-Young1], and mean within-host diversity, which we found to be 4.12 SNPs ([Table 1](#pone-0061319-t001){ref-type="table"}). The key epidemiological parameters were the prevalence of multiple colonization, which has been estimated at 6.6% for *S. aureus* carriage [@pone.0061319-Cespedes1], and the rate of transmission. Assuming prevalence is stable, the transmission rate equals the reciprocal of mean carriage duration. Estimates vary widely from 70 days [@pone.0061319-MacKinnon1], through 15 months [@pone.0061319-Vriens1] to 40 months [@pone.0061319-Sanford1], with one study detecting stable carriage after eight years [@pone.0061319-VandenBergh1]. To account for this uncertainty, we explored two scenarios: slow transmission corresponding to mean carriage duration of 40 months and rapid transmission corresponding to mean carriage duration of 10 months.
[Figure 6A and 6B](#pone-0061319-g006){ref-type="fig"} show, for the slow and rapid transmission scenarios respectively, the probability distributions generated by our model for the number of mutational differences between a pair of genomes conditional on the number of transmission events separating them. Using this model, we computed the posterior distribution of the number of transmission events given the observed number of mutational differences under either scenario, assuming a uniform prior for the length of the transmission chain ([Figure 6C and 6D](#pone-0061319-g006){ref-type="fig"}). This shows that the estimated number of transmission events is higher under the rapid transmission scenario, and increases approximately linearly with the number of mutational differences.
{#pone-0061319-g006}
We applied the method to estimate the number of transmission events separating the CC22 and CC30 carriers in our study. We adjusted the directly observed number of SNP differences between genomes representing each of our 13 hosts to account for differences in the level of filtering in our SNP calling pipeline, which reduces the observed number of SNP differences, and recombination, which increases it ([Table S3](#pone.0061319.s004){ref-type="supplementary-material"}). Further details are provided in [Text S1](#pone.0061319.s005){ref-type="supplementary-material"}. Under the slow transmission scenario, we found evidence for very recent transmission between CC22 carriers. [Figure 6E](#pone-0061319-g006){ref-type="fig"} shows the posterior distribution of the number of transmission events separating hosts. We obtained maximum *a posteriori* estimates of just two transmission events separating host pairs D and G (D--G) and E--G ([Table S3](#pone.0061319.s004){ref-type="supplementary-material"}). However, the 95% credible interval did not exclude direct transmission between hosts D, E, F and G, all of whom were MRSA carriers. Among this group were host pair D--E, the fourth most closely related pair (posterior mode 3 transmissions, 95% credible interval 1--7 transmissions, posterior probability of direct transmission 5.4%), who we later discovered were husband and wife.
Discussion {#s3}
==========
In this study we used whole-genome sequencing to investigate the evolutionary dynamics and population genomics of *S. aureus*, a common commensal and major pathogen, during normal asymptomatic carriage. Our study contributes to a body of work that is shedding light on the genomic basis of within-host bacterial evolution [@pone.0061319-Smith1]--[@pone.0061319-Young1], and builds on earlier investigations of within-host variation based on morphological phenotyping and pulsed field gel electrophoresis (e.g. [@pone.0061319-Goerke1]--[@pone.0061319-Goerke3]). We analyzed 131 bacterial colonies sampled from 13 singly colonized hosts in order to better understand the processes by which the raw material for evolution is generated. We reported frequent microvariation in the form of SNPs and short indels from snapshots of within-host diversity. The level of diversity within hosts was uniformly lower than that detected between hosts, supporting our view, initially formed on the basis of evidence from *spa* typing [@pone.0061319-Harmsen1], that these nasal carriage populations represented single founding colonization events. The existence of sparse but detectable microvariation is consistent with that previously detected in long-term carriers [@pone.0061319-Mwangi1], [@pone.0061319-Young1], and we propose that it is a feature typical of staphylococcal nasal carriage. The common existence of within-host microvariation below that detectable by routine methods such as *spa* typing [@pone.0061319-Harmsen1] and MLST [@pone.0061319-Enright1] underlines the utility of whole-genome sequencing for understanding the evolutionary dynamics of bacteria, and in particular genetically monomorphic pathogens [@pone.0061319-Achtman1], [@pone.0061319-Achtman2]. We also observed gross structural variation in the *S. aureus* genome in several hosts, including indels up to 41 kb in length, associated with the activity of mobile elements, similar to patterns of longitudinal evolution observed in cystic fibrosis patients [@pone.0061319-McAdam1], [@pone.0061319-Goerke1], [@pone.0061319-Goerke2]. We saw examples of variation in the presence of bacteriophages homologous to φPVL and φNM3 [@pone.0061319-Kaneko1], [@pone.0061319-DeHaas1], [@pone.0061319-Bae1] and the pT48 plasmid [@pone.0061319-Catchpole1]. It appears therefore that structural variation, while less common than microvariation, is a relatively frequent occurrence even within singly-colonized nasal carriage populations of *S. aureus*. Investigations in a number of bacterial species suggest that we should expect within-host variation during colonization and infection to be the rule, rather than the exception [@pone.0061319-Wilson1]--[@pone.0061319-Young1].
Studies of natural selection during colonization and infection in *Burkholderia dolosa* [@pone.0061319-Lieberman1], *Escherichia coli* [@pone.0061319-Zdziarski1], *Helicobacter pylori* [@pone.0061319-Kennemann1] and *Pseudomonas aeruginosa* [@pone.0061319-Smith1] have reported evidence of adaptive evolution. In contrast, we found scant evidence for adaptation during *S. aureus* nasal carriage, except for a marginal excess of mutations in a small number of genes including those encoding surface proteins and enterotoxin. Rather, we report a fitness landscape dominated by purifying selection, as witnessed by the *d~N~*/*d~S~* ratio. We observed the highest *d~N~*/*d~S~* ratio of 1.49 for within-host singleton SNPs (SNPs with a minor allele sample frequency of one), falling to 0.36 for within-host non-singleton SNPs, and falling further to 0.28 for between-host SNPs. This tendency for the *d~N~*/*d~S~* ratio to decrease as the frequency of a SNP (and hence its expected age [@pone.0061319-Griffiths1]) increases is ascribed to the delayed action of purifying selection which tolerates weakly deleterious non-synonymous mutations at low frequencies, but disfavors their drift to high frequencies (see, e.g. [@pone.0061319-Rocha1]--[@pone.0061319-Nicolaisen1]). Similar patterns of time dependency in the *d~N~*/*d~S~* ratio have been reported in various species [@pone.0061319-Rocha1], [@pone.0061319-Ho1] including *Helicobacter pylori* [@pone.0061319-Morelli1] and, over longer time frames, *Clostridium difficile* and *S. aureus* [@pone.0061319-Feil1], [@pone.0061319-CastilloRamrez1].
Although our observations were based on snapshots of the evolutionary process in individual carriers, we found evidence for fluctuating population dynamics within hosts. Hosts differed in the number and frequency distribution of mutations. Since carriage of *S. aureus* is frequently intermittent [@pone.0061319-Kluytmans1], [@pone.0061319-VandenBergh1], we modeled these demographic changes using a model that captures the dynamics of colonization, establishment and eventual clearance. Our analysis suggested the effective size of the *S. aureus* population fluctuates one hundred-fold over the course of colonization, with a periodicity of 20 months. We assumed a constant molecular clock rate among the 13 hosts of 2.7 mutations per megabase per year. This figure, inferred from longitudinal evolution of *S. aureus* within participant P, a nasal carrier who developed invasive disease [@pone.0061319-Young1], is within the 95% credible interval inferred from another nasal carrier, participant R (1.08--3.06) [@pone.0061319-Young1], and the 95% confidence interval inferred from ST239 isolates over a longer time frame (2.5--4.0) [@pone.0061319-Harris1]. Further studies are needed to investigate the extent of variation in the molecular clock rate within and between individuals. If there was appreciable variation in the clock rate, we may have underestimated the uncertainty in the demographic parameters, although we would still expect a correlation between within-host diversity and both the date of the within-host MRCA and the within-host effective population size.
Whole-genome sequencing offers unprecedented resolution for reconstructing short-term bacterial evolution, not just within individual hosts, but also along host-to-host transmission chains. Monitoring transmission will be an important application for pathogen whole-genome sequencing [@pone.0061319-Eyre1], [@pone.0061319-Kser1]. We developed a metapopulation model to assess the evidence for recent transmission among hosts, correcting for recombination using a method based on ClonalFrame [@pone.0061319-Didelot1]. Just as knowledge of the molecular clock rate is vital if SNP differences are to be interpreted in terms of temporal divergence of bacterial lineages, the transmission rate is essential for estimating the number of links in a transmission chain. Current estimates of carriage duration (and hence transmission rates) in *S. aureus* vary widely and suffer from censoring, such that longer studies have tended to produce longer estimates of carriage duration [@pone.0061319-VandenBergh1], [@pone.0061319-MacKinnon1]--[@pone.0061319-Sanford1]. Consequently, we explored two rates representative of rapid and slow transmission. Under the slow transmission scenario we detected evidence for very recent transmission between hosts carrying populations of clonal complex 22 MRSA. Although our model ignored a number of complexities including variation in within-host diversity, we think this result is plausible for several reasons. First, the deliberate enrichment of our sample for MRSA carriers (5/13) relative to the population prevalence of 2.5% (9/360) would tend to cause sampling of bacteria more closely related than average. Second, the adjusted SNP differences of 46--92 among hosts D, E, F and G correspond to divergence times of circa 3--6 years, consistent with some of the longer estimates of carriage duration [@pone.0061319-VandenBergh1], [@pone.0061319-Sanford1]. Third, epidemiological investigation revealed hosts D and E to be a married couple, although no epidemiological links were found between any of the other host pairs for whom direct transmission could not be ruled out. The current study provides a starting point for analysis of recent transmission in bacterial pathogens using whole-genome data. By providing insight into the population dynamics and evolution of *S. aureus* during normal, asymptomatic carriage, we hope it will also serve as a yardstick for future comparisons of within-host evolution in other settings including, importantly, during pathogenesis.
Methods {#s4}
=======
Ethics Statement {#s4a}
----------------
Ethical approval for the *S. aureus* carriage study was obtained from the Oxfordshire B Oxfordshire Research Ethics Committee (reference number 08/H0605/102). All participants provided written informed consent.
Isolate collection and preparation {#s4b}
----------------------------------
We surveyed nasal carriage in 1,123 adults attending general medical practices in Oxfordshire, UK. Nasal swabs obtained from study participants were incubated overnight at 37°C in enrichment broth containing 5% NaCl (E and O Laboratories, Bonnybridge, UK), and a 5 mm loopful of broth was plated onto SASelect® chromogenic agar (Bio-Rad, Limerick, Ireland). Colonies were verified as *S. aureus* based on morphology and DNAse, catalase and Staphaurex tests (Standards Unit, Centre for Clinical Infections, 2007), and classified as methicillin susceptible or resistant based on growth surrounding a 1 μg oxacillin antimicrobial susceptibility disc (Becton Dickinson, Oxford, UK). Samples were stored in such a way as to preserve existing genetic diversity: material from ∼50 randomly-selected colonies was pooled and frozen in glycerol at --80°C. Staphylococcal protein A (*spa*) type was determined by Sanger sequencing of the variable X region of the 3′ end of the *spa* gene, using commercially designed primers (spaF 5′-AGACGATCCTTCGGTGAGC-3′ spaR 5′- GCTTTTGCAATGTCATTTACTG-3′). The software Ridom StaphType [@pone.0061319-Harmsen1] was used for *spa* sequence analysis. We selected 13 confirmed carriers of the hospital-associated CC22 and CC30 groups including five MRSA carriers in which to study within-host genetic diversity. For each, we isolated 12 colonies from the glycerol stocks following 24 hours growth, emulsified them in 5% NaCl broth, and incubated overnight. DNA was extracted using the Qiagen DNEasy tissue kit (Qiagen, Crawley, UK) according to the manufacturer\'s directions.
Genome sequencing and assembly {#s4c}
------------------------------
Multiplex paired-end libraries using 12 indices were prepared from the DNA with a median fragment size of 200 base pairs (bp). Samples were sequenced at the Wellcome Trust Centre for Human Genetics, Oxford on the Illumina GAIIx platform with 51 base paired-end reads, obtaining a median of 94.3-fold genomic coverage (minimum 28.1, maximum 223.1). In 131 of a total of 156 colonies we successfully performed DNA extraction, library preparation and sequencing to a stringent quality standard.
Reference genomes for mapping were obtained from GenBank for CC30 (MRSA252, accession number BX571856, [@pone.0061319-Holden1]) and from the Wellcome Trust Sanger Institute for CC22 (EMRSA15, <ftp://ftp.sanger.ac.uk/pub/pathogens/sa/EMRSA15.dna>), and generated *de novo* from one sample per host as follows. For every colony, the genome was assembled using Velvet [@pone.0061319-Zerbino1] v1.0.11, with hash (kmer) size and coverage parameters optimized to give the highest number of bases in contigs with length greater than 1 kb. Contigs (75 -- 431 per sample, mean 173) were aligned against the MRSA252 sequence using blastn, and concatenated after removal of overlapping ends. The colony with the longest assembled genome in each host was chosen as the host-specific reference sequence. These host-specific references were used for variant calling within each cluster of colonies from an individual host, and annotated using the xBASE bacterial genome annotation service [@pone.0061319-Chaudhuri1].
Variant calling {#s4d}
---------------
For the detection of single nucleotide variants relative to the reference, we used a combination of a reference-based mapping approach via Stampy [@pone.0061319-Lunter1] and a population-based *de novo* assembly approach via Cortex [@pone.0061319-Iqbal1], as previously described [@pone.0061319-Didelot2], with additional manual curation for the confirmation of all variants. Reads were mapped to the appropriate reference sequence using Stampy [@pone.0061319-Lunter1] v1.0.11 with no BWA pre-mapping and an expected substitution rate of 0.01. On average 97.1% of reads mapped to the host-specific reference sequence. Non-unique regions were identified by a self-self blast analysis of the reference sequence to locate regions of high internal homology, using megablast parameters (word size 28) to exclude spurious short matches (BLAST+ v2.2.24 [@pone.0061319-Altschul1]). This masked 3.4% of the genome on average. Variants were called using the SAMtools v0.1.12 [@pone.0061319-Li1] mpileup command with options -M0 -Q30 -q30 -o40 -e20 -h100 -m2 -D -S. Variants were filtered using the following criteria: (1) the depth of high-quality coverage within the (2.5%, 97.5%) quantiles of the distribution across all sites but with an absolute minimum of five reads at the variant site and at least one read in either direction, (2) no other variant within 12 bp, (3) at least 75% of reads at the site supporting the call, (4) a homozygous call under a diploid model, (5) did not fall in a non-unique region. The false positive rate (where we detect a spurious variant) for our bioinformatics pipeline was previously estimated to be 2.5×10^−9^ per nucleotide [@pone.0061319-Didelot2]. Consequently, we expected less than one false SNP in our study. A mean of 92.4% of the host-specific reference sequence was called in each sample, implying a false negative rate (where we fail to detect a true variant) of 7.6% for singleton SNPs. For SNPs with higher sample frequency, this fraction will be smaller. The bioinformatics pipeline was intentionally designed to have a low false positive rate, at the expense of a somewhat higher false negative rate. The average values for the 2.5% threshold were 46.5 and 97.7 reads when mapping against the clonal complex-specific and host-specific reference genomes respectively. In only one sample out of 131 did the threshold fall as low as five reads for either reference. We identified SNPs by comparing calls across isolates from the same host. Each called SNP was verified by visual inspection of aligned reads for at least one instance of each non-reference allele. Where calls at putative SNPs had been filtered out in some samples, visual inspection was used to validate the SNP and, where possible, a manual call was made. [Figure S1](#pone.0061319.s001){ref-type="supplementary-material"} shows, for every singleton SNP, the number of reads supporting each base call in every colony from the host in question.
We used Cortex [@pone.0061319-Iqbal1] to identify single nucleotide variants and short indels from a joint *de novo* assembly of each cluster of samples from an individual host. The results were filtered to remove repetitive regions. 154 SNPs were identified by mapping and Cortex, three by mapping only and five by Cortex only. To identify large deletions relative to the Velvet-assembled host-specific reference sequences, the genomes mapped using Stampy were scanned for regions of at least 1 kb where 500 bp or more were covered by no reads. Reads that could not be mapped to the host-specific reference were assembled using Velvet with a constant hash size of 31. Contigs greater than 1 kb in length were considered to be insertions relative to the reference. Large indels were confirmed by aligning the Velvet assembly of one of the genomes containing the putative indel to the host-specific reference sequence using progressiveMauve [@pone.0061319-Darling1], after ordering the contigs of both genomes using the Mauve Contig Mover [@pone.0061319-Rissman1].
Genealogical relationships {#s4e}
--------------------------
We used a permutation test [@pone.0061319-Schaeffer1], implemented as part of omegaMap [@pone.0061319-Wilson2], to detect evidence of recombination within hosts that is based on the correlation between physical distance and linkage disequilibrium, as measured by the *r* ^2^ statistic [@pone.0061319-Hill1]. We detected homoplasies using the four gamete test [@pone.0061319-Hudson1]. Since we found no evidence for homoplasy or recombination within hosts, we inferred the tree topology and branch lengths of the genealogies relating colonies sampled within the same host using maximum likelihood (ML) under the assumption of no repeat mutation and homogeneous mutation rates. We inferred genealogical relationships between hosts using ClonalFrame [@pone.0061319-Didelot1], which accounts for possible repeat mutation and recombination. We analyzed one sequence per host (the host-specific reference genome) based on mapping to the clonal complex-specific reference (EMRSA15 for CC22 and MRSA252 for CC30).
Natural selection {#s4f}
-----------------
To detect differences in the strength and mode of selection within versus between hosts, we employed the McDonald-Kreitman test [@pone.0061319-McDonald1], tabulating the number of synonymous and non-synonymous SNPs within each host A--M, and the total number of synonymous and non-synonymous point mutations occurring between host-specific and clonal complex-specific reference sequences. To compare the effects of selection acting on different types of polymorphism, we cross-tabulated the minor allele count of each SNP (defined as the sample frequency of the less abundant allele) by SNP type (synonymous, non-synonymous, premature stop and non-coding). We tested for differences in this distribution (known as the folded site frequency spectrum) between SNP types using the G test [@pone.0061319-Sokal1].
To detect evidence for excess diversity among some genes, we tabulated the number of genes with 0, 1, 2 and 3 or more mutations, aggregated across the 13 individuals newly sequenced here (A--M) and two previously reported individuals from the same carriage study (Q and R, [@pone.0061319-Young1]). We calculated the expected counts conditional on the total number of mutations in coding sequences, corrected for the distribution of coding sequence lengths in the MRSA252 reference genome (on which our xBASE annotations were based). To test for a significant deviation from the expected distribution, we calculated a test statistic , where *O~i~* and *E~i~* were the observed and expected number of genes with *i* mutations, and simulated a distribution for *G* under the null hypothesis that mutations are independent and occur with probability proportional to gene length, computing a one-tailed *p*-value for *G* greater than or equal to that observed.
Population size fluctuations {#s4g}
----------------------------
Population dynamics of growth and decline within individual hosts were modeled using a harmonic function for the effective population size over time that was based on the sine squared function, which is constrained to be positive:
where *a* is the amplitude (or range) of the oscillations, *b* is the baseline (or minimum) population size, *c* is the period of the oscillations and *d* is the point in the cycle that sampling took place (0 ≤ *d* ≤ 1, where the population is expanding at sampling if 0\<*d*\<0.5). The demographic model was implemented in Java as an extension to BEAST [@pone.0061319-Drummond1], which requires calculation of the cumulative inverse population size [@pone.0061319-Slatkin1], defined for this model as:
To fit the model to hosts A--M, we assumed that parameters *a*, *b* and *c* are common to all hosts, who differ only by *d* (the point of the cycle at which sampling took place). Exponential priors with mean 100 were assumed for parameters *a*, *b* and *c*, with time measured in days, and uniform priors on *d*. We employed the HKY mutation model [@pone.0061319-Hasegawa1] assuming a mutation rate of 2.72 per megabase per year [@pone.0061319-Young1], [@pone.0061319-Harris1], a uniform prior on nucleotide frequencies, and a log-normal prior on *κ* (transition:transversion ratio) with mean 1 and standard deviation 1.25 on the logarithmic scale. To help infer the ancestral allele at each SNP, we constructed an outgroup sequence for each host from the homologous positions in the clonal complex-specific reference genome. An improper uniform prior was used for the coalescence time with the outgroup. All SNPs and 1% of the fixed differences between each host-specific and clonal complex-specific reference genome were included in the analysis, with a 100-fold linear correction made to the mutation rate. Two runs of the Markov chain Monte Carlo algorithm were performed of 10 million iterations each, sampled every 1,000 iterations with a burn-in of 100,000 iterations removed before merging the chains to obtain final results.
Length of transmission chains {#s4h}
-----------------------------
We developed a population genetics model, based on the theory of metapopulations [@pone.0061319-Wakeley1], to obtain a likelihood function for the number of transmission events given the observed number of SNP differences between a pair of contemporaneously sampled genomes. We assumed a susceptible-infectious-susceptible (SIS) model, where the proportion of hosts infected with a single or multiple strains at time *t* are and respectively. The total rate of new single infections is and the total rate of new multiple infections is , where *β* ~1~ and *β* ~2~ are transmission coefficients. The total rates at which singly and multiply infected hosts clear infection and return to the susceptible class are and respectively. In our metapopulation analogy, hosts are interpreted as demes that are either colonized (infected) or not. The rate of colonization (new single infection) per infected host is *E* ~0~ and the rate of migration (new multiple infection) per infected host is *M* [@pone.0061319-Wakeley1]. We assume that the number of infected hosts is large and the number of founding genotypes for each new infection event is one. Assuming further that the number of infections is at dynamic equilibrium, we find that and , where *I* ~1~ and *I* ~2~ are the equilibrium proportion of singly and multiply infected hosts. We differ from Wakeley\'s [@pone.0061319-Wakeley1] parameterization in that we measure the rates *E* ~0~ and *M* in conventional time units (*e.g.* per year), rather than in coalescent time units. The conversion factor is the average within-host coalescence rate, *λ*.
The time, *T*, to the common ancestor of a pair of genomes sequenced from two hosts separated by *X* transmission events (where *X* = 0 is interpreted as sampling from the same host) is the sum of the time *V* during which the two ancestral lineages were in different hosts and the time *U* during which the two ancestral lineages were in the same host but had not yet coalesced. Under the metapopulation model, *U* follows an exponential distribution with rate . Assuming the number of infected hosts is large and *X* is small, *V* follows a gamma distribution with shape parameter *X* and rate . If mutation is rare and occurs at rate *μ* per genome then the number of mutations, *W* and *Z*, that accumulate during time intervals *U* and *V* follow negative binomial distributions with parameters and respectively. The probability of observing *Y* mutational differences between two genomes separated by *X* transmission events (*i.e.* the likelihood of *X* given *Y*) is therefore
The parameter values can be populated using knowledge of the average duration of infection, the relative frequency of multiple infections, the genomic mutation rate and the average diversity of singly infected hosts, the latter via the equation . We adjusted the observed number of SNP differences between the host-specific reference genomes of each pair of hosts to correct for (i) the proportion of sites filtered out by our variant calling pipeline and (ii) the effects of recombination. Further details are provided in [Text S1](#pone.0061319.s005){ref-type="supplementary-material"}.
Data access {#s4i}
-----------
Databases: Data from this study will be made available on publication from the European Nucleotide Archive Sequence Read Archive at <http://www.ebi.ac.uk/ena/data/view/ERP001219>.
Supporting Information {#s5}
======================
######
**The number of reads supporting base calls for singleton SNPs.** For each singleton SNP, the number of reads supporting each base call (A: red, C: blue, G: green, T: yellow) in the forward (solid) or reverse (hashed) direction is shown for each colony from the host in question. Participant ID and position in the concatenated host-specific reference genome are indicated above each panel. The vertical axis (number of reads supporting the call) is the same for all panels, allowing variation in average depth of coverage to be seen.
(PDF)
######
Click here for additional data file.
######
**Details of variants discovered.**
(DOC)
######
Click here for additional data file.
######
**Evidence for recombination within and between hosts.**
(DOC)
######
Click here for additional data file.
######
**Evidence of transmission between hosts.**
(DOC)
######
Click here for additional data file.
######
**Adjusting Observed SNP Differences for Call Rates and Recombination.**
(DOC)
######
Click here for additional data file.
We are grateful to the carriage study participants, acknowledge the assistance of the High-Throughput Genomics Group at the Wellcome Trust Centre for Human Genetics, Oxford, and thank A. Sarah Walker and Peter Donnelly for their advice.
[^1]: **Competing Interests:**The authors have declared that no competing interests exist.
[^2]: ¶ These authors also contributed equally to this work.
[^3]: Conceived and designed the experiments: TG HF DWC RB. Performed the experiments: RRM RF HG KK TEAP HF HL-S AV TS. Analyzed the data: TG EMB RRM MC CLCI XD BCY RGE RMH DJW RB. Wrote the paper: TG EMB DJW RB XD TEAP DWC.
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tomekkorbak/pile-curse-small
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PubMed Central
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Dope
Dope wants "to open up people's eyes both with [their] outlook on the world and [their] music," according to lead singer Edsel Dope.
They believe in absolute and complete freedom of all expression and action. According to the band, this uncensored freedom will eliminate incarceration for victimless crimes, as they affect no one but those who choose to participate. Specifically, Dope supports the decriminalization and legalization of all drugs, just like cigarettes and alcohol.
"You regulate it, tax it, and put a rest to the useless, multimillion?dollar war on drugs as well as the insane amount of money we spend on prisons. That's a lot of money that could be spent on a hell of a lot better things," says keyboardist Simon Dope.
This will reduce both the crime rate and the overwhelming cost of needlessly jailing thousands of nonviolent offenders in an environment that breeds violence more than rehabilitation.
As Edsel puts it, "You take a non-violent kid caught with a pocket full of drugs and throw him in prison and watch him learn to become violent. How does this better our society?" Simon adds "Our prisons are overcrowded already. With a drop in the prison population there'll be more space for the people who belong in prison, like rapists and child molesters so they aren't back on the streets due to overcrowding."
Along with these concerns, the Dope philosophy pretty much boils down to freedom. The Declaration of Independence granted us each life, liberty, and the pursuit of happiness. As Simon puts it, "Who the hell is some guy in DC to decide what my pursuit of happiness should be? What if it involves getting high in my own home? As long as I'm not intruding on anyone else's freedom who cares? These people need to worry a little more about themselves and less about what I'm doing in my own fucking home."
In 1996, the Dope brothers were at work in New York City writing songs when they came across guitarist Sloane Jentry, 25, from North Philadelphia. Sloane had become bored with the Philadelphia scene, where he would often turn to drugs and alcohol for entertainment, and decided to search for something better in New York City. The three hit it off instantly and Dope had its first member.
With the addition of Sloane, the Dope brothers were on their way to forming their band. However, they were still in need of a bassist and drummer. While attending a Jack Off Jill Show at the 1997 CMJ Music Fest, Edsel was introduced to a young guitarist named Tripp Eisen, 26, by his friend Scott Petusky (ex-Marilyn Manson guitarist Daisy Berkowitz). Tripp grew up in Detroit and later moved to New Jersey, where he was currently heading several Goth/Industrial bands. Edsel was immediately impressed with Tripp without even hearing him play. Since Dope already had a guitarist, they came up with the idea to try and get Tripp to play bass. Needless to say, Dope now has it's bassist.
The only spot left to fill was percussions. Since Edsel wanted to do vocals, Dope needed someone else on the drums for live shows. Tripp had a good friend named Preston Nash who had been playing with Tripp in another band. Preston was introduced to the rest of Dope, and was soon asked to join the band as a live drummer.
In 1998 Dope began distributing a demo tape that said they were being produced by Zim Zum of Marilyn Manson. (Although Zimmy ended up never actually producing anything for Dope, it did get them more publicity than they would have gotten otherwise). Dope also began playing live shows in New York City. As of now they have played 8 shows, all in the city (there was one scheduled to be played in Connecticut but it was cancelled) and have built up a devoted fan base. They have also been checked out by stars like Johnny Kelly of Type O Negative, who attended their May 17 show. In late 1998 they were signed to Flip Records, the home of bands like Limp Bizkit and Cold. They also worked out a distribution deal with Epic Records, and were featured in magazines such as High Times, Guitar, and Outburn, and received airplay from stations like New Jersey's WSOU (89.5 FM).
Dope's debut album was finished in Spring 1999, and is set to be released in late July, and be followed by their first tour. The album was produced by Edsel Dope & John Travis (who has worked with Biohazard, Monster Magnet, Videodrone, Kid Rock, Gravity Kills, etc.), was enginered by Edsel and John Travis and mixed by Edsel with 3 different people: John Travis, Jay Baumgardener (who also did Coal Chamber's 1st album and is in the process of mixing the new Coal Chamb?r record) and a guy by the name of Blumpy who works under Ben Gross, who did the Filter albums. A new 3 song sampler tape that contains the unmastered album versions of Sick, Fuck Tha Police and the demo version of Spine for You was released in spring and was distributed across the country through Flip and Epic records street teams.
In June 1999 Dope announced their tour supporting ORGY!!!! Look for them to be getting a LOT of exposure. The tour starts in Boston on July 17 and will continue until the end of July. Afterwards Dope will join the Fear Factory/Static-X tour. Tour dates can be found on my tour dates page. The album release date keeps getting pushed back but it is currently set for August.
On July 9 1999 Dope played their last New York City club show before starting their big tours. The show was a press showcase, held at the Elbow Room, and unfortunately lasted only about 35 minutes. According to other people it was pretty good, although my friends and I found it somewhat disappointing.
Dope's debut album, Felons and Revolutionaries, was finally officially released on September 14th (though there were various promo copies floating around before that). The first few were printed with the song Fuck tha Police listed, but the rest were printed without that song listed on the back. Both versions of the CD, however, are exactly the same.
Dope's tour with Orgy was very successful in winning them many new fans. They then toured with Fear Factory/Static-X, and then Coal Chamber/Slipknot. They were featured in plenty of mainstream magazines and their reputation has continued to grow. They did a live "webcast" of their performance and an interview for the UBL in mid-November 1999. In the interview Dope discussed their early club shows, including their first show ever, at the Elbow Room in March 1998, and the fact that they were never really part of the New York City club scene (except for the one show they played, January 1st 1999, with Uranium 235 and Vampire Love Dolls).
Dope's reputation is continuing to grow as they tour with more and more mainstream acts
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tomekkorbak/pile-curse-small
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Pile-CC
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Signs are used in publicly accessible areas to direct traffic, provide warning, provide instructions and other uses. In order for these signs to be effective, the signs should be visible and are typically vertically positioned at seven feet but are often vertically positioned below and above this height. When viewed edge-on, signage can be difficult to see and quite often possess an injury risk (e.g., lacerations) in the event a pedestrian inadvertently collides with a sign edge.
During normal pedestrian traffic, pedestrians may come into contact with the sign. By way of example and not limitation, signs are placed in parking lots, biking trails, hiking trails, sidewalks, nursing homes, hospitals, restaurants/bars, parking lots and common areas for meetings and other locations. Pedestrians traverse the area and may come into close proximity with the sign. Due to manufacturing techniques and sign designs, signs quite often have sharp edges possessing a public safety hazard.
Accordingly, there is a need in the art for a device and method to protect pedestrians from injury from publicly accessible signs.
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tomekkorbak/pile-curse-small
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USPTO Backgrounds
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9.30pm GMT: Time to wrap up this live blog for the evening. Here's a summary of today's events:
• Barack Obama said his administration was "on the right side of history" for its response to the downfall of the Mubarak regime in Egypt
• Hosni Mubarak is again said to be gravely ill, although accounts differ
• CBS News correspondent Lara Logan was brutally attacked by a mob in Tahrir Square on the night Mubarak resigned, the US network has revealed
• Bahrain: thousands of protesters descended on Pearl Roundabout in the capital Manama for a peaceful demonstration, as opposition MPs began a boycott of parliament
• Iran: a second person was killed during yesterday's demonstrations, a member of the country's parliament said, while 1,500 arrests have been reported
• US secretary of state Hillary Clinton described Iran's government as "awful" for its repression of protesters suring a speech on internet freedom
• Yemen: there have been clashes throughout the country in the fifth consecutive day of protests
Follow the Guardian's on-going coverage here, and thanks for reading.
9.22pm GMT - Yemen:
The government of Yemen should respect the right to protest, Alistair Burt, the UK government's minister for the Middle East and North Africa, said in a statement:
All Yemenis have a right to express their views in a peaceful and open manner and I am extremely concerned by reports of increasing violence and the excessive use of force by security forces. I call on the government of Yemen to respect the people?s right to peaceful protest and listen to their legitimate grievances. The Yemeni authorities should respond positively to these concerns.
9pm GMT - Egypt:
Chilling news from the US television network CBS: its correspondent Lara Logan was beaten and sexually assaulted by a mob in Cairo's Tahrir Square during the celebrations following Mubarak's resignation.
Here's the CBS statement:
On Friday February 11, the day Egyptian president Hosni Mubarak stepped down, CBS correspondent Lara Logan was covering the jubilation in Tahrir Square for a 60 Minutes story when she and her team and their security were surrounded by a dangerous element amidst the celebration. It was a mob of more than 200 people whipped into frenzy. In the crush of the mob, she was separated from her crew. She was surrounded and suffered a brutal and sustained sexual assault and beating before being saved by a group of women and an estimated 20 Egyptian soldiers. She reconnected with the CBS team, returned to her hotel and returned to the United States on the first flight the next morning. She is currently in the hospital recovering. There will be no further comment from CBS News and Correspondent Logan and her family respectfully request privacy at this time.
Currently CBS News's chief foreign correspondent, Logan's resume includes previous jobs working for GMTV, Sky and ITN. She's an accomplished foreign correspondent, having reported from Afghanistan, Iraq and many other conflict zones.
8.39pm GMT - Bahrain:
The Wall Street Journal has a useful analysis of the political protest in Bahrain's parliament today:
As violence continued, parliamentarians from the country's main Shiite opposition bloc suspended their participation in the body in solidarity with the protesters. The bloc, called Al-Wafaq, controls 18 of Bahrain's 40-seat parliament. The move raises a new hurdle for Bahrain's Sunni ruling family, robbing it of a legitimate, political counterparty with which to negotiate a settlement to the unrest.
8.21pm GMT - Bahrain:
The Guardian's Ian Black has a new article up on how the events in Bahrain are making its neighbours nervous:
This sectarian division puts Bahrain on a regional faultline, with an assertive Shia Iran glowering across the Gulf at a country that is also home to the US 5th fleet and a key ally for Washington. The Saudis, with their Shia majority in the oil-producing eastern provinces, are watching nervously. Bahrain is the odd one out economically as well, lacking the hydrocarbon riches of Qatar or the UAE and thus the ability easily to buy off dissent in exchange for political quiescence.
8.04pm GMT – Bahrain:
Some good quality video from a march in Bahrain yesterday, with what looks like a peaceful chanting crowd followed by the sound of rounds fired.
7.54pm GMT - Morocco:
The Guardian's Giles Tremlett, recently back from Morocco, reports:
Morocco's government appears to be trying to calm fears over price hikes on basic goods as Facebook-arranged youth demonstrations called for Sunday, 20 February, draw closer. Today it has doubled the money it sets aside for state subsidies to counter rising global commodity prices. The move comes as Twitter and YouTube are seeing increasing traffic about the marches, which are to be held across a country whose leadership claims it will be an exception to the wave of protest and revolution sweeping through the region. The government will add 15bn dirhams ($1.8bn) to the 17bn dirhams allocated by the 2011 budget for the government's subsidy fund called Caisse de Compensation, Morocco's official MAP news agency said.
Reuters makes its calculations of the economic impact:
This means that at 32bn dirhams the Caisse de Compensation alone would cost 4% of the country's GDP in 2011, if the 5% growth target is met.... Morocco heavily subsidises staples, such as cooking gas, sugar and flour. Last month, the government promised to keep staples affordable at any price even if a surge in global prices of food and oil have a severe impact on its public finances this year.
7.37pm GMT - Egypt: At various points today Hosni Mubarak has been declared to be near death or in Israel according to various media outlets. Reuters is now reporting that he is in Sharm el-Sheik making phone calls, although it covers all the bases:
A military source said Mubarak, 82, believed to be in the Red Sea resort of Sharm el-Sheikh, was "breathing". Another Egyptian source with links to the family said he was unwell. But a source who said he spoke to Mubarak on Tuesday described him as "fine" and receiving telephone calls.
Asharq al-Awsat online, quoting a former security official, has this:
What is certain is that his state of health is declining drastically. In addition there is information that he is refusing to receive the required medical treatment.
7.25pm GMT: Most Americans approved of Obama's handling of the protests in Egypt, according to this poll just published by USA Today.
It found that 68% of those polled said President Obama did a good or very good job.
The poll by Gallup of 1,000 adults also found:
• By 37%-22%, they predict events in Egypt will increase rather than decrease the chances for enduring peace in the Middle East; 28% say it won't make a difference. • By 28%-21%, they say it will help rather than hurt US efforts to fight terrorism; 41% say it won't make a difference. • By 47%-44%, they say it will result in democracy taking hold in other countries in the region.
7.12pm GMT: A full text of Hillary Clinton speech on internet freedom is available online here.
6.54pm GMT - Iran:
More details on the second death of a protester in Iran resulting from yesterday's protests. Kazem Jalali, spokesman of the Iranian parliamentary committee on national security, told the Ilna news agency that one of injured protesters has also died. The victim was not identified.
Meanwhile, acting police commander General Ahmad Reza Radan has told the state run IRNA outlet that several people were arrested. Radan claimed that members of the Iranian opposition group Mujahadeen-e-Khalq had opened fire at police and protesters, although there appears to be no evidence for such an allegation.
6.38pm GMT - Yemen:
A cracking and all too rare interview with a Yemeni activist, Tawakul Karman, by Reuters journalist Mohammed Ghobari:
Tawakul Karman, a short, veiled woman with a fiery tongue, has become a thorn in the side of [President] Saleh, a key US ally against al-Qaida who has ruled the Arabian Peninsula state for 32 years. Hundreds of protesters took to the streets last month when authorities arrested the 30-year-old Karman, a member of the Islamist opposition party, Islah, for organising what it said were illegal protests. She was later released. Tens of thousands joined in protests she helped organise two weeks ago. "A revolution will be easier in Yemen than in Egypt," Karman told Reuters in an interview. "The poverty is worse and there is more hunger ... the anger in Yemen is stronger than elsewhere."
Here's the ominous news: of Yemen's 23 million people, 40% live on less than $2 a day, a third face chronic hunger and one in two people owns a gun. That's a lot of guns.
Despite the intimidation Karman says she faces from police, the journalist continues to march in the streets, confident that Yemenis will soon revolt. "The international community's response was heartening. We feel confident and secure after the position it took in support of Tunisia and Egypt. That encourages our revolution," she said.
6.29pm GMT - Egypt:
Hoisted from the comments section below, reader Ozzicht points out that the digital campaigning organisation Avaaz is organising a global petition calling on G20 countries to take action over the Mubarak family's wealth.
There may now be less need, since the US, the EU and Switzerland are already working on formal requests from the Egyptian government on freezing Mubarak clan assets, but any encouragement can't hurt.
6.15pm GMT: Russia's foreign minister Sergey Lavrov doesn't think that the US or other countries should be stirring up the wave of protests in the Middle East:
We are convinced that calls for revolutions are counterproductive. We have had more than one revolution in Russia, and we believe that we don't need to impose revolutions on others. We don't think that we need to tighten the screw, or take sides.
That's certainly a change from the Soviet Union's policies.
6.03pm GMT: The big takeaway from Hillary Clinton's internet freedom speech today is that the US will spend $25m on plans to help internet users circumvent curbs such as the "Great Firewall" of China, the blocks on Facebook and other social media sites in Iran, as well as attempts to thwart anti-government protests by pulling the plug on online access:
The United States continues to help people in oppressive internet environments get around filters, stay one step ahead of the censors, the hackers, and the thugs who beat them up or imprison them for what they say online .... Some have criticized us for not pouring fundinginto a single technology – but there is no silver bullet in the struggle against internet repression. There's no "app" for that.
This year we will award more than $25 million in additional funding. We are taking a venture capital-style approach, supporting a portfolio of technologies, tools, and training, and adapting as more users shift to mobile devices. We have our ear to the ground, talking to digital activists about where they need help, and our diversified approach means we're able to adapt to tackle the range of threats against Internet freedom. We support multiple tools, so if repressive governments figure out how to target one, others are at the ready. And we invest in the cutting edge because we know that repressive governments are constantly innovating their methods of repression. We need to stay ahead of them.
For those interested in following Clinton's speech and the issues it raises, Alec Ross, the state department's senior adviser for innovation, and Dan Baer, deputy assistant secretary for democracy, human rights and labour, will participate in worldwide webchat on internet freedom.
The webcast and follow-on webchat will take place on the CO.NX Facebook page and here. The webchat will begin at approximately 2pm ET (7pm GMT).
5.49pm GMT: Hillary Clinton moves on to WikiLeaks and the need for security on the internet – and likens the leaking of the US embassy cables to stealing documents in a briefcase:
Government confidentiality has been a topic of debate during the past fewmonths because of WikiLeaks. It's been a false debate in many ways. Fundamentally, the WikiLeaks incident began with an act of theft. Government documents were stolen, just the same as if they had been smuggled out in a briefcase. Some have suggested that this act was justified, because governments have a responsibility to conduct all of their work out in the open, in the full view of their citizens. I disagree. The United States could neither provide for our citizens' security nor promote the cause of human rights and democracy around the world if we had to make public every step of our most sensitive operations. Confidential communication gives our government the opportunity to dowork that could not be done otherwise. Consider our work with former Soviet states to secure loose nuclear material. By keeping the details confidential, we make it less likely that terrorists will find the nuclear material and steal it. Or consider the content of the documents that Wikileaks made public. Without commenting on the authenticity of any particular documents, we can observe that many of the cables released by WikiLeaks relate to human rights work carried out around the world. Our diplomats closely collaborate with activists,journalists, and citizens to challenge the misdeeds of oppressive governments. It's dangerous work. By publishing the diplomatic cables, WikiLeaks exposed people to even greater risk.
Then she denies any involvement by the Obama administration in the moves against WikiLeaks by companies such as Amazon:
There were reports in the days following the leak that the US government intervened to coerce private companies to deny service to Wikileaks. This is not the case. Some politicians and pundits publicly called for companies to dissociate from Wikileaks, while others criticized them for doing so. Public officials are part of our country's public debates, but there is a line between expressing views and coercing conduct. But any business decisions that private companies may have taken to enforce their own policies regarding WikiLeaks was not at the direction or the suggestion of the Obama Administration.
5.42pm GMT: If people are to come together through the internet then "we need a shared global vision," Clinton says.
Now Clinton mentions the variety of positive uses of the internet in places such as Russia, China and Syria but then notes:
At the same time, the internet continues to be constricted in myriad ways worldwide. In China, the government censors content and redirects search requests to error pages. In Burma, independent news sites have been taken down with distributed denial of service attacks. In Cuba, the government is trying to create a national intranet, while not allowing their citizens to access the global Internet.
Clinton's speech is being followed by zero US cable news networks, perhaps because Obama's press conference was enough for one day.
5.36pm GMT: Events in Egypt and Iran are about more than just the internet, Clinton says, as much as they are about protests and activity:
What happened in Egypt and Iran – where this week again violence was used against protesters – was about a great deal more than the internet. In each case, people protested because of a deep frustration with the political and economic conditions of their lives. They stood and marched and chanted, and the authorities tracked and blocked and detained them. The Internet did not do any of those things. People did.
As a result, says Clinton, "there is a debate underway in some circles about whether the internet is a force for liberation or repression":
But that debate is largely beside the point. Egypt isn't inspiring because people communicated using Twitter, it is inspiring because people came together and persisted in demanding a better future. Iran isn't awful because the authorities used Facebook to shadow and capture members of the opposition, it is awful because it is a government that routinely violates the rights of its people.
5.34pm GMT: "The events in Egypt recalled another protest movement, 18 months earlier in Iran, when thousands marched after disputed elections," says Clinton:
The authorities used technology as well; the Revolutionary Guard stalked members of the green movement by tracking their cellphones. For a time, the government shut down the internet and mobile networks altogether. After the authorities raided homes, attacked university dorms, made mass arrests, tortured, and fired into crowds, the protests ended.
But in Egypt, says Clinton, "the story ended differently":
The protests continued despite the internet shutdown. People organized marches through flyers and word of mouth,and used dial-up modems and fax machines to communicate with the world. After six days, the government relented, and Egypt came back online.
5.32pm GMT: Hillary Clinton is taking the stage at George Washington University in DC, for her address on "Internet Rights and Wrongs". Her introduction mentioned the events in the Middle East as making it especially relevant.
Clinto says there is a need for a "vigorous debate" about how the internet is maintained – and begins by speaking of how "the internet went dark across Egypt" on 28 January:
Cell phone service was cut off, TV satellite signals were jammed, and Internet access was blocked for nearly the entire population. The government did not want the people to communicate with each other. It did not want the press to communicate with the public. And it did not want the world to watch.
5.25pm GMT: Iran's president Mahmoud Ahmadinejad is also planning a press conference of his own, scheduled for 6pm GMT / 1pm ET / 9.30pm IRST, but that time may slip.
5.18pm GMT: Obama's press conference has just concluded and there a sense that the US president feels justified in how he handled America's response to the protests in Egypt, as reported below.
Obama's argument was that the change happened rapidly without major bloodshed and that subsequent events are positive so far.
There's another press conference by Hillary Clinton coming up in 10 minutes – the subject is "Internet Rights and Wrongs: Choices & Challenges in a Networked World" – which may well touch on events in the Middle East. You can follow it on the State Department's website, and we'll be live blogging it right here as well.
5.15pm: My colleague Richard Adams is taking the helm now.
5.08pm: More from my colleague Richard Adams on Barack Obama's press conference:
Obama said the US was "on the right side of history" in its approach to Egypt, after he was asked if the US had been too cautious in its approach to the protests. "I think history will end up recording that, on every juncture in Egypt, that we were on the right side of history. What we can't do is pretend that we could dictate the outcome, because we can't." Obama said the US message was consistent throughout the crisis. "Particularly if you look at my statements, I started talking about reform two weeks before Mr Mubarak stepped down." In general: "I think we calibrated it just right ... there was relatively little anti-American sentiment, relatively little anti-Israeli sentiment, or even anti-western sentiment. I think we got it about right." Asked what effect the events in the region would have on the Middle East peace process, Obama said: "I think it offers an opportunity as well as a challenge." The opportunity comes in the outlook of the young people being "less likely to channel their frustrations into anti-Israel" activity. "The challenge is that democracy is messy. If you try to negotiate with a democracy you just don't have one person [to negotiate with] ... but I like the odds of getting a better outcome."
5.00pm: Here is an evening summary:
• Bahrain: thousands of protesters have descended on Pearl Roundabout in the Bahraini capital Manama for a peaceful demonstration (see 1.59pm). Many have been setting up tents in echoes of Egypt's Tahrir Square and say they will stay there until their demands are met. A man named as Fadhel Salman Matrook was killed in Bahrain when security forces fired shots at a crowd of people who had gathered for the funeral of Ali Abdulhadi Mushaima, who was shot dead yesterday (see 7.53am). The king later expressed his sorrow at the deaths and announced an investigation (see 4pm). The main Shia opposition group in Bahrain, al-Wefaq, denounced the "bullying tactics and barbaric policies pursued by the security forces" and said it was suspending its participation in parliament, where it holds 18 of the 40 seats (see 10.40am).
• Iran: A second person was killed in yesterday's demonstrations in Iran, a member of the country's parliament said (see 1.31pm). The protester shot dead yesterday has been named as 26-year-old Sane Jaleh by the opposition leader Mir Hussein Mousavi's official website, Kaleme.org (see 9.29am). Acting police commander general Ahmad Reza Radan said dozens of people, including nine members of the security forces, also were wounded. He blamed the violence on the opposition. One opposition group described his comments as "ridiculous" (see 4.14pm). The Iranian judiciary said that 1,500 people were arrested in yesterday's demonstrations and transferred to Evin prison, according to the Human Rights Reporters Committee (see 4.43pm). The committee said that families of the detainees who were protesting at their imprisonment were attacked by security forces outside the prison. Members of the Iranian parliament have called for the death penalty to handed out to Mousavi and fellow opposition leader Mehdi Karroubi, both of whom who were put under house arrest ahead of yesterday's protests (see 11.22am).
• Yemen: there have been clashes in the country for a fifth consecutive day. About 1,000 protesters, marching down a street that leads to the presidential palace, were blocked by anti-riot police, a Reuters reporter said. As they dispersed into side streets, they were confronted by hundreds of government backers and both sides hurled rocks at each other (see 11.42am).
• Egypt: the Muslim Brotherhood announced that it plans to set up a political party (see 10.35am). It had previously said that it would not put up a candidate for the presidential election or seek a parliamentary majority.
• Jordan: the country's leaders tried to head off protests by easing restrictions on public gatherings (12.04pm). Jordan's interior minister Saed Hayel Srour said that protesters would still have to inform authorities of any gathering two days in advance to ensure public safety. However, he said the government would no longer interfere in such matters.
• Tunisia: the country extended a state of emergency that has been in place since Zine El Abidine Ben Ali fled to Saudi Arabia but ended a curfew imposed during the protests (4.15pm).
4.43pm: Iran has confirmed the arrest of 1,500 people during yesterday's protests, Radio Zamaneh reports:
The Iranian judiciary today announced the names of 1,500 people arrested in yesterday's demonstrations and transferred to Evin prison, the Human Rights Reporters Committee reports. Families of detainees gathered in front of the revolutionary court, where the detainees' files were being initiated, but they were attacked by special guards of the security forces and dispersed. The authorities are refusing to inform families about what's happening to individual detainees. The announcement of the 1,500 names comes after security commander Ahmadreza Radan confirmed to the media that 150 people had been arrested. He said the protests had been carried out by a handful of seditionists.
4.42pm: Jack Shenker in Cairo has filed a story on fears the Egyptian army is hijacking the revolution there.
4.40pm: Asked specifically about the stability of Saudi Arabia and the effect on oil prices, Obama didn't respond in detail. On Iran he said:
My hope and expectation continues to be that the people of Iran have the courage to express a desire for greater freedom and a more responsive government. Understand that America cannot dictate what happens inside of Iran.
Speaking more generally, Obama said that America was obviously concerned about stability throughout the region. The message was, he said: "The world is changing, and if you govern these countries you've got to get out ahead of change, you can't be behind the curve."
4.29pm: On the Middle East more widely, Obama said:
Obviously we are concerned about stability throughout the region. Each country is different. The message we have sent ... is that the world is changing; you have a young vibrant generation within the Middle East. You cannot maintain power through coercion; at some level in any society there has to be consent and that's particularly true in the new era where people can communicate, not just through some central government, but they can go onto a smartphone or to a Twitter account and mobilise hundreds and thousands of people.
4.28pm: Real change in the Middle East doesn't come from terrorism, it comes from moral force, Obama said. "That's how governments bring about lasting change."
4.25pm: My colleague Richard Adams was also watching the Obama press conference. He reports that Ben Feller of the Associated Press asked the president if the spread of protests in the Middle East jeopardised US interests. Obama said: "With respect to the situation in the Middle East, obviously there's still a lot of work to be done in Egypt but what we've seen is positive."
Obama said "Egypt needs help" to create democratic institutions and for its economy. "But so far at least we've seen the right signals out of Egypt." He specifically noted the military administration's confirmation of Egypt's existing peace treaties with Israel.
For the rest of the region, Obama noted that "each country is different, each country has its own traditions" and America couldn't dictate to them. But violence can't be used as a solution by those governments. "It's important in all the protests we've seen around the region, it's important that governments respond to peaceful protests peacefully."
On Iran, Obama said:
I find ironic that Iran pretended to celebrate what's happened in Egypt when they act directly contrary to what happened in Egypt by gunning down and beating people.
4.23pm: Barack Obama has been giving a press conference and was asked about Saudi Arabia and Iran specifically. He talked at length about Iran but did not speak directly about Saudi Arabia and just talked generically about Middle Eastern leaders (he did not mention Yemen, Bahrain etc either).
He was asked whether the US had been strong enough in its utterances on Iran during the opposition protests that were crushed in 2009.
He said the US said in 2009 and is saying now "that what is true in Egypt should be true in Iran, which is that people should be able to air their ... grievances" without facing violence (although that wasn't true of Egypt in 2009).
He said, just like in Egypt, the US cannot "dictate what happens" but it can lend "moral support".
4.15pm – Tunisia:
Tunisia has extended a state of emergency that has been in place since Zine El Abidine Ben Ali fled to Saudi Arabia but ended a curfew imposed during the protests, the Associated Press reports:
The curfew was in place since 13 January, the day before President Zine El Abidine Ben Ali fled to Saudi Arabia in the wake of clashes between police and protesters angry about unemployment, corruption and repression. The state of emergency, declared 14 January, forbids any public street gathering of three people or more, though that rule has rarely been enforced. It also authorises police and security forces to use their weapons against suspects who do not turn themselves in when ordered to do so, and against fleeing suspects who cannot be apprehended.
4.14pm – Iran:
An Iranian opposition group has rejected accusations from a police commander that it fired on an opposition protest in Tehran (see 8.01am), branding the report a lie, reports the Associated Press:
Iran's IRNA news agency cited acting police commander General Ahmad Reza Radan as saying that members of the opposition group Mujahedeen Khalq, or MEK, opened fire at police and protesters. He did not provide any evidence to back up his claim. The France-based National Council of Resistance in Iran, which speaks for MEK, says the claim is "ridiculous and false". The group said Tuesday the claim was "fabricated by the regime even when everyone knows that it is the ruling power and its organs repressed the protesters by shooting at them". The MEK, which stands for the People's Mujahedeen Organisation of Iran, is on the US government's list of foreign terrorist organizations. Its thousands-strong army based in neighbouring Iraq has been disarmed by US troops. The group participated in Iran's Islamic Revolution but soon fell out with the clerics in charge of the country. The group's supporters argue it no longer engages in armed struggle in its quest for a new leadership in Iran, and the European Union removed it from its list of banned terrorist groups in 2009.
4.05pm: A couple of interesting comments from below the line:
From iPersius
The problem here is that where the west had some leverage in Tunisia and Egypt, and indeed Algeria and Yemen to some extent, I don't think Iran has any interest or motive in keeping the west sweet. If Iran chose to gun down these protesters, what exactly could anyone do to stop them?
How much resolve can these people have against such naked aggression?
From lesbiches:
Anything reactions / events happening in KSA to all of this? I thought that was meant to be one of the more precarious regimes.
4.00pm: The Guardian has video of King Hamad of Bahrain's speech in which he expressed sympathy for the death of two people linked to anti-government protests and promised an investigation.
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3.47pm – Iran:
Spain's foreign minister Trinidad Jimenez has threatened to recall the country's ambassador to Iran unless Tehran explains – and apologises for – yesterday's arrest of one of its consular representatives within 48 hours, according to a report on monsters and critics.
Ignacio Perez-Cambra was detained in front of the Spanish embassy in Tehran after taking a walk with the ambassador in an area where government opponents were staging a protest rally on Monday. The Spaniard was held for over four hours before being released. Iran had violated the Vienna Convention regulating diplomatic relations, because it did not inform Perez-Cambra of the reasons for his arrest, Jimenez said.
3.46pm: The Bahrain interior ministry's response to the large protest at Pearl roundabout ... is to warn of congestion:
We advise citizens to stay away from Pearl roundabout area to avoid traffic jams Ministry of Interior
moi_bahrain
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3.32pm: The UK Foreign Office has upgraded its travel advice for British citizens with respect to Egypt. It says it is safe for them to travel to Luxor (since 28 January it had advised against all but essential travel to the city). The Foreign Office continues to advise against all but essential travel to Cairo, Alexandria and Suez but "in light of the improved situation on the ground after the resignation of President [Hosni] Mubarak, we have removed our advice to British nationals without a pressing need to be in Cairo, Alexandria and Suez to leave by commercial means."
3.21pm – Bahrain:
In further echo of Tahrir Square protesters appear to be setting up camp at Pearl roundabout in Bahrain. Protesters can be seen unfolding a large section of canvas sheeting in this video on Bambuser.
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3.20pm – Bahrain:
Bahrain's Pearl roundabout has been renamed the "Nation's Square" by protesters, says the Associated Press. It also reports – significantly given that the protesters are largely Shia and some have even accused them of being supporters of Iran – that they have been shouting chants of solidarity with Sunni Muslims. "No Sunnis, no Shiites, we are all Bahrainis," is the chant.
People on the roundabout are putting up tents and settling down for the night in a sign that they want it to become their equivalent of Tahrir Square.
2.59pm – Bahrain:
New video has emerged from Bahrain that appears to show tear gas being fired at mourners who gathered for the funeral of protester Ali Abdulhadi Mushamai.
It is impossible to verify whether the film was shot today, but it appears to tally with eyewitness reports of what occurred this morning. Another protester was killed after the security forces fired tear gas and bird shot at the crowd.
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2.52pm: Here's a gallery of images from Yemen and Bahrain.
2.51pm – Bahrain: Harrowing photos purportedly of Fadhel Salman Matrook, the Bahraini man killed at a funeral this morning (see 7.53am) have been posted online. (Warning: the images are upsetting and some are graphic.)
2.43pm – Egypt:
Hosni Mubarak's health is deteriorating rapidly, according to a new report in the Saudi Arabia's Asharq al-Awsat newspaper which says the former Egyptian president is refusing medical treatment.
Citing former Egyptian security officials it said an announcement of his death could come at any time.
The source also revealed that there had been attempts to convince Mubarak to travel abroad for medical treatment, most probably to Germany, where he previously underwent treatment to remove a gall bladder last year. However the former security official clarified to Asharq Al-Awsat that "Mubarak is refusing this … in fact, he has asked those around him to allow him to die in his country, and I believe this is just a matter of time" adding: "It is unfortunate that this is how it will end."
2.16pm - Bahrain:
A Facebook tribute group, modelling on a similar group in Egypt, has been set up for the protester killed in Bahrain yesterday.
"We are all Ali Abdulhadi Mushamai" deliberately echoes Egypt's "We are all Khaled Said" the group set up by Google executive and activist Wael Ghonim.
Protesters in Bahrain are also sharing information at a Facebook group called True Royal Democracy, which has more than 24,000 supporters.
1.59pm – Bahrain: Thousands of protesters, including children, have gathered for a rowdy protests at the Pearl (also known as Lulu) roundabout, according to live mobile phone footage uploaded to Bambuser.
Protester @RedhaHaji tweets:
Pple chanting. handing out snack foods&Wtr. Others cleaning. It looks like a day out on the green grass. Sitting. Talking #bahrain #feb14
Bahraini journalist @MazenMahdi tweets:
Pictures of political detainees including ali abdul imam being raised in lulu roundabout demanding their release #Bahrain #feb14
1.31pm – Iran:
This is Matthew Weaver taking over again. Thanks Haroon. A second person was killed in yesterday's demonstration in Iran, a member of the Iranian parliament said today.
"At Monday's rally ... two people were martyred and many were wounded; one person was shot dead," Kazem Jalali was quoted as saying by Iranian news agency ISNA.
An opposition website claimed at least 1,500 people were arrested while taking part in the banned protests.
More video is emerging of the protests. This one shows a crowd chanting for the release of political prisoners as they march down a street. The film ends abruptly when protesters begin to flee in the opposite direction.
1.17pm – Bahrain: Ahram online has some quotes from the king of Bahrain's televised address (see also 12.49pm). It was reportedly quite a short speech. King Hamad said:
In light of the incidents that took place yesterday and today ... There have been sadly two deaths. I express my deep condolences to their families. Everyone should know that I have assigned deputy prime minister Jawad Al-Orayedh to form a special committee to find out the reasons that led to such regrettable events."
1.09pm – Bahrain: Haroon Siddique here. Bahrain's interior ministry has named the person killed at a funeral this morning (7.53am) as Fadhel Salman Matrook and announced an investigation into his death.
1.03pm – Iran: Ali, a student activist at Amir Kabir University in Tehran, has been talking to InsideIran.org about organising a student demonstration on Monday.
Q: What groups of people were there today? A: We saw people from all walks of life. Many students but lots of older people. We saw people with Islamic covers and beards in our ranks. There were people who looked poor. We didn't expect them to come. But I think they came because of economic pressure. Things have gotten worse since the subsidies reform. Q: What is going to happen next? A: We don't know. Moussavi was supposed to talk to BBC, but he is under house arrest. So is Karroubi. People need information but no one is adequately covering the events in Iran. Lots of people have good internet access at work and more people have basic internet at home. But there is not any information for them as what to do. I think people are waiting for another call to protest. People want to take advantage of internal rifts in government. The Majlis and the government cannot work together. They always insult each other. And people are fed up with this situation that nothing gets done and there is so much infighting. Everything is getting more expensive because of Ahmadinejad's subsidy cuts. Metro tickets in Tehran are going to quadruple in price. People, especially the urban poor, cannot live like this. The same people who voted for him because of handouts are now getting tired of his policies.
He said he wanted to see Egyptian and Tunisian pro-democracy groups issue statements of support for the Iranian rebels.
12.49pm – Bahrain:
King Hamad announced on state TV that there will be investigation into the deaths of the killed protesters.
"We opened the a road to Freedom 10 years back," he said according to Bahrain Twitter user @RedhaHaji. "We will continue without barriers," the King is reported as saying.
Meanwhile, Bahrain protesters are gathering at Pearl Roundabout, which they claim is their Tahrir Square.
@AngryArabiya tweets:
WE HAVE A TAHRIR SQUARE @ LAST, the pearl roundabout! Heading there now!! #bahrain #feb14
Photographs uploaded to Twitter show that hundreds of protesters have gathered at the roundabout.
Protesters have warned that they could target the Bahrain grand prix on 13 March.
In the wake of ongoing protests in Bahrain this week urging the government to consider political reform, fears are growing that the opening race of the 2011 season on 13 March could be hit. Nabeel Rajab, vice president of campaign group Bahrain Center for Human Rights, said on Tuesday that the grand prix was being viewed as an opportunity for protesters to publicise their cause. "For sure F1 is not going to be peaceful this time," Rajab told Arabian Business. "They'll be lots of journalists, a lot of people looking and [the government] will react in a stupid manner as they did today and yesterday. And that will be bloody, but will be more publicised."
12.47pm: This is interesting. Our Middle East editor Ian Black has been trawling through WikiLeaks releases of US diplomatic cables about Bahrain. He found this mini-portrait of King Hamad and the country's intelligence relationship with the US. The secret briefing was prepared for Denis Blair, Barack Obama's director of national intelligence, in December 2009.
12. (C) King Hamad is personable and engaging. He rules as something of a "corporate king," giving direction and letting his top people manage the government. He has overseen the development of strong institutions with the restoration of parliament, the formation of a legal political opposition, and a dynamic press. He is gradually shifting power from his uncle, Prime Minister Khalifa bin Salman Al Khalifa, who remains the head of the government, to his son, the Crown Prince. Crown Prince Salman received his high school education at the DOD school in Bahrain and earned a BA from American University in 1985. He is very Western in his approach and is closely identified with the reformist camp within the ruling family - particularly with respect to economic and labor reforms designed to combat corruption and modernize Bahrain's economic base. King Hamad is committed to fighting corruption and prefers doing business with American firms because they are transparent. U.S. companies have won major contracts in the past two years, including: Gulf Air's purchase of 24 Boeing 787 Dreamliners, a USD 5 billion joint-venture with Occidental Petroleum to revitalize the Awali field, and well over USD 300 million in Foreign Military Sales. 13. (S) Director of BNSA (Bahrain National Security Agency) Sheikh Khalifa bin Abdallah Al Khalifa figures prominently into the King's efforts on reform and stability. Charged by the King to "Bahrainize" and professionalize BNSA, Sheikh Khalifa is determined to rid BNSA of the last vestiges of British influence and grow BNSA into a world-class intelligence and security service with global reach. Sheikh Khalifa understands well that if he is to fulfill his mandate of protecting Bahrain, he must "go deep" and develop robust intelligence liaison relationships with partners around the world. To that end, he has embarked on a program to establish and strengthen intelligence ties abroad, with a central focus on counterterrorism. Against this backdrop, Sheikh Khalifa unabashedly positions his relationship with the U.S. Intelligence Community above all others, insisting that his key lieutenants communicate openly with their U.S. liaison partners and actively seek new avenues for cooperation. In your discussions, you will find Sheikh Khalifa to be frank and likeable, and he will no doubt emphasize his sincere desire to continue strengthening the already excellent relationship he enjoys with the U.S.
12.31pm – Iran:
The supreme leader Ayatollah Khamenei has accused the US and Britain of interfering in Egypt.
"The US seeks to hijack the great movement of the Egyptians. The Islamic Republic of Iran is against the interference of foreign sides in Egypt and believes that this is the Egyptian nation that should be the main decision-maker," he said, according to Press TV.
The leader emphasized that the British government is the main agent behind causing difference among Muslims and urged all Muslim countries to adopt their policies and strategies in line with strengthening unity in the Muslim world.
He didn't mention the protests in Iran. The Iranian newspaper Hamshari also ignored the protests on its front page today (see left), focusing instead on the state visit of the Turkish President Abdullah Gul.
There are more front pages from the region at the website of Washington's Newseum.
12.25pm: Here is our interactive Twitter map of Arab and Middle Eastern protests.
12.04pm – Jordan:
Jordan continues to try to head off protest by showing a willingness to reform. King Abdullah II has already dismissed his cabinet and promised reforms; now the interior ministry said it will allow public gatherings.
An AP report in the Gulf Times says:
Jordan's interior minister, bowing to public pressure to revoke restrictions on public gatherings, says protests will no longer need government permission. Saed Hayel Srour says he has recommended the change to the cabinet, which is expected to endorse it quickly. In street protests in the past five weeks, Jordanians demanded that the government lift restrictions on free speech and assembly ... Srour said that protesters would still have to inform authorities of any gathering two days in advance to ensure public safety. However, he said the government would no longer interfere in such matters.
12.00pm: Time for a summary of events so far.
• A person has been killed in Bahrain when security forces fired shots at a crowd of people who had gathered for the funeral of Ali Abdulhadi Mushaima, who was shot dead yesterday (see 7.53am). At least 10,000 people reportedly gathered for Mushaima's funeral, where people chanted anti-government slogans and held aloft defaced pictures of the king.
• The main Shia opposition group in Bahrain, Al Wefaq, denounced the "bullying tactics and barbaric policies pursued by the security forces" and said it was suspending its participation in parliament, where it holds 18 of the 40 seats (see 10.40am).
• The Iranian protester shot dead yesterday has been named as 26-year-old Sane Jaleh by the opposition leader Mir Hussein Mousavi's official website, Kaleme.org (see 9.29am). Iranian police have confirmed the death of a protester. Acting police commander general Ahmad Reza Radan said dozens of people, including nine members of the security forces, also were wounded. He blamed the violence on the opposition.
• Members of the Iranian parliament have called for the death penalty to handed out to Mousavi and fellow opposition leader Mehdi Karroubi, both of whom who were put under house arrest ahead of yesterday's protests (see 11.22am).
• The Muslim Brotherhood in Egypt announced that they plan to set up a political party (see 10.35am). It had previously said that it would not put up a candidate for the presidential election or seek a parliamentary majority.
• Pro- and anti-government protesters have clashed in the Yemeni capital Sana'a. Four anti-government protesters were wounded (see 11.42am).
11.42am – Yemen:
Pro- and anti-government protesters have clashed in Sana'a, according to Reuters.
Hundreds of anti-government demonstrators and government loyalists fought with rocks and batons in the Yemeni capital today in political unrest fuelled by the Egyptian uprising. About 1,000 protesters, marching down a street that leads to the presidential palace, were blocked by anti-riot police, a Reuters reporter said. As they dispersed into side streets, they were confronted by hundreds of government backers and both sides hurled rocks at each other. Police managed to stamp out the fighting. Four of the anti-government protesters were wounded, the Reuters reporter said, two bleeding from head injuries. "Ali, leave, leave, and take your sons with you!" protesters shouted, referring to President Ali Abdullah Saleh. Many expect Saleh, who has ruled this Arabian Peninsula state for 32 years, will hand power to his son, a charge he denies. Protesters have complained of repression but have also pointed to economic conditions – around 40% of Yemen's 23 million people live on less than $2 a day, while a third face chronic hunger. Loyalists have countered demonstrators with increasing violence. Three ambulances had accompanied the protesters from the start of the march, a sign that eruptions of violence are now expected. Some of the loyalists beat a parliament member who had joined anti-government protesters. Ahmed Seif Hashid told Reuters that he was also stabbed, and accused the ruling party of bringing in hired men for backup. "Most of them were not members of the ruling party, they were hired thugs," he said. "Some of them tried to stab me in the back. The attacks here keep happening, they want to occupy the places used for protests." A few hundred men had been waiting for protesters as they gathered today at Sana'a University, which has become the launch pad for anti-government rallies. Some waved pictures of Saleh, most carried batons. "You cowards, you American collaborators! The people want dialogue to start," Saleh loyalists chanted.
11.34am: CrowdVoice, a user-generated website for compiling reports of protests, has compiled what it says is video and photographic evidence of violence used against protesters in Bahrain and Iran.
11.22am – Iran:
Iran's Press TV has shown footage of members of Iran's parliament calling for the execution of the opposition leaders Karroubi and Mousavi.
__
11.14am – Bahrain:
An angry crowd of up to 20,000 people have gathered in Bahrain at the funeral of Ali Abdulhadi Mushaima, who was killed in yesterday's protests, according to an eyewitness in an audio interview.
The witness, who did not wish to give her full name, said:
The scene is just unbelievable. There are thousands upon thousands on the road ... There were definitely chants against the regime. The crowd was getting angrier and angrier. A lot of signs said they are peaceful, and this is what we get in return. It has been peaceful, but people are angry, they are very frustrated. I am assuming that people are going to keep marching. It has been announced that people will be marching again tomorrow for the funeral of the second guy who was killed today. This is definitely a lot more than people expected when we heard there was going to be some protests. Nobody expected this much turnout. They are just chanting they want reform, that's all they want. I can see people as far as my eyes can see. There could be 20 [thousand].
___
10.44am – Bahrain:
Mobile phone footage purporting to show the funeral procession in Bahrain has emerged on the video streaming service Bambuser.
10.40am – Bahrain:
AP reports that 10,000 people gathered for the funeral of Ali Abdulhadi Mushaima, the protester killed yesterday. One person was killed in initial clashes with the mourners, but then the police withdrew, allowing the funeral to take place.
Police watched from a distance as at least 10,000 marchers streamed from the hospital to the Shia Muslim cemetery about a half-mile (1km) away. Mourners chanted against the government and some even held aloft portraits of Bahrain's king defaced with an X, a possible signal that their anger could shift toward the monarchy itself. Bahrain's protesters have claimed they do not seek to overthrow the ruling family but want greater political freedoms and sweeping changes in how the country is run. The demands include transferring more decision-making powers to the parliament and breaking the monarchy's grip on senior government posts. The death [today] is likely to boost sectarian tensions that make the tiny island kingdom of about 525,000 citizens among the most volatile nations in the Gulf. Bahrain's Shia majority, about 70% of the population, have long complained of systemic discrimination by the Sunni rulers. A crackdown on perceived dissent last year touched off weeks of riots and clashes in Shiite villages. The main Shia opposition group, Al Wefaq, denounced the "bullying tactics and barbaric policies pursued by the security forces" and said it was suspending its participation in parliament, where it holds 18 of the 40 seats. The declaration falls short of pulling out the group's lawmakers, which would spark a full-scale political crisis. But Al Wefaq warned that it could take more steps if violence persists against marchers staging the first major rallies in the Gulf since uprisings toppled long-ruling regimes in Tunisia and Egypt. A statement from Bahrain's interior minister, Lt Gen Rashid bin Abdulla Al Khalifa, expressed "sincere condolences and deep sympathy" to Mushaima's family. He stressed that the death will be investigated and charges would be filed if authorities determined excessive force was used against the protesters.
10.35am – Egypt:
The Muslim Brotherhood said they had no plans to put up a candidate for the presidential elections in Egypt, but today they said they plan to set up a political party.
In a statement on its English-language website, the Brotherhood said it would become a political party when the time is right.
The Muslim Brotherhood's media spokesman Dr Essam El Erian has stated that steady and gradual reform must begin now, and it must begin on the terms that have been called for by millions of Egyptians over the past weeks ... Mohsen Rady, an MB leader, agreed, adding once an official legitimate committee has been formed it will apply to become an official party highlighting that the former tyranny of autocratic rule which had once prevented the establishment of a party will give way to immediate reform demonstrating a serious commitment to change, the granting of freedoms to all and the transition toward democracy.
Shadi Hamid, a Middle East analyst from the Brookings Institute, says that if an election was held now in Egypt the Muslim Brotherhood would win. But speaking on Bloggingheads TV he points out they are not interested in seizing power. "There is this misconception that Islamists are obsessed with seizing power. The Brotherhood is not a political party, it is a religious movement," Hamid says. "They don't want to win [elections]," he adds.
__
10.09am – Tunisia:
Helen Pidd in Berlin reports on debate in Germany about refugees from Tunisia.
The German parliament – and the ruling coalition – are divided over whether they should heed Italy's call and take in Tunisian refugees. Angela Merkel's CDU party doesn't want Germany to get involved, but her coalition partners the FDP think the country has a moral responsibility to share the burden. So do the Greens and the other opposition parties. Alexander Alvaro, the spokesman of the FDP in the European parliament, said: "We can't just welcome a revolution in one country and then refuse to deal with the consequences." But CDU politicians said it would wrong for Germany to accept an influx from Tunisia. They are even arguing that to do so would violate the Schengen agreement, which permits free travel between EU member states but makes it difficult for non EU citizens to enter the Schengen zone. One politician even suggested that those EU countries that welcome Tunisians should be punished in the form of sanctions.
9.29am – Iran:
My colleague Saeed Kamali Dehghan has been scanning the opposition websites.
He says Mousavi's official website, Kaleme.org, named the protester who was shot dead yesterday.
It says 26-year-old Sane Jaleh, a student of Tehran University of Arts, was killed by the security forces (not by rioters as the regime claims).
More YouTube footage has also emerged of the protests yesterday. In one they chant "both in Tehran and Cairo dictators must go".
Another gives an idea of the scale of the demonstrations.
_
9.07am – Iran:
The Iranian regime continues to try to blame the opposition for yesterday's violence.
Members of the Iranian parliament today called for the death penalty to handed out to opposition leaders Mehdi Karroubi and Mir Hossein Mousavi, who were put under house arrest ahead of the protests, according to Reuters.
"Mehdi Karroubi and Mirhossein Mousavi are corrupts on earth and should be tried," the official IRNA news agency quoted them saying in a statement.
The loose term "corrupt on earth", a charge which has been levelled at political dissidents in the past, carries the death penalty in the Islamic Iran, Reuters points out.
Judiciary spokesman Gholamhossein Mohseni-Ejei said: "Those who created public disorder on Monday will be confronted firmly and immediately."
State-funded Press TV directly blamed opposition "rioters" for the violence.
Anti-government groups, including members of the anti-Iran terrorist group Mujahedin Khalq Organisation (MKO), staged riots in Tehran on Monday. The rioters opened fire on bystanders, killing one and leaving several other people injured as well.
Parliament speaker Ali Larijani accused the United States and its allies of providing support to the opposition.
"The main aim of Americans was to stimulate the recent events in the Middle East in Iran to divert attentions from those countries," Larijani said, state radio reported.
___
___
8.15am – Bahrain:
Bahrain's interior ministry has confirmed that "clashes" took place at the funeral of a protester today.
In a Twitter update it said:
Chief of Public Security: In Ali Abdulhadi Mushaima's funeral procession this morning some people clashed with a police patrol.
Police used teargas to break up the funeral. "They were dispersed with teargas close to the hospital and then gathered again," Ibrahim Mattar, a member of parliament from the Shia opposition group Wefaq, told Reuters.
Mattar said a second protester died today. Al-Jazeera reported he was killed in clashes at the funeral procession.
Nabeel Rajab, vice-president of the Bahrain Center for Human Rights, has put together a Facebook gallery of photos from today's funeral and yesterday's protests.
It includes this which appears to show protesters being dispersed by teargas (it is unclear whether this is from today or yesterday).
_
Disturbing video has also emerged claiming to show footage of Mushaima's dead body in hospital (warning distressing content).
8.01am – Iran:
The police have confirmed that one person was killed during clashes between security forces and protesters yesterday. Acting police commander general Ahmad Reza Radan said dozens of people, including nine members of the security forces, also were wounded.
He blamed the violence on the opposition, as did Iran's state-funded Press TV.
In the Iranian capital Tehran, anti-government groups, including members of the anti-Iran terrorist group Mujahedin Khalq Organization (MKO), have staged riots, killing one person. The rioters opened fire on bystanders on Monday, leaving several other people injured as well, Fars news agency reported ... The opposition had asked for permission to hold a public rally "in support of the people in Tunisia and Egypt" but the Iranian government refused to give permission and declared all such rallies illegal. The government said that no more demos were needed as the Iranian people already expressed their solidarity with the Egyptians and Tunisians on 11 February.
7.53am: Shockwaves from the uprising in Egypt continue to be felt.
One person was killed in Bahrain today after the security forces fired shots at a crowd of people who had gathered for the funeral of a protester shot yesterday.
AP has this:
Officials at Bahrain's Salmaniya Medical Complex the meeting point for the mourners say the 31-year-old man died from injuries from bird shot fired during the melee in the hospital's parking lot. The mourners had gathered at the hospital Tuesday for a funeral procession for a man killed a day earlier in Egypt-inspired protests. Tuesday's death raises the possibility of more marches and challenges to the ruling monarchy in Bahrain.
Last night US secretary of state Hillary Clinton sent a message of support to protesters in Iran after thousands of people took to the streets to demonstrate against the regime of president Mahmoud Ahmadinejad. She accused Iran of "hypocrisy" for praising the protests in Egypt while cracking down on dissent in its own country.
Here's a round-up by country of the latest on the unrest in the region
Bahrain
Riot police fired teargas and rubber bullets as demonstrators took part in a "day of rage". One protester was killed and at least 25 people were injured.
The protesters want changes to the country's constitution, an elected prime minister, the release of political prisoners, and an end to the use of torture.
Iran
Thousands of defiant protesters in Tehran clashed with security officials as they marched in a banned rally. One person was reported killed, with dozens injured and many more arrested.
Supporters of the Green movement appeared in scattered groups in various locations in central Tehran and other big cities in what was seen as the Iranian opposition's first attempt in more than a year to hold street protests against the government.
Yemen
Protesters marched for a fourth consecutive day in the capital Sana'a demanding the removal of President Ali Abdullah Saleh.
They faced attacks by government supporters wielding broken bottles, daggers and rocks. Police were unable to control the crowds in Taiz, where thousands of Yemeni protesters had held an all-night rally. The disturbances occurred while Saleh and the main opposition group were preparing for talks to avert an Egyptian-style revolt.
Egypt
A meeting between military leaders and pro-democracy representatives produced details about plans for fresh elections and constitutional changes. Attempts to clear Tahrir Square of protesters were only partly successful. Former president Hosni Mubarak is reported to be ill in Sharm el-Sheikh, while veteran politician Amr Moussa said he wants to run for president.
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tomekkorbak/pile-curse-small
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Tuesday, June 17, 2008
Dad's chemo was short today. We were finished by 9:30. Mom went with us today so she could see where he gets his chemo and I took her to get new glasses while he got his drip. Tomorrow my brother will take him for another short day of chemo. So far, he has had no ill effects. I suspect that will change though. I went back this afternoon to see for myself if he was OK.
The staph infection has reared its ugly head again. I am feeling a bit of discomfort sitting, but I cannot yet see an abscess. I suspect one is forming deep down below the surface in the same general area. I called the doc and got more antibiotics. His office called and wants me in the office first thing Thursday morning. They are closed on Wednesday. I just finished my last antibiotic a couple of days ago. Will I have to be on them forever??????
I ordered a shingles vaccine because I have a fear of shingles and I know stress can cause an outbreak. The shot costs $219 and is not covered by insurance. I will suck it up and pay for it. That's how scared I am of shingles. Doc gave me a prescription for it and it takes 7 days to get it in to the drugstore. With my luck lately, I'll get shingles before it comes in!!!
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tomekkorbak/pile-curse-small
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Pile-CC
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Introduction
============
The modern societies of developed countries are associated with a disease profile that differs from that observed decades ago, when infectious diseases prevailed. However, the incidence of allergic diseases has increased in recent decades, and approximately 20% of the Western population suffers from some form of allergic disease, especially those related to food, autoimmune disease or chronic inflammatory disease. The same is also true in developing countries, where these processes may coexist with infectious diseases. This increase in allergic disease appears to result from a shift towards more hygienic habits, which lead to reduced contact between children and microorganisms, as well as familial predisposition and environmental factors. Immunizations and dietary changes also contribute to the development of allergies, and both have significant impacts on the intestinal microbiota \[[@b1],[@b2]\].
The prevalence of atopic dermatitis has increased in recent decades, and one hypothesis to explain this increase is that changes in the pattern of intestinal colonization during childhood have an impact on the immune system.
The oligosaccharides in human milk promote intestinal microflora, predominantly lactobacilli and bifidobacteria, and the mixture of 90% short-chain galactooligosaccharides (GOS) and 10% long-chain fructooligosaccharides (FOS) mimics the prebiotic effect of human milk. GOS and FOS are resistant to digestion and may be detected in the feces of breast-fed infants. Furthermore, infants fed formula supplemented with GOS/FOS possess a microbiota that is similar to those that are breastfed \[[@b1],[@b3]\].
Human milk oligosaccharides also directly interact with immune cells to inhibit the adhesion of pathogens to the intestinal epithelium in addition to their prebiotic effect. The body\'s greatest mass of lymphoid tissue is located in the digestive tract and is termed the gut-associated lymphoid tissues (GALT), where numerous interactions occur between intestinal bacteria, dendritic cells and epithelial cells. In addition, the microbiota participates in the induction of oral tolerance, a process directed towards specific antigens following their ingestion, which is mediated by Treg cells \[[@b4]\].
However, evidence from randomised trials in the prevention and treatment of atopic dermatitis and food allergies through the use of prebiotics has demonstrated conflicting results. Seven studies on prevention and 12 studies focusing on treatment with prebiotics were identified using the PubMed (Public Medicine), Cochrane (Cochrane Database of Systematic Reviews, CDSR) and EMBASE (Excerpta Medica) databases, and although pro-, pre- and synbiotics have been proposed as potential candidates for the prevention and treatment of atopic dermatitis, the results are not sufficiently conclusive to support the recommendation of their use in this clinical condition \[[@b5],[@b6]\].
Therefore, the aim of this systematic review was to assess the efficacy of prebiotics for the prevention and treatment of allergic manifestations in children.
Materials and Methods
=====================
Methods
-------
This study is a systematic literature review, characterised as a tool of evidence-based practice, which enables one to summarise and analyse the knowledge produced on the topic examined and thus has a methodological rigor that increases the reliability and depth of the review findings \[[@b7]\].
Eligibility criteria
--------------------
Studies that met the following criteria were considered eligible: (1) randomised controlled clinical trials, open-label or blinded; (2) treatment consisting of prebiotics for the prevention and/or treatment of atopy; (3) children 1 year old or younger and (4) data available to measure the treatment effect as a difference in allergic manifestations between groups.
Data source
-----------
Electronic searches for articles published up until September 2012 were conducted in the following databases: MEDLINE (PubMed), EMBASE, Cochrane Library clinical trials registry, LILACS, SciELO, IBECS, Web of Science, Clinical Trials, and Google Scholar. The search for dissertations, theses and conference proceedings was conducted using the Google Scholar search tool. There was no restriction on language or publication year. The return list of each search was copied into a single list of abstracts, removing duplicate entries.
Search strategy
---------------
The search strategy was performed using the following keywords: *hypersensitivity*, *probiotics*, and *child*. The strategy was adapted to each database, when necessary.
Study selection
---------------
The eligibility criteria were applied to all titles and abstracts by two reviewers (PNM, NRF). Cases of disagreement were discussed by the reviewers until they reached a consensus. The references of the selected studies were assessed as a source of new references.
Data extraction
---------------
Data from selected articles were independently extracted by two researchers (PNM, NRF) into a references and notes manager. Cases of disagreement were resolved by consensus. The researchers were not blinded for journal or authors. The study authors were contacted in case of doubt or the absence of specific data.
The following items were collected: sample characteristics, diagnostic measures of atopy, characteristics of the groups compared and aspects of methodological quality. The reduction of allergic symptoms was the primary outcome chosen to test the efficacy of the treatment. Adverse effects of the treatments were analysed as a secondary outcome.
Quality assessment
------------------
The quality of the articles was assessed according to CONSORT \[[@b8],[@b9]\] items, and the articles were classified by reviewers as high or low quality.
Summary measures
----------------
The primary measure of treatment effect was the difference in the percentage of children with allergic symptoms between the groups compared.
Summary of results
------------------
The Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) guidelines were followed in the preparation of this systematic review \[[@b10]\].
Results
=======
Eighty-five of a total of 517 references located in nine databases remained for the analysis after excluding duplicate references and performing a new triage. Eighteen of those references were initially included based on the reading of abstracts. Eight articles remained after excluding 10 studies that failed to meet the inclusion criteria. Three more articles were excluded after reading the full articles because they showed a population or intervention that differed from the eligibility criteria. The selection process of the studies is shown in [Figure 1](#fig01){ref-type="fig"}.
{#fig01}
Five hundred and seventeen articles and eight double-blinded, randomised and placebo-controlled clinical trials with prebiotics and synbiotics were published. Those with allergic diseases as the outcome that were limited to infants or children were selected.
The characteristics of the five clinical trials that met the inclusion criteria \[[@b11]--[@b15]\] are outlined in Table[1](#tbl1){ref-type="table"}.
######
Recently published clinical trials on the effectiveness of prebiotic supplementation for the treatment and/or prevention of allergic diseases
Reference Type of study Population Type of mixture Dose used Outcome
------------------------------ ---------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------- ----------------------------------- ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Scholtens et al. \[[@b11]\] Double-blind, randomised, placebo-controlled study 215 healthy infants (187 completed the study) in the first 26 weeks of life GOS/FOS 9:1 6 g/L Infant formulas supplemented with prebiotics led to higher concentrations of fecal IgA, suggesting a positive effect on mucosal immunity
Arslanoglu et al. \[[@b12]\] Double-blind, randomised, placebo-controlled study 152 healthy infants of atopic parents (134 completed the study) received prebiotics or placebo for 6 months and were followed for 2 years GOS/FOS 9:1 8 g/L Early dietary supplementation with prebiotics promotes a protective effect against atopic diseases (AD, recurrent bronchospasm and urticaria) and infectious diseases in the first 2 years of life
Moro et al. \[[@b13]\] Double-blind, randomised, placebo-controlled study 259 infants at risk of atopy were randomly assigned to receive infant formula with and without prebiotics during the first 6 months of life GOS/FOS 9:1 8 g/L The group supplemented with prebiotics showed a lower incidence of atopic dermatitis (9.8% vs. 23.1%) and a higher number of bifidogenic bacteria in the gastrointestinal tract
Passeron et al. \[[@b14]\] Double-blind, randomised, placebo-controlled study 39 children with moderate and severe AD older than 2 years of age used synbiotics or prebiotics alone (control) for 3 months *Lactobacillus rhamnosus*/GG (LGG), GOS/FOS 9:1 LGG -- 1.2 × 10^9^ ufc/g, GOS/FOS Both synbiotics and prebiotics used alone improved the symptoms of AD in children older than 2 years of age, although two episodes of abdominal pain were noted in the group of synbiotics and one episode was observed in the group of prebiotics
Wu et al. \[[@b15]\] Double-blind, randomised, placebo-controlled study 54 children from 2 to 14 years of age with moderate to severe AD used synbiotics or prebiotics (control) for 8 weeks *Lactobacillus salivarius*/FOS, FOS \>2 × 10^9^ ufc/g + FOS, FOS The combination with synbiotics showed a greater effect in reducing severe AD than did using the prebiotic alone, although two patients in the group of synbiotics initially had diarrhea as a side effect
GOS, galactooligosaccharide; FOS, fructooligosaccharide; AD, atopic dermatitis.
Characteristics of the studies
------------------------------
The total number of subjects in each study ranged from 134 to 259 infants with prebiotic supplementation only \[[@b11]--[@b13]\], whereas the total number of subjects with prebiotic and synbiotic supplementation was 39 and 60 children, respectively \[[@b14],[@b15]\]. Infants, newborns and children 14 years of age or younger were included.
Three studies on prebiotics were included in this review; all used the mixture GOS:FOS (9:1) in infant formulas in nursing infants in the first months of life \[[@b11]--[@b13]\] (Table[1](#tbl1){ref-type="table"}). The positive effects found were that supplementation changed the intestinal flora, promoting a bifidogenic effect, and supplementation reduced the incidence of allergic diseases (atopic eczema, recurrent bronchospasm, and urticaria) in the first 2 years of life in children at risk for atopy. Two studies on synbiotics whose outcomes were related to allergic diseases were also included. Passeron et al. \[[@b14]\] used GOS:FOS combined with probiotics (LGG) or not in children with moderate and severe atopic dermatitis, and both groups showed improvement of their clinical signs based on severity scores.
Passeron et al. \[[@b14]\] and Wu et al. \[[@b15]\] noted a difference between groups in the onset of mild adverse effects, including diarrhea and abdominal pain, especially in the group supplemented with synbiotics.
Relatively small sample sizes were noticeable in the studies analysed, which are less accurate and consequently have confidence intervals with greater amplitudes.
The selected studies showed heterogeneity regarding the subjects, albeit with similar outcomes. The treatment groups ranged from 39 to 259 children. The studies compared prebiotics and placebo in each group. The synbiotics were considered placebos in two studies to conduct the meta-analysis. In general, the articles reported a trend towards fewer allergic manifestations in the treatment groups with prebiotics. Some adverse effects were reported.
Discussion
==========
The vertical line shows where the odds ratios equal to 1 would be represented, which would indicate the absence of an association between treatment with prebiotics and the occurrence of allergic manifestations. Thus, the odds ratios represented to the left of this vertical line show that allergic manifestations are more likely to occur among controls, and the odds ratios shown to the right of this line demonstrate that allergic manifestations are more likely to occur among those treated with prebiotics. The 95% confidence interval will have a value of 1 if the horizontal line crosses the vertical line, which shows that the effect of using prebiotics on the occurrence of allergic manifestations in that particular study is not statistically significant (the interpretation is similar to that usually performed when the value of *P* is greater than 5%, although it should be noted that this concept of "statistical significance" is always affected by the sample size). [Figure 2](#fig02){ref-type="fig"} shows that the confidence intervals associated with studies 4 and 5 have a value of 1, indicating that their respective odds ratios (OR) are "not statistically significant." Conversely, studies 4 and 5 noticeably have smaller sample sizes than do the others, suggesting that this "statistical significance" may have not been reached because of the reduced number of subjects in the studies.
{#fig02}
Finally, the meta-analytic OR is represented below the set of horizontal lines, with its respective confidence interval (which is also represented by a horizontal line). This result is represented by a rhombus in [Figure 2](#fig02){ref-type="fig"} to differentiate it from the odds ratios associated with each study. [Figure 2](#fig02){ref-type="fig"} shows that the confidence interval for the meta-analytic OR naturally has a smaller amplitude relative to the individual confidence intervals because it gathers data from all of the studies analysed. [Figure 2](#fig02){ref-type="fig"} shows a forest plot for the meta-analysis of the effects of the prebiotics on allergic manifestations. Most odds ratios in this graphic are shown to the left of the dotted vertical line that crosses the scale at one, showing that allergic manifestations have lower incidence rates among subjects who received prebiotics. The meta-analysis Mantel--Haenszel odds ratio has a confidence interval that does not cross the vertical line, which indicates that prebiotics have a statistically significant treatment effect on the reduction of allergic manifestations.
There are essentially two types of regression models used in meta-analysis: fixed effects and random effects models. The random effects models assumes that studies are not homogeneous, with some variation across studies due to differences between their populations and protocols used (for example, dosage or treatment duration).
The progressive speculation on the effectiveness of probiotics and prebiotics resulted from studies that have deepened our knowledge of the immunomodulatory components of breast milk and the related benefits for reducing allergic diseases. Clinical trials sought to evaluate how the management of those components, independently or in combination, either as drugs or as food supplements, could affect atopy-related outcomes \[[@b16]--[@b18]\]. In terms of quantity, oligosaccharides are the third greatest component of human milk, following only fat and lactose \[[@b19],[@b20]\]. Recent studies have shown that supplementing infant formula with oligosaccharides leads to long-term benefits in the immune response, including increased production of IgA and a lower incidence of allergic diseases. Similar oligosaccharides may be detected in the feces and urine of breastfed infants, which indicates that these oligosaccharides likely have local and systemic functions \[[@b20]\]. Cytokines derived from T helper cells (Th1 and Th2) and regulatory T cell (Treg) lymphocytes are presumably transported to the systemic circulation via the mesenteric lymph nodes, providing systemic protection effects \[[@b21]\].
This review covers articles related to the topic and published in recent years; the main studies using prebiotics, probiotics, and synbiotics in the prevention and treatment of allergic diseases emerged more recently \[[@b21]\]. Adverse effects of supplementation are rare, although reports of abdominal pain and diarrhea were found when synbiotics were used.
Studies on probiotics with allergic diseases as the outcome, however, are numerous. The vast majority of studies report the role of probiotics in the prevention of allergic diseases but not in their treatment \[[@b22]\]. Therefore, these studies show more robust evidence, especially in the prevention of atopic dermatitis in infants at risk---a result inclusively confirmed by a recent meta-analysis \[[@b23]\]. In turn, the use of prebiotics (GOS:FOS 9:1) during the third trimester of pregnancy leads to an increase in the bifidogenic bacteria in the mothers\' gastrointestinal tract, although no such effect was found in the children\'s flora or caused changes in levels of immunological markers \[[@b24]\]. The recent findings on the importance of intestinal microbiota development in early life on the long-term balance of the immune response significantly increased the interest in the development of research studies to elucidate the mechanisms, components and nutrients involved in that process, highlighting supplementation with prebiotics and probiotics \[[@b21],[@b25],[@b26]\].
However, there are still few studies that investigate a relatively short follow-up period, generally few days or even months. New studies with longer follow-up periods are needed to assess the maintenance of the beneficial effects and safety of using prebiotics. There are still few studies that enable one to consistently assess the beneficial effects of prebiotics and to recommend their use in clinical practice for allergic diseases other than atopic dermatitis.
Meta-analysis can be used to address the effects of clinical therapeutic interventions without a consensus in published studies or in the absence of adequate proof of effectiveness of a specific procedure, provided that certain criteria are met.
This review of studies showed evidence of the benefits of early supplementation with prebiotics in the prevention of atopic dermatitis in infants at high risk for allergies. However, there is still little evidence available, and the results regarding prebiotic adjuvant treatment for moderate to severe atopic dermatitis mediated by IgE are controversial. Studies including a more prolonged period of observation for supplemented subjects and an evaluation of product safety and long-term effects are also needed.
Although we found a tendency towards reduced allergic reactions upon supplementation with prebiotics, there was not sufficient evidence to assert that this treatment is effective for preventing allergies in children.
In conclusion, supplementation with prebiotics mimicking breast milk may reduce the frequency of infections and atopy in healthy infants. However, the long-term benefits of prebiotics for the developing immune system remain to be further elucidated \[[@b3],[@b4],[@b6],[@b7],[@b27]\].
The authors would like to thank SKL Pharma for technical and scientific clarifications and Lilia Maria Bitar Neves, librarian of the Health Sciences Library, Federal University of Paraná (Biblioteca de Ciências da Saúde da Universidade Federal do Paraná), for her collaboration with drafting the article.
Author Contributions
====================
PNM designed the study; PNM conducted the research; PNM analysed the data; PNM and NARF wrote the paper; and PNM had primary responsibility for the final content. All authors read and approved the final manuscript. This work was supported by UFPR and UNICENTRO.
Conflict of Interest
====================
None declared.
[^1]: **Funding information** This work was supported by UFPR and UNICENTRO.
|
tomekkorbak/pile-curse-small
|
PubMed Central
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Thursday, July 26, 2007
Two recent episodes illustrate the misdirection your government can take when partycrats control matters -- which right now is always and everywhere.
First, we have Alberto Gonzales, a March 2004 emergency meeting with congressional leaders, and leaked documents that indicate the subject of the meeting was supposedly the terrorist surveillance program (TSP). No matter which way the wind blows for you on this subject, somebody is lying. (AP story today - Documents contradict Gonzales' testimony).
Second, we have the revelation that Democratic New York Governor Eliot Spitzer's first and second righthand men were using the state's resources to run down evidence that his primary Republican opponent -- one Joseph Bruno, the state senate's majority leader -- was taking trips and tricks on the state dollar. We have these guys in government (like GWB's Karl Rove) whose sole purpose apparently is politicalthink. Are they really doing the people's business? Why are the taxpayers paying for these peoples' salaries?
In the Gonzales case, we have a meeting. Everybody agrees that it happened in the White House Situation Room. Gonzales says the TSP was not discussed in the meeting. Apparently some new leaked documents contradict that. Well OK. But the truly incredible thing is the "memory" of the congressional leaders in the meeting. Wanna guess how their memories break down? You got it. From the AP story by Lara Jakes Jordan:
House and Senate lawmakers who attended the Situation Room briefing are divided on the accuracy of Gonzales' account of that meeting ... Three Democrats — House Speaker Nancy Pelosi, Senate Intelligence Committee Chairman Jay Rockefeller and former Senate Democratic leader Tom Daschle — dispute Gonzales' testimony.
Rockefeller called it "untruthful," and Pelosi spokesman Brendan Daly said the speaker disagreed that it should be continued without Justice Department or FISA court oversight.On the other hand, former GOP House Intelligence Chairman Porter Goss, "does not recall anyone saying the project must be ended,' spokeswoman Jennifer Millerwise Dyck said. And former Senate Republican leader Bill Frist stopped short of confirming or denying the meeting's outcome.
"I recall being briefed with the others about the program and it was stated that Gonzales would visit with Ashcroft in the hospital and that our meeting was part of the administration's responsibility to discuss with the leadership of Congress,' Frist said in a statement.
SOMEBODY'S LYING !!!
Back to Spitzer and company.
So Spitzer's henchmen "investigated" a political opponent on the taxpayer's dollar. Now Bruno is perching for investigations by the senate body his party controls. Even the state's Inspector General, Kristine Hamann (a governor appointee) has been co-opted. What in government business is going begging meanwhile?
According to the N.Y. Times: "The controversy appears to be taking a toll on the governor’s agenda. Lawmakers are to return to Albany on Thursday, but a deal announced last week to tighten the state’s notoriously lax campaign finance laws appears to be in limbo and is not expected to be taken up. Lawmakers are expected to vote to create a study commission to consider Mayor Michael R. Bloomberg’s congestion pricing plan and other approaches to traffic reduction."SOMEBODY'S WASTING TAXPAYER MONEY !!
Wednesday, July 25, 2007
In an AP story today (7/25/07) called Democratic hopefuls snub party moderates, party insiders explain in such a matter of fact way the process of candidates "playing" to the base during primaries and then "moving to the center" for the general election ... as though doing so was nothing less than lying.
AP writer, Ron Fournier, asks: "How do they win their parties' nomination without appearing hostage to the kind of base politics that turns off swing voters?"
He continues: "The DLC would like to help the Democratic candidates, but none are listening. While no Democratic presidential hopeful wants to be associated with the centrist group, most of the candidates will be in Chicago on Aug. 4 to attend a convention of liberal bloggers." The DLC (Democratic Leadership Council) is an offshoot of Democrats working against the natural polarizing direction of their party, the natural direction of party (to the extreme).
DLC founder Al From is quoted in the article: "It's sort of like you play on one end of field to win the nomination, but if you want to win the game, you've got to play on both ends."
"Candidates have their own interests. I don't blame them in a sense" for blowing off the DLC meeting, From said. "They have to get the nomination, and we're not one of the interest groups parading out there in Iowa and New Hampshire ."
If Democratic politicians and activists (Republican ones as well) were small-d democrats, they would put forward their beliefs, straightforward and truthfully. And then they would accept the results of the election on the merits of the campaign. But they don't really believe in democracy, in the marketplace of ideas. They obviously don't have enough confidence in their ideology to be honest to all potential voters, primary and general election ones. I can understand that ... because their ideologies are each representative of such a small sliver of the electorate.
So, instead, they lie. The question arises: Are they lying to the primary or the general election crowd. By their actions, it is clear they lie to the general election voters because, after the election, they lurch to the left or right to please their base ... since, of course, they were elected with a mandate to carry out their message, right?
Right ...
The same article exposed another psychosis suffered by partisans.
According to Fournier, From "said Bush's low approval ratings give Democrats a chance to build a lasting majority in the 2008 election..."
Interesting ... didn't the Republicans say that in 1994 when they took control of Congress and then again when they ridded themselves of the troublesome Clinton and put Republican GWB in the White House? Wasn't the RNC periphery, like Rush Limbaugh, talking about sticking the knife in deeper and eliminating the Dems forever?
They just don't get it. A majority of Americans really don't want either of them, but since we as a working majority haven't figured out how to take control and bring about change, we vote one of them into control and, when the excesses build up, we elect the other.
As long as we allow them both, neither will go away. But there is a way that we can rid ourselves of both of them -- at least from operational control of our elections and government function:
Sunday, July 22, 2007
Morris Fiorina's book, Culture War? The Myth of a Polarized America, explodes the red state/blue state paradigm we constantly hear from the political class and the silly, unthinking media. When a presidential election occurs, do some states' electoral votes go to the candidate of one party and others to the nominee of the other party? Yes, and in that narrow view, one can paint a map with reds and blues. But given the fact that only two "viable" choices are offered, a polarized result is inevitable.
What do these results tell us about the electorate? NOTHING!
Fiorina clarifies for us. One set of graphics says it all:
The top graph demonstrates a "Closely and Deeply Divided" electorate, most of whom identify with either Democratic or Republican platform/candidate. The bottom graph demonstrates a "Closely but not Deeply Divided" electorate, most of whom DO NOT identify with either party's platform/candidate, but who feel compelled to choose one of them because ... well, those are our choices, right?
If I vote for some other candidate, I'm, what, throwing my vote away or helping one of the major party candidates win, right? Remember -- those Perot voters put that scumbag Clinton into office and, well, if it weren't for Nader, Gore would have won in 2000, right?
Fiorina's book clearly shows that the electorate is more like the bottom graph. For instance:
Did you know? ... that when asked to respond to "Too much power concentrated in large companies," 64% of "blue" state folks responded yes AND 62% of "red" states responded ... yes!
"Immigration should decrease" -"blue" 41%, "red" 43%
"Make English official language" - "blue" 70%, "red" 66%
"Favor school vouchers" - "blue" 51%, "red" 54%
"Favor death penalty" - "blue" 70%, "red" 77%
"Tolerate others' moral views" - "blue" 62%, "red" 62%
"Abortion--always legal" - "blue" 48%, "red" 37%
That's only a smattering of issues. A full reading of the book makes perfectly clear that most American citizens, no matter the state, are rather moderate or at least in fairly close agreement, whatever the majority position.
Fiorina writes: "The most plausible explanation is that culture wars, two nations, and similar exaggerations make an excellent story line for the media, so differences are systematically exaggerated to support the story line."
The culture war line also perpetuates control in the two major parties' hands. It's either them or us.
Fiorina quotes David Brooks: "Although there are some real differences between Red and Blue America, there is no fundamental conflict. There may be cracks, but there is no chasm."
And this from Fiorina when analyzing data about purported polarization in the electorate: "For some people a 10 percent difference in the preferences of a state or a socioeconomic group on abortion or gay rights may be sufficient to conclude that the American electorate is engaged in a culture war. Our judgment differs. Certainly, in a majority rule electoral system 10 percent differences that occur in the neighborhood of 50 percent may be politically very consequential. A jurisdiction with a small right-of-center majority may elect a hard-right Republican representative while another with a small left-of-center majority may elect a hard-left Democrat. But to infer from the polarization of election outcomes that voters in the first jurisdiction overwhelmingly disagree with voters in the second jurisdiction is both a logical error and an inference at odds with the data."
Fiorina's book is filled with supporting data. I highly recommend reading it. You will understand the American electorate a lot better than listening to Wolf Blitzer, Britt Hume or Tim Russert, or by reading the New York or L.A. Times. The "polarization" of the electorate, in other words, is more a result of the choices we are presented on Election Day than a severe division in views by the voters.
Time and again, we have all seen the newspaper editorial or heard the broadcast bombast about how important the act of voting is. An election is nigh and of course ...
Now is the time for all good citizens to come to the aid of their country ... right?
Too many times, I have leapt to my computer to launch yet another letter to the editor of my hometown newspaper correcting yet another of these oversimplifications about the "most important duty a citizen has -- voting."
A brief visit to my local library and a chance perusal of the 25cent sales shelf reminded me of this critical fact: voting is worthless if one has no real choice.
From the sales shelf -- the 1963 political science book, The Consent of the Governed:
In a fully developed mass democracy, candidates and parties would go to the public on the basis of bargains struck among interest groups. Campaign appeals would not be based on rival principles or policies; elections would tend, therefore, to be personality contests with candidates packaged and merchandised by professional experts in public relations. The campaign and the electoral process would be exercises in mass manipulation of the electorate, planned by consent engineers.
What makes the impact of mass society on elections alarming is the new light in which electoral processes have been put by the rise of modern totalitarian regimes. It used to be commonly assumed that the act of voting was a primary, perhaps even the most important, test of whether a government is democratic. The rise of modern totalitarianism shattered this easy assumption. Beginning in the 1930's, in fascist, nazi, and communist regimes, voters began to troop to the polls in large numbers (often over 90 per cent). Nor is it enough to argue that they do so under compulsion. Apparently, they vote often with enthusiasm and feeling. The question we have now to face is, what is the significance of the voting act? What criteria must be met before the act of voting can be held to have genuinely democratic significance?
One solution commonly offered for this question is the simple distinction between a totalitarian vote cast for or against a single candidate or slate and the democratic provision of options or choices between two or more candidates or paties. But does this distinction carry us far enough? What is the significance of the vote in a totalitarian society? What does it mean to the millions of voters who cast their ballots for the single slate of candidates? The best answer seems to be that voting in a totalitarian society is primarily a social and psychological, rather than a political, act. It seems primarily to be a way of securing the psychological comfort of conformity, of expressing one's solidarity with the nation, one's integration into the basic values of the society, one's emotional oneness and belongingness in the total community.
A political act, as that term is used here, is distinguished by the fact that it is part of a procedure for settling differences and for allocating power, prestige, and influence. In this sense, only the ruling elite in a totalitarian society performs political acts; the remainder of society performs the social acts which sanctify, legitimatize, and bind the political decisions of the elite. It would seem to be crucial to the idea of democracy, at least in its historical meaning, that the civic roles of citizens should have political, as distinct from social, meaning and that the act of voting should be a political act. The existence of two or more candidates or parties in no way insures that the citizen is a participant in political decisions, as we have defined that word. Voting, even in nominally two party politics, may be an act that has primarily social rather than political significance.
Whether the vote is a political act will clearly depend on the extent to which the options, provided for the citizen at the polls, offer the possibility of genuine choice between alternative principles, programs, and policies. Unless they do -- if, for example, political competition for the vote is personality-oriented rather than issue-oriented -- then the voter's choice will at best reflect his preferences for such personal qualities as sincerity, friendliness, amiability, leadership, grooming, and charm. It will not reflect his judgment about what policies are in the public interest or how the competing claims to increased wealth, status, prestige, and power in society are to be weighed and accommodated. A nominally and formally competitive political system, under the conditions of mass society, may serve to conceal the fact that citizens are participating socially in the legitimatizing of decisions rather than politically in the making of them.
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How many recent presidential elections have riden on the concepts of "Leadership in a Dangerous World" or "Put Integrity Back in the White House" or what was it "Morning in America" ??? Is there any doubt that we have been for quite a while in the era of manipulative politics? Is there any wonder why so many citizens have receded from the political forum because they refuse to be a social legitimatization of political decisions already made by party organizations.
Think about the statements I've heard from partisans:
Democrat: "What's with this business of Republican poor people? I just don't understand why so many blue collar workers continually vote against their own economic interests by voting Republican !" (Because the RNC waves the social culture war carrot in front of their noses or point to the moral weakness embodied by the amorous Bill Clinton, etc.)
Republican: "Democrats are so big on 'choice.' You know, like, Pro-Choice. But every chance they get, they want to regulate and restrict." (Because the DNC waves the abortion/coat hangar specter.)
These paradoxes are created by parties that coagulate unlike interest groups (factions) under only two banners and, because of election laws that limit choice, provide only those choices on Election Day. Thus reducing the vote to a social action, rather than a true political action that controls the direction of government -- i.e., democracy.
Saturday, March 31, 2007
No discussion of the presidential debates sham would be complete without mentioning Open Debates (www.opendebates.org), an organization headed by George Farah. Farah is an energetic, well-informed, articulate attorney (I think) who has been nothing but a thorn in the side of the CPD for years.
Starting in 2003, Farah has used a multi-pronged approach to expose and attack the CPD debate monopoly. He's appeared on many radio and TV news programs and he's sued the CPD for greater openness in their agreements between the Dem/Repub campaign organizations. He's been marginally successful in the federal courts due to the obvious (but unoriginalist) support of parties by the judiciary. And in the "court of public opinion," he's had much more success as, according to his web site, "citizens, academic, civic leaders, commentators, and newspaper editorial boards across the nation expressed outrage at direct candidate manipulation."
What Open Debates discovered is that previously secret agreements between the Dems and Repubs campaigns have santitized the debate formats in such a way as to stifle any real discussion of issues.
Pre-1988 campaigns began abusing the previous hosts of the debates, the League of Women Voters. The League invited Independent candidate, John Anderson, to the debates in 1980 against the wishes of President Jimmy Carter. The 1984 Dem/Repub campaigns "vetoed 68 proposed panelists in order to eliminate difficult questions," causing the League to publicly proclaim the major parties were "totally abusing the process."
In 1988, Bush-Dukakis dictated the debate format through a secret contract that the League would not accept. "The demands of the two campaign organizations would perpetrate a fraud on the American voter," wrote the League as it bowed out of the process.
The CPD, an arm of the DNC and RNC, took over the debates, ensuring efforts to exclude third-party and Independent voices, shielding candidates from criticism about debate formats, and helping to perpetuate the control of government by the two major parties. That is their true purpose.
What has the CPD wrought? For instance ...
In 1996, Ross Perot was excluded from the debates despite having received $29 million in taxpayer money and even though 75% of eligible voters wanted the little man in the debates. Ralph Nader got the same treatment despite overwhelming support for his inclusion in the debates.
Followup questions were prohibited.
Two of the Clinton-Dole debates "were deliberately scheduled opposite the World Series," an obvious attempt to reduce viewership. The incumbent, Clinton, demanded these restrictions because he was leading in the polls.
Response times are severely limited.
Screening occurs of town hall format participants.
The campaigns choose panelists and moderators.
As Open Debates notes, "The result is a series of glorified news conferences, with the candidates superficially glazing over the issues while reciting memorized sound-bites to fit 90-second response slots."
"It's too much show business and too much prompting, too much artificiality, and not really debates. They're rehearsed appearances." -- Former President George Bush
Why would the parties place such restrictions on the debates? Fundamentally, because they are not interested in informing the American electorate. The least amount said, the more uninformative and image-centric the campaign ads and rally photo ops, the better.
Compare that to European campaigns which are shorter and more informative. I'm no big fan of the French government, but have you ever watched the grilling of French presidential candidates by the media? Question, followup, followup, followup ... There is no escaping any issue and providing a full explanation of your position. The same with British campaigns and debates.
Open Debates has offered an alternative to the CPD -- an independent Citizens' Debate Commission. It deserves our support.
As their web site states, "The Citizens' Debate Commission consists of national civic leaders from the left, center and right of the political spectrum who are committed to maximizing voter education. Following in the footsteps of the League of Women Voters, the Citizens' Debate Commission will operate with full transparency, employ challenging formats, include popular independent candidates and sponsor presidential debates that serve the American people first."
Only when competent, average citizens run for office will there be a remote possibility that campaigns and elections will air all of the public's business and all potential solutions. Surely, the party-dominated system and the media won't make it easy. But without the input of Independent citizens, the lesser of evils will continue to be the choice.
As demonstrated by the previously-mentioned southeast Louisiana candidate, Independent nonpartisan voices can bring important ideas to elections. It wasn't easy for him; for instance, many people immediately associated him with the sliminess of the political class. All spare time away from work was devoted to the campaign. The media's resistance and the incumbent's snubs were not easy to take. But nearly 15,000 people voted for him, and who knows how many "disciples" carried his message forward.
To improve our democracy and public policymaking, in general, we must incorporate these Independent voices in the electoral mainstream.
Demand the media cover all candidates.
Require public debates that include all candidates and provide open-ended discussion formats.
Provide for some public funding of campaigns so that those who choose the non-prostitution path can be heard too.
Most people don't know it, but presidential debates are controlled by a commission that claims to be "non-partisan" but, in fact, is the brainchild of the former chairmen of the Republican and Democratic parties (Frank Fahrenkopf and Paul Kirk, respectively).
The mission of this commission, according to its web site is the following: "The Commission on Presidential Debates (CPD) was established in 1987 to ensure that debates, as a permanent part of every general election, provide the best possible information to viewers and listeners. Its primary purpose is to sponsor and produce debates for the United States presidential and vice presidential candidates and to undertake research and educational activities relating to the debates. The organization, which is a nonprofit, nonpartisan corporation, sponsored all the presidential debates in 1988, 1992, 1996, 2000 and 2004."
If it weren't so serious a matter, that mission statement would be the best of jokes.
In 1992, Ross Perot single-handedly carried the issue that has dominated Washington politics since: the budget deficit. Then-candidate Bill Clinton and President George H.W. Bush ignored that issue during those periods when Perot was out of the race. And when he was in, Perot arguably "won" the debates.
But the CPD learned its lesson. As demonstrated by its exclusion of Perot in 1996 and Ralph Nader and others in subsequent elections, the CPD showed that it will never make the mistake again of including in the debates candidates not under their control.
I'm no Ross Perot fan. He often portrayed complex issues in oversimplified illustrations, and some say he demonstrated a true paranoid streak. But he should have been included in the presidential debates because he brought something to the table that the other candidates had to respond to, putting them on record on the issue.
The CPD applies "pre-established objective" criteria to determine who shall be extended invitations. According to the web site: "The goal of the CPD's debates is to afford the members of the public an opportunity to sharpen their views, in a focused debate format, of those candidates from among whom the next President and Vice President will be selected. The purpose of the (selection) criteria is to identify those candidates who have achieved a level of electoral support such that they realistically are considered to be among the principal rivals for the Presidency."
In other words, it's a horserace whose only purpose is to elect someone to the office. According to the CPD, the purpose of the campaign (which the debates are a part of) is:
not to bring a wide swath of issues of interest to the public or
not to inform the electorate of all potential solutions to public policy
but simply to offer the narrow ideologies of the two main candidates.
And who's to say that a non-party candidate, given the opportunity to air different and compelling views, may not achieve that "level of electoral support" required to win the office? It's called a self-fulfilling prophecy. Remember, before he briefly flaked out of the '92 race, Perot had reached levels of polling support above 40 percent.
The media has culpability in this mess too. New outlets have the duty to help inform the public, but they have bought into the horserace mentality. If a candidate is not considered "viable," they largely ignore him no matter the message, no matter the ideas, no matter the solutions. If you can't win (according to someone's calculation), what's the point of bothering the electorate with this superfluous information?
Well, ask Bill Clinton why he made deficit reduction a primary focus of his presidency. Because the outsider, Ross Perot, forced him to put on record his position on the issue.
In 1996, the Los Angeles Times editorialized that Perot should be included in the debates. But, note its reasoning: "In this campaign, as in 1992, Perot plans to spend millions on taped or carefully edited 'infomercials' that allow him to present, unchallenged, his views on the nation's woes and what he would do to cure them. If he does not participate in the debates, live questioning of Perot may be largely limited to appearances with television's Larry King and other deferential questioners."
So it was Perot's "unchallenged" views that required "live questioning"? What about the views of Clinton and Bob Dole? What about juxtaposing Perot's views against those of major party candidates? Or Nader's views ... or whoever ... ?
What are the media and the political establishment afraid of? The lame anecdotes abound about feeble, weird, abrasive, unattractive "lesser" candidates embarrassing themselves in public. Well, let them make fools of themselves. The process will suffer no injury.
Excluding those candidates, though, might well injure our nation because the precise crystalline answer to the most pressing problem of the day may fall from their lips. And nobody will have heard. So what if the electorate more than likely won't elect them. To coin a phrase, "It's the issues, stupid!"
If we are to be a real representative democracy, the trend must be toward including disparate voices. Remember, the concept of Social Security was co-opted by FDR from the Socialists. Adopting a golden nugget out of a quagmire of dysfunctional political philosophy is not faulty public policy. It does not mean the unattractive candidate with one good idea will be elected.
What it does mean is that one good idea will have a better chance of becoming public policy.
It has become painfully obvious that the Democrats and Republicans don't possess all of the answers to society's needs. In fact, their games-playing often and obviously gets in the way of the public's work. Is it any wonder why more and more citizens everyday are joining the growing numbers of unhappy voters moving to the Independent center?
Isn't our political system supposed to be a marketplace of ideas? Why exclude any candidates, any ideas? In the last century, we let more voters into the process.
We live in a complicated world. Each public policy issue has many facets, many competing constitutional rights and powers, and many possible solutions. Political parties have narrow points of view. In order to win elections and therefore control public policy, parties attempt to simplify our complex world -- by limiting debate.
Democracy, by definition, cannot allow the limitation of debate. The term "marketplace of ideas" (often used as a synonym for democracy) clearly projects a capacity for the complex and a resistance to limitation.
Two things happen during elections. Yes, people are elected to office, but beforehand, campaigns occur in which the voting public is supposed to be enlightened. The latter is the subject of this post. [NOTE: The following arguments can be applied to legislative debate under party control, but the problem manifests itself better during election seasons.]
Throughout the 20th Century, the trend in U.S. electoral politics was toward greater inclusion. Voting rights for blacks, women and younger citizens; party primaries, to a degree, replacing backroom nominations. In both cases, the general electorate benefited.
But one critical role has remained largely out of the reach of the average citizen: shaping the direction and scope of campaign issues. Why? Because the door to candidacy is barely open to challengers from outside the parties, and more importantly, the door is firmly shut for non-party candidates to have a reasonable chance of being heard.
The preceding five paragraphs cover a lot of ground, so I'll break them into separate topics in coming posts. The question might be asked though: What has been the tangible harm brought by narrowing and limiting the electoral conversation?
I'll cover this in coming posts in greater detail, but for now, one stunning example will suffice:
15 years before Hurricane Katrina, an Independent candidate for U.S. Representative spent 10 months wearing out shoe leather trying to get the attention of the southeast Louisiana electorate. His main issue? A focus on rebuilding the wetlands south and east of New Orleans as a buffer from hurricane storm surge.
The supporting science had been around for decades, but no "viable" candidates (read: Democrat or Republican) had ever championed the issue in previous campaigns. You see, in south Louisiana, both parties are owned by the oil and gas industry and the short-sighted special interest group du jour (oyster fisherman, etc.); so no genuine solution, like freshwater diversion, was ever offered.
How many people died during Katrina or its immediate aftermath? How many people were (still are) displaced from their homes? How many billions of dollars in damage?
Harm? Yes, it can all be brought to the doorstep of the two-party system.
Thursday, March 29, 2007
de Tocqueville noted, "... men can never live in society without embarking in some common undertakings ..." But he also wrote:
"[Americans] are less reluctant, however, to join political associations, which appear to them to be without danger because they risk no money in them. But they cannot belong to these associations for any length of time without finding out how order is maintained among a large number of men and by what contrivance they are made to advance, harmoniously and methodically, to the same object." (my emphasis)
The purpose of this web site is not to suggest the abolition of political parties. As de Tocqueville (and the Founders) observed, people will always tend to associate for "some common undertakings." This is natural and important to any form of democracy. It is ensconced in the concept of the people being able to petition their government for redress of grievances. When they speak with a collective, loud voice, they can be heard.
But as de Tocqueville asserted, members of an association of enough size to be heard should take note of the apparent necessity that "order [be] maintained." In other words, leaders begin to control the direction and message of the association; otherwise, it is argued, mayhem will ensue. So soon, a member of the association finds himself between the proverbial rock and hard place, because in leaving the association, he loses power; in staying, he loses control of his message.
Additionally, the association member must decide whether he wishes to dirty his hands in the "contrivance[s]" parties engage in "to advance, harmoniously and methodically, to the same object."
Which all leads us back to Madison and the Federalist #10 arguments for controlling factions. Yes, they are natural. And yes, they will lead to contrivances for getting their way in public policy. But, should they be allowed to control elections and government function? No.
Association is guaranteed by the constitution. But nowhere in that document or any other from the Founders can it be found any suggestion that those associations be allowed to control our government. In fact, an honest reading of the Founders clearly notes that those associations should be maintained at arm's length from the reigns of power.
Wednesday, March 28, 2007
In the first week of November, 1999, (there are more recent examples, I just found this one in my database of party slime) ... Speaker of the House Dennis Hastert named 12 Republicans to a House-Senate conference committee for a health care industry bill. Of the 12 appointees, 10 had voted against the House bill, which was passed against the orders of Hastert and the Republican leadership. One of the remaining two didn't vote on the measure at all.
So of the members sent to conference to supposedly "defend" the House bill (a stronger version than the Senate one), only one Hastert appointee voted for the bill and that did not include either of the bill's authors.
You see, 68 Republicans (only about 30% of the majority party's members) joined with almost all Democrats to pass the House bill. Hastert denies punishment was a part of his actions. But note that soon thereafter, his henchman, Tom DeLay, announced a new leadership policy: If a majority of the majority was not in favor of a bill, it would no longer make it to the floor for a vote.
"In free governments, the rulers are the servants and the people their superiors and sovereigns. For the former, therefore, to return among the latter is not to degrade but to promote them."And I might add, for the latter to aspire to be among the former is the call of ordinary citizenship.Run for office ... as an Independent.The rest of you ... vote for them!Magically, representation will ensue.
Wednesday, March 21, 2007
Continuing with Madison's essay, he now tells us that, since "neither moral nor religious motives can be relied on as an adequate control" for faction, governmental structure must be relied upon to solve the problem.
And the structure he recommends? A republican form of government (elected representatives), a large country that would provide wide-ranging views on issues, and properly-sized districts from which representatives are elected. This structure, he argues, would refine and enlarge "the public views" of the nation and pass "them through the medium of a chosen body of citizens ... whose wisdom may best discern the true interest of their country, and whose patriotism and love of justice will be least likely to sacrifice it to temporary or partial considerations."
"Extend the sphere," "a greater variety of parties (factional groups) and interests," "less probable that a majority … will … invade the rights of other citizens," "more difficult for (that majority) … to discover their own strength, and to act in unison with each other" … as Madison's argument takes full strength, you can see that these are not statements in support of any coagulation of individuals.
Communication between representatives would be checked by a natural distrust of the motivations of the other representatives. This is not a bad thing; the Founders were studiously suspicious of human nature and they saw this as the way that self-interested representation would work. The belief here is clearly that individuals, by virtue of the government's structure, would be forced to compromise with other individuals for the public good.
The remedy for the problem of faction, then, is a special kind and size of republican government, one whose focus is self-interested individuals who represent as best they can the constituents of their districts, but find it "more difficult … to discover their own (collective) strength(s), and to act in unison with … other(s)."
As it oozed into the available crevases between the Founders' words, the modern political party eventually proved to be a successful effort to circumvent Madison’s remedy for faction. Party creates artificial lines of communication between individuals elected by separate electorates; it makes it easier for groups of these individual representatives to "discover their own strengths" and "to act in unison," both activities Madison found distasteful.
There is an argument that modern parties are amalgams of disparate factions that themselves smooth the edges off factionalism. Madison did not address that argument because modern parties did not exist at the time. But a reasonable review of history and current events proves the argument to be a red herring.
Modern political parties have a life of their own, so to speak, apart from the separate factions that comprise them. In that vein, parties act like singular factions, often with the voice of a controlling majority of party faithful that do comprise a single faction, and act singularly for the expressed benefit and furtherance of the party.
Time and again, representatives who should (according to Madison) be representing the constituencies of their districts, act solely in the interest of their party. Orchestrated non-votes, filibusters, shared bully pulpit language, committee pecking order games, … all of these are stupendous wastes of the public’s time and money, all in the interest of party.
The argument is also made that furtherance of the power of a party is, in fact, in the interest of the comprising factions. Precisely! Only ideologically-narrow factions believe that their interests match those of the general public. Madison argued 180 degrees opposite – that the interests of a faction were not equivalent to the public good.
Inspect the common activities of modern parties, and you clearly see the successors of the hated factions of Madison’s day. To ignore that "the public good is disregarded in the conflicts of rival parties" is to ignore historical fact.
Madison did not argue explicitly against modern parties; but he clearly argued against the kinds of activities they engage in.
I'm watching C-Span2 and here are Sens. Jim Bunning (R-KY) and Judd Gregg (R-NH) offering an amendment to the upcoming federal budget. What's the amendment about? Setting aside the annual incoming surplus in the Social Security "trust fund" so that it is dedicated to paying future SS benefits -- a laudable concept.
What's the issue, you ask? Well, arguing against the two Republican senators is Sen. Kent Conrad (D-ND), who offered the same amendment a few years ago when he was in the minority. Now that the Democrats run the show, they aren't inclined to handcuff themselves in budgetary matters. And now that they are in the minority, the Republicans are very interested in handcuffing the other side.
This is the height of absurdity and partisanship. If an idea is a good one and at different times has attracted a majority of senators on both sides of the aisle, then ... well, it's a good idea! It is a fact (both Dems and Repubs agree on this) that in 2017, the SS receipts will go into deficit, and around 2040, the "trust fund" will run out of money it has collected over the decades it has been around.
So even though everybody in Washington, D.C., knows the train wreck will happen, the will is not there to fix the problem -- that is, unless the orator is in the minority and willing to be an irritant to the majority in power.
Clearly, the only reason the issue is ever raised is for partisan purposes. This is the government we deserve if we do not wrest control back from the parties.
Madison continues by defining faction ("a majority or a minority of the whole" united by "some common impulse ... or interest" that is adverse "to the rights of other citizens, or to the permanent and aggregate interests of the community."). Throughout this essay and in other writings by the Founders on this issue, it is clear what they had in mind: public servants who would legislate, administer, and adjudicate only what was in the best interests of the community as a whole.
Factions, by definition, are incapable of providing that.
Madison then lays the foundation for the rest of the essay, that is a discussion of the "two methods of curing the mischiefs of faction": "removing its causes" and "controlling its effects."
He quickly discounts the first method because that would require either ending liberty, as discussed in my previous post, or performing an impossibility: "giving to every citizen the same opinions, the same passions, and the same interests." The former is a non-starter because liberty was at the core of what the Founders were trying to create. The latter is impossible because of the natural divisions in society caused by "various and interfering interests" such as:
"diversity in the faculties of men, from which the rights of property originate"
"the possession of different degrees and kinds of property"
"the influence of these on the sentiments and views of the respective proprietors"
"zeal for different opinions concerning religion, concerning government, and many other points"
"attachment to different leaders ambitiously contending for pre-eminence and power" who have "divided mankind into parties, inflamed them with mutual animosity, and rendered them much more disposed to vex and oppress each other than to co-operate for their common good"
some who are "creditors" and some "debtors," some representing "landed interest, a manufacturing interest, a mercantile interest, a money interest ..."
Another phrase often misquoted in this section of the essay is: "The latent causes of faction are thus sown in the nature of man ..." Again, this is not an endorsement of faction or resignation to its inevitability; only an acknowledgement of nature. The focus of this essay is to provide methodologies for controlling faction as best government can while leaving liberty untouched.
Finally, the last widely misquoted line involves the following sentence: "The regulation of these various and interfering interests forms the principal task of modern legislation, and involves the spirit of party and faction in the necessary and ordinary operations of the government." Many proponents of party misstate this by concentrating on the second half of the sentence all the while the first half clearly notes that "regulation" of the causes of faction is the "principal task of modern legislation." Not cooperation with faction, not collusion with faction, but "regulation."
Madison then recognizes that no person can be "allowed to be a judge in his own cause," meaning that everyone will naturally serve their own purposes or, in the case of elected representatives, they should represent their constituents' interests. And a group of like-minded legislators ("the most powerful faction") not only must be "themselves the judges," but also "must be expected to prevail." In no way is this an endorsement of faction-function government (that kind of endorsement would not fit with the critique of faction in the previous paragraphs).It is simply a recognition of the realities of majority-rule assemblies. The prime focus of this essay is resolution of the problem of how "to break and control the violence of faction," not facilitate it.
What governmental structure can by its very nature "break and control" faction? We'll discuss this next as Madison gets into the concepts of a large republic with an appropriate number of representatives all representing their constituents coming together and deliberating for the good of the nation.
Tuesday, March 20, 2007
Many proponents of party attempt to give historical credibility to their position by bringing into play the words of the Founders themselves. Given their well-documented fear of and disgust with the concept of faction, the misquoting of the Founders in this way is a true outrage. A good starting point and one that is constantly misquoted is Madison's Federalist Paper #10.
In paragraph five, Madison writes, "Liberty is to faction what air is to fire..." This is undoubtedly the most misrepresented quote by the author, suggesting that the author favored faction or at worse he felt that it was inevitable since the only way to constitutionally extinguish it was to eliminate liberty. In that limited passage, Madison correctly pointed out that the cure (eliminating liberty) would be worse than the illness (faction).
But Federalist #10 is a long, verbose, and complex document, and the last thing an honest reading of it would unearth is an endorsement of faction or party ... or even resignation to its inevitability.
Madison begins #10 with a clear premise, that a "well-constructed Union" would tend "to break and control the violence of faction." That in establishing a government intended to satisfy the general welfare, "a proper cure for" faction was necessary; otherwise the result would be "mortal diseases under which popular governments have everywhere perished."
Another common misrepresentation of Madison's meaning here is that the Founders were against the "violence of faction," as represented by the likes of, say, Shays's Rebellion. You know, physical violence. But that is not the true meaning of Madison's words, as he clearly applies a very unconfined, nonphysical definition of the word later: "instability, injustice, and confusion ... in public councils" and "clog(ging) the administration."
Next, Madison points out that previous "American constitutions" (federal and state), although improving on popular government models, had not completely prevented the occurrence of faction. Complaints were widespread that "the public good is disregarded in the conflicts of rival parties."
[The term "parties" is meant to be equivalent to factions. It is ironic that the Founders used these terms interchangeably because within a generation actual political parties formed despite continued demonization of the concept by aging or recently-deceased Founders. It should also be noted that party organizations were eventually (1830s) formed not because they were thought by politicos of the day to be intrinsically good, but simply because they were not illegal and served the purposes of the leaders.]
Madison's final put-down of parties again refers to their influence on public bodies: "measures are too often decided, not according to the rules of justice and the rights of the minor party, but by the superior force of an interested and overbearing majority." To use Madison's words, the two major parties today clearly form a "superior force of an interested and overbearing majority" which refuses to do "the public good."
There is nothing in these opening sentences of #10 that suggests Madison thought faction had any redeeming qualities whatsoever. Granted, there is no mention of anything resembling modern day political parties; if their writings are to be taken as insight into their thinking, the Founders frankly never foresaw them. But the crossover from recognizably insidious faction to the workings of modern political parties is easy, and I believe, if given the chance today, the Founders would write powerfully and eloquently against the character and mechanics of the two major parties.
Just watched a program on KOCE-TV (Inside OC with Rick Reiff). Reiff interviewed a partisan named Michael Schroeder who said he tried to convince the California Republican Party to retract its endorsement of Gov. Arnold Schwarzenegger. Asked why, he said, "He (Schwarzenegger) veers wildly from the far left to the far right." Reiff asked, "Doesn't that make him a moderate?" Schroeder responded, "That doesn't make him moderate; it just makes him erratic."
In the partisan's mind, anything that deviates from the party line is unacceptable. That means, to the partisan, that there are only two visions -- black and white -- despite the complexity of our world. Quite often in general elections, you hear the candidates mouth this view as they move further away from each other to "give voters a clear choice." No wonder so many people retreat from participating in politics.
If you believe, for instance, 1) keeping abortion legal but trying to reduce abortions to zero in every way possible, 2) the Iraq War was justified and the only mistake made was the low-balling of how difficult the effort would be, 3) gun ownership should be protected but reasonable limits are OK, 4) electricity should be provided by government alone because a marketplace for it is impossible to adequately regulate, and so on ... there is no party for you.
And according to Michael Schroeder, you're some kind of nitwit without a rudder.
Monday, March 19, 2007
Time magazine once had a cover about the supposed Red vs. Blue divide in the United States population.
This is a lie.
Our politicians are polarized, and so is the media -- who can't escape the civics class brainwash that political parties have always been around and who meekly follow in the footsteps of the political class toward polar extremes.
But make no mistake -- the populace is not polarized.
I ran for public office some 17 years ago, went door-to-door for 10 months, put holes in two pairs of shoes, and talked to a lot of folks over the span of a large congressional district. Survey after survey supports the views I developed about the populace, which is pretty much divided as follows: 20% conservative, 20% liberal, and 60% moderate. [Moderate defined: mostly a mixture of conservative views on some issues, liberal views on others, and moderate views on some others.] Unfortunately, the populace thinks they only have the two major parties to apply their political philosophies when it comes to elections.
The Founders would disagree. In our nation's colonial period and for its first 40 or so years as a nation, there were no formal parties. Why? Because the Founders knew that party candidates, by their nature, would do and say anything to get elected. Ever since the Martin Van Buren presidency, when formal parties began, politicians have attempted to polarize the electorate.
The end result, for instance, is Bush/Cheney outrageously saying that terrorists will be more likely to strike if Kerry is elected and Kerry and Co. calling the President a liar at every turn.
This is where we have come, and the Founders would have predicted it. Some say when you vote for the man, you get the party. That on the face of it would have been ridiculous to the Founders. A couple of examples: Jim Jeffords and a U.S. Representative from Louisiana named Alexander. Both changed parties after having been elected, Jeffords from Republican to Independent and Alexander from Democrat to Republican. Did either man change their stances on ANY issue? No. Did the voters who elected them the previous election vote for their party or for their stance on the issues of the day? If it is the former, then that is an indictment of our current system of "representation."
A representative should be an advocate for 1) his constituents and 2) his country. Where in the Constitution is there any mention of allegiance to party?
The political parties, through their disciplining tools, have warped representation in this country. Discipline comes in many forms, including: committee assignments, placement of bills in the legislative pipeline, leadership PAC money, and threats of primary opposition.
Can this be fixed? You bet. Can any current politician fix it? Absolutely not.
For starters, we must implement open primaries (like Louisiana) in every state, so that we can push the parties back from controlling our elections. Next, we need to encourage competent, average citizens to run as Independents for all offices, and then we 60% of moderates need to elect them to office. Once there, they can use their new-found power to deconstruct the gerrymandering system of creating safe (safe for partycrats) districts.
Next, there should be real, mandated, public debates that require the incumbent to meet his challengers, with all issues being answered. Elections are for electing people to office, yes; but first there must be an open conversation for the benefit of the voters.
Finally, we need to remove from government all vestiges of partisan politics: no free caucus rooms (if partycrats want to caucus, they should do it across the street on their own dime), no separate committee staff for Dems and Repubs, committee assignments are to be done like the 1st Congress did it (sort of a voting process). Think of all of the tax dollars we'd save by removing all of the party-based overhead to the Legislative and Executive branches of government.
Remember Anita Hill? I'll never forget when she testified before Congress, she said that one of her jobs was to be Clarence Thomas's "political eyes and ears" at the EEOC. For what purpose does the head of EEOC need any "political eyes and ears"?!
The faster we reduce (and ultimately remove) the effects of party from our elections and government, the more democratic our institutions will be. And the polarization will magically disappear.
Sunday, March 18, 2007
In June 2000, the U.S. Supreme Court (a more political institution than it will admit) struck down California's Proposition 198, which was the effort by Californians to moderate their choice of candidates and wrest control of their elections back from the partisan political class.
Even if one grants the court the benefit of the doubt in its strict reading of choice and party primaries, it still missed a critical point. The court called the selection of party nominees "internal processes."
"[T]he process by which political parties select their nominees," the majority wrote, "are not wholly public affairs that States may regulate freely."
In so ruling, the court neglected the fact that party primaries are the first steps in a larger process by which the electorate chooses its representatives, a process that is a wholly public affair.
Partisans, by simple virtue of having legislated the process, have co-opted arguably the most important segment of that wholly public affair, the segment in which the most choices are presented on the ballot.
Primaries must be abolished. That would be a first step toward making government more representative.
I get a lot of grief from party proponents when I make this analogy, but I believe it clarifies this issue. If the two major parties were the Nazi and Stalinist parties, would you feel comfortable voting for either party's "Chosen One," candidates that came out of each party's "internal processes"?
Primaries have usurped a fundamental piece of the process by which Americans choose their representatives. Does this bother you? Open primaries like the one in Louisiana are the answer ...
"The framers of the U.S. CONSTITUTION had hoped to avoid the factionalism of political parties and wrote no role for them into the Constitution. Nevertheless, party divisions began during the administration of the first president, George Washington. The Federalists coalesced around John Adams and the Democratic-Republicans around Thomas Jefferson. The Jeffersonians became the Democratic party, and the Federalists were succeeded by the National Republicans in the 1820s and then by the Whig in the 1830s. The Whigs, in turn, were replaced by the Republican Party in the 1850s. Since then, the Democratic and the Republican party have been the two major parties."
If you hold the writers of this piece to tight grammatical standards, the comma in the fourth sentence is critical to their error. Grammatically-speaking, "The Jeffersonians became the Democratic party" is not connected to the phrase "in the 1820s" as is the clause "and the Federalists were succeeded by the National Republicans." Therefore, this text suggests that only the Federalists coalesced into a party in the 1820s, where actually both parties did not exist until Martin Van Buren's presidency. Yes, the "Federalists," a philosophical movement, "coalesced around John Adams" and "the Democratic-Republicans," another philosophical movement, coalesced "around Thomas Jefferson."
But these movements were just that -- movements. And the Founders actually despised the concept of being held to some common belief system, much less the discipline of a party that would hold them to that system.
And by the way, the reason the Founders, "wrote no role for them (parties) into the Constitution" was they didn't want there to be role a for them. They knew they couldn't stop them (except by the sheer weight of their personalities in the body politic) because, as Madison wrote in Federalist #10, extinguishing them constitutionally would be extinguishing free speech and assembly. But what is often misrepresented as their tacit approval of parties is simply their acknowledgement that, under this constitution, parties would be inclined to emerge, persist, and try to grab power. They disapproved of these eventualities and spoke vigorously against them.
" ... we should be unfaithful to ourselves if we should ever lose sight of the danger to our liberties if anything partial or extraneous should infect the purity of our free, fair, virtuous, and independent elections. If an election is to be determined by a majority of a single vote, and that can be procured by a party through artifice or corruption, the Government may be the choice of a party for its own ends, not of the nation for the national good."
Translation: If we allow parties to control our elections, we are doomed ...
Fred Barnes, the conservative pundit on the cable show The Beltway Boys, on 11/12/06: "Moderates are followers.” Unfortunately, there is a kernel of truth to what he said. Not so much that moderates "follow," but more that they have given up on their government ever representing them -- so they "leave" the system.
It is time to lead ...
Otherwise, (like in admittedly more egregious scenarios -- Nazi Germany, Pol Pot Cambodia, Stalinist Russia), the radicalized, vocal minority will fill the power vacuum. Just because Democrats and Republicans are not as bad as, say, Nazis does not change the fact that they represent minorities of the electorate and because of the electoral system they have put in place, one minority or the other determines policy.
It is time for independents to run for office and for the rest of us to elect them. The governing minorities are taunting us. A bit like the bully, who because the overwhelming numbers of good kids don't do anything about him, continues to control the school yard.
Washington, in his farewell address to the nation, said, “…the common and continual mischiefs of the spirit of party are sufficient to make it the interest and duty of a wise people to discourage and restrain it. (Party) serves always to distract the Public Councils, and enfeeble the Public Administration.”
“All … combinations and associations … with the real design to direct, control, counteract, or awe the regular deliberation and action of the constituted authorities, are … of fatal tendency. They serve to organize faction, to give it an artificial and extraordinary force; to put, in the place of the delegated will of the nation, the will of a party, often a small but artful and enterprising minority of the community; and, according to the alternate triumphs of different parties, to make the public administration the mirror of the ill-concerted and incongruous projects of faction, rather than the organ of consistent and wholesome plans digested by common counsels, and modified by mutual interests.”
The American populace is largely moderate and increasingly it is registering non-partisan (a very good thing) or receding from the political world (not a good thing at all). According to a CNN poll at the end of the 2004 presidential campaign, “Nearly half of all respondents -- 47 percent -- said Kerry's political views are too liberal. Four in 10 said Bush is too conservative.”
The book Culture War exposes the fact that the only red/blue divide in the U.S. is in the political class, not in the general electorate. Wattenberg demonstrates in The Rise of Candidate-Centered Politics that straight-ticket voting has declined drastically since early last century and the number of citizens who self-identify as Democrat or Republican has fallen 11 percent since 1952. In 1988, independent voters outnumbered any other sector of the electorate.
Does our electoral system satisfy the needs of these realities? Hardly. The party demagogues hold on to the process to protect their main interest: maintenance of party control.
There are those who argue against my position on party by saying that their representative (a member of a party) does not “toe the party line on every issue.” Sure, but the national party structure has taken on an organic function that its proponents claim is democracy in action – that is, within the party, a majority controls the direction of all of its members. Yes, this is democratic, but it is a second-level filtration of democracy.
The electorate, given the choices, is forced into one of two groups and within one of those groups, a majority controls policy. Think about that … about 25 to 30 percent of the representatives control all of policymaking. Is that really democratic? If the same set of representatives were free to express the wishes of their constituents on each individual issue – with no party discipline or control hanging over their heads – wouldn’t that be a truer measure of democracy?
In other words, an individual Democratic or Republican member of Congress can claim to be “independent” (one often hears this claim during election season), but functionally, when those members get to backrooms on the Hill, they discover that other members control the direction of positions taken by their club. Any deviations (with the rare allowed exception) are kicked to the back burner because, of course, if you are in the majority party, your view is a minority opinion and if you are in the minority party, of course, the way to displace the majority is to assimilate into a group that does everything and anything in the political handbook to besmirch members in the majority.
It becomes a game literally for the benefit of party (either one). Nowhere in sight is the representative democracy that the Founders envisioned – the slow coalition building on each issue, coalitions that reformed when the next issue arose.
Throughout the following comments, consider Congress as the environment being described. But these problems can easily be ascribed to state assemblies, etc.
No matter which party corrals a working majority, Americans consistently fail to get respectable and representative government one election after another. The result: zigzag elections as one set of bums is kicked out in hopes that the other set will correct the incumbents’ excesses – this happens until the correction becomes unbearably out-of-whack with the public’s wishes.
Abuses of power occur quickly as the excitations of electoral victory unleash the most strident elements in the winning camp. Does a 51-49 majority in a legislative body constitute a “mandate” for sweeping and uncompromising change? You hear it all the time from the political class, and always in the context of their recent victories, never when the other guys get the majority.
Because the requirement to retain power is institutional and absolute, the majority party corrupts all facets of government operation to attain that end. How many times has Congress voted on a flag-burning amendment – just ahead of elections – when its proponents knew it had no chance of winning? How about gay marriage, gun control or some other divisive issue the partisans use to yank your chain during the upcoming campaign?
Your representative – the one citizens in your district elected to office to represent you (it doesn’t matter whether you voted for him or her) – is subject to discipline from people you did not elect. Party leaders control committee chairs, making them more powerful than all other members and making your representative beholding to them in all aspects of what would be normal democratic function.
When a representative does ascend to a committee chair, the pressure continues unabated from the party machine. The possibility of being unseated is an overarching concern, as Rep. Joel Hefley of Colorado, chair of the Ethics Committee, found out after he and other Republicans had the temerity to censure Texas Rep. Tom DeLay on three counts of clear abuses of power.
Want a bill that is important to your constituents to see the light of day on the floor of Congress? Better play ball; the same leaders control which bills even get to a vote, not to mention their influence over whether other members will vote for your bill.
Before going on, ponder what I just said: Other people's representatives have more power than yours. Are you OK with that? Is that democratic?
A severe misrepresentation of the concept of checks and balances has currency today: divided government – one party in control of the White House and the other party running at least one house of Congress. That’s not what the Constitution says. The real meaning is that each branch jealously guards its own prerogatives as an institution. The introduction of party has warped that meaning such that when one party controls both the White House and the legislative branch, no oversight of the executive occurs. That’s how we get bad, rubber stamp legislation. How is it that President Bush can claim to sign a bill and at the same time merely give a speech in which he states his intention to circumvent the clear meaning of the legislation? And Congress does nothing – except for the other parties’ mouthpieces who are not really guarding the precious prerogatives of the legislative institution in Article I of the Constitution. Rather, they are preparing for the next election cycle.
Money that you contribute to your representative is often given to other representatives and leadership political action committees to curry favor for chairmanships (see above), fending off primary election foes, and making even more campaign funds by courting more contributors who, while sitting down eating the rubber chicken, get a better seat at the ear of your representative than you do.
Your representative colludes with his or her party to scientifically dissect you and your fellow citizens into districts that resist debate during election cycles. Drawing district lines should be done by nonpartisan (not bipartisan, but nonpartisan) commissions which are barred from using political demographics to determine district boundaries.
The electoral system has been straight-jacketed so that no voices beyond those in the major parties can be heard, that small minorities of the populace decide the general election slate, and that nominees of parties are guaranteed a slot on the final ballot. The exception is Louisiana’s open primary system in which all candidates run against each other on the first ballot that is essentially the general election (if one candidate garners more than 50 percent, the election is done). The Louisiana system should be universally implemented ... as a fundamental starting point in surgically removing party from our goverment.
Let's start with a few points about the harm that political parties inflict on our government.
1. It should be a basic foundation of a representative democracy such as ours that the voters of a given district have the right to elect whoever they wish.
If it were not for Connecticut's unique statutes that allowed Joe Lieberman to run as an independent candidate in the general election after having lost the Democratic primary, though, the people of that state would have been denied the right to elect the candidate of their choice. Lieberman played by the rules and ran against Lamont and lost in the primary. Then, those who support party (I call them partycrats) told Joe to sit out the general election because it was the "honorable" thing to do.
But what about the people of Connecticut? They, not JUST the Democrats in that state, should determine who their senator is to be, right?
The party primary system is the most UN-democratic feature of our current government function.
There are many other examples ... in other states that don't provide the flexibility Joe had. For instance, Dick Riordan should have been elected governor of California four years ago. In all polling, he was by far the favored candidate among ALL Californians. But he was too moderate for the far-right conservatives who typically vote in Republican primaries, and he lost to Bill Simon. Simon, who of course was way too right-wing for the California electorate, lost easily to the "pay-to-play" corrupt Gray Davis ... and in less than a year, the people of the state recalled him and put in Schwarzenegger. Why couldn't the people have the moderate Republican they wanted in the first place?
2. Much of what passes as legislative effort in Congress is positioning for the next election ... either for discrediting members of the opposite party or improving the chances of members of one's own party. This is true on every issue, including war and peace. This is an abomination, not to mention a huge waste of time and loads of YOUR tax money.
... there were no political parties. Very few people know this. There were two political philosophies that dominated the early years of United States government, but the brilliant men who held either Federalist or Anti-Federalist views would literally spin in their graves if they could see how modern parties have corrupted their vision.
As this blog goes forward, I will post the kind of incontrovertible evidence that proves this premise. There may be those who suggest, "So what? What's the big deal? So we've invented something the Founders didn't think of; so what's the harm?" I'll address that as we go forward.
Stick with me. Like one local talk show host says, "We have a country to save."
Thomas Jefferson
I never submitted the whole system of my opinions to the creed of any party of men … where I was capable of thinking for myself. Such an addiction is the last degradation of a free and moral agent. If I could not go to Heaven but with a party, I would not go there at all.
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It’s “Christmas In Lake Crystal” this Saturday. Chamber of Commerce Executive Director Julie Reed says the day starts with a huge craft fair and silent auction at the Lake Crystal Area Recreation Center. Christmas In …
The New Ulm City Council reviewed the city’s preliminary budget and tax levy for 2014 on Tuesday, and allocated additional funds for several items, including a fireworks display for a fall festival. The proposed property …
The Minnesota Department of Agriculture is making $1-million in grant funding available to livestock producers for on-farm improvements that help them stay competitive. The 237 Livestock Investment Grant recipients to date have invested an estimated …
The New Ulm City Council is holding a Truth in Taxation hearing this (TUE) evening at six, following the regularly-scheduled city council meeting at five. The proposed property tax levy for New Ulm for 2014 …
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It’s Winthrop Day today (THU) on KNUJ as our 2014 Town Days Tour continues. Mike Lemmer is broadcasting from Eagle’s Landing in Winthrop this afternoon as we celebrate the community. Mike’s guests will include Winthrop …
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Produced by Al Haines
[Transcriber's note: italicized text is indicated with _underscores_;
bolded text with +plus signs+.]
[Frontispiece: THE LATE CHRISTOPHER WILSON]
SHAKESPEARE AND MUSIC
BY
CHRISTOPHER WILSON
LONDON
"THE STAGE" OFFICE
16 YORK STREET, COVENT GARDEN, W.C. 2
1922
{v}
CONTENTS
PAGE
CHRISTOPHER WILSON: A MEMOIR . . . . . . . . . . . . . . vii
INTRODUCTORY . . . . . . . . . . . . . . . . . . . . . . xi
ANTONY AND CLEOPATRA . . . . . . . . . . . . . . . . . . 1
AS YOU LIKE IT . . . . . . . . . . . . . . . . . . . . . 7
THE COMEDY OF ERRORS . . . . . . . . . . . . . . . . . . 10
CORIOLANUS . . . . . . . . . . . . . . . . . . . . . . . 14
CYMBELINE . . . . . . . . . . . . . . . . . . . . . . . 17
HAMLET . . . . . . . . . . . . . . . . . . . . . . . . . 21
KING HENRY IV. . . . . . . . . . . . . . . . . . . . . . 40
HENRY VIII. . . . . . . . . . . . . . . . . . . . . . . 42
JULIUS CAESAR . . . . . . . . . . . . . . . . . . . . . 47
KING LEAR . . . . . . . . . . . . . . . . . . . . . . . 50
MACBETH . . . . . . . . . . . . . . . . . . . . . . . . 54
MEASURE FOR MEASURE . . . . . . . . . . . . . . . . . . 67
THE MERCHANT OF VENICE . . . . . . . . . . . . . . . . . 74
THE MERRY WIVES OF WINDSOR . . . . . . . . . . . . . . . 80
A MIDSUMMER NIGHT'S DREAM . . . . . . . . . . . . . . . 88
MUCH ADO ABOUT NOTHING . . . . . . . . . . . . . . . . . 98
OTHELLO . . . . . . . . . . . . . . . . . . . . . . . . 106
KING RICHARD III. . . . . . . . . . . . . . . . . . . . 115
ROMEO AND JULIET . . . . . . . . . . . . . . . . . . . . 118
THE TAMING OF THE SHREW . . . . . . . . . . . . . . . . 130
THE TEMPEST . . . . . . . . . . . . . . . . . . . . . . 134
TIMON OF ATHENS . . . . . . . . . . . . . . . . . . . . 148
TWELFTH NIGHT . . . . . . . . . . . . . . . . . . . . . 150
THE TWO GENTLEMEN OF VERONA . . . . . . . . . . . . . . 158
THE WINTER'S TALE . . . . . . . . . . . . . . . . . . . 161
SHAKESPEARE'S SONGS . . . . . . . . . . . . . . . . . . 164
INDEX . . . . . . . . . . . . . . . . . . . . . . . . . 167
{vii}
CHRISTOPHER WILSON
A MEMOIR
(Reprinted, by kind permission of the Editor, from _The Musical Times_
of April 1, 1919)
When Christopher Wilson published his master-song, "Come away, Death,"
in 1901, _The Times_ said of it that it was "all that such a song
should be--fantastic, yet deeply pathetic, _and as musicianly as a work
by a Mendelssohn scholar ought to be_." The words italicised remain
true of all that this gifted composer left us; and the pity of it is
that for various reasons, some of which will appear in the present
notice, so little of his work has been printed.
"Chris" Wilson, as he was known to hosts of friends in Bohemian
circles, was born at Melbourne, in Derbyshire, on October 7, 1874. He
came of musical stock on both sides. Many stories, based on undoubted
fact, are current as to the boy's proficiency on the pianoforte, even
before he reached his teens; and while at Derby School, where his
headmaster was J. R. Sterndale Bennett, a son of the composer, he
played for the eleven--a somewhat rare combination of talents. There
was never a doubt as to young Christopher's future calling; and his
brilliant career at the Academy more than fulfilled his early promise.
He carried off no fewer than three bronze and three silver medals, and
was at the end of his third year awarded three certificates: for the
pianoforte, harmony, and sight-singing. He also gained the Agnes
Zimmermann Prize. Wilson received every encouragement from the
Principal, Sir Alexander Mackenzie, while his professors for harmony
and {viii} composition, pianoforte, and viola (his second subject) were
Mr Frank Davenport (his uncle), Mr Oscar Beringer, and Mr Walenn,
respectively. No one was surprised when he capped all his previous
successes by carrying off the Mendelssohn Scholarship in 1895. He went
abroad--as winners of the British Prix de Rome usually do--and studied
under Wuellner at Cologne, von Herzogenberg at Berlin, and Widor at
Paris. His gifts were appreciated by his foreign teachers as they had
been at home. The beautiful Suite for strings (since, 1901, published
by Schott) was performed at Cologne at one of the principal concerts--a
compliment that had been paid to only one young Englishman before him,
Arthur Sullivan. Moreover, he was selected by Wuellner to "coach" a
tenor at the Opera in the part of Tristan--no small distinction. There
can be no question that Wilson brought back to England one great
asset[1]: he had heard all the great operas over and over again, and it
was as a composer and conductor for the theatre that he was destined to
make his mark. His sense of the stage and of atmosphere and his love
for everything relating to the theatre were remarkably keen; so his
success in this sphere was not surprising. His gifts were quickly
recognised by Sir Frank Benson, Mr Oscar Asche, Miss Ellen Terry, Mr
and Mrs Fred Terry, Mr Otho Stuart, Mr Waller, and others; for the two
first named he acted as musical director for well over ten years.
Apart from the numerous Shakespearian productions for which he wrote
the music, his most striking successes were obtained in _Kismet, The
Pied Piper of Hamelin_, and the Greek plays. In these latter he made
no more use of the ancient modes than Mendelssohn had done; but the
result was highly effective and true to atmosphere. {ix} Opinions are
bound to differ as to the comparative merit of the music written for
the Shakespeare plays: on the whole, perhaps, _King Lear, Richard II.,
Antony and Cleopatra, Much Ado about Nothing, The Merchant of Venice_,
and _Measure for Measure_ mark his highest level of achievement.
Wilson was, of course, acquainted with all the traditional music, of
which he availed himself whenever he considered it suitable; the
numerous gaps he filled in with unerring taste and skill. Future
searchers in the British Museum Catalogue may consider his output
relatively small, in spite of the fact that he died in his forty-fifth
year. But it should be remembered that incidental music of this kind,
apart from the lyrics, mostly remains in MS. None the less, one may
rest assured that its spirit and traditions will live on, and that much
of it will be handed on by successive conductors for the enjoyment of
future generations.
His published works include, besides those mentioned elsewhere in this
memoir, settings of "On the Ground," "Take, oh take those lips away"
(1906), and a duet, "It was a Lover and his Lass" (1907); "Rest in
Peace" (words by W. Melville, 1900); "If we may not meet" (H. Kendall,
1901); "Roses for my Lady" (Harold Begbie, 1903); "To a Nosegay" (E.
Broad, 1903); "There lived a Singer" (Swinburne, 1903); "When Roses
blush" (E. Lyall Swete, 1904); "I bring thee Roses" (F. Stayton, 1908);
"Ave Maria" for S.A.T.B. (unaccompanied--organ part for rehearsal
only--1910); three Duets and a Song from _Kismet_ (1911); and a
Novelette in D for the piano, (1903). Of the unpublished works, the
most important are the music to a wordless play "Inconstant Pierrot"
(the _scenario_ by Sidney Dark); a second Suite for strings; a Mass; a
Pianoforte Quartet; two String Quartets; two Violin Sonatas; and a
number of lyrics (including several by Shakespeare and a fine setting
of Browning's "Prospice"). He also wrote the music for two pageants.
During the last year of his life, when his health was beginning to
fail, Wilson worked much at the British {x} Museum on a series of
papers for _The Stage_, dealing with Shakespeare and the host of
composers who have set him to music; here his knowledge and experience,
if not unrivalled, were certainly unsurpassed. Of these articles, five
had appeared up to the time of his death: (1) and (2), Introductory and
"A Midsummer Night's Dream" (October 31 and November 7, 1918); (3) and
(4), "Macbeth" (December 5 and December 27, 1918); (5), "Romeo and
Juliet" (February 6, 1919). The last of the series was published
eleven days before the end came suddenly--for "Chris" died of heart
failure in the early morning of February 17. A few hours before he
fell asleep he was asked to write the music for the forthcoming
production by Miss Doris Keane of this same play of _Romeo and
Juliet_--a pathetic coincidence!
Anyone anxious to form some faint idea of "Chris" Wilson's delightful
personality, his kindness to all, his utter selflessness, his childlike
simplicity of nature, and his humour, should read the two articles on
his experiences as a conductor which he contributed to _The Stage_ in
1917. But it is the humbler members of his orchestras who probably
know more of his goodness of heart than even his most intimate friends;
and it is their testimony he would have valued most highly. It should
be added that he was a widely-read man, and possessed a sound knowledge
of art and of architecture.
A fine tribute to his memory was paid him by his brother Savages--among
whom he had spent so many happy hours--on the Saturday night of the
week in which he died, when Mr George Baker sang his "Come away, Death"
with an effect that will never be forgotten by those who were present.
[1] Another natural result of his stay in Germany was that his interest
in the folk-songs of that country was stimulated; and he edited for
Messrs Boosey the volume of "German Folk-Songs" in their Imperial
Edition, the English versions being by his friend Paul England (1909).
Wilson's accompaniments and harmonies to these are models of what such
things should be; and a notable feature of the collection is that it
contains a large proportion of songs that had never been translated
into English.
{xi}
INTRODUCTORY
When I first contemplated writing these articles it seemed to me to be
a very interesting, amusing, and pleasant job indeed. I had seen a
great number of Shakespeare's plays, read some of them, and written or
conducted music for most. All I had to do, I thought, was to jot down
a few notes of what I had heard or read, and out of them make a
readable couple of columns. I began to make the notes, and swiftly it
dawned upon me what an enormous task I had taken on. I found that
nearly every composer, great or small, since Shakespeare's time had
been inspired, directly or indirectly, by our poet. True, Handel
avoided him (I can find no trace of Shakespeare in the opera _Julius
Caesar_), and I don't suppose Bach ever heard of him; but I feel sure
that Beethoven's "Coriolan" Overture owes something to Shakespeare as
well as to von Collin, the direct author of the play. But when the
plays began to be translated and circulated abroad, composers all over
Europe came under his extraordinary influence, and began composing
music to his plays or about characters in them.
No music to the plays by contemporary composers has survived. Most
people associate him with Purcell, Locke, Robert Johnson, Bannister, or
Pelham Humphrey; but all these were born some years after his death,
except Johnson, whose settings of "Where the Bee Sucks" and "Full
Fathom Five" are supposed to be the original; but, as Johnson was only
twelve years old when Shakespeare died, _The Tempest_ must have been
produced without these songs, or Johnson must have been more than
usually {xii} precocious. The _Encyclopaedia Britannica_ definitely
says that Johnson's settings are the original.
There are many theories to account for the singular absence of
contemporary musical settings of Shakespeare's lyrics: a quite possible
one being that he wrote his songs to popular tunes of the day, which
everyone knew and no one troubled to write down and print. Many of our
great revue composers hammer out the tune first and then get some
versifier to write words to it. Anyhow, if one is going to produce
Shakespeare's plays and only use settings composed for the original
productions, one would have very little music; and, as he was always
calling for music, both in his stage directions and from the mouths of
his characters, the performances might please the Stage Society, but
certainly would not have pleased the author.
Musically, there are many ways of producing Shakespeare's plays. One
is the absolutely "correct" method--that is, to play _The Tempest_,
say, with the precocious Johnson's two songs only. Another way, not so
"correct," would be to use the precocious one's two songs, and also use
contemporary music not written originally for the words, but adapted by
the producer. Yet another way is the "broad-minded," and includes any
setting of Shakespeare's words written within a hundred years or so.
This method is still roughly described as Elizabethan, but if you
include yet another hundred years the music is called Shakespearian.
After that you get the Old English Wardour Street variety, and, later
still, the tambourin school. To some people a liberal tambourin part
in two-four time denotes "Old English" music:
[Illustration: fragment of music]
(The same figure on the tambourin with the tinkling bells, is called
"Eastern.")
A quite good method is to use the best of all the written music and
make it into a hotch-potch. This is really a very practical way, and
often gives good results. Finally, {xiii} one takes the whole music
written specially for one play by one composer of any period, and does
it as written, with no addition or alteration: this is an ideal method
very rarely put into practice. Even when commissioning a living
composer, managers try to bring in a favourite number by Arne or Horn,
and, unless the composer is a very strong or a very rich man, his
musical scheme will be broken by some well-known tune not in the least
in the style of the rest of his music.
It is difficult to persuade the average Shakespearian producer that
Shakespeare, Arne, Sir Henry Bishop, and Horn were not great friends
who used to meet daily at the Mermaid Tavern to discuss incidental
music.
CHRISTOPHER WILSON.
{1}
SHAKESPEARE AND MUSIC
ANTONY AND CLEOPATRA
There is a long list of operas under the names _Cleopatre_ and
_Kleopatra_ in Clement et Larousse's _Dictionnaire Lyrique_, and in
Riemann's _Opernhandbuch_, but it is doubtful if a single one of them
can be said to be founded on Shakespeare's _Antony and Cleopatra_.
There seems material in it for hundreds of operas, but no one seems to
have been inspired to write them.
+Sir Henry Bishop+ has certainly written an "Epicedium," or funeral
dirge, for the end of the play, for the production at Covent Garden;
but though no author's name save Shakespeare's appears on the
title-page, I can trace no text of Shakespeare's in this "Epicedium."
It was produced in November 1813, and Grove's _Dictionary of Music and
Musicians_ does not mention it. It was sung at the end of the play,
and is for chorus, orchestra, solo tenor and baritone. The first and
second choruses are laments of the soldiers over Antony's death; then
the solo baritone tells the chorus not to be ashamed of shedding tears,
and the chorus sentimentalise over his bravery and generosity. The
tenor sings of how he (Antony) was deserted by Mars and Neptune, and
tells them to bury the lovers together. The final chorus is quite
cheerful. Everyone seems pleased with the monument that has been
erected, and "the shout of warriors thunders o'er the tomb." It is not
a very dignified production, and I should not have paid much attention
to it but for the fact that so little has been written musical on this
subject that I thought some of my readers might be interested by this
slight and incongruous work.
{2}
+K. H. Graun+ in 1742 composed an overture to this play which is, I
think, the earliest known work on the subject. The only available copy
of the score is in Berlin, and, at the time of writing, rather
difficult to get at. Graun was born in 1701, at Wahrenbrueck, Saxony,
and is one of the few celebrated composers who were famous operatic
singers before they were composers. His oratorio _The Death of Jesus_
takes the same place in Germany as Handel's _Messiah_ does here in
England.
+August Enna+, a Danish composer, wrote an opera founded on
Shakespeare's play, which was produced at the Royal Opera House,
Copenhagen, in 1894; but, with the exception of the overture, none of
it has been performed in London. The overture was played under Sir
Henry Wood by the Queen's Hall Orchestra on July 6, 1912. The opera
was not a success in Copenhagen, in spite of the popularity of the
composer and the natural sympathy he would receive from his
compatriots. The critics said that he was obviously too much under the
double influence of Wagner and Verdi, and, though admiring his
prodigious technique in orchestration, gave him otherwise but faint
praise. Enna was born May 13, 1860. He was largely self-taught; but,
with the help of Niels Gade, won the Ancker Scholarship, a sort of
Danish "Prix de Rome," which enabled him to study in Germany and
acquire a considerable technique--a useful possession for a modern
grand-opera composer.
+Rodolphe Kreutzer+, whose violin exercises have driven thousands of
amateurs nearly to suicide, composed a "Grand Historic Ballet" on
_Antony and Cleopatra_, which was produced in Vienna, but the date is
as uncertain as the work's connection with Shakespeare's play. It
would seem impossible to anyone who has seen or read the play not to
have been influenced by it to a certain extent, and as Kreutzer was
born in 1766 he may have seen or read some translation; but he does not
appear to have gathered {3} the slightest glimmer of the tragedy of
Antony and Cleopatra, and he was content to compose a whole series of
numbers, all equally banal, not one of them suggesting for a single
moment either of the great lovers or the surroundings. The only
redeeming feature of a long and tedious work is that there is no
attempt at Wardour Street Egyptian music.
+Hector Berlioz+ made his third unsuccessful attempt on the Prix de
Rome with a cantata on this subject. Though not founded on a scene or
scenes from Shakespeare's play, it was undoubtedly inspired by the
poet. Berlioz describes the action as follows:--"The subject was,
Cleopatra after Actium; dying in convulsions, she invokes the spirit of
the Pharaohs, demanding, criminal though she be, whether she dare claim
a place beside them in their mighty tombs. It was a magnificent theme,
and I had often pondered over Juliet's 'But if, when I am laid into the
tomb,' which is, at least in terror of approaching death, analogous to
the appeal of the Egyptian Queen." Berlioz himself says: "I think it
deserved the prize." And I am sure it did; but the Grand Prix was not
awarded that year, so that the composer had to wait twelve months
before winning the coveted honour. He afterwards used the music,
unchanged, for that curious but interesting work _Lelio_.
"The Vision of Cleopatra," a "Tragic Poem for Orchestra, Soli, and
Chorus," words by Gerald Cumberland, music by +Havergal Brian+, is
inscribed to the Southport Triennial Festival, who gave it its first
performance. Though not an actual setting of a scene or scenes from
this play, the work owes much to Shakespearian inspiration. For
instance, though Antony and Cleopatra belong to anyone, Iris and
Charmian, who appear in this work, are essentially Shakespeare's
creations. This "Tragic Poem" is scored for a very large orchestra,
and two choruses, one large, the other small. In addition to the usual
full modern orchestra, there are two extra _ad lib._ horn parts, making
six, and four {4} trumpet parts. For the sake of "Oriental colour,"
the percussion list is so unusually heavy that I must quote it:
glockenspiel, tympani, bass drum, side drum, triangle, castanets,
Indian drum, gong, large cymbals, and small cymbals--rather a healthy
lot when they all get going! The work opens with a slave dance,
_allegro con fuoco_, and is marked double _pianissimo_. After a few
introductory bars (twelve), the dance proper begins, still very softly
and in a curious syncopated rhythm. According to the composer's
directions the dance grows "gradually wild and riotous," then comes a
slower passage marked "yearning," followed by a long _stringendo_
passage leading to the climax, "wild and uneven"; this presently dies
away, and Iris and Charmian have a long duet, the chorus occasionally
breaking in, telling how the "Queen is sick for Antony," and how "once
more
Venus and Bacchus meet, and all the world
Stands still to watch the bliss of living gods."
The music here is very difficult; the rhythm changes often, every other
bar, as does the key; the intervals are strangely unexpected, and the
singer can look for no help from the orchestra. A passage marked "In
regal martial style" ushers in the lovers, and we have a long vivid
duet. Cleopatra sings a lengthy mystic solo, which is followed by an
ominous chorus, at the end of which Antony seems to have died, for
Cleopatra sings a very powerful dirge for him:--
Now all is finished, all is done,
My world is dead;
And he whose glory shamed the sun
Lies shamed instead.
These lips that frenzied him with love
Have death bestowed.
The Finale is marked "Marche Funebre," and is a short chorus,
dirge-like in feeling, rounding up the work effectively. It is a very
interesting composition, difficult and most complicated, very restless
and disjointed, to most {5} ears singularly unmelodious and
unsatisfactory, yet, at the same time, full of novel effects, and to
that extent certainly worth study; but I suspect that none of it ever
got on the Southport barrel organs.
Unfortunately, I cannot get hold of +Dr Ethel Smyth's+ overture of this
name, but Mr J. A. Fuller-Maitland, in his _English Music in the
Nineteenth Century_, writes: "Ethel Smyth's genius lies in the
direction of strong and even virile work; her overture 'Antony and
Cleopatra,' given at the Crystal Palace and the London Symphony
concerts, showed that she understood all the resources of the
orchestra, and that she was no amateur." The last six words seem
hardly necessary. The composer has since proved her worth in her two
operas, _The Wreckers_ and _The Boatswain's Mate_.
+Schubert's+ setting of "Come, thou monarch of the vine" is not so
successful as his "Who is Sylvia?" or "Hark, the lark." It is a
straight, robust song, mostly in unison. There is a quite unnecessary
second verse added by one "N. N." Other but not important settings of
these words are by William Linley, 1815, for solo boy and male chorus;
Bishop, 1837, for three male voices; and Weiss, 1863, for bass solo.
+Michael Balling's+ music for Frank Benson's production of _Antony and
Cleopatra_ contains, among other very good music, a baritone song to
these words, with male chorus. Unfortunately, he did not write an
overture or _entr'actes_, but his Caesar and Antony marches are full of
contrasted character, and his "Rose Procession" for the last "Gaudy
Night" is really beautiful. Sir Henry Bishop set these words to a
S.A.T.B. quartet and full chorus, and by repeating each line several
times, and most of the words pretty often, has made quite a long and
uninteresting number out of it.
+Thomas Chilcot+ in 1745 published a setting of these {6} words for a
tenor voice. It is a good florid song, with a running accompaniment
for strings. The composer omits the fifth line of the lyric for some
reason I cannot understand. Surely the poem is very short as it is.
In setting it he certainly seems to have found it so, as he repeats
several sentences. The line he cuts makes rather a good refrain--"Cup
us till the world goes round"--and most composers make their effect
here.
+Miss Frances Allitsen+ has composed for Madame Clara Butt a "Scena";
the text chiefly from Shakespeare, the words of the aria by Thomas S.
Collier. It is supposed to be the death scene of Cleopatra, and the
words are a sad jumble of odd lines taken from here and there. The
music is very pretentious, and obviously not written round Cleopatra,
but round Madame Butt's exceptional voice. The prayer to Isis and
Osiris, with its un-Shakespearian rhymes of "supplication" and
"desolation," would sound quite right with small verbal alterations in
any Methodist chapel. The aria is vocal and to a certain extent
melodious in a "ballad concert" manner, but it is utterly lacking in
dignity. A long recitative follows in which nearly every note has an
accent on it; Cleopatra applies the asp to a _tremolo_ accompaniment,
and finally dies, singing a series of accented high notes, as if the
asp were hurting a good deal; and a few bars of minor chords bring the
work to a close.
{7}
AS YOU LIKE IT
_As You Like It_ has not been dealt with much by musicians, though one
of them, Sir Henry Bishop, has been very hard upon it. The earliest
known opera on the subject is by +Francesco Maria Veracini+. It was
produced under the title of _Rosalinda_ during the composer's visit to
London in 1744. Mr W. Barclay Squire, in his article on Shakespearian
operas, mentions three operas of this name, by Capelli, Ziani, and J.
C. Smith, but adds that they have no connection with Shakespeare's
comedy. +Bishop's+ pasticcio opera on this subject was produced at the
Royal, Covent Garden, in 1819. The overture is a potpourri of
so-called Shakespearian songs, simply harmonised and roughly hung
together. The first number is a duet for Rosalind and Celia, "Whilst
inconstant fortune smiled," words freely adapted from _The Passionate
Pilgrim_. There is nothing much to say about it: it seems quite
innocuous, but very dull. Rosalind's song, which she sings after
having fallen in love with Orlando, is a setting of the 148th Sonnet,
minus the two last lines. It is again quite dull. Celia has a long
and depressing aria in praise of friendship, the words taken from the
123rd Sonnet. After these numbers it is quite refreshing to come
across a cheerful male-voice hunting glee--"Even as the sun" is the
title--the words being taken from _Venus and Adonis_. There are the
usual horn effects, _fortissimo_ chorus effects, and _pianissimo_
echoes, all the old tricks, but put together by a good old hand,
Bishop. Dr Arne's setting of "Under the greenwood tree" follows for
Amiens, and a beautiful setting it is. Touchstone, in this version, is
a tenor (somehow I never fancied him as a tenor), and sings a bright
little {8} song, "Fair was my love," from _The Passionate Pilgrim_.
This is followed by a trio for Rosalind, Celia, and Touchstone,
beginning "Crabbed age and youth," the words again taken from _The
Passionate Pilgrim_ (what a useful poem it is to pasticcio opera
composers!). This trio is a very simple one. The first verse consists
of alternate phrases by the three singers, who then all sing together,
over and over again, the line "For methinks thou stay'st too long." A
welcome relief is Dr Arne's broad, flowing setting of "Blow, blow, thou
winter wind," by far the best to these words. The next number is a
terrible setting by Bishop of the first eight lines of the 7th Sonnet,
"Low in the Orient when the gracious light," for male voices. Silvius
now has a sentimental song to words taken, slightly altered, from
_Venus and Adonis_. The situation is inverted: Silvius sings Venus's
words reproaching Adonis, to Phoebe; but Bishop is undaunted, and "Oh
thou obdurate flint, hard as steel" is addressed to a woman! (By the
way, Shakespeare wrote "Art," not "Oh.") Rosalind sings a sentimental
ballad to the words from _Venus and Adonis_ beginning "If love had lent
you twenty thousand tongues," of no great importance. Dr Arne's
beautiful setting of "When daisies pied," from _Love's Labour's Lost_,
is another welcome relief, and I remember in several modern revivals of
this play managers introducing this song when they had a Rosalind able
to sing well enough. The next number is a march and dance for the
procession of Hymen, and is for orchestra only. It is a good example
of absolutely straight writing, with no bother about the romance or
mystery of the masque of Hymen--a good workaday march in D major and
common time. This is followed by the last number, words actually from
_As You Like It_. Hymen, who in the original production was played by
a boy, sings "Then is there mirth in heaven," a long, tedious, florid
song, full of endless repetitions of single words. It is a curious
fact that the beautiful lyric, "It was a lover and his lass," does not
occur in this version, though really part of the original play.
{9}
It was a great pity that Sir George Alexander did not commission
+Edward German+ to write the whole of his music for the _As You Like
It_ revival at the St James's, instead of the Masque only. This Masque
is so very good that one would like to have an overture and full
_entr'actes_, but one must be thankful for what one has got. The work
is in four movements. First, an introduction, very quiet and
moderately slow, leading to the "Woodland Dance" in the minor,
beginning very quietly, but working up to twelve _ff_ bars in the
middle, and then dying away. The second number is a very graceful
"Children's Dance," _piano_ throughout, most melodious, and very
delicately scored. The last number, "Rustic Dance," is the longest and
most important. It begins _allegro con spirito_ and _fortissimo_, and
keeps it up till the first episode, which is in the same time, but
_pianissimo_ and in the minor. Soon this is worked up to a big _forte
rallentando_ effect, which leads into the last theme, _pianissimo_ to
begin with, getting quicker and quicker and more _crescendo_ to the
coda, which is _presto fortissimo_. This is by far the most effective
of the movements, but the "Children's Dance" is the most beautiful. Mr
German's setting of "It was a lover and his lass," one of the best of
this lyric, was not composed for this production.
+Clarence Lucas's+ overture to the comedy is one of the few purely
orchestral works associated with _As You Like It_. It begins very
brightly, the first theme being a rollicking one in Old English style.
This is developed until we come to the second subject, which is much
slower, and is first played on the clarinet. The whole overture is
really in valse time, and the second half of the second theme makes a
most interesting syncopated valse. The first half ends with a horn
passage, suggesting the banished Duke and his friends hunting. There
are no new themes. Those which I have described are taken through
their phases in various keys, and the work comes to a sparkling finish
by means of a _presto_ coda. It is a very lively comedy overture, and
not at all difficult to perform.
{10}
THE COMEDY OF ERRORS
I must just copy the whole of the title-page of +Sir Henry Bishop's+
operatic version of _The Comedy of Errors_. Nothing could give any
idea of what Shakespeare has been through save an analysis of the music
that follows, but I can only touch on that. "The overture, songs, two
duets, and glees in Shakespeare's _Comedy of Errors_, performed at the
Theatre Royal, Covent Garden; the words selected entirely from
Shakespeare's Plays, Poems, and Sonnets. The music composed and the
whole adapted and compressed from the score for the voice and
pianoforte by Sir Henry R. Bishop, Composer and Director of the Music
to the Theatre Royal, Covent Garden."
I have written this down just as it was printed. I was so overwhelmed
by it that I felt sure that neither I nor anyone else could improve
upon it. I knew there was only one bit of the play set to music--and
not a very beautiful example either--in the ordinary anthologies of
Shakespeare's music. It is by Dr Kemp, who died in 1824. He chose
these few lines from Act ii., Scene 2, lines 187-191, but Bishop, very
wisely, does not touch these lines. He brings in every kind of song
and tune, from, as he puts it, "Shakespeare's Plays, Poems, and
Sonnets," with no reference to the play for which he was composing
music. The overture is of the "potpourri" style. After four bars of
slow music the theme of Ophelia's song in _Hamlet_, "How shall I my
true love know?", is played. A few bars afterwards a theme from _The
Tempest_, then a very cheerful subject from _Macbeth_, followed by a
bright little thing from _The Winter's Tale_. Then comes an old tune
for "When that I was" {11} (_Twelfth Night_); next a melody from _The
Tempest_ and "St Valentine's Day" lead pleasantly into the catch,
"Which is the properest day to drink," from _Twelfth Night_, all
preparing the way for "Under the greenwood tree" (_As You Like It_).
After this theme is given a fair chance, a subject from _The Winter's
Tale_ is produced, followed by "Blow, blow," from _As You Like It_. A
sad little bit from _Macbeth_, succeeded by a very bright coda from
_The Winter's Tale_, brings the overture to a conclusion. But why call
it the "Overture to _The Comedy of Errors_"? There is not a suggestion
or a line in this overture, except the one on the title-page, that has
anything to do with the play to which that is supposed to be the
opening, though it is beautifully printed as "_Comedy of Errors_
Overture."
No one minds Bishop writing a potpourri overture and calling it
"Shakespeariana," but why call it "The Comedy of Errors"?--unless he
wishes the title to describe the overture, not the overture the play.
The first vocal number in this strange work is a setting of "It was a
lover," from _As You Like It_. It is a simple but quite pretty song.
The next is a song for Antipholus of Ephesus, words selected from
Shakespeare's Sonnets; it is called "Beauty's valuation," and is a good
example of the composer's worst manner. Then comes a strange setting
of "Blow, blow," from _As You Like It_. The melody of the first part
is by Dr Arne and the refrain by Mr Stephens, the whole arranged for
four male voices by Bishop; it makes a strange medley! After this one
is not surprised to find the "Willow song" from _Othello_ sung by
Adriana to quite a cheerful tune. Dr Arne's "Under the greenwood
tree," arranged for a male quartet by Bishop, follows. The next number
is a curious duet for Ceremon and Antipholus of Ephesus to the words
beginning "Saint Witnold footed thrice the world," from _King Lear_
(Act iii., Scene 4). There is no attempt to bring out the weirdness of
these strange words. Bishop then composed a very obvious duet for
tenor and baritone, with effective _cantabile_ {12} passages and plenty
of pauses and shakes. Adriana now sings Bishop's setting of "Come live
with me" (Marlowe), quite the prettiest number in the opera, though the
words seem a little bold for her, and more suited to the nameless
character, the last in Shakespeare's cast. Luciana then sings Sir
Henry's "favourite cavatina," "Sweet rose, fair flower," words culled
from _The Passionate Pilgrim_, but ascribed by Bishop to the Sonnets.
Perhaps this was a "favourite cavatina." The publisher says so, and
ought to know, having bought it; but I cannot say I really like it.
The third act is brought to a brilliant finish by Bishop's famous glee
from _As You Like It_, "What shall he have who killed the deer?" The
fourth act begins cheerfully by Adriana singing the composer's "Take,
oh take those lips away," which is really a very bad setting. _The
Passionate Pilgrim_ is again drawn upon for the next number, a duet for
Adriana and Luciana. This is a feeble affair rather in Horn's "I know
a bank" manner, and the words are again attributed to "The Sonnets."
Sir Henry appears to have no more idea of what a sonnet really is than
the London editor who asked a poet for a sonnet "not more than a
hundred lines long." A pleasant change is caused by the glee party
singing "Come, thou monarch of the vine," from _Antony and Cleopatra_,
as an unaccompanied trio. Luciana now sings "The springtime of love,"
words from _The Two Gentlemen of Verona_, a good florid vocal soprano
solo; and the opera finishes with "Lo, here the gentle lark," from
_Venus and Adonis_, with flute _obbligato_. This is too well known to
need description. I daresay it made as good an end as any other that
Bishop could have devised.
I have written at some length on this musical "pasticcio," as this kind
of opera is called, because it presents strange points of interest.
The persistent way in which no single line from _The Comedy of Errors_
was set to music for this production is only equalled by the manner in
which Purcell did not set a line of Shakespeare in his _Fairy {13}
Queen_. Whenever modern critics point out the faults in our occasional
Shakespearian productions, one can always say, "Remember 1819, the year
of the first performance of this atrocity."
It is not surprising to find that Sir Henry Bishop was knighted (in
these days he might get the O.B.E.); but it is odd that he should have
succeeded Dr Crotch in the chair of music at Oxford.
{14}
CORIOLANUS
Despite the fact that Clement and Larousse, the French musical operatic
historians, give no fewer than seven Italian operas entitled
_Coriolanus_, and mention four more, unfortunately not one of them is
founded on Shakespeare's play. One great overture that is always
associated with the play was not composed directly for Shakespeare's
drama but for a work on the same subject by Baron von Collin, a
Viennese dramatist. M. H. Laboix _fils_, the celebrated French musical
critic, in his essay, "Les traducteurs de Shakespeare en musique,"
says: "Among symphonic works it is not possible to avoid mentioning
Beethoven's 'Coriolan Overture,' and we should have placed it in the
front rank if a scruple did not require us to refer only to music
directly inspired by Shakespeare." In spite of the character of
grandeur and majesty which gives it its stamp, the overture
"Coriolanus" was not composed for the English tragedy, and a little
story will serve to show this.
A German poet, von Collin, had written a play, _Coriolanus_. To give
relief to his tragedy, he took it to the composer of _Fidelio_ and
prayed him to write an overture. Perhaps Beethoven knew the English
_Coriolanus_; perhaps the stern Roman pleased him so much by reason of
his vindictive and indomitable character that one night, so say the
historians, sufficed the composer to provide the magnificent pages that
serve to preface the work for which we have to thank von Collin. The
critics have found, with reason, the striking connection between
Shakespeare's play and Beethoven's overture; but if the anecdote be
true, these analogies are a proof of that intimate tie which binds {15}
together great men of genius. The overture is too well known to
require analysis. Everyone will remember the austere opening, the
turbulent principal theme, the perfect melody of the second theme, the
wonderful fiery development, and the exquisite _morendo_ at the end.
Beethoven, one feels, must have known Shakespeare's _Coriolanus_.
Of real incidental music composed for this play very little has
survived. Most managers were content to play the Beethoven overture if
the orchestra was large enough, and to get through with a couple of
marches--one for the Romans and one for the Volscians,--a few fanfares,
and a little soft music to illustrate the "home life" of the hero.
Not so Sir Henry Irving, all honour to him. He commissioned +Sir
Alexander Mackenzie+ to write special music, which it is my privilege
to discuss now. The composer has made his incidental music into a
suite of four movements. The first number is called "Prelude," and is
in C minor and common time. It opens with a vigorous, decisive
chromatic theme lasting only for nine bars, and is followed by a very
tender and beautiful subject for strings, which is soon developed, in
an animated manner, into a _forte_ passage, that quickly dies down and
enables a tranquil melody for wood wind and harp to be heard. After a
little while the trumpets enter with a rapid fanfare figure, which
quickly spreads over the rest of the orchestra, and works up finely to
the return of the first theme _fortissimo_. All these themes are now
finely treated in various ways by the composer, and the movement ends
with a brilliant coda in the major. The second number is a march in D
major. After a quiet introduction for strings _pizzicato_, the violins
give out a martial theme very quietly, and presently the wood wind
joins in, and a graceful, rather florid theme for the wood is added;
then comes the first theme again, and the march ends with some _piano_
trumpet fanfares. The trio is in the minor and slower; its theme is
broad and flowing, and at its end Sir Alexander introduces a longish
piece of complex development music {16} working to the first march
theme, which is played for the first time _fortissimo_, but soon gets
_piano_ again. The coda is quite short and quiet, with a reference to
the trio: the music gets slower and slower, and ends _pianissimo_.
The third number is a funeral march. The opening theme is practically
the same as the few bars of the prelude, but is developed more
lyrically. The middle part, or trio, is even more solemn; there is a
very impressive kettledrum effect, and a fateful subject is played on
trombone and cornet in octaves against a strong string passage. The
first part is repeated with very little alteration, and the end is
fitly funereal. The fourth and last number is by far the most
descriptive of the suite; it is called "Voces Populi," and gives,
musically, the effect of an angry crowd being gradually stirred up to
great heights of wrath. This is followed by an expressive _affettuoso_
theme, mostly for the violins, leading to a new melody, very triumphant
and happy, but soon broken in upon by the murmuring of the people, this
time sounding even more ominous. After a short appearance of the
_affettuoso_ theme the movement finishes triumphantly on the third
theme in a great blaze of music. No stage music could be more in
keeping with the true meaning of the play; it is all on a very high and
important level, and is most worthy of its distinguished composer.
It is of this _Coriolanus_ production that a very good story is told.
After the final dress rehearsal two stage hands were discovered outside
the stage door reading through the day-bill. One said: "Scenery
designed by Sir Laurence Alma Tadema; music composed by Sir Alexander
Mackenzie; produced by Sir Henry Irving--three knights. About all it
will ---- well run." Unfortunately, owing to no fault of the music,
this prophecy was not very far out.
{17}
CYMBELINE
During my researches in Shakespearian music, operatic or other, I have
been often hindered by the strange titles under which works were
hidden. Having a smattering of French, German, Latin, and a tiny bit
of Italian, I could recognise _The Merchant of Venice_ under the title
of _Il Mercante di Venezia_, or _Der Kaufman von Venedig_, or
_Shylock_; but why _Jessica_? Yet there is an opera founded on that
play, called _Jessica_, by a Frenchman named Louis Deffes. _Romeo and
Juliet_ is easy to discover under the title _I Capuletti ed i
Montecchi_; but why _Les Amants de Verone_? _Much Ado About Nothing_
one "spots" at once under the title _Beaucoup de Bruit pour Rien_, or
_Beatrice et Benedict_; but why _Hero_ or _Ero_? _The Tempest_ is
easily discovered as _La Tempesta_, _Die Geisterinsel_, _Der Sturm_, or
_Miranda_, as is _The Winter's Tale_ as _Wintermaerchen_ or _Conte
d'Hiver_; but why did Max Bruch call his opera on the same subject
_Hermione_? _Twelfth Night_ is easy to find as _Was Ihr Wollt_, not so
easy as _Cesario_. Under the fine-sounding title, _Ricardus, Angliae
Rex, ab Henrico Richmondae comite vita, simul et Regno exitus_, we find
an old friend, _Richard III._; and _Timone Misantropo_ almost sounds
like a pet name for _Timon of Athens_. The title _Macbetto_ is a very
thin and seemingly purposeless disguise for _Macbeth_; and _King Lear_
is generally called _Cordelia_, operatically. _The Merry Wives of
Windsor_ is called severally _Le Vieux Coquet, Falstaff, Falstaff,
ossia Letre Burle, Die Lustigen Weibervon Windsor_; and _Antony and
Cleopatra_ is generally named after the lady. But the greatest
surprise I received was when I {18} discovered, lurking under the name
of _Dinah_, Shakespeare's _Cymbeline_!
It is an opera in four acts, book by Michel Carre, jun., and Paul
Choudens, music by +Edmond Missa+. Carre _fils_ is the son of the
well-known librettist of _Faust_ and _Romeo_ fame, and Choudens is
connected with Choudens Fils, who publish this opera; but concerning
the composer, Grove and Riemann are silent. The opera was produced at
the Comedie Parisienne, on June 27, 1894, and was not a success. There
are only five characters, and a chorus of lords and courtesans. The
scene is laid in Venice during the Middle Ages. The characters are
Mentano (Posthumus), Iachimo, Philario, Dinah (Imogen), and Flora, a
courtesan, a high soprano, not occurring in Shakespeare's text.
Cymbeline and the rest of Shakespeare's characters are cut. Boiled
down, the plot is (I will give Shakespeare's names):--Posthumus is the
lover and beloved of Imogen; they are not married secretly, as in the
play; Iachimo is so madly in love with Imogen that he forces a quarrel
on Posthumus, and they fight. Just as Posthumus is about to fall under
the furious attack of Iachimo, Philario enters and separates them.
Iachimo then offers to lay his entire fortune that, within twenty-four
hours, he will bring to Posthumus the bracelet the latter had given to
Imogen, as proof that he is her lover. Posthumus accepts the wager.
In the second act Iachimo creeps into Imogen's sleeping chamber and
steals the bracelet. At the appointed hour Posthumus realises that, in
one fell swoop, he has lost his fortune and his mistress. From this
point the action becomes very obscure, involved, and difficult to
follow. Somehow or other Imogen and Posthumus realise the truth;
Philario mortally wounds Iachimo in a duel, and the curtain falls on
Iachimo apologising handsomely for his shocking behaviour. It will be
noted that there is very little Shakespeare in this version, but,
really, I have given all there is; and were it not that the librettists
have carefully said, "d'apres _Cymbeline_ de Shakespeare," few people
would have noticed it. It is a mystery to me why {19} the authors
changed the beautiful name of Imogen into Dinah. I have always
associated the name of Dinah with <DW53> songs and the kitten in _Through
the Looking-Glass_.
The first act opens in Venice with a canal at the back of the stage.
The gondoliers sing a bad Mascagni chorus, and Flora enters singing in
imitation Italian style. All Flora's part is written in this manner,
and unfortunately the composer has chosen a very bad model to
imitate--good Mascagni is good, but bad is----! The music is in a
curious jumble of styles: sometimes Italian, sometimes pseudo-modern
French, with occasional attempts at Wagnerian imitations--Missa's
constant use of intentional consecutive fifths becomes very wearing
after a time. The music in the masked-ball scene is pretty, and the
duet in which Flora tempts Posthumus is melodious, though the situation
is rather comic. Imogen's song at the opening of the second act is the
best number in the piece, and it is followed by a really good bit of
pantomime music while she is preparing for bed; but on the entrance of
Iachimo all becomes vulgar again. In the last act Iachimo dies to the
tune to which Imogen prepared to go to bed; and if anyone, hearing it,
should remember where he heard it before, it might raise a quiet smile.
The music is admirably suited to the libretto. Both are in the worst
possible taste, and the words "d'apres _Cymbeline_ de Shakespeare" seem
rather in the nature of an outrage. Still, it is the only opera I can
find on the subject, and perhaps on the whole I am glad; a few more
_Cymbeline_ operas in this style might smash the _entente cordiale_.
With the notable exception of the lyric, "Hark, hark, the lark,"
beautifully set to music by +Schubert+, very little attention has been
paid by important composers to the songs in _Cymbeline_. True, more
than a dozen composers, dating from 1750 to the present day, have set
those words, and also the exquisite lyric "Fear no more the heat of the
sun," but with indifferent success. An interesting story {20} of the
composition of "Hark, hark, the lark," by Schubert, is told by the
composer's old friend Doppler. "Returning from a Sunday stroll with
some friends through the village of Waehring, he (Schubert) saw a friend
sitting at a table in the beer-garden of one of the taverns. The
friend, when they joined him, had a volume of Shakespeare on the table.
Schubert seized it and began to read; but, before he had turned over
many pages, pointed to 'Hark, hark, the lark,' and exclaimed, 'Such a
lovely melody has come into my head, if I had but some music paper.'
Someone drew a few staves on the back of the bill of fare; and there,
amid the hubbub of the beer-garden, that beautiful song, so perfectly
fitting the words, so skilful and happy in its accompaniment, came into
perfect existence." Two other songs probably followed the same
evening: the drinking-song from _Antony and Cleopatra_, marked
"Waehring, July 26," and _Who is Sylvia?_ of the same date--a very good
day's work. As for the other settings of these lyrics, +G. A.
Macfarren's+ part-songs for S.A.T.B. are, as is usual with him, very
musicianly but not inspired.
{21}
HAMLET
_Hamlet_ offers great scope for composers to show their virtues and
their limitations, and a large number have done so from Graun, 1701, to
the present day. This is the more curious, as there are fewer
references to music in the text or the stage directions than in most of
the plays. True, there are many fanfares, Ophelia's mad songs, and the
gravedigger's song in the last act; but, as a whole, music is kept in a
very subordinate position. I can find no trace of contemporary
incidental music for this play. I should like to hear a real Hamlet
tucket. From the text, we know that whenever King Claudius drank a cup
of Rhenish a trumpet and a kettle-drum played a flourish, and a cannon
was fired to let the Danes know exactly what the King was doing at that
time. But, alas! I can find no trace of a real contemporary Hamlet
fanfare. The versions still in use in this country of Ophelia's mad
songs and the first gravedigger's song are supposed to be the
originals, handed down by aural tradition from mother to daughter, from
father to son; but I know something of the wonderful things,
transformations, etc., that appear as the result of aural tradition. I
have heard Zulus singing what the ordinary white visitor to Africa is
told are native folk-songs; but these I have been able to trace from
their sources, though the original composers, Messrs Moody and Sankey,
would have some difficulty in recognising their own inspired tunes! It
is well known, if a story is repeated from one to the other by a number
of people, how strangely the last version varies from the original. If
this is so in words, how much more so must it be in music, {22} where
the varying compass of the voices must be taken into consideration: the
singer substituting a high note for a low note that he cannot touch, or
_vice versa_. Still, the songs in _Hamlet_ may bear a general likeness
to the songs sung in the first production. I wonder!
Of course, an enormous amount of incidental music has been composed for
_Hamlet_. Every producer must have some Ghost music, fanfares, a
King's march for the Play scene, and a funeral march for Ophelia. Also
scene music helps to pass the time during the frequent scene changes
that are necessary in this play, and this has been done and re-done by
hundreds of composers, orchestrators, arrangers, and hack workers. But
this stuff is mostly ephemeral, and at the end of the run or the tour
the music goes to the stores in a basket (the remnants that have been
collected from the orchestra), and is heard no more; unless, indeed,
the stage manager thinks that perhaps the _Hamlet_ march would suit a
situation in the new modern patriotic play just about to be produced,
or, with the assistance of a tam-tam, could be converted into a grand
Oriental march for the forthcoming production of _Ali Baba_.
On the other hand, several important producers have commissioned
celebrated composers to write for them. Thus, Sir Herbert Tree asked
Sir George Henschel to do the music for his production, and, what is
more, actually allowed it to be played more or less as written. Sir
Frank Benson's music was obtained with the scenery and props, prompt
books, etc., when he took over the company from Bentley, and is rather
a hotch-potch. It has been added to from time to time, but it is
beyond improvement. The Otho Stuart-H. B. Irving-Oscar Asche _Hamlet_
music was insignificant. +Hamilton Clark's+ music to Sir Henry
Irving's production I cannot find, even at the British Museum, but I
remember it well as thoroughly sound, effective incidental music, a
great help to the play, and never obtrusive.
The +Henschel+ music was far more complicated. Tree produced _Hamlet_
at the Haymarket in January 1892. The {23} prelude is a solemn _largo_
movement, lasting about five minutes, with nothing very distinctive
about it. The Ghost music is the usual 'cello and bass effect, long
_pianissimo_ holding notes (octaves), with plenty of pauses. The
cock-crowing imitation on the oboe is most effective. The triple
_piano_, high B flat, triplet dropping an octave, gives a most
realistic effect. The next number is very important. It is called
"Danish March," and I take Sir George Henschel's word for it that it is
one. It is very long, and serves to bring the King, Queen, and court
on and off whenever necessary. The prelude to Act ii. is called
"Ophelia," and is quite conventionally _affettuoso_.
The fanfares are all good. There is a prelude to Act iii., _allegro
impetuoso_, but it has no label, and might suit Hamlet or Laertes
equally well. The prelude to Act iv., called "Ophelia's Death," is a
funeral march for muted strings and _timpani_. There is very effective
melodrama music while the Queen describes Ophelia's death, muted
strings _pianissimo_, and the clarinets playing broken snatches of the
mad songs. The prelude to Act v. is a pastorale for full orchestra,
and the churchyard music is for solo organ on stage. At the end of the
whole play, at the cue "And flights of angels sing thee to thy rest," a
female chorus on the stage sings, in three parts, "Good-night, sweet
Prince, good-night," which makes a pretty ending. I gather this was
Sir Herbert Tree's idea.
In addition to the fine "Fantasy Overture," which I discuss later as a
separate piece of orchestral music, +Tschaikowsky+ composed an
overture, _entr'actes_, and full incidental music for _Hamlet_. It was
written for a special production at Petrograd, and is much the finest
music for the play. The whole is composed for small orchestra, double
wood wind, two horns, two trumpets, trombone, and drums, and these
limitations seem to have suited Tschaikowsky's genius particularly
well. The overture is founded on the themes of the "Fantasy Overture,"
but is considerably shorter. The Ghost music is very {24}
awe-inspiring and original, very _piano_, deep notes on the trombone
and trumpets, combined with strange, eccentric scale passages on the
clarinets. The fanfares throughout are particularly fine, the first
being an elaborate and long flourish in nine-eight rhythm, scored for
the full brass, but, curiously enough, without kettledrums; nor are
these used in any of the subsequent fanfares. Now, Shakespeare in his
text makes Hamlet say (Act i., Scene 4), "The King doth wake to-night,
and takes his rouse, Keeps wassail, and the swaggering upspring reels.
And, as he drains his draughts of Rhenish down, The kettledrum and
trumpet thus bray out The triumph of his pledge." And, later (Act v.,
Scene 2), the King says, "Give me the cups; And let the kettle to the
trumpet speak, The trumpet to the cannoneer without," etc. Now, this
seems to me to be a strange omission. It cannot have been done
intentionally. Perhaps in the Russian version the text is altered and
the kettledrum missed out. Of course, the side-drum is generally used
in England, because it is easy to take on the stage, and our managers
do not like hiring extra stage kettledrums; but this would scarcely
apply to Petrograd or Moscow. No. 3 is a powerful piece of melodrama
music, mostly on the Hamlet theme, on the solo bassoon at first, and
subsequently taken up by the clarinets, all on their low register: a
very sinister number this. No. 4 is another melodrama, very _agitato_,
scored for _pizzicato_ strings and bassoon, with a very curious and
ominous kettledrum figure, frequently repeated. The _entr'acte_
between Acts i. and ii. is marked _allegro semplice_; it is a graceful
waltz, very characteristic of the composer, and is obviously meant for
Ophelia. Then comes a strange fanfare for two oboes, two clarinets,
two bassoons, and tamburino: this is long and florid, rather like a
street march. No. 6 is a long florid fanfare for two trumpets; the
first leading off with the theme, and the second following a bar or so
later, in canon style: this is a most interesting fanfare. The
_entr'acte_ between Acts ii. and iii. is a beautifully melodious
movement for strings only, sad, and exquisitely written {25} for the
instruments. The melodrama music in this act is the same as in the
first act.
Before Act iv. is an _elegie_ for strings: one of the most beautiful
works of the kind ever written. Tschaikowsky has composed several
elegies for this combination of instruments, but none better than this.
Nothing more ideal as preparation for the Ophelia scenes could be
imagined. Next follow Ophelia's songs. These are all freshly set by
the composer in folk-song manner, accompanied very delicately by the
orchestra. Before the last act comes the Funeral March, very striking,
very _funebre_, very dignified, and very wistful; in all, a perfect
piece of elegiac writing, than which nothing more thoroughly in keeping
with the spirit of the play could be imagined. It is on the same lines
as Berlioz's "Marche Funebre" in the same situation. The Gravedigger's
song is newly set, to a lively and very Russian-sounding tune,
accompanied by full orchestra; but I doubt the wisdom of having
orchestral accompaniment either to Ophelia's songs or to the
Grave-digger's single one. A long and florid fanfare for two trumpets
accompanies the King's toast to Hamlet (without kettledrums). The
Funeral March is repeated at Hamlet's death, and the martial music for
Fortinbras is in splendid contrast. It is a short, quick movement,
only nineteen bars in length, marked _allegro risoluto_, and makes a
great end to the play. The music is absolutely worthy of the play, and
is a perfect example of what incidental music should be. Sir Johnston
Forbes-Robertson was wise enough to use nearly all this music in his
fine production. He did not adopt Tschaikowsky's settings for
Ophelia's songs or the Gravedigger's, but used the so-called
traditional ones, and I am sure he was right here. But why, after
having played the great funeral march as an _entr'acte_, he did not use
it again, as directed by the composer, for Hamlet's funeral procession,
I can't understand. Instead, he used a march by +Carl Armbruster+,
quite good in its way, but very pale after Tschaikowsky. Still, it was
a praise-worthy act of Sir Johnston to use the large amount of the {26}
music he did, and he deserves great thanks for only interpolating one
number.
Unfortunately, the music composed by +Norman O'Neill+ for Martin
Harvey's production of _Hamlet_ in 1907 is as yet unpublished. Mr
O'Neill wrote the entire score. He had already composed an overture
built on the themes on which he draws largely for the incidental music
in this production, and he uses the overture itself in its entirety as
a prelude to the second act, under the title "Prelude, _Hamlet_." The
prelude for the first act is sombre, quiet, and brooding, with a very
curious cuckoo effect at the end, which is repeated in the subsequent
Ghost music. Of course, I do not know the habits of the Danish cuckoo,
but obviously, according to Mr O'Neill, he is either a very late or a
very early bird. Perhaps he is cracking an Elizabethan wheeze at the
expense of the Ghost's widow's unholy marriage. The big processional
march for the entrance of the King and Court is, curiously enough, not
founded on the King's theme, but on Hamlet's theme from the overture
now used as the prelude to the second act. The scene-change music
before Ophelia's first scene is founded on "How shall I my true love
know?", with varied accompaniment, sometimes simple, sometimes complex,
and once as clarinet solo with harp accompaniment. At the cue, "Held
his wont to walk," there is a fanfare for the clarinet, but, as in most
incidental music, no kettledrums. The Ghost music in this act is all
founded on the Hamlet theme. The prelude to Act ii. is, as I have
said, the overture proper. It begins with the Hamlet theme, _allegro
maestoso_, very bold and rhythmic, which suddenly breaks off with a
_pianissimo_ suggestion of "How shall I my true love know?", which is
used as the second subject, and very much developed. These themes are
worked out in a complex manner, and there is a curious fanfare effect
before the coda, which is marked _grandioso_, in the major key, and is
very triumphant. The players come on to perform their tragedy to a
pretty little tune, {27} quite light and graceful, played on the oboe
and clarinet, which has a quaint and interesting effect. Before Act
iii. (the arrangement of the scenes is according to Mr Harvey's stage
version) is an _entr'acte_ entitled "Ophelia," founded on her
traditional songs; but I wish Mr O'Neill would use more of his original
melodies. An _entr'acte_ entitled "Laertes" is a fine, vigorous
number. In the last number of all, on the cue "The rest is silence,"
we have the Hamlet theme in the major, with sweeping arpeggios for the
harp, a gradual crescendo to a _fortissimo grandioso_ finish to the
act. This makes a fine theatrical curtain.
+Karl Heinrich Graun+, Court musician to Frederick the Great, composed
an overture and incidental music to _Hamlet_; but as the only known
score is in the Court Library at Berlin, it is impossible, at the time
of writing, to get hold of it.[1]
Robert Browning's Abt Vogler (+Abbe Georg Joseph Vogler+) composed an
overture and incidental music for this play for a production at
Mannheim in 1779. Born at Wuerzburg in 1749, he was educated by the
Jesuits at that town, and soon became a famous musician. He was
ordained priest at Rome in 1773, but still continued his career as a
composer and organ virtuoso. He was a famous teacher also, Weber and
Meyerbeer being his best pupils.
Some very good incidental music to this play was written by +Victorin
de Joncieres+ for Alexandre Dumas and Paul Meurice's version. The
composer was born in Paris in 1839, and entered the Paris
Conservatoire, but left suddenly, as he disagreed with his counterpoint
master, Leborne (a very conservative musician), concerning {28} Richard
Wagner, who had just given his first concert in Paris. This work
consists of an overture, march, _entr'actes_, and melodramas. It was
performed at the Grand, Nantes, on September 21, 1867, the composer
conducting the orchestra, and the part of Hamlet being played by Mme.
Judith, ex-societaire of the Comedie Francaise. When the play was
produced the following year at the Gaiete in Paris, this excellent
music was for some strange reason refused by M. Perrier, the producer.
The earliest known opera on _Hamlet_ is by +Francesco Gasparini+, and
was produced in Venice in 1705 and in London at the Queen's in 1712.
The composer was born near Lucca in 1668, and was a pupil of Archangelo
Corelli, the celebrated violinist and composer. The libretto is by
Apostolo Zeno, and the work is in three acts. The style is very much
like Corelli's, florid and melodious. Dr Burney, the musical
historian, who wrote a _General History of Music and Musicians from the
Earliest Ages to the Present Period_, has a short account of this opera
in the fourth volume of his work. He does not seem to like it. He
writes (in 1789): "_Hamlet_, in Italian, _Ambleto_; written by Apostolo
Zeno, and set for the Venetian Theatre, 1705, by Francesco Gasparini,
was brought on our stage under the conduct of Nicolini, who dedicated
the poem to the Earl of Portland. There is very little resemblance in
the conduct of this drama to Shakespeare's tragedy of the same name,
though both seem to have been drawn from the same source, the Danish
history of Saxo Grammaticus. But if Zeno is much inferior to our
divine Shakespeare, in variety of character, knowledge of the human
heart, and genius in its most unlimited acceptation, his drama is
exempt from all the absurdities and improprieties which critics,
insensible to the effects of music, had leisure to find in former
operas." So much for the libretto. For the music, there is an
overture, ending in a jig; but whether the curtain rises on the last
note of this dance for the "Rampart" scene, is not shown in the score.
Dr Burney {29} seems to like the music even less than the libretto. He
writes: "There are few songs, however, in this opera which would please
modern judges of music either by their melody or harmony." And on the
whole I agree with the doctor.
Though _Hamlet_ has been treated many times operatically, the only
setting that is ever performed is that of +Ambroise Thomas+, in five
acts, book by Carre and Barbier, produced in Paris 1860. Boito did the
libretto for Faccio's _Hamlet_, produced in Genoa 1865, but I cannot
get a copy. Anyway, Boito's libretto would certainly be the best
_Hamlet_ one ever written. After Gasparini comes a whole list of names
of _Hamlet_ composers, much too tedious to quote, the only interesting
name between him and Faccio being +Domenico Scarlatti+, the famous
harpsichord player and composer, whose opera was produced in Rome, 1715.
Thomas's prelude is very short, and obviously connected with the
supernatural happenings at Elsinore. The opening chorus is bright, and
all in praise of the King and Queen. Everyone seems happy until Hamlet
and Ophelia come on, and their first duet opens very sadly. All
through this work one gets glimpses of familiar quotations, but there
is no close adherence to Shakespeare; rather have MM. Carre and Barbier
followed in the paths of Shadwell, Davenant, and Colley Cibber.
Laertes, on his entrance, sings a very stirring patriotic song, and
manages to get away without any advice from Polonius. The part of
Polonius is mercilessly cut down to almost nothing. Fancy a singing
Polonius! Scene 2 is a very serviceable Ghost scene, with the clock
striking twelve, fanfares and plenty of _tremolo_; and the operatic
version gives a very fair idea of the original scene.
Act ii. opens with a short prelude on one of Ophelia's themes, and then
there is a long recitative and aria for her (Ophelia). I do not think
it would be wise or expedient {30} to give an exact analysis of this
work, so I will pass over with but few references.
Act iv. begins with a long and complicated ballet, which is about the
changes of weather from which we suffer, and Ophelia's "mad scene"
comes in the midst of it. The tyranny of the grand-opera ballet is one
of the most cramping things that have ever helped to ruin the fine
spontaneity of dramatic art. Everyone knows how Wagner fought against
it, and of the final _debacle_ in Paris. Wagner, as a sop to the
Jockey Club and Napoleon III., put a ballet in _Tannhaeuser_, but it was
a logical ballet, and in keeping with the general idea of the opera.
But because it was performed in the only possible place in the work
where it was suitable, the Parisians hooted the opera off the stage.
So why should not Ambroise Thomas have put a ballet in _Hamlet_?
Wagner gave way to his producer, but was firm as to where the ballet
should come. The ballet ran on from the overture, and there was no
question of a superimposed ballet. The Paris ballet music, Wagner
using the _Tannhaeuser_ melodies with the _Tristan_ technique, is one of
the most interesting of all Wagner's struggles against what he loathed
so much. In spite of his giving way to the Paris convention, the
ballet was a failure, because he would have it in the first act; but it
still serves to remind us English people that we are not the only
inartistic nation in the world, though we seldom sing paeans in our own
praise.
A very entertaining innovation of our French adapters is that instead
of Hamlet telling the players how to act, or in opera how to sing, he
calls for wine, and sings a merry drinking song, which probably pleased
the performers much more than a free singing lesson or a few tips on
elocution. I should very much like to see how Wagner would have
treated this scene. I feel sure he would have made Hamlet tell the
singing players to use the Italian _bel canto_ production, but, at the
same time, to sing the words as if they meant something and were not as
unimportant as the perpetual A--A--A of the singing exercises.
{31}
The usual end of the opera differs a little from Shakespeare's. The
Queen, Laertes, and Polonius live, and Hamlet is crowned King of
Denmark to music very similar to that which is sung in the first act,
in praise of Claudius and his Queen. But there is another ending
sometimes played to this opera. It is an ending that ought to make
Cibber blush! Sir Alexander Mackenzie told me he saw this closing
scene in Paris. The poor, unimaginative, bourgeois English producer
could never rise to such Latin heights. Here it is:--At the end of the
play, Ophelia marries Hamlet, and the Ghost, with full
melodrama-musical accompaniment, gives them his blessing. It is a dull
thing to be a simple Anglo-Saxon!
One of the most interesting things about this opera is that Hamlet is a
bass-baritone; very few people would believe this unless they heard the
opera, or saw it in black and white in the score.
A very interesting opera on this subject is +Aristide Hignard's+ lyric
drama in five acts, book by Pierre de Garal. The composer finished the
score in the well-founded hope of a speedy production, neither he nor
his friends knowing that Ambroise Thomas's work on the same subject was
already accepted and being rehearsed at the Opera, Paris, which fact
upset all his hopes. In this deeply studied work the composer had made
an effort to discover a new form, and believed that he had succeeded.
The new form consisted in this, says M. Hignard in his preface to the
score: in the vocal part of his work he interpolates declamation,
replacing the recitatives, and fully backed by the orchestra. This
procedure, which Massenet employed much later in _Manon_, was
undoubtedly new then, and the honour of inventing it falls distinctly
to Hignard. The composer was so disappointed at not being first in the
field, that even before the production and subsequent success of his
colleague's opera he abandoned all hopes of producing his work on the
stage in Paris, but published the score, not only to make it known but
also to prove that it had {32} been conceived by him at the same time
as his illustrious _confrere's_ opera. After twenty years it saw the
light in his native town of Nantes, and its success gave some
consolation to its composer for his earlier disappointment. Clement
and Larousse, in their account of it, say: "This _Hamlet_ is remarkable
in more than name. In it one finds much music of a real and high
inspiration; in the numbers it is necessary to mention, the Platform
scenes are treated very dramatically; the beautiful septuor which
follows the Play scene, and particularly the music that accompanies the
funeral of Ophelia, when the composer finds music of great pathos, are
most suitable. The _entr'actes_, ballets, and character passages make
delightful episodes, being full of charm and grace, and very
picturesque in colouring. To sum up, it is the work of an artist,
always learned, and does great honour to the hand that signed it."
Grove's _Dictionary of Music_ does not mention this composer's name,
but Riemann says he was born in Nantes, May 22, 1822, was a pupil of
Halevy at the Paris Conservatoire, composed much music, including
several comic operas, and died at Vernon in 1898.
+Franco Faccio+ had the inestimable boon of the services of Boito as
librettist for his _Hamlet_ opera. Faccio was born 1840, at Verona,
and at the age of fifteen entered the Conservatoire at Milan. He and
Boito fought together in the Garibaldian Army in 1867-68, after the
opera had been successfully produced at the Teatro Carlo Felice, Genoa,
on May 30, 1865; it was revived at the Scala in 1871, but was a
failure. The work is called _Amleto_, a lyrical tragedy in four acts.
"Dubita pur che brillino (sortita d'Ophelia)" is a sort of paraphrase
of Hamlet's letter:--
Doubt thou the stars are fire,
Doubt that the sun doth move,
Doubt truth to be a liar,
But never doubt I love.
It is quite a beautiful song, very melodious and dramatic, and in a
style of its own. Ophelia is a high soprano. There {33} is a fine
drinking song for the King and Queen, Hamlet, and Ophelia, with a
chorus of courtiers. After an ironic recitative, mostly addressed to
Hamlet, the King leads off singing very solemnly and slowly the words
"Requie ai defunti," and immediately afterwards in a most lively style,
"e colmisi d'almo liquor la tazza." Then slowly and solemnly again,
"Oriam per essi," and quickly, "e calice sia vittima ed altar." The
song now continues as a very lively bolero, until just before the end
of the first verse, when the King sings, solemnly again, "Requie ai
defunti," and the chorus brings the first verse to a close with shouts
for the King. The Queen has the next verse just on the same lines as
the King's verse. Hamlet and Ophelia both have serious asides in the
next verse, but the chorus does not notice them, and finishes up the
number in a fine, reckless operatic way. The second part of the first
act opens in a remote part of the Castle ramparts. The night is very
dark, but the light in the banqueting-hall can be seen in the distance.
The opening music is intensely dramatic; the 'cellos are divided into
five parts, and while the orchestra in front are playing this most
tragic music, one can hear occasionally, beautifully blending with the
rest of the score, the lively strains of the King's private band
playing in the great dining-hall. Dramatically the Ghost enters just
as the lively music is dominating. Hamlet, in an impassioned outburst,
calls on the Ghost for an explanation; and, beginning very quietly, the
Ghost works himself up to a tremendous pitch of excitement in telling
his story. Finally he disappears, and his voice is heard below the
stage singing "Giurate" ("Swear"). Hamlet, Horatio, and Marcellus
finish the act singing, _pianissimo_, "De profundis clamavi." This is
indeed a fine concerted number, and much the most dramatic in any of
the _Hamlet_ operas. The famous soliloquy, "Essere, o non essere!"
("To be, or not to be!"), is faithfully and dramatically set, a strange
'cello part giving singular point to the words "To die, to sleep."
Hamlet and Ophelia have a very elaborate duet in this act, the former
pretending to be mad. The King and Queen also have a duet, entitled
{34} "Vieni, compagna," a very pretty, melodious, and light number.
The third act opens with the King's prayer; the orchestra plays a long
and solemn introduction, and the prayer is beautiful and dignified.
The last number is a trio for Queen, Hamlet, and Ghost. Hamlet
upbraids his mother in bolero rhythm, to which she replies tragically,
and then the Ghost appears, and the dance rhythm stops suddenly. They
sing a grim trio, and the act finishes in a tragic manner.
The next number is called "The Madness of Ophelia." She sings a
touching, sad little song, sometimes quite frivolous, but always
pathetic, Laertes and the King joining in now and again. This is
broken in upon by the populace, who have revolted, and wander about
singing songs of pillage and sacking. Ophelia finishes by laughing
quite madly, and Hamlet first, and then the King, says "Unfortunate
one." Unluckily, this is the last published number, so one has to
guess how the opera ends, as there is no copy of the libretto to be
found in the British Museum Library. Mr W. Barclay Squire, in his
contribution to _Homage to Shakespeare_, says of the work: "It had the
advantage of an admirable libretto, in which Shakespeare's tragedy was
closely followed." Hence one concludes that the opera ends more or
less in the same way as Shakespeare's play.
An interesting opera on this subject is +Alexandre Stadtfeldt's+ lyric
drama _Hamlet_, book by Jules Guillaume. The composer, a Belgian, was
a distinguished pupil of the Brussels Conservatoire, winning the Prix
de Rome in 1849. As he was unable to produce his opera in his native
country, he had the libretto translated into German, and the work was
performed with success at Bonn in 1881, and subsequently at Weimar.
_Hamlet_, +Franz Liszt's+ great symphonic poem, was one of the latest
of the series, being composed in 1859. It was first performed at
Sondershausen in 1886. The work is {35} planned on a large scale, and
is very difficult to perform. So far as I can find out, it is the only
Shakespearian work of the composer, but it is a very important one.
The main key of the work is B minor, and the greater part of it
passionate and _agitato_. The prelude opens slowly, sombrely, and
_piano_, with occasional sudden _crescendos_ and _sforzatos_, and
significant tremolo string passages, marked "stormy" in the score.
Then comes the principal theme, a quick, passionate subject, given out
by the violins, and presently taken up by the rest of the orchestra.
This is quickly followed by a strongly marked theme, allotted to the
full strings in unison, and these subjects are developed until the
Ophelia music is heard. This, naturally, is very different from the
preceding music, being slow, _piano_, with a violin solo accompanied by
_piano_ wood wind. It is soon broken in upon by the Hamlet music,
first on the bassoons, marked "ironical" in the score, and later
repeated by the rest of the wood wind. One fresh theme is introduced,
also _agitato_, and this thematic material suffices for the composer.
After much excitement and working up, we get a return to the slow
opening, followed by an _a funebre_ episode, founded on the Hamlet
motive, which finishes the whole movement. The end is very tragic, and
the whole a notable and interesting addition to our modern
Shakespearian music.
+Tschaikowsky's+ Phantasie Overture, _Hamlet_, is dedicated to Edvard
Grieg. It is really a great work, full of dignity, strength, and
beauty. The twelve o'clock effect is curiously given by twelve
_sforzato_ semibreves on muted horns, beginning _pianissimo_, and
swelling up until the twelfth note is given triple _fortissimo_. The
first subject is energetic, obviously for Hamlet, with his mind very
much made up; but gradually the theme gets more and more undecided and
vacillating, and leads to the second theme, Ophelia, a beautiful and
tender subject given out by the oboe. The whole development is long,
complicated, and interesting; towards the end a strange quasi-_funebre_
theme is given out on the brass and drums, closely followed by a long
passage {36} for full orchestra, marked triple _fortissimo_,
culminating in a chord for the wind marked with five _f_'s. Then comes
a very solemn and dignified ending, strings muted and everything dying
away to a whisper. This work is one of the finest commentaries on the
play ever written.
+Berlioz's+ contributions to _Hamlet_ music consist of two numbers: a
ballad for two female voices, entitled "La mort d'Ophelie," done into
English by the Rev. J. Troutbeck under the title "Ophelia"; and a
funeral march for the last scene in the play. The words of the ballad
are by Berlioz, and are a description of Ophelia's last hours, her
wandering by the brook making fantastic wreaths, with many very
ingenious references to Shakespeare's scene so beautifully described by
the Queen in the play. Naturally, the music is throughout exquisitely
sad, and is beautifully descriptive of Ophelia's death. It is not at
all difficult to perform, and very melodious; I cannot understand why
Ladies' Choral Societies do not take it up.
The "Marche Funebre" is not in ordinary march form. There are no trios
in it; it is all the development of one theme. It begins _pianissimo_
in A minor, and ends _pianissimo_ in the same key. It has a monotonous
bass throughout, and Berlioz uses all kinds of drums with his usual
weird skill. The impression of many men marching slowly and solemnly
must be realised by even the most unimaginative hearer, and it is a
work that requires no programme. It tells its own story absolutely to
anyone who cares to hear it. There is a tremendous _fortissimo_
triumphant effect in the middle, the bass stalking up and down in slow
dotted notes, while the rest of the orchestra sustains a slow, heavy
melody. After a terrific triple _forte_ effect, there is a dead
silence; then a long, deep, sustained note; then occur about twenty
bars of the most hopelessly despairing music I have ever heard, and
then the drums again take up their dreadful figure; and so the whole
march winds to a close. It does not end on any note of hope. There is
no thought of a glorious resurrection--all is lost, hopeless,
despairing. It {37} would make a splendid _entr'acte_ played before
the last act of _Hamlet_, and would put the audience into exactly the
proper state of mind. The march should be oftener used on occasions of
national mourning.
+Edward Alexander MacDowell+, the best-known American composer, wrote
two symphonic poems for orchestra entitled _Hamlet_ and _Ophelia_.
These works are dedicated jointly to Henry Irving and Ellen Terry. The
composer was born in New York in 1861, but studied mostly in France and
Germany, afterwards teaching at the Conservatoires of Darmstadt and
Wiesbaden. In these two poems there is no attempt to tell any story.
The _Hamlet_ one is naturally more excited than the _Ophelia_; but as
there seem to be no Ghost, King, or any of the accustomed secondary
characters, I presume that the composer means exactly what he says,
viz. that the one represents his conception of Hamlet, and the other
that of Ophelia. The result is two excellent, if rather dull, works.
The theme for French horn at the beginning of the Ophelia poem is the
most striking in either of the pieces, and is the only melody that
stands out at all. It is also very skilfully developed.
+Edward German's+ symphonic poem, _Hamlet_, dedicated to Hans Richter,
the conductor, was first produced at the Birmingham Festival of 1897.
The composer, in a preface to the printed copy, says: "In this
symphonic poem the composer has endeavoured to depict the character of
Hamlet as stern and relentless, yet in this mood alternately hesitating
and impetuous. The influence of this character may be said to dominate
the entire work. Hamlet's love for Ophelia is overpowered by his
doubts, his distrust of the Queen, and his determination to avenge the
murder of his father. His fury reaches its height as he stabs the
King. The poison which Hamlet has received from the weapon of Laertes
now begins to take effect, and hence to the end the music is
descriptive of the ebbing away of his life." This gives the reader a
very fair idea of Edward {38} German's work. It is planned on a large
scale for a large orchestra, and is quite the most important serious
work that Mr German has given us. It opens with a picture of night,
sombre and serious, followed by the inevitable bell tolling twelve.
Then a short _agitato_ episode leads to a bold theme entitled "Hamlet"
in the score. Shortly afterwards come a very pleading Ophelia theme
for clarinet and harp, and a fine _pomposo_ march theme for the King.
All these are freely worked out, and in the middle of this development
occurs a very touching episode called "Death of Ophelia." Mr German,
following his own programme, works now for his great climax, the
killing of Claudius by Hamlet, after which the music grows slower and
slower and more and more _piano_ till it finally dies away.
It is a beautiful and ambitious work, and well worthy of the colossal
theme that it is founded upon. It is a great credit to British
musicianship, and I only wish it could be heard oftener.
I have frequently wished that +Grieg+ had composed music for _Hamlet_.
In several productions I have heard numbers from his _Sigurd Joersalfar_
suite, played as _entr'actes_, and sometimes as incidental music, and
they always sounded exactly in keeping with the feeling and atmosphere
of the play. I have just discovered the reason. His master and
fellow-countryman, Niels Gade, had composed a _Hamlet_ overture, and
Grieg, unlike some of our modern English composers, who freely set
poems and stories immortalised by Handel, was a very modest man, and
left his master alone in the field, to our great loss.
Some time ago Sir Frederick Bridge unearthed in the Pepys Library at
Cambridge a strange setting of the soliloquy "To be, or not to be," for
bass voice, viol de gamba, and lute. Pepys is supposed to have had the
music specially composed for him, but, unfortunately, the composer's
name is still unknown. "It is a broad, declamatory {39} setting" (says
_The Times_), "something in the manner adopted by Pelham Humphrey and
Blow in their sacred recitatives; and though it does not differ from a
great deal of contemporary music, it is as much more effective as it is
less pretentious than the strange setting of the same words in Thomas's
version. There is a vague reference to this in the _Diary_: 'Dined at
home very well, and spent all the afternoon with my wife within doors,
and getting a speech out of Hamlet, "To be, or not to be," without
book.'"
[1] As will be gathered from a similar passage on page 2 and from
others that need not be specified, it is clear that Christopher Wilson,
had he been spared, would have filled in various gaps before the
publication of his papers in permanent book-form.
{40}
KING HENRY IV
There have been several operas composed about this King when he was
Prince of Wales, but only one of them, +Mercadante's+ _Gioventu di
Enrico V._, Milan, 1834, has any connection with Shakespeare's play.
Verdi's _Falstaff_ opera contains some bits from the _Henry IV._ plays
which I am dealing with under _The Merry Wives of Windsor_.
The most important modern work on this subject is "_Falstaff_,
symphonic study in C minor, with two interludes in A minor, composed by
+Sir Edward Elgar+, Op. 68." The work is dedicated to Landon Ronald,
was composed for the Leeds Musical Festival, and was produced there,
the composer conducting, on October 2, 1913. Sir Edward, in a
foreword, says: "We must dismiss from our minds the Falstaff of _The
Merry Wives of Windsor_ and turn to the Falstaff of _Henry IV._, parts
one and two." A literary civil servant, Maurice Morgan, wrote a
defence of Sir John from the general accusation of cowardice, which
has, to some extent, helped the composer's inspiration. This essay was
published in 1777, and contains several most interesting passages. In
one place, quoted by Elgar, he writes: "...a conception, hardly less
complex, hardly less wonderful, than that of Hamlet"; and again: "He is
a character made up by Shakespeare entirely of incongruities, a man at
once young and old, enterprising and fat, a dupe and a wit, harmless
and wicked, meek in principle and resolute by constitution, cowardly in
appearance and brave in reality: a knave, a gentleman and a soldier,
without either dignity, decency, or honour." This is the complicated
character that Sir Edward sets out to portray in music.
{41}
Mr Gilbert Webb, who made the analytical notes for the performance at
the Albert Hall Sunday Concerts on December 14, 1913, divides the work
into four parts:--(1) Falstaff and Prince Henry. (2) Eastcheap,
Gadshill, The Boar's Head. (3) Falstaff's March. The Return through
Gloucestershire. The New King. The hurried Ride to London. (4) King
Henry V.'s Progress. The Repudiation of Falstaff and his Death--and
this seems a very wise division. The work opens with a boisterous
theme given out on the bass instruments, depicting the mature Falstaff
in the height of his fame or infamy, as you will. It would be
impossible in my limited space to follow the ramifications of this
immensely complicated work. It is a Pageant of Falstaff's life and
death. Of the two interludes mentioned in the title, the first is
headed in the score, "Dream Interlude." "Jack Falstaff, now Sir John,
a boy and page to Thomas Mowbray, Duke of Norfolk." The music here is
very quiet, melodious, and graceful. The second interlude represents
Justice Shallow's orchard, and is again very calm and reposeful. There
is much fine march music for the King's coronation procession, and the
meeting between the King and his old companion is graphically and
tragically described. The work ends sadly, the various characteristic
themes already used being heard again, but in much sadder mode:
Mistress Quickly's beautiful account of Sir John's death (in _Henry
V._) is very touchingly musicked, and the work closes on a _pianissimo_
chord. It would take a long pamphlet to describe this symphonic poem,
and it must be heard and studied often and deeply to be appreciated
properly.
{42}
HENRY VIII
+John Liptrot Hatton+, born 1809 at Margate, wrote an overture and
incidental music for _Henry VIII._, dedicated to Mrs Charles Kean, and
performed at the Princess's. The overture begins with a slow
introduction of a sugary type, followed by a very obvious _allegro_.
The themes here are not of much value, and the development does not
invest them with any great interest. There is no attempt at character
drawing, and the only things standing out in the overture, except its
dullness, are a few scale passages for the bells. The first
_entr'acte_ is called "A Maske-dance," interrupted at intervals by
Henry's love-song to Anne Boleyn. The dance part has a strange
likeness to a number by Edward German, but the trio episodes
representing Henry's love-making are quite sad and sentimental. The
number ends with the dance music. The next section is headed
"Shakespeare's Favourite Tune" (Lightie Love Ladies), and old dances,
and opens with a bright country dance called "Wolsey's Wild," followed
by another six-eight country dance, "Sellinger's Round," very graceful,
with again a dash of Edward German. This is followed by a rather
contrapuntal arrangement of the well-known old morris-dance, and the
whole movement finishes with "Lightie Love Ladies," said by the
publishers and Hatton to be "Shakespeare's favourite tune." It is a
broad, simple melody, flowing in style, and, for all I know, may have
been Shakespeare's favourite tune; but I cannot trace it in any
Shakespeare reference book. The next _entr'acte_ is a prelude and air
with variations. The air {43} and variations, five in number, are made
after the fashion of Mendelssohn's works in the same form, though
simple. There is nothing outstanding about the whole movement. The
third and fourth _entr'actes_ are both marches: the first in the minor,
the second in the major key. Both are good working marches with the
regular trios, and call for no comment.
The setting of "Orpheus with his lute" is interesting. It is written
for soprano and contralto; it was first sung by the Misses Broughton,
two celebrated artists. The composer, in the phrasing of the first two
lines, actually makes sense of them--a very rare thing to happen to the
musician setting these words; but afterwards he falls from grace. With
only a fair number of repetitions he gets to the end of the second
verse, but then goes back to the first, and finishes at the end of it,
utterly failing to see how right Fletcher or Shakespeare was in
concluding with the perfect lines, "Killing care and grief of heart,
fall asleep or hearing die."
Sir Henry Irving showed good judgment in commissioning +Edward German+
to write the music for his great revival of _Henry VIII_. The composer
took full advantage of his opportunity, and the music for this play
contains certainly the most popular numbers that Mr German has ever
composed. I need hardly say that I mean the famous "Three Dances,"
well known and popular throughout the world. I once heard them in
Germany, under the extraordinary title of "Three German Dances from
Saint Saens's _Henry VIII._," but they were these three all the
same--the Morris Dance, the Shepherd's Dance, and the Torch Dance.
They are too familiar to call for any more attention from me, so I will
pass on to the rest of the music.
The overture is a strong and vigorous work, full of striking themes and
ideas. The first subject is just right for the King, bluff and
overbearing in style, but full of real strength. The second theme in
the relative minor {44} is very pathetic, and in strong contrast to the
first. Then comes a third subject, a very decided march tune, which is
used later on in the prelude to Act ii. These themes are all well and
skilfully developed, and the whole overture finishes brilliantly with a
coda on the "Henry VIII." _motif_, the music getting faster and faster
until the end. The prelude to the second act is called "Intermezzo
Funebre," and the opening is exactly in the manner of a funeral march,
while the trio has a very graceful subject. This is beautifully broken
in upon by the funeral theme, which finally wins a very unequal battle.
For the prelude to Act iii. Mr German writes a very pretty, graceful
movement, quite in his own style, full of melody and good musicianship.
The prelude to Act iv. is a march in the conventional form, brilliantly
scored and most effective from an orchestral point of view; but the
ideas do not seem so fresh as those in the remainder of the music, and
the whole gives rather a theatrical effect. Still, it is a very good
march.
The prelude to Act v. is a "Thanksgiving Hymn" for the birth of
Princess, afterwards Queen, Elizabeth, and is good, stirring patriotic
English music; the melodies broad and flowing and the harmonies
diatonic--a perfect "Thanksgiving Hymn," in fact. There is a very
delightful trio for three of the Queen's ladies (words actually from
the play): "Orpheus with his lute." This trio, which was dedicated to
Miss Ellen Terry, who was playing the Queen in this revival, is a
beautiful example of the composer's happy knack of fitting music to
exquisite words, and adding melody and real vocal part-writing. This
number again is very easy to sing, and deserves much greater publicity.
On the whole, Edward German's music to _Henry VIII._ is about the most
successful modern example of English incidental theatre music. There
is, with him, no question of writing down to a theatre audience
(generally very unmusical), but a deep knowledge of the play and a very
useful knowledge of the stage and how music can help it practically.
As performed at the Lyceum, {45} the music was never preponderating,
but was always there and always right at the proper moment; and, of
course, the "Three Dances" are rightly immortal.
+Sir Arthur Sullivan's+ "Incidental Music to _Henry VIII._" in its
published form is much slighter, but I have never heard it in its
entirety. Much of it is still, unfortunately, in manuscript, but those
portions published by Metzler are very interesting. The "Graceful
Dance" is still very popular (it seems strange that dances in this
piece are always winners), and is frequently played in theatres and
restaurants; and the King's song, "Youth will have dalliance," is one
of the composer's best songs. I really ought not to touch on it here,
as Shakespeare was not the author of the words, but the song is so much
associated with the play that I cannot help myself; and even though
Shakespeare did not write the words, Henry VIII. did, and, anyway, he
was in the period. That versatile king, poet, and theologian also
wrote music, and very beautiful music, to his own lyrics. The opening
music in my edition of the score consists of a long fanfare leading up
to a not very dignified march, rather recalling happy old Savoy days
than the Shakespeare or Shakespeare-Fletcher drama. The second theme
is also rather of the cheap variety, and the third is reminiscent of
Rossini; but I am certain that, judging from the high level of
excellence shown in the "Graceful Dance" and "King's Song," much very
beautiful music is hidden away in manuscript. Sullivan's setting of
"Orpheus with his lute" is one of the most beautiful songs in the
English language. It is a very early work of the composer, written
long before the rest of his _Henry VIII._ music. The accompaniment is
strangely reminiscent of Schubert's _Who is Sylvia?_
+Macfarren's+ part-song to the same words is also beautiful, and gives
the words their real meaning when properly sung and phrased. The lyric
is difficult to set, and when set difficult to sing. Most singers give
one the idea that {46} Orpheus made trees with his lute. It is not
always the singer's fault, as several composers give this effect. The
blame is also a little with Shakespeare or Fletcher for separating the
word "trees" so far from the word "bow." Since writing the above, I
hear, on the best authority, that of the late Dr F. J. Furnivall, that
Fletcher undoubtedly wrote the lyric: so to him is due the blame of
misleading simple composers.
{47}
JULIUS CAESAR
Mr Barclay Squire, in his contribution to the _Book of Homage to
Shakespeare_, 1916, entitled "Shakespearian Operas," says concerning
Julius Caesar: "There are innumerable operas, mostly of the eighteenth
century, on Julius Caesar, as to which Riemann and Clement and Larousse
may be consulted; but it is very doubtful whether any of them are
founded on Shakespeare." I myself went through Handel's opera on the
subject, but when I discovered that Cleopatra had an important part in
the work I put it on one side: I always funk trying to connect a Caesar
and Cleopatra opera with the Shakespeare play. Perhaps Handel was
merely anticipating Bernard Shaw's brilliant _Caesar and Cleopatra_,
but, any way, Handel was not dreaming of Shakespeare's work.
_A List of Songs and Passages in Shakespeare which have been set to
Music_, compiled by Greenhill, Harrison, and F. J. Furnivall, does not
give one line which has been treated musically.
Of incidental music very little remains; Schumann's overture I treat of
later, and von Buelow's I cannot find in the Museum library or anywhere
else; but +Raymond Roze's+ orchestral suite, _Julius Caesar_, based on
the music he composed for Sir Herbert Tree's revival at His Majesty's
on January 22, 1898, is published and easily obtainable.
The overture commences with Caesar's "March Motive," and here is shown
an absolute freedom from Wardour Street Roman music: it is quite as
modern as Mr Roze {48} could be. The next episode appears to be the
Conspirators' Music; it is _agitato_, but of a curious Mendelssohnian
simplicity, and leads to a naive Wagnerian theme, in which the
characteristic slow turn is used with great effect. This runs into the
Caesar march theme _pianissimo_, with harp effects, leading up to a
brilliant coda on the Caesar _motif_, with a moving bass and full
orchestral effects for the close. The prelude to Act ii. is a very
emotional piece of music, sometimes dramatic, often melodramatic, but
always exciting and comfortably away from any thought of the historic
period. The prelude to Act iii. opens with a fine broad theme for the
brass, much of which, curiously enough, might possibly have been played
on trumpets of Caesar's time. After this, Mr Roze naturally takes a
rest from his museum researches, and the rest of the prelude is quite
innocent of anything that would remind a Roman centurion, if he came to
life now, of his past existence: it is most modern in the 1898 manner,
and Professor Ebenezer Prout, had Mr Roze shown him the score, would
probably have told him to "run away and try to be a better boy."
Still, there are excellent points in this music, and I wish that more
of it were published.
+Robert Schumann's+ _Julius Caesar_ overture, Op. 128, is a fine example
of the composer's sonorous and sombre style. Any musician on hearing
it could guess the composer's name at first shot, but I defy anyone to
guess its title. There is no attempt at ancient Roman effects, the
style being much the same as that of his _Manfred_ overture, written
some years earlier.
It opens in the minor key with a strongly marked theme, rather in the
nature of a fanfare; this is followed by a very beautiful Schumannesque
syncopated passage. The second subject, for the horns, is again highly
characteristic of the composer; the whole work finishes very
brilliantly in the major.
I cannot see any connection between this work and Shakespeare's play,
the overture having quite a happy {49} ending; but perhaps it
represents an early phase in Caesar's life before he met too many "lean
and hungry" men. The whole piece is most effective on the orchestra,
in Schumann's own particular way, which I like, but most modern critics
heartily dislike. It is very seldom performed, but I should much like
to hear it in front of a production of the play.
{50}
KING LEAR
Very few composers have had the temerity to lay hands on _King Lear_.
With the notable exception of Berlioz, no composer of the first rank
seems to have touched it. At one time Verdi thought very seriously of
making it the subject of an opera, and it is much to be regretted that
the project was never carried out. With Boito as librettist, what a
work Verdi might have turned out in his golden old age!
+Berlioz+ began his _Roi Lear_ overture at Nice while he was holding
the Grand Prix de Rome, but was stopped by the King of Sardinia's
police as a spy. The composer's habit of writing music without a piano
did not please them at all; so he was sent for and interrogated by the
chief of the secret police.
"You wander about with a book in your hands; are you making plans?"
"Yes, the plan of an overture to _King Lear_."
"Who is this King Lear?"
"A wretched old English king," etc.
"You cannot possibly compose wandering about the beach with only a
pencil and paper and no piano; so tell me where you wish to go, and
your passports shall be made out."
"Then I will go back to Rome, and, by your leave, continue to compose
without a piano."
Berlioz finished the overture in May 1831, but it was years before it
made any success, and it has never been popular in France.
Some years afterwards Berlioz was invited to conduct a {51} concert of
his works at Loewenberg for the Prince of Hohenzollern-Hechingen. At
the rehearsal the orchestra played the score "with such spirit,
smoothness, and precision that I said to myself in amazement, not
having heard the piece for ten or twelve years, 'It is tremendous; can
I really have written it?'" I am quoting from Berlioz's autobiography.
The overture begins _andante_ with a bold theme for basses, and the
whole of the opening is composed in a much more simple manner than one
is accustomed to expect from Berlioz. A beautiful cantabile theme soon
appears on the oboe, the opening is repeated _fortissimo_, and then
comes the real Berlioz. This episode is fiery and _agitato_, leading
on to the beautiful Cordelia music. The rest of the work is very long
and complicated, but no new melodies are introduced. There are no
labels; each hearer must read his own meaning into it; but by keeping
the idea of Lear in one's mind it is not difficult to get a very shrewd
notion of what the composer is driving at.
+Konradin Kreutzer+ composed an opera on this tragedy entitled
_Cordelia_. It is in one act, the libretto by P. Wolff. It was first
produced at Donaueschingen in 1819. The composer was born at Baden in
1780, and was a prolific writer. The only number I can find is the
overture, which is an ordinary straightforward composition, that
suggests Cordelia just as much as it would Julius Caesar or Charlie
Chaplin; I cannot understand why such music should ever be written.
In the _Athenaeum_ of June 8, 1912, occurs the following passage:--
"According to _Le Menestrel_, a complete libretto of _King Lear_ in
+Verdi's+ handwriting has been discovered among his papers. This
confirms the report that he had intended to write an opera on the
subject."
_Antonio Bazzini_, the eminent violinist, composed a fine concert
overture to _King Lear_, which was performed {52} twice at the Crystal
Palace--in 1877 and 1880. It is really more of a symphonic poem than
an overture, but it has no definite programme. Most of the work is
very sombre and grim, as befitting its title. I have rarely seen a
more restless work from the point of view of _tempo_, and its tonality
is constantly changing. It is not in the least the kind of work one
would expect from the composer of the popular "Ronde des Lutins" for
violin, which is the only piece of his generally known here; but
Bazzini was really a serious-minded composer, and was Professor of
Composition in, and subsequently Director of, the famous Conservatoire
of Milan. This overture is one of his mature works, and, though the
themes are obviously of Italian origin, the development of them shows
signs of German influence. The whole work is very interesting and
uncommon.
+Felix Weingartner+, whose symphonic poem _King Lear_ is, after
Berlioz's overture, the most important work on this subject, was born
at Zara (Dalmatia) in 1863, and is one of the most distinguished of
living conductors. The score was published in 1897, and performed in
England at the London Musical Festival on May 2, 1902. The composer,
in his own account of the work, says that it is not to be regarded as
depicting the march of events as they occur in the drama (after the
manner of programme music), its form being designed rather on the lines
of early examples of the overture. The poem opens with a broad
_fortissimo_ theme, showing the King in his pomp and state. This is
followed by a crawling theme, signifying the malignant attitude of many
at the Court. These two subjects struggle together, with a third, the
love theme, hovering over all. The _motif_ of the King in his glory is
repeated, but this time the evil influence music gets the better of it.
A beautiful theme follows--Cordelia; but the King does not understand
it, and soon Lear curses his daughter in a fine dramatic passage. This
section is succeeded by a terrific storm, with thunder and lightning;
the King's theme is {53} played in a wildly contorted form to show that
he has become mad. The beautiful Cordelia music now comes to comfort
him, and the two are reconciled, but their happiness does not last
long. The work ends most tragically. The whole is a very reverent and
masterly attempt on the part of a first-rate musician to set down in
musical notation the effect of this stupendous tragedy on a
finely-balanced brain.
{54}
MACBETH
Of the tragedies, _Macbeth_, for some strange reason, is more
associated with incidental music than any of the others. "The
celebrated music introduced into the tragedy of _Macbeth_, commonly
attributed to +Matthew Locke+," as Novello describes it in his edition,
is associated in the minds of a great number of people with
Shakespeare's play. I have known the work since I was a child. It
used to be very popular at village and school breaking-up concerts. I
never could understand its village popularity, but I know boys liked
some of the strong words in it, and sang them with great gusto. It was
sung in nearly all stage productions until about twenty years ago, and
is very much missed by local choristers when not performed with the
piece on tour. I remember how very disappointed the local
chorus-master was to find that Sir Frank Benson was not using it in his
later years. The chorus-master thought its absence would spoil the
whole play. I have been through the text of Davenant's version, to
which Locke wrote the music, and can discover only four consecutive
lines and some odd words of Shakespeare's in the whole work. How it
persisted through all those years is a great mystery. The music is not
even interesting. The four lines immortalised are:--
Black spirits and white,
Red spirits and gray,
Mingle, mingle, mingle, mingle,
You that mingle may.
For many years this music was falsely attributed to Purcell, but
musical historians have finally cleared Purcell of all {55} connection
with it; though long ago he got even with Locke by writing an elegy on
his death. Daniel Purcell, uncle of Henry, also wrote some _Macbeth_
music.
+John Eccles+ wrote music for a revival at Drury Lane in 1696; and
+Richard Leveridge+, composer of "The Roast Beef of Old England" (a
song which should be popular if revived now) and "All in the Downs,"
also wrote music for the second act in 1708.
To come to more modern times, +Sullivan's+ music is perhaps the best.
Composed for Sir Henry Irving's great production at the Lyceum, it was
an instant success. The overture, a very elaborate work, is often done
on concert platforms. The whole of the music is most effective, and
perfectly suited to the play. Subsequently, Sir Henry gave readings of
the play on tour with Ellen Terry, for which they travelled a full band
of sixty performers for Sullivan's music.
+Michael Balling+, one time musical director for Sir Frank Benson, and
subsequently for Cosima Wagner at Bayreuth, where he conducted _The
Ring_ and _Parsival_, composed some very clever music for his old
chief's production, very modern in feeling and permeated with Scottish
atmosphere: the Witch music being very grim and mysterious, and in the
cauldron scene very clearly bringing in a suggestion of Locke's
"Mingle, mingle." The Banquet music (strings only) is bagpipey, and
the marches for Macbeth and Macduff are stirring and in strong
contrast, while there is fine battle music for the close.
Unfortunately, he wrote no overture or _entr'actes_.
Several operas have been founded on this theme, the most notable being
+Verdi's+ _Macbetto_, produced on March 17, 1847, at the Pergola,
Florence. Unfortunately, Verdi was not so lucky in his librettist as
he was in the cases of {56} _Otello_ and _Falstaff_, when he had the
invaluable assistance of Arrigo Boito, perhaps the greatest librettist
who ever lived, with the exception of Wagner. Piave's book is not very
inspiring. The opera was never a success. Verdi could not see Macbeth
as a tenor, and bravely made him a dramatic baritone. The Italian
could not understand a grand opera in which the hero was not a tenor;
and the only tenor, Macduff, comes on late in the evening. It is a
great pity, as there is much fine music in the work, though very little
of Shakespeare's _Macbeth_ gets through. The very Italian singing and
dancing witches seem out of place on a blasted heath, and the ballet of
Scottish retainers savours of a warmer clime than that of the North of
Scotland. Still, the work should be revived.
+Hippolyte Andre Jean Baptiste Chelard+ was born in Paris in 1789, and
subsequently won the Grand Prix de Rome. He was one of those
Frenchmen, like Berlioz later, whose music was thought little of in
Paris but was much admired in Munich and London. The adaptation of
this play for the French lyric stage was not suitable, especially at
the Opera House, where the action and words are the most important
things to the public; and Chelard found that his harmonies, simple
enough to our modern ears, were too complex for the Parisian audience.
He left Paris and went to Munich, where he revised the whole opera most
carefully, and made a great success of it; the result being that he
became Court Capellmeister and dedicated the score to the Bavarian
King, his patron. The rest of his life he divided between failure in
Paris and success abroad, again very like his so much greater
compatriot, Hector Berlioz. In this opera, for the first time, so far
as I know, the witches are given names--Elsie, Nona, and Groem. I
think the last a good name for a witch, but I should not dream of
calling Shakespeare's first or second witch Elsie or Nona. I don't
think Rouget de Lisle, the librettist, better known as the poet and
composer of the "Marseillaise," ought to have done this. The opera is
in three acts, and opens with the {57} conventional overture of the
period--as composed by second-rate musicians, quite harmless; but one
expects something more from a _Macbeth_ overture. The Witches have
some effective trios, some of them unaccompanied; and one of their
motives was used by Liszt, who knew Chelard at Weimar, and taken from
Liszt by Wagner for use in the _Walkuere_. It comes quite as a surprise
in its original place in this _Macbeth_. _Macbeth's_ march is fine and
sombre, and the ballet music is quite exciting. One number is marked
_tempo d' inglese_, though why a Franco-Scottish dance, produced in
Germany, should be in English time I cannot understand. The choruses
are broadly written, and the music, though mostly very florid, is often
dramatic. There is a tremendously difficult and florid song for
mezzo-soprano in the third act for a character called Moina, a friend
of Lady Macbeth, and the prelude to this act is a long duet-cadenza for
harp and flute. It has nothing to do with the plot, and must have been
put in to please two friends who were excellent players or had valuable
patrons. The librettist does not stick too closely to Shakespeare's
story; in fact, he gives Duncan a daughter, the Moina just mentioned,
and introduces the Sleep-walking scene before Duncan's death. When the
opera was performed in London in 1832, Mme. Schroeder-Devrient, for so
long Wagner's favourite singer, actress, and companion, sang the part
of Lady Macbeth.
An amusing story is told of Chelard's _Macbeth_ by FitzGerald, Tenderer
into English verse of the _Rubaiyat of Omar Khayyam_. In one of his
letters to the celebrated actress, Fanny Kemble, niece of John Philip
of that name, he writes: "You may know there is a French opera of
_Macbeth_, by Chelard. This was being played at the Dublin
theatre--Viardot, I think, the heroine. However that may be, the
curtain drew up for the Sleep-walking scene; Doctor and Nurse were
there, while a long mysterious symphony went on--till a voice from the
gallery called out to the leader of the band, Levey--'Whist, Lavy, my
dear--tell us now--is it a boy or a girl?'"
{58}
Surely the world's operatic tragedy is that +Beethoven+ never completed
his _Macbeth_. He composed sketches for an overture and chorus to
libretto by J. von Collin, who also, as we have seen, wrote the play
_Coriolan_, which inspired one of Beethoven's greatest overtures.
+Wilhelm Taubert's+ opera _Macbeth_ was produced in Berlin in 1857,
libretto by F. Eggers. It is in five acts, and begins with an overture
in Scoto-German style. The curtain rises on the blasted heath, the
three witches, two sopranos and one alto, singing in a very spirited
manner. Macbeth enters, and the music closely follows the original
plot. The second scene is in Macbeth's castle at Inverness, Lady
Macbeth being discovered alone, having received her husband's letter.
This is really very dramatic music; and when a servant announces that
Duncan is coming that very night, Taubert gives one a fine thrill.
Duncan enters and is heartily cheered by Macbeth's retainers, and all
exit save Macbeth and his lady, who soon make arrangements for King
Duncan's long sleep. The act ends _pianissimo_ in a sombre manner. In
the second act there is much festal music, a great procession of bards
playing harps, and much singing of "Hail, Macbeth, hail!" Now comes a
Scoto-German characteristic dance, towards the end of which Macbeth
hears from the murderer that Banquo is dead, but that his son has
escaped. The music gets louder and wilder at the end of this dialogue,
and the dance finishes with great abandon.
Macbeth summons his guests to the banquet, and Macduff (tenor), with
harp, sings a song in praise of Scotland and Macbeth, the chorus
joining in heartily. At the end of the song Banquo's ghost appears and
spoils Macbeth's party. This act also ends _piano_, Lady Macbeth
taking a very remorseful Macbeth to have a nice quiet rest.
The third act takes place in the Witches' cave. Hecate (tenor) and
chorus are with the Witches. Macbeth enters and is told about Birnam
Wood. The music here is very impressive. The Witches raise up the
ghosts of the eight {59} kings, and they pass Macbeth to a sort of
funeral march; this also is very striking. The scene ends with a
terrific hubbub, which gradually dies away, the curtain rising on
Birnam Wood and a male chorus singing "O Scotland, poor fatherland, how
has fate treated you!" It is a very sentimental bit of work, and must
often draw tears; but I don't think real Scotsmen would be caring about
it. After this sad opening we are prepared for Macduff's entrance. He
is full of the news of the murder of his wife and children, and is very
vocal about it. The chorus sympathise, and the act closes by Malcolm,
Fleance, Macduff, and male chorus vowing vengeance on Macbeth. The
third act begins with the Sleep-walking scene. The doctor and
lady-in-waiting are there, and presently Lady Macbeth enters, and,
keeping closely to the original text, the act finishes again
_pianissimo_. The scene of the last act is in a chamber near
Dunsinane. A harper sings a good imitation of a Scottish song, and
then the Wood of Birnam seems to move nearer and nearer. Lady Macbeth
appears in the last scene of all, and sings a very dramatic aria,
welcoming the advent of the Birnam Wood, and firmly believing in the
immortality of Macbeth; but Macduff kills him, and all he says to his
wife is "Farewell, my wife, Eternal sleep is welcome." The Witches
make a short appearance here, singing "He had the crown, we have the
King," and Malcolm is crowned; and the chorus spread themselves,
hailing their new King. By this time they must have become accustomed
to hailing new kings. Already they have sung in praise of Duncan and
Macbeth, and now, quite easily, they adapt their vocal transports to
Malcolm, and are very Scoto-Germanic in their efforts. Still, the
opera has very good points, and should not die.
The latest opera on this subject is the gigantic lyric drama in a
prologue and three acts, each act having two scenes, by +Ernest Bloch+,
poem by Edmond Fleg, after Shakespeare.
This work was produced at the Opera Comique, Paris, {60} 1910, under
the direction of Albert Carre. I can find nothing about the composer
in any dictionary of music, but, judging from the score, he is a modern
of moderns. The work is planned on an heroic scale, and is appallingly
difficult to perform, the time and key changing, sometimes every bar,
during long passages: moreover, the composer seems very fond of putting
in an odd five-four bar unexpectedly. The opera opens with a prelude,
depicting the blasted heath, and the witches enter one by one. They
are, severally, soprano, mezzo, and contralto. During their trio
distant drums and muted trumpet are heard announcing the near presence
of Macbeth, Banquo, and the army. They gradually get nearer, and
finally, with a burst of grim, significant music, the mortals enter to
three horrible chords and a sinister figure in the bass. At the words,
"Glamis, and thane of Cawdor! The greatest is behind," the orchestra
plays a solemn theme curiously reminiscent of the Valhalla _motif_ in
Wagner's _Ring_. So ends the prologue; the orchestra conveys one to
Macbeth's castle, and the curtain rises just as he has finished telling
Lady Macbeth about his interview with the three witches on the heath.
This ingenious device saves the time generally used in the latter
scene, and also saves the audience hearing Macbeth's account of his
meeting with the Witches, which they have already heard. Further, it
allows Macbeth to be present when the servant announces the advent of
King Duncan, which makes a strong dramatic point, and is admirably
emphasised by the fine Duncan theme ringing out in the brass. It would
take hundreds of pages to explain in detail this enormous and
complicated work, so I will just touch on a few points of outstanding
interest. Duncan's entrance is finely managed, and his dignified
thanks and praise of Macbeth and his lady are calmly and peacefully
set, in great contrast to all that has gone before. In the duet
(Macbeth and Lady Macbeth) which follows, the composer emphasises the
scorn of the lady for her undecided husband, and the passage, "I have
nourished children at my breast, and I know it is sweet," has a {61}
concentrated bitterness in it that is not often found in music. A very
elaborate and beautiful orchestral scene-change interlude, founded on
the Duncan theme, quiet and very calm, brings us to a court in
Macbeth's castle. It is moonlight, and all is still until Macbeth
begins the dagger soliloquy, which is set with great force. The
Porter's song is very elaborate, and the composer has an explanation,
in a footnote to the score, in which he says: "The character of the
song of the Porter is this:--The Porter is drunk. He really hears the
knocking. He listens, but his troubled brain confuses reality and
fiction, and the hammering blows awaken in him the memory of a familiar
song. In each verse you get a suggestion of this old song, and only at
the last verse he realises that he must open the door." The situation
is held with great intensity. The song is long; there are three
verses, each richly varied, and I should think it is one of the most
difficult songs to sing ever written. A great _ensemble_ number, for
principals and chorus, very dramatic and brilliantly written
technically, nearly finishes the act; but by a happy device the crowd
rush into the King's chamber, leaving the stage empty save for an old
man. The music fades away, the great bell continues to toll, and the
ancient sings, very quietly, "I can recall all that has happened for
seventy years; I have seen terrible hours and strange things, but I
have never seen a night comparable to this night." (I translate
roughly.) Curtain falls slowly.
The second act opens in Macbeth's castle, himself as King. The opening
orchestral introduction is very regal, but Macbeth's subsequent
soliloquy shows how doubtful he is of himself. A fine series of
fanfares brings on Lennox and his followers to the banquet. The music
for the appearance of Banquo is most suggestive; in fact, in suiting
the music to the words or situation Bloch is never at fault. The last
Witch scene, with the procession of kings, is awe-inspiring, as is Lady
Macbeth's sleep-walking scene and Macbeth's "to-morrow and to-morrow"
monologue. The tragic feeling never ceases until the very death of
Macbeth, when the curtain falls slowly.
{62}
This is, I know, a very inadequate description of a most tragic opera,
but I have no more space. There are no separate numbers, save the
Porter's song, which could be detached from the rest of the work. The
opera must be taken as an entity or not at all. There are no attempts
at sustained, beautiful melody; everything is sacrificed to the drama.
There are no effective bits from a singer's point of view, and Mr
Arthur Godfrey would have some difficulty in writing a really popular
selection founded on this work. For a perfect performance, wonderful
acting, singing, orchestral playing, and _mise-en-scene_ are absolutely
essential. It requires months of the most careful rehearsal, but the
result would justify all the time and labour spent over it. It should
be a great privilege to take the smallest part in a performance of such
a stupendous tragedy.
It is the general custom of amateurs to sneer at +Spohr+. True, he was
the finest classical violinist of his time, but that cannot account for
the general abuse from which he suffers: there must be something else.
The something else seems to me to be the curious foresight he had with
regard to Richard Wagner's works. When no one, save Liszt, would hear
them or of them, dear old-fashioned classical Spohr risked his whole
reputation to produce operas by this young art--and
practical--revolutionary at his theatre at Cassel. There was something
very splendid about him. Among the enormous quantity of music he has
written there is one overture, "Macbeth," to which I wish to draw
attention; it is short, it is conventional, but there is a lot of the
real feeling of _Macbeth_ in it. I don't say for an instant that this
is an epic, but it is a very excellent piece of work and quite worthy
of the great man, if not great composer, who devised it.
In some editions of +Robert Schumann's+ pianoforte works the
"Novelette," op. 21, No. 3, is headed with these words from _Macbeth_:
"When shall we three meet again?" They certainly fit in with the first
phrase of the movement, {63} and the whole sounds very like a witches'
dance, but there is no mention of the words in Peters' edition. I hope
it is true, as that gives us another piece of Schumann's Shakespearian
music in addition to the _Julius Caesar_ overture and the last Clown's
song from _Twelfth Night_.
+Raff's+ "Macbeth" overture is quite one of his most successful works.
It opens with a dance of the Witches, mostly for flute and piccolo at
first, but getting very wild later; then there is a sort of dialogue
between Macbeth (wood wind and horns) and Witches (their own dance).
These themes are developed with considerable skill, and a new one (Lady
Macbeth) is added, as are some odd little bits of a sort of Scottish
character. There is fine fight-music near the end, and the final
triumph of Macduff is celebrated with a very cheerful noise. This
overture would make an admirable opening for an elaborate stage
performance of _Macbeth_.
+Henry Hugo Pierson+ was an English composer, born at Oxford, 1815, but
is still unknown to the majority of his fellow-countrymen. After
leaving Cambridge he studied in Germany, where he became very intimate
with Mendelssohn. Meyerbeer, Spohr, and Schumann were all his friends
and admirers; and in 1844 he succeeded Sir Henry Bishop as Professor of
Music at Edinburgh, but very soon resigned, and settled down in
Germany, marrying a German literary lady, Caroline Leonhardt. The
inordinate Mendelssohn-worship of his day rendered England a difficult
home for a modern English composer: so he changed the spelling of his
name from Pearson to Pierson, settled down in his adopted country, and
died at Leipsic, January 18, 1873.
His symphonic poem, "Macbeth," op. 51, was once performed at the
Crystal Palace concerts, but has been very thoroughly neglected since.
It is real modern programme music, and scored for a very large
orchestra, including a solo part for the cornet-a-pistons and a
military drum. The symphonic poem opens at Act ii., Scene 2, and is
headed {64} with the words, "Hours dreadful and strange things." The
music is very slow and mysterious, but works up to a climax on the
words of the Witches, "Fair is foul and foul is fair." Then comes,
very _piano_, "The March of the Scottish Army"--a most characteristic
piece, the tune on the high wood wind, drones on the bassoons, and
great use made of the military drum. This works up to a tremendous
_fortissimo_, and dies away mysteriously before Banquo's words:--
What are these,
So withered and so wild in their attire,
That look not like th' inhabitants o' th' earth,
And yet are on't?
A curious and interesting effect is here made by the tenor trombone,
clarinet, and cornet taking the parts of the three witches, and playing
the themes that fit what the Witches are supposed to speak. I mean the
three "All hail" speeches. The orchestration is full of sinister
mystery here; but, on Macbeth's words, "Two truths are told As happy
prologue to the swelling act Of the imperial theme," the music becomes,
for a time, triumphant, though very wild, and breaks off suddenly for a
Lady Macbeth scene. She is reading Macbeth's letter, and these words
are printed in the score: "This have I thought good to deliver thee.
Lay it to thy heart, and fare thee well." The subjects here used are
the Witches' prophetic theme and a passionate Lady Macbeth one. All
the music in this section is highly emotional, dramatic, and
brilliantly clever. On Macbeth's words, "If it were done when 'tis
done, then 'twere well It were done quickly," a gruesome little passage
for strings and bassoons heralds the King's feast music, consisting of
curious disjointed wood-wind passages, till Macbeth's words, "Is this a
dagger which I see before me?", when the music seems to drive him to
the murder. After the words, "Hear it not, Duncan; for it is a knell
That summons thee to Heaven or to Hell," there are two intensely
dramatic bars; and then, _pianissimo_, is heard the Witches' prophetic
_motif_ on the cornet and horn--a fine {65} bit of musical
word-painting. Now comes the longest episode in the work, a
magnificent Witches' dance, the composer employing nearly every
resource of the modern orchestra. Then, in the distance, is heard the
march of the English army, very stirring and martial. At the end of
this passage, Macbeth says: "It's ripe for shaking, and the powers
above Put on their instruments." Here a great stirring is made in the
orchestra, and a cry (violin solo) is heard:--
_Macbeth_: Wherefore was that cry?
_Seyton_: The Queen, my lord, is dead.
Very piteous and poignant music is used in this passage, broken in upon
by the strains of battle. At the words, "Blow, wind, come, wrack! At
least we'll die with harness on our back," the music dies down for the
familiar dialogue between Macbeth and Macduff concerning the
gynaecological manner of the latter's birth, and a few more bars of
fight music finish off the former. The sound dies down. The prophetic
theme is heard very faintly on the trombone and finally on the horn;
the music gets softer and slower, and so fades away.
I have written at special length about this composer, because it seems
so strange that an English musician, a Harrow and Cambridge man, and a
pupil of Attwood and Corfe, should have been so much in advance of his
time and especially of his country. Born, as we saw, in 1815, he was
only six years younger than Mendelssohn, and forty years old when Sir
Henry Bishop died. He was four years younger than Liszt, and doubtless
got the general idea of the symphonic poem form, or want of form, from
the elder master. He was two years younger than Wagner, yet his
earlier compositions are far in advance, musically, of Wagner's early
work. It seems deplorable that this remarkable English composer should
be so utterly ignored by his countrymen.
+Richard Strauss's+ magnificent Symphonic Poem on this theme must take
a very high place in the musical {66} commentary on _Macbeth_. It is
scored for the largest possible orchestra, and every known musical
device in orchestration or harmony is to be found in this enormous and
complicated score. The poem begins sombrely, but almost at once there
breaks in a short fanfare, which occurs repeatedly throughout the work.
Immediately after the fanfare the first subject is announced on the
brass, and the whole work gets going. Strauss prints a short speech of
Lady Macbeth's beginning, "Hie thee hither, that I may pour My spirits
in thine ear; And chastise with the valour of my tongue All that
impedes thee from the golden round." In the score the music here is
marked "wildly _appassionato_," though _pianissimo_ (Strauss here uses
the device of _tremolo_ strings playing on the bridge with great
effect). Afterwards he introduces a long, broad, and very beautiful
theme, the sort of theme which his detractors are always challenging
him to write, and which he is always writing. Strauss gives no
definite programme in his score, and it is up to anyone hearing it to
make his own; but one could not go very far wrong. There is no need to
describe the various developments, thematic and harmonic, which take
place in the themes before the end of this work. It is long. Ninety
pages of closely printed full score take some time to play, and a
longer time to describe in detail: so I content myself with saying that
anyone can get a fine, convincing picture of the life and death of
Macbeth by hearing this work and not bothering whether a certain theme
means Duncan, Bloody Child, Bleeding Sergeant, Macbeth, or Lady Macbeth.
{67}
MEASURE FOR MEASURE
+Wagner's+ one known contribution to Shakespearian music is his two-act
opera, _Das Liebesverbot_, founded on _Measure for Measure_, and not,
as so many people think, on _Love's Labour's Lost_. It is his second
complete opera, and, for reasons I will explain later, was only once
performed; now, seeing that the composer, according to some
authorities, apparently destroyed all of it except a couple of numbers,
it may never be done again. Wagner planned the libretto during the
summer of 1834, while on holiday at Teplitz. He had lately heard
Auber's _Masaniello_ at Leipsic, and was astonished at the effect of
the striking scenes and rapid action of this opera. Could he not
improve on Auber's music and produce an opera in which the action
should be equally swift? He took _Measure for Measure_, changed the
scene from Vienna to Sicily, "where a German governor, aghast at the
incomprehensible laziness of its populace, attempts to carry out a
puritanical reform and lamentably fails." (The words in quotation
marks are taken from Wagner's article on this opera in volume vii. of
his prose works, as with the other quotations that follow.)
The score of the opera was finished while the composer was musical
director at the town theatre of Magdeburg, during the winter of
1835-36. Wagner had the right to claim a benefit performance, and,
having an excellent troupe of singers at his disposal, decided to
produce his opera at this benefit. "In spite of a royal subsidy and
the intervention of a theatre committee, our worthy director was in a
perennial state of bankruptcy," says Wagner, "and before the end of the
season the most popular member of {68} the company, in spite of the
unpunctuality of the payment of their salaries and the offer of better
engagements elsewhere." Wagner modestly says: "It was only through my
being a favourite with the whole opera company that I induced the
singers not merely to stay until the end of March, but also to
undertake the study of my opera, most exhausting in view of the
briefness of the time." He only had ten days for all the various
rehearsals. He says: "Notwithstanding that it had been quite
impossible to drive them into a little conscious settledness of memory,
I finally reckoned on a miracle to be wrought by my own acquired
dexterity as conductor." This does not bear out the general opinion
held in London as to Wagner's conducting. During his season as
conductor of the Philharmonic in 1855, he had very severe opposition
with which to contend, especially that of the musical critics Chorley
and Davison (the _Athenaeum_ and the _Times_); but I should think Wagner
was a pretty useful conductor, to judge from his article about
conducting. Wagner kept the company together at rehearsal by singing
all their parts and shouting the necessary action, forgetting that this
could not be done at the public performance. At the general rehearsal
Wagner's conducting, gesticulation, shouting, and prompting kept things
together, but at the performance, before a crowded house, there was
utter chaos.
Unfortunately, Wagner had allowed the manager, Herr Bethmann, to have
the receipts of the _premiere_ as his benefit; and at the second
performance, Wagner's benefit, there were few in the audience, and a
free fight, amusingly described by him, was waged behind the scenes.
It takes Wagner six pages of closely printed prose to give a _resume_
of the plot, and it would be impossible in my present space to do more
than comment on some of the changes. The Duke, who is the most
indefatigable talker in Shakespeare's play, becomes a King, who never
even appears. Angelo becomes a German Governor, who tries to foist
German puritanism on the hot-blooded Sicilians. There is no moated
grange for Mariana, who in Wagner's version is {69} a fellow-novice of
Isabella. Neither King nor Duke ever appearing, Isabella marries
Lucio--a strange alteration to make. Isabella, to save her brother
Claudio, arranges an appointment with the German Governor at the
Carnival (Wagner's idea), and sends Mariana instead. They are
discovered, and the Governor expects to be executed for his
ill-treatment of Mariana, when news is heard of the King's arrival in
harbour. In Wagner's words, "Everyone decides to go in full carnival
attire to greet the beloved prince, who surely will be pleased to see
how ill the sour puritanism of the Germans becomes the heat of Sicily.
The word goes round! Gay festivals delight him more than all the
gloomy edicts. Frederick, with his newly married wife Mariana, has to
head the procession; the novice, Isabella, lost to the cloister for
ever, makes the second pair with Lucio." This is Wagner's ending, and
anyone who knows the original text can get a fair idea of his
alterations.
With the few, but very important, exceptions I have mentioned, he
sticks fairly closely to Shakespeare's text. In regard to the troubles
concerning the production, much has been amusingly written by Wagner.
The police took offence at the title "Forbidden Love." The production
was for the last week before Easter, when only serious pieces were
performed. Wagner assured the magistrate that it was founded on a
serious play by Shakespeare, and, not having read further than the
title, the official passed the opera on condition that the title was
changed to _The Novice of Palermo_. Wagner says: "In the Magdeburg
performance, remarkably enough, I had nothing at all to suffer from the
dubious character of my opera text; the story remained utterly unknown
to the audience, on account of its thoroughly vague representation."
Of his benefit performance the composer says: "Whether a few seats were
filled at the commencement of the overture I can scarcely judge. About
a quarter of an hour earlier the only people I could see in the stalls
were my landlady and her husband, and, strange to say, a Polish Jew in
full costume! I was hoping for an increase in the audience {70}
notwithstanding, when suddenly the most unheard-of scenes took place in
the wings. The husband of my primadonna (Isabella) had fallen upon the
second tenor, a very pretty young man, who sang my 'Claudio,' and
against whom the offended husband had long nursed a secret grudge. It
seems that having convinced himself of the nature of the audience when
he accompanied me to the curtain, the lady's husband deemed the
longed-for hour arrived for taking vengeance on his wife's admirer
without damage to the theatrical enterprise. Claudio was so badly
cuffed and beaten by him that the unhappy wretch had to escape to the
cloak-room with bleeding face. Isabella was told of it, rushed in
despair at her raging husband, and received such blows from him that
she fell into convulsions." There was a general free fight, all the
company paying off old scores. The principals were unable to proceed
with the performance, the manager made the usual speech about
unforeseen obstacles, and the performance did not take place. This is
the correct account of the exciting second and last performance, told
almost in Wagner's own words, of the composer's only Shakespearian
opera.
Of the music, Grove says the score is in the possession of the King of
Bavaria at Munich. In the British Museum there is a copy of a carnival
song and chorus, very bright and spirited, but with no trace of the
later Wagner. There is also a "Carnival scene" for pianoforte, founded
on motives from the opera, by Geo. Kirchner. Unfortunately, the first
half of this fantasia is the song I have just noticed, with elaborate
bravura passages for the piano, but the middle episode is much more
like the real man. It is a fairly slow, melodious passage, full of
interesting modulations, quite foreshadowing what the composer might
do. If the rest of the work is up to this form, and if the score is
really in Munich, I hope that it will be published, and performed with
better luck than at Wagner's "benefit."
As there has been so little music composed for this play, I will give a
short account of as many settings as I can find of the solitary lyric
contained in it. Probably the {71} first setting of these words was by
+Dr John Wilson+, born at Faversham, 1595, who is supposed to have sung
Balthazar in _Much Ado About Nothing_, and other similar parts, and to
have been mentioned by name in the First Folio edition of Shakespeare's
plays.
In this edition (1623) the stage direction runs, "Enter the Prince,
Leonato, Claudio, and Jacke Wilson." This particular song is published
in Playford's _Select Ayres and Dialogues_, published in 1659 for one,
two, or three voices, to the theorbo-lute or bass-viol. The words are
beautifully set to a quaint and pathetic air, and there is no verbal
repetition. Dr Wilson adds the second verse, "Hide, O hide those hills
of snow," by Fletcher, to make the song an ordinary length, without
futile repetition.
The next setting is by +John Weldon+, pupil of Henry Purcell, born at
Chichester, January 19, 1676, and educated at Eton. This song is
interesting, but very florid, and the words are dreadfully ill-treated.
Weldon only sets the verse attributed to Shakespeare. The music was on
sale at "The Golden Harp and Hoboy" in Catherine Street. Our
music-sellers do not call their shops by such pretty names now.
Next on our list comes +Johann Ernst Galliard+, happily named as a
composer of theatre music, one of our earliest German "peaceful
penetrators." Born at Zelle, Hanover, in 1687, he soon emigrated to
England, where he successfully composed operas and much dramatic music,
including this pretty little song, which was published in 1730. He was
organist at Somerset House, and, I suppose, played the organ while the
clerks filled in birth certificates and made out income-tax forms. He
died in London in 1749.
+Thomas Chilcot+, composer of the next version of these words, was
organist at Bath Abbey from 1733 until he died (1766). This song was
published in 1745, and is a good example of the period, slightly
florid, but very melodious, {72} with a charming accompaniment for
stringed orchestra. It is a song that would repay careful study on the
part of a high tenor. The second Fletcher verse is added in this
version.
Of +Christopher Dixon+, the composer of the next setting, no mention is
made in Grove's _Dictionary of Music and Musicians_, and all that seems
to be known of him is that he was called "of York," and some cantatas
and songs of his are in the British Museum Library. This song,
published in 1760, has a flowing, rather sad melody, and the second
verse is again used.
A glee for male voices to these words was published about 1780. It was
composed by either +Tommaso+ or +Giuseppe Giordani+, two
composer-brothers--probably by the former, who was born at Naples in
1740 and migrated to Dublin in 1761, and wrote a great deal of music to
English lyrics. This glee is a charming setting. The part-writing is
always graceful, and often very ingenious, the inner parts melodious
and interesting, and the whole effective. The composer has adapted
this glee for mezzo-soprano solo with harpsichord accompaniment, and a
very pretty song it makes.
+Jackson of Exeter+, as he was generally called, who wrote the
celebrated church service known as Jackson in F, has set these words as
a duet, with harpsichord accompaniment. The first verse only is taken,
but the composer "rings the changes" on the words to such an unhappy
extent that it makes quite a long number. Simple, melodious, and
graceful, like nearly all of Jackson's secular music, it is not of much
value as a serious setting of the words. Strangely enough, it is
marked _allegro molto_, and, should this instruction be carried out
literally, the effect would be very curious, taking the words into
consideration. The composer was born at Exeter in 1730, and this duet
was published in 1780. He was a {73} keen landscape painter, and
imitated the style of his friend Gainsborough.
+W. Tindal+, whose setting was published in 1785, is not mentioned in
Grove's _Dictionary_, and seems to have composed very little music.
Six vocal pieces, of which this is No. 2, and eight English, Spanish,
and Scottish ballads, one of which is a quaint setting of part of
Hamlet's love-letter, "But never doubt I love," are all the
compositions of his I can find. This duet is full of clever bits of
imitation and good contrapuntal part-writing, and is melodious as well.
Tindal also repeats the words almost _ad nauseam_, and only uses the
first verse.
+Sir John Andrew Stevenson+, Mus.D., composed a glee on these words,
which was published in 1795, but is of no great merit.
All that I can discover about +Luffman Atterbury+ is that he was a
carpenter before he became a musician, was a musician-in-ordinary to
George III., sang at the Handel commemoration of 1784, and died in
1796. He composed one beautiful piece of music, a round in three parts
to the first verse of these words, which is really a perfect gem. The
melody is simple and beautiful, the counter-melodies are equally
taking, and the part-writing is very skilful. What more can one desire?
{74}
THE MERCHANT OF VENICE
Very few composers seem to have been attracted by _The Merchant of
Venice_, though in the last act occurs one of the most beautiful
eulogies of music in the world--the lines are too familiar to quote. I
can only trace two operas on the subject. The first is _Il Mercante di
Venezia_, by +Ciro Pinsuti+, produced at Bologna, November 8, 1873. It
is in four acts, and the libretto is by G. T. Cimino, who very freely
adapted Shakespeare's story. The work opens with a short
overture-prelude of no very great importance, and the curtain rises on
a street in Venice with chorus singing and gondolas floating by.
Presently Portia appears in a gondola with the Prince of Morocco,
playing the lute. She sings a greeting to Venice and its inhabitants,
and exits with the Prince, who has not a singing or speaking part in
the opera. But Bassanio and Antonio have observed her, and the former
has fallen in love with her and tells Antonio about it. They exit, and
the chorus, cunningly knowing that Shylock is about to enter, sings a
derisive anti-Semitic song. Shylock tells them that he is following a
really inoffensive industry, but no one seems to believe him. It would
be wearisome to follow the plot too closely here. Shylock has a
terrific aria about his daughter's elopement, after which the pound of
flesh contract is made; and this scene is really impressive. Then
there is a long trio between the three--Shylock, Antonio, and
Bassanio--which makes a brilliant finale to the first act.
Act ii. opens at Belmont. Portia is wondering about her father's will,
and she sings quite a long and florid song {75} about it. Bassanio
enters and declares his love, and a long and impassioned duet follows,
at the end of which is a lengthy fanfare, succeeded by the strangest
caricature of Mendelssohn's Wedding March I have ever heard. The
rhythm is exactly the same, and the melody and harmony are almost
identical. This brings on poor Morocco again. The casket business,
very much shortened, takes place, and Bassanio, as usual, wins. Then
comes the March again, this time quite frankly called "Marcia Nuziale,"
and the act finishes with the bad news of Antonio and Bassanio's
hurried exit to try to save him.
The third act discovers Shylock in a bad temper, still singing about
his daughter's elopement. (Really Shakepeare's construction was not
quite so bad as his adapters seem to think.) Afterwards a chorus of
Jews comes on and sings hymns at Shylock. This seems to make him even
more angry. The Trial scene is very much curtailed, and Portia "comes
to the 'osses" very much more quickly than Shakespeare lets her.
The fourth and last act opens with a long and elaborate choral ballet,
at the end of which (Jessica and Lorenzo being cut out) Portia and
company soon finish off the plot; but, for some probably operatic
reason, the full chorus is at Belmont, and, what is stranger, the
chorus of Jews break in on it with Yiddish hymns. At the back of the
stage a ship is seen on which is Shylock. The Jews and Christians
continue singing, but gradually the Christians win, the Jews dying away
as the Christians become more vociferous. So the curtain slowly falls.
It is a strange and interesting work, and not without some dramatic
touches. The themes are mostly cheap and _banal_, and there is little
or no dignity about the part of Shylock; but the work is noteworthy if
only for the fact that it is the only opera but one ever written or in
any way produced on _The Merchant of Venice_. Also Shylock has one
thing in his favour--he is not a tenor.
+Louis Deffes+, a French composer, born at Toulouse, {76} July 25,
1819, also composed an opera on this subject, in four acts, calling it
_Jessica_. The libretto is by Jules Ardevies. The work was first
performed on March 25, 1898, at the composer's birthplace. M. Deffes
was a pupil of the Paris Conservatoire, where he studied under Halevy
and subsequently won the Prix de Rome. The librettist has taken the
elements of his dramatic poem from Shakespeare's play, but has, owing
to musical exigencies, very much cut down the work. On the other hand,
he introduces a tragic denouement that had no place in Shakespeare's
drama. To this book the composer has written most moving and dramatic
music, which produced a deep effect on the audience when first
performed.
This opera was to have been called _Shylock_ and brought out at the
Opera Comique, where the work had been accepted; but circumstances
decided otherwise. Among the prominent numbers that stand out in the
first act are the song of Antonio, "C'etait le soir," and the fine
finale. In the second act Jessica has a charming cavatina, and a very
interesting duet with Shylock, who also has a fine song in this act.
In the third act, at the culminating point of the work, is a delicious
chorus of swallows (at the first performance beautifully sung by a
chorus of young lady pupils from the Toulouse Conservatoire); a poetic
dream reverie by Portia; and a charming ballet; the act ending with a
brilliantly written quintet. In the fourth act are serious songs for
Jessica and Shylock, the whole ending with a dramatic version of the
Trial scene. The first performance was a veritable triumph for the
composer, who, at the age of seventy-nine, an old pupil of the Toulouse
Conservatoire, an old Prix de Rome man, and the composer of a dozen
works produced in Paris, had returned to his native town to produce the
opera and to take over the direction of the school of music at which he
had begun his studies.
As regards incidental music, every production of this play must have
some. There must be masque music for {77} Lorenzo and Jessica to elope
to; there must be a setting of "Tell me where is fancy bred"; and
Portia has her own private orchestra at Belmont. But most of the
specially composed music for the _Merchant_ remains in manuscript.
+Sullivan+ wrote a very elaborate masque for the Calvert production at
Manchester, much of which is published. There is a long and very
Viennese valse, full of melody and grace, and a grotesque Dance for
Pierrots and Harlequins, with a highly comic cadenza for the bassoon.
The Bounce is the most familiar number, as it is frequently played as
an _entr'acte_ in the theatre. It is very attractive, but not at all a
bourree on the old accepted lines. There is also a melodious serenata
in the rarely used key of E flat minor. These few numbers are all that
have been printed.
+Engelbert Humperdinck+ wrote music for Reinhardt's production of this
play in Berlin at the Deutsches Theater. This version of the play
begins with a barcarolle sung by a tenor behind the act-drop as the
curtain goes up. This, oddly enough, is sung in Italian, and the words
are not by Shakespeare. Portia is discovered playing the lute in the
second scene, cleverly imitated by Humperdinck on the harp. Before the
second act is a very stately saraband. For the Prince of Morocco's
entrance there is no attempt at Eastern local colour. Obviously the
Prince in this version did not bring his own band, and trusted to
Portia's private orchestra for his effects, and they did not know his
national anthem; so he only gets an ordinary flourish, two trumpets and
kettledrums. The same thing happens to Aragon, only the fanfare is
different though in the same key. The march is very wild, working up
to a great climax, and then dying away to nothing. "Tell me where is
fancy bred" is set as a duet for soprano and contralto with female
chorus, and makes a beautiful number. After this there is nothing till
the last act. The curtain goes up to exquisite music, which lasts till
the end of the play. {78} It is very lightly scored, strings, harps,
solo violin, and horns, and every word can be heard through it: so it
makes a perfect ending for the whole play. I have never read of this
music being performed in England, but I can very strongly recommend it
to any future producer of _The Merchant of Venice_.
For Mr Arthur Bourchier's production at the Garrick +Frederick Rosse+
composed a great deal of music, some of which is published. It is very
good stage music, and admirably suited to the production it was written
for. There is a prelude to the first act, ending with a sort of
barcarolle; then a melodious intermezzo, entitled "Portia"; an Oriental
march for Morocco (evidently the Prince brought his own band for this
production); a second prelude, rather sickly sentimental; a good
stirring march for the Doge; and a pretty setting of "Tell me where is
fancy bred" for contralto, baritone, and harp--very serviceable and
useful music all of it. But somehow the play itself does not seem to
get the best out of musicians.
+Gabriel Faure+, the distinguished French musician, who composed the
fine incidental music for Mrs Patrick Campbell's production of _Pelleas
el Melisande_, also wrote incidental music to Edmond Haraucourt's
version of _The Merchant of Venice_, called by him _Shylock_. There
are not many numbers, but all of them are interesting. The first is a
prelude and serenade for light baritone to words of M. Haraucourt's;
very graceful and melodious, but unconnected with Shakespeare's plot.
The words begin, "Oh les filles, venez les filles aux voix douces."
The first _entr'acte_, in march time, opens with trumpets. There is a
flowing trio founded on the same subject, and then back to the
beginning for the close--a very pleasant little interlude. Now comes a
so-called madrigal, not in the English sense of a contrapuntal number
in several vocal parts, but a very pretty sentimental song, the words,
again by M. Haraucourt, "Celle que j'aime a de beaute," being {79}
charmingly set for baritone once more. The "Epithalme" or "Bridal
Song" is for orchestra only; it is a solemn adagio movement, almost too
sombre for such a comedy as M. Haraucourt makes of _The Merchant_. The
love music is in nocturne form, and is chiefly a duet for solo violin
and 'cello. The last number, headed "Finale," is a brilliant
quasi-scherzo movement in triple time--rather in the manner of a
valse-scherzo. This is the longest and most elaborate section of the
suite, finishing with a well-developed coda. Altogether Faure's
_Shylock_ is an interesting, though rather slight, addition to our very
scanty amount of music for this play.
{80}
THE MERRY WIVES OF WINDSOR
It is a curious thing that, though critics are unanimous in saying that
_The Merry Wives of Windsor_ is the weakest comedy Shakespeare ever
wrote, it has directly inspired one opera of first-class
importance--Verdi's _Falstaff_, by some considered the finest comic
opera in the world; also Nicolai's _Merry Wives of Windsor_, a
first-rate opera in the second division, as it were, still constantly
played in Germany, and here by the Carl Rosa Opera Company; and Balfe's
comic opera _Falstaff_, produced at Her Majesty's, July 19, 1838. This
work is not so easy to place; it is essentially Italian music, and
shows how wonderfully adaptable Balfe's genius was.
+Braham, Parry,+ and +Horn+ wrote numbers for a musical version of this
play, which was produced in London in 1823, but I cannot trace the
score nor any of the numbers.
We will take +Balfe's+ opera first. There was a fine cast for the
first production--Grisi, Rubini, Tamburini, with Lablache as Falstaff:
so the work had every opportunity, as far as singers were concerned,
but it never passed into the opera repertory, and few people now have
heard of it. Perhaps the libretto by S. M. Maggioni may have helped
_Falstaff_ into its present oblivion. The work opens with a
conventional overture, a slow introduction and a quick second part,
getting quicker towards the end--the sort of overture that would suit
almost any comedy-opera as well as _The Merry Wives_. After the
overture comes a duet for Page and Ford; then Falstaff's entrance and
song. {81} It is impossible to follow the plot clearly, as there is a
great deal of spoken dialogue; but all the principals have very "fat"
bits. The composer was obviously writing for singers whom he knew
well, and he did not bother much about character, colour, Windsor, or
Queen Elizabeth's time; everything is perfectly vocal, and the melodies
are quite pleasant.
Balfe certainly had a wonderful gift for melody, but there is no drama
at all in the work. Parts of it would sound quite well in a
concert-hall, but I could not trust it on the stage. At the end,
instead of fairies tormenting Sir John, a chorus of witches is
introduced for that purpose, and they do it quite effectively. The
work ends with a brilliant ensemble for the principals and chorus, with
Grisi "coloraturing" all over the place. The opera is only in two
acts, so a good deal of plot is omitted; still, the work is
interesting, if merely from the fact that Balfe is the only British
composer who has written an opera, _The Bohemian Girl_, which has been
played, and is being played, all over the world. It is the fashion for
"superior people" to sneer at Balfe, but _The Bohemian Girl_ is the
sole English opera in the international repertory.
+Nicolai's+ opera, _Die lustigen Weiber von Windsor_, book by
Mosenthal, produced at Berlin in 1849, is now a classic. The overture
is quite beautiful; the second subject so attracted Wagner that he
"pinched" it and put it into the _Meistersinger_. The libretto is very
well done, too. Although none of the rest of the opera quite reaches
this high level, all is very good.
After the overture, Mistress Page and Mistress Ford enter with their
letters, and the plot gets under way at once. No tiresome preliminary
chorus, but straight to the story. In this charming duet is hatched
the plot for the undoing of Falstaff. Fenton is made into a much
larger and more important _role_ than Shakespeare conceived; in point
of fact, he is the solo tenor lover, and much very pretty music is
given to him. All Sir John's music is very expressive {82} of the man,
and, though vocal, is suited to the character. With the exception of
the enlargement of Master Fenton's part, Nicolai's librettist sticks
closely to Shakespeare's text; but there are occasional excrescences,
mostly harmless. At the opening of the second act, Falstaff sings a
song, with male chorus, the words of which begin with the famous
Clown's song at the end of _Twelfth Night_, "When that I was and a
little tiny boy"; but after a few lines it grows into a drinking song.
Anyway, there's some Shakespeare in it, and it is a first-rate number.
The third act opens with a ballad about Herne the Hunter and his oak
for Mistress "Reich" (Ford). It is a very weird and effective song,
and in excellent contrast to the music which has preceded it. Sweet
Anne Page also has much more to do in this version of the story than in
Shakespeare's; but in opera one must have young lovers, and Falstaff
and Mistresses Ford and Page are not quite romantic enough for the
average opera audience. The grotesque music for Slender and Dr Caius
is wonderfully done, and full of quiet humour. After the "Herne"
ballad Sweet Anne Page sings a long and almost tiresome aria, but this
is followed by the Moon chorus scene, which opens with the same _motif_
as the overture. The orchestra plays the beautiful melody, and the
chorus sustains long, _pianissimo_ six-part harmonies. The whole
effect is very fine. Next comes a ballet with chorus of fairies, also
on themes used in the overture. Whenever Nicolai employs a theme from
the overture the whole work seems to rise in value and become quite
first-rate. With Fenton disguised as Oberon, King of the Fairies, and
Anne Page as Titania, Falstaff is "put through the hoops," even as he
is in Shakespeare's play, and a very melodious trio begins the finale.
This is sung by the three ladies--Anne, Mistress Page, and Mistress
Ford. Near the end Falstaff joins in, and for the last fourteen bars
principals and chorus sing an _ensemble_.
It is indeed a very merry work, and curiously Shakespearian; all the
parts are showy to sing and to act, the {83} music, though full of
character, is thoroughly vocal, and the orchestration is never too
heavy for the singers. As a comic opera it is quite one of the best in
the world, and fully deserves its place in the repertory of opera for
all time.
We now come to the third opera founded on _The Merry Wives of Windsor_,
+Verdi's+ _Falstaff_, libretto by Boito. After the production of
_Otello_, 1887, the composer was silent operatically; but in 1893, at
the age of eighty, he produced _Falstaff_, and astounded the entire
musical world. The work was produced at the Scala, Milan, February 9,
and its success was instantaneous. The book by Boito is, as the score
says, "derived from Shakespeare's _Merry Wives of Windsor_, and from
certain passages of _Henry IV._ having relation to the personality of
Falstaff," and is a masterpiece of construction and adaptation.
The opera is in three acts, each act being in two parts. Shallow,
Page, Slender, Sir Hugh, Nym, Simple, and Rugby all go. Certain lines
have to be transposed. For instance, in Act i, Scene 1, Caius speaks
Shallow's lines, beginning "You have beaten my men"; but these things
are necessary in converting a five-act comedy, with two scenes, into a
three-act lyrical comedy with six scenes. Sweet Anne Page becomes
Annetta Ford, and her part and Master Fenton's are much written up; in
fact, they become a very pretty pair of lovers, and their frequent
love-duets are beautifully melodious, and never sentimental. Bardolph
(tenor) becomes an important part, and he pursues his old master after
his dismissal with the utmost malignancy. The scene is Windsor in the
time of Henry IV. Falstaff is a baritone. Victor Maurel, the great
French baritone, created the part.
As is usual with this composer's later work, there is no overture, the
curtain rising on the interior of the Garter Inn at the fourth bar of
an _allegro vivace_. Sir John has just sealed the two love-letters.
Dr Caius (tenor) enters angrily and abuses Falstaff nearly in Shallow's
words; Falstaff pays no attention, but calls for sherry, and in a
brilliant scene the Doctor accuses Falstaff and his followers {84} of
making him drunk and robbing him. After Caius's exit, Sir John calls
for his bill and sings a song of his wandering from inn to inn,
following the light shed by Bardolph's nose, and setting forth how much
it has cost him (Falstaff) to get it into its present condition. He
then produces the letters, and Pistol and Bardolph refuse to bear them.
Falstaff bundles them out of the room and the scene ends. The whole of
the music in these comedy scenes is as light as air, the action is
wonderfully swift, and every nuance in the words is reflected in the
orchestration. It is only necessary to comment on a few features, as
the original story is so well known and Boito follows it fairly closely
now. There are no real numbers that can be separated from the main
body; no songs or concerted pieces that it would be wise to perform
apart from the context: the whole work is so welded into one
homogeneous whole that it would be sacrilege to do scraps on the
concert platform. There are no numbers, like the "Preis" song or Hans
Sachs' soliloquies from Wagner's great comic opera, that can be
performed with great effect at concerts: with Verdi's _Falstaff_ it is
all or nothing. The reading of the letter by Mistress Ford makes a
fine comic effect, and the unaccompanied quartet for the four
ladies--Page, Ford, Sweet Anne, and Mrs Quickly--that follows it is a
rare bit of vocal writing. The concerted writing throughout is
splendid--the counterpoint is _never_ obtrusive, but always there,--and
the orchestration a wonderful combination of lightness and strength.
To return to the plot. Falstaff comes only once to Ford's house, and
is thrown out of a window into the Thames, so never escapes as the wise
woman of Brentford. A very amusing effect, though not in Shakespeare,
is obtained during Ford's mad search for Sir John. Fenton and Anne
Page have hidden behind a curtain. In the middle of the fearful din
everyone is making there comes a sudden pause, during which the lovers
kiss audibly. Ford at once thinks it is Sir John and his wife, creeps
up to the arras, jerks it aside, and discloses his daughter and her
forbidden lover, {85} much to Ford's anger and the lovers' mutual
embarrassment! During this act Falstaff sings to Mistress Ford the
fine song about his youth, "Once I was page to the Duke of Norfolk."
Though Verdi does not use the _leit-motif_ in the ordinary sense of the
word, much use is made of a triplet figure. Mistress Quickly employs
it first to announce to Sir John his appointment with Mistress Ford.
It is used by Sir John when he announces to Ford, disguised as Brook,
his appointment with Ford's wife. Unfortunately, the original Italian
cannot be, or has not been, rendered into the same number of syllables
in the English version (I am speaking of Ricordi's edition), so there
is one syllable missing, which spoils the whole effect. This figure is
used wonderfully as an accompaniment during the duet that follows, and
the eighty-year-old composer gets heaps of natural boyish fun (though
technically marvellous) out of those six notes.
The first part of the third act opens with, for Verdi, quite a long
introduction, _agitato_ in nature, on the theme that interrupts
Falstaff's love-making in the previous act. The scene is the exterior
of the Garter Inn. Falstaff is alone, and sings his famous soliloquy
on the wicked, treacherous world. He calls for wine, drinks deeply,
and begins to feel better. He mixes the sack with the Thames water he
has swallowed, and sings, "How sweet it is to drink good wine while
basking in the sunshine." Mistress Quickly comes on, and makes the
appointment for Herne's oak at midnight. She begins the story of Herne
the Hunter very impressively, and Mistress Page finishes it.
The next and last scene takes place a little before midnight, at the
oak in Windsor Park. Anne Page and Fenton open with a love-duet, and
as the bell strikes twelve Sir John enters wearing a pair of antlers.
After a short scene with Mistress Page, Anne Page is heard as Fairy
Queen summoning her wood nymphs, dryads, and goblins. Falstaff falls
on his face, and the fairies enter. There is a long and beautiful sort
of choral ballet, in which Falstaff is badly treated by everyone,
especially by Bardolph. In {86} the hubbub Dr Caius elopes with
Bardolph disguised as Anne Page, and Fenton and Anne manage to get
Ford's consent to their marriage. Then comes the great moment of all.
All parties are reconciled; Ford invites everyone to carouse at his
house, and Sir John Falstaff leads off with the subject of the great
choral fugue that forms the finale. The words begin, "Jesting is man's
vocation," etc. Fenton takes the answer, then Dame Quickly, then
Mistress Ford. At first the orchestration is very light, but as the
rest join in it grows heavier. Mistress Page then enters with the
subject, followed by Sweet Anne in _stretto_, Pistol meanwhile starting
with the counter-subject, closely followed by Ford, with Dr Caius in
_stretto_. It would take too long to describe the ramifications of
this, as Browning says of another, "mountainous fugue," but it is one
of the most superb pieces of vocal fugal writing extant, and makes one
of the finest endings to an opera the brain of man has ever conceived.
The idea of having a great fugue in eight and ten parts, with a full
chorus and orchestra, quite independent of the solo parts, to finish a
comic opera was a stroke of genius that could only have occurred to a
supreme mind, and could only have been carried out by one of the great
musical and dramatic geniuses of the world. It is extraordinarily
successful, and its daring is gloriously vindicated. Let those lovers
of musical comedy, ragtime, and sentimental ballads who sneer at fugue,
counterpoint, form, and technique hear this, and wonder. It does not
sound very complicated or difficult, but really it is quite as complex
as the finale of Mozart's "Jupiter" Symphony, the "Cum Sancto Spiritu"
from Bach's B minor Mass, or the great fugato finale from the third act
of Wagner's _Meistersinger_. Verdi and Mozart make the numbers I have
spoken of sound simple and almost easy; Bach and Wagner sound as
difficult as they are, and all are equally difficult at bedrock.
I have written a great deal on this work, though no number of pages of
mine could do any kind of justice to {87} it; but if I have helped one
reader to a little fuller understanding of this great comic opera I
shall have "acquired grace," and, anyhow, that is something.
In 1856, at the Lyric, Paris, +Adolphe Adam+ produced his one-act comic
opera _Falstaffe_, with a libretto by MM. Saint Georges and Leunen. He
was born in Paris in 1803, and was a pupil of Boieldieu at the
Conservatoire. The music is very light and fairly melodious, but quite
unambitious, and has been described by a French musical critic, very
justly, as mediocre. There is a valse in it which was popular for a
time, and a few catchy numbers, but the critic was right--mediocre is
the word.
There is a song by +J. L. Hatton+ entitled "Falstaff's Song: Give me a
cup of sack, boy." But I cannot find the words in my edition of
Shakespeare's plays and poems. It begins:
A full, flowing cup of old sack give me, boy;
For sack clears the head, clears the heart.
I don't think the words are Shakespeare's, in spite of the printed
title-page before me. The music is in the composer's well-known "Simon
the Cellarer" style; only, unfortunately, the tune is not so good. The
words get sillier as the song continues, so that if I had been the boy
I should have given the singer prussic acid instead of the sack he so
repeatedly calls for.
{88}
A MIDSUMMER NIGHT'S DREAM
From a musical point of view one of the most important of Shakespeare's
plays is _A Midsummer Night's Dream_. It is possible to use nothing
but Mendelssohn's music for this play, but I have never heard it in
England without additional numbers. Sir Frank Benson, in his poetical
production, used all the original music, but also included a song by
Cooke, "Over hill, over dale," for the first singing fairy, and a duet,
"I know a bank," by Horn, for first and second singing fairies: the
latter a very boring work and quite out of keeping with the rest of the
music. There is no reason why these words should be sung at all: they
should be spoken by Oberon. Sir Herbert Tree had them sung to the tune
of "Auf Fluegeln des Gesanges"--certainly by Mendelssohn, but the effect
was very distressing. Most producers use the Spring Song and Bee's
Wedding as fairy dances, and this effect is quite legitimate and
absolutely in the picture with the rest of the score. Mendelssohn is
at the top of his form in this music, and here is no Shakespearian Old
English Wardour Street style: it is just Mendelssohn at his best, and a
very good best it is. With careful arrangement it can be played on a
small orchestra, and is a tremendous help to the success of the play.
There is bound to be a long wait between the first and second acts--the
change from Athens to the Forest--and Weber's overture to _Oberon_ is
very effective here; and, although scored much more brilliantly than
the Mendelssohn music, does not seem out of place, and fills in what
would else be a very tiresome interval. Several {89} English composers
have set the fairy chorus, "You spotted snakes," as a glee for mixed
voices; but I never quite fancy fairies singing tenor or bass, and
consider Mendelssohn was very wise to stick to women's and children's
voices only.
+Mendelssohn+ was only seventeen when he wrote the overture, but the
rest of the music was composed much later, at the request of the King
of Prussia, and first produced at the New Palace, Potsdam, in 1843.
His critical German friends took him much to task for wasting such
beautiful music on such a foolish play, but I don't think he ever
regretted it. There is a fine ophicleide part in the overture, giving
the idea of the clumsy Bottom among the fairies. Mendelssohn chose
this instrument because it blends with no other instrument on earth,
and really knew what he was doing; but, because of its very quality of
tone, for which he chose it, modern conductors have cut it out and
substituted a bass trombone or tuba, both of which blend quite prettily
with the other instruments. I am speaking of a few years ago; there
are hardly any ophicleide players left now.
I suppose the great majority of Christians in the world have been
"Mendelssohned," as Kipling has it, out of church once in their lives,
and I daresay that is why many people talk sniffily about the "Wedding
March."
I am going to make a dreadful confession. Once at a small theatre I
did the whole of the Mendelssohn music to the _Dream_, excepting the
scherzo, on a band of eighteen, and it didn't sound half bad. The
parts were carefully cross-cued, and everyone was very busy, but I was
very proud of the general effect. Of course, the orchestra was almost
beneath the stage, which was a great help. The players--they were
picked men--consisted of single wood wind, one horn, two trumpets, one
trombone, and drums, four first violins, two second, viola, 'cello, and
bass. Incidentally we threw in Weber's _Oberon_ overture. I know this
sounds like vandalism to read about, but it didn't sound so in the
theatre.
{90}
+Purcell+ wrote music to a perversion of the _Dream_ produced in 1692
(see above, p. 12), and in some strange manner managed not to set a
single line of Shakespeare.
+John Christopher Smith+, composer of an opera called _The Fairies_,
founded on _A Midsummer Night's Dream_, was born at Anspach in 1712,
but came to England as a boy with his father, who was Handel's
treasurer and agent for the sale of his music. At the age of thirteen
he became a pupil of Handel, and, when his master went blind, his
amanuensis. _The Fairies_ was produced in 1754, and on the title-page
of the score is written, "the words taken from Shakespeare," but not by
whom. Also, unfortunately, as was the manner at the time, the name of
the singer is printed, but not that of the character; however, it is
usually possible to get a fairly shrewd idea, from the gist of the
words, who is singing. This music is strictly Handelian, though the
score as a whole shows greater pains and industry than is generally
displayed by his great master. The overture has an introduction,
fugue, tuneful minuet, and a fine march in D major after the manner of
Handel's _Scipio_ march. The first song is for tenor, with trumpet
_obbligato_, and, I think, must be intended for Theseus. The words
run, "Pierce the air with sounds of joy, Come Hymen with the winged
boy, Bring song and dance and revelry." From this I take it that
Theseus was preparing for his wedding. It is a very stirring, florid
air, and, given a robust tenor and a first-rate trumpeter, makes a good
opening for the opera. Helena sings next a song with a very pathetic
middle part, saying how she scorns to hide her love. Lysander
(baritone) has a brisk song about the joys of country life, followed by
Helena, singing, sadly, "O Hermia fair; O happy, happy fair"; and Mr
Smith sets four lines of Shakespeare's text. Hermia's next air is not
very interesting, so we will pass on to a graceful setting of the
words, "Love looks not with the eyes, but with the mind," sung by
Helena or Hermia, I can't settle which; {91} the words are correct
text, and very respectfully set. Puck, taken by a boy, now sings,
"Where the bee sucks"--quite a new setting to me, and a charming one,
too. Here follows an orchestral interlude, called "Sinfonia," for
strings, with two independent oboe parts. I don't know if it is meant
to be played with the curtain up for business, but rather think it is
intended for scene-change music. Titania sings a very "fairy" song,
words not by Shakespeare, to her fairies, telling them to follow her;
and Oberon, a boy singer, does the same office, in a florid air, for
his fairies. Helena, who seems to have too much to do, now has another
pathetic song; Titania sings herself to sleep with "You spotted
snakes," with slight verbal alterations to make sense. The human
lovers become rather tedious here, as they do sometimes in the play;
they have several sentimental love-songs and duets, so we welcome
Oberon and his fairies. His number, "Now until the break of day," is
really beautiful and most fairylike, and brings the second act to a
charming close. Oberon sings "Flower of this purple dye" to a solemn
_largo_ melody, and the mortals take up the tale again. Oberon sings a
setting of "Sigh no more, ladies" very interestingly, and sticks
closely to the text; it certainly might have been written by Handel,
but is none the worse for that. Puck sings "Up and down" to thoroughly
suitable music while he chases the foolish lovers about the forest;
after which Titania obliges with "Orpheus with his lute," with oboe
_obbligato_, quite one of the best numbers in the piece and one of the
best settings of these much ill-used lines--the close of the second
verse is exquisitely done. A hunting "Sinfonia" heralds the last
scene, with a couple of fine solo horn parts. This introduces a bold
march for the entrance of Theseus, who has a lusty hunting-song with an
elaborate orchestral accompaniment. Hermia now has an unnecessary
song, "Love's a tempest," and the opera closes joyfully with a solo and
chorus to the words "Hail to love and welcome joy." So ends a work I
should very much like to have seen. There is no sign of the clowns in
{92} the score, so I fear Smith's librettist cut them out; but the
music is all by one composer and all in one style. There is none of
the horrible jostling of periods that annoys one in Bishop's pasticcio
Shakespearian operas, and the text is quite as near the original as
Bishop's.
If Christopher Smith omitted the clowns, his fellow-countryman, +John
Frederick Lampe+, composed a mock-opera, entitled _Pyramus and Thisbe_,
the words freely taken from Shakespeare, which was produced at the
Theatre Royal, Covent Garden, in 1745. Johann Friedrich Lampe was born
at Helmstadt, Saxony, in 1703. He came to England as a bassoon player
at the opera, and married Isabella Young, a famous singer, sister of Dr
Arne's wife. He soon settled down in London as a composer, and made a
tremendous success with his opera _The Dragon of Wantly_, written in
imitation of the famous _Beggar's Opera_, and burlesquing current
Italian operas. This Pyramus mock-opera consists of an overture and
thirteen numbers. The overture is a delightfully fresh and original
composition, very melodious, with quaint rhythms, and finishing with a
very plaintive movement for strings and oboes. Wall (a tenor) has the
first song, words not by Shakespeare, explaining his duties; it is good
burlesque, and great point is made of repeating the word "whispering"
seventeen times, making fun of the Italian method of the time somewhat
heavily but amusingly. Pyramus (tenor) has a mock-dignified entrance,
and sings an elaborate burlesque song on Shakespeare's words, "And
thou, O wall, O sweet and lovely wall, That stands between her father's
ground and mine, Show me thy chink that I may blink through with mine
eyne." No other words are used in this long song, and the effect
should be very comic, and also irritating to Lampe's contemporaries.
Pyramus proceeds with a second song, "O wicked wall," using the last
two lines only of his speech in the original text. Thisbe, the part
taken by Mrs Lampe, now enters and sings about her love for Pyramus in
a little amorous song, again not by Shakespeare. The lovers now have a
{93} duet, called the First Whispering Duet, to the words, "Not
Cephalus to Procris was so true"; a short spirited duet, "I go without
delay," takes them off; and the Lion enters and roars pleasantly in
florid baritone passages. The Moon (tenor) enters and sings of the
joys of drinking and loving in the sky. Thisbe has a lament, so well
written that it hardly seems a burlesque at all. Pyramus, thinking her
dead, sings a furious mock-heroic song, "Approach, ye furies," followed
by "Now am I dead," a beautiful plaintive burlesque with _obbligato_
parts for two oboes. Thisbe sings her lament, "These lily lips, this
cherry nose," to a sad little tune; however, for some curious reason
not explained in the text, neither of the lovers dies, but they finish
the burlesque off with a very bright and cheerful duet to the words,
"Thus folding, beholding, caressing, possessing, My Thisbe, my dear,
We'll live out the year." As there is no spoken dialogue in my copy of
this work, I don't know how the author gets over the death of Pyramus
and Thisbe: doubtless he has some ingenious way out of it. Some of the
fun is quite Shakespearian, and some is very German, but the whole
little mock-opera is amusing and worth a few hours' study. The
orchestration is simple and good, and the vocal writing, as was nearly
always the case in this period, is excellent.
+Sir Henry Bishop's+ operatic version of this play is the first of his
series of pasticcio operas founded on Shakespeare's plays. It was
produced at the Theatre Royal, Covent Garden, in 1816, and is a
wonderful hotch-potch of musical styles from Handel to Bishop. The
overture is in four distinct movements, none of which seem to have any
bearing on the play or each other; and not one is used later in the
opera. The whole appears to be entirely detached from the rest of the
production. The first song (Hermia) is still sometimes heard; it is by
Bishop, and is a melodious setting of the passage beginning "By the
simplicity of Venus' doves." The next number is a trio and chorus for
the {94} Clowns, beginning "Most noble Duke." Quince, Snout, and
Bottom all have little solos, but I can't trace the words--I think they
were by some contemporary of Bishop's; the tune is by Arne and Bishop,
but is not very valuable. The next song is for the first fairy and by
Dr Cooke. The words do not occur in the play or in any other work of
Shakespeare's; they are just the conventional fairy-song words about
fairy rings, lightly trip it o'er the green, but the musical setting is
charming. The fairy march by Bishop is the same as in his _As You Like
It_, beginning _pianissimo_ and finishing with about fifty bars of such
vulgar _fortissimo_ noise as would have frightened away any number of
fairies. Demetrius has the next song: it is by Bishop, but the words
are not Shakespeare's. The words, "But ne'er recall my love," are
repeated thirteen times, and the tune is insignificant. The next
number is a "grand recitative air and chorus" for Oberon and the
fairies; again the words are not by Shakespeare, but are of the "trip
it" and "so nimbly" school; the music is by Bishop and Dr Cooke, and
Cooke's part is the better. Demetrius (tenor) sings Helena's beautiful
words, "O happy fair, your eyes are lodestars," to a graceful melody of
Bishop's: this number is still heard occasionally. The duet that
follows between Demetrius and Hermia is by Bishop, and the words are by
Anon.; it is a maudlin piece of work, words and music admirably fitted.
Oberon's beautiful speech, "Flower of the purple dye," is set to music
by our old friend Smith, with ineffective additions by Bishop, as a
song for Oberon. The second act ends with a recitative for the fourth
fairy, a dance and a chorus welcoming the little Indian boy. In the
third act is a quartet for the four solo fairies by Bishop, words
anonymous and very bad, which takes the curtain up. Oberon sings his
speech, "Be as thou wast wont to be," to music by Battishill and
Bishop, a very graceful melody; and this is followed by a hunting
chorus about Spartan hounds, music by Bishop, poet unnamed. An
anonymous character sings Handel's "Hush, ye pretty warbling choir,"
from _Acis and Galatea_. The effect should {95} be amazing in this
wilderness of bad music. Demetrius now has a song by Bishop, to
"original words," called "Sweet cheerful hope," but as it is of no
particular value we will pass on to a real piece of Shakespeare from
this very play, a setting by Bishop for Oberon and chorus of the words
"To the best bride bed will we," finishing with the chorus "In Theseus'
house give glimmering light," or, as Shakespeare more happily phrases
it, "Through the house," etc. Hermia now sings a song, words by some
ruffian unnamed, to Hippolyta and her amazons about freedom; very poor,
pretentious stuff. The opera ends with a so-called characteristic
march, beginning with the entrance of the Cretans, followed by the
Thebans, Amazons, the Centaurs, the Argo, the Labyrinth, the
Minotaur--a sort of grand historical pageant of Theseus' life. The
music by Bishop is not in the least descriptive of any of these varied
things and persons I have catalogued; one expects some rather special
music for a Centaur, a Labyrinth, and especially a Minotaur, but one is
disappointed.
+Mr Cecil Sharp+ arranged and composed the incidental music and songs
for Granville Barker's most interesting production of this play at the
Savoy, January 1914. In a striking preface he points out that not a
single note of contemporary music for the songs in this play has been
preserved; he debates the possibility of using contemporary tunes and
fitting the words to them, of having fake music composed, and of
commissioning a composer to write entirely new music. He rejects all
these propositions, and plumps for using folk-songs. He says: "By
using folk-music in the Shakespeare play we shall then be mating like
with like, the drama which is for all time with the music which is for
all time." Whether the result at the Savoy was successful or not I
leave to the judgment of the many people who saw the production.
Unfortunately, Mr Sharp does not indicate very clearly when he has
arranged, composed, or adapted the tunes in the printed score. The
first musical number occurs in Act ii., Scene 2, a dance, song, {96}
and chorus; the dance is to the melody of that interesting old
folk-tune "Sellenger's Round," and the baritone solo is, I am sure, by
Mr Sharp, as is the following chorus. The words, which fit in too
neatly for it to be an adaptation, are the familiar "You spotted
snakes"; but, though he is bitter with Mendelssohn for repeating "so
good night" so often, he cheerfully cuts out one "lul-la," surely a
grievous thing to do for one so correct! The next number is Bottom's
song, "The ousel cock so black of hue," and is, presumably, by Mr
Sharp, as only the melody is printed, and I don't see how anyone can
have a copyright (it is marked copyright) in a folk-song tune. I don't
think it is an improvement on the so-called traditional tune to which I
have always been accustomed. The next number is for orchestra alone,
and occurs in Act iv., Scene 1; it is called "Still Music," and the
melody is the old folk-song, "The sprig of thyme," collected and
arranged by Mr Sharp. The Bergamask dance, Act v., Scene 1, is one of
the numerous versions of "Green Sleeves," collected and arranged by Mr
Sharp. The wedding march is on the tune "Lord Willoughby," arranged by
Mr Sharp, and is certainly a great change from the one usually
associated with this situation. The love charm seems to have gone all
wrong again, and even Theseus and Hippolyta seem to have soured on one
another. As for the other lovers----! Even the _tierce de Picardie_
fails to liven up the last bar. The song and dance in the same scene
and act are composed by Mr Sharp, and, following the glorious tradition
of Sir Henry Bishop in the pasticcio operas, the words "Roses, their
sharp spines being gone" do not appear in the play. They are not by
Shakespeare, but from Fletcher's _Two Noble Kinsmen_. The final number
is a traditional dance arranged by Mr Sharp, but from what source he
does not say; it is rather a sad little tune, followed by the more
lively "Nonsuch," and finishing off with "Sellenger's Round," which was
the first musical number.
It would be an interesting point to discover whether Shakespeare would
have preferred this very "correct" {97} musical setting to
Mendelssohn's now derided one. I rather think that Mendelssohn's
Overture and Scherzo would have appealed to him. There seems to me to
be very little in this play, with its frequent classical allusions,
that calls for folk-music, and artificial simplicity in a production of
a play so full of Elizabethan artifice seems utterly out of place.
{98}
MUCH ADO ABOUT NOTHING
The most successful opera founded on _Much Ado About Nothing_ is
+Berlioz's+ two-act work entitled _Beatrice et Benedict_, produced at
Baden, 1862. The composer wrote his own libretto for this, and it is
an ingenious one. The first reference we get to the work is in a
letter to his greatest friend, Humbert Ferrand, dated November 1858: "I
am getting on with a one-act opera for Baden written round
Shakespeare's _Much Ado About Nothing_. It is called _Beatrice et
Benedict_; I promise there shall not be 'much ado' in the shape of
noise in it. Benayet, the King of Baden, wants it next year."
A very interesting point is made here in the little joke about "noise."
Berlioz had long been accused by critics and public of using too large
orchestras. He was very careful to put down in his scores the exact
number of each instrument that he required, and the ignorant,
non-musical person cannot understand that thirty violins playing
_pianissimo_ are still _pianissimo_ and are infinitely more beautiful
than sixteen or eight. Berlioz composed this work, "little opera" he
calls it, immensely quickly, and complains that ideas come to him so
fast that he has not time to write them down. In a letter to his
sailor son, Louis, dated November 1860, he says: "You ask how I manage
to crowd a Shakespeare's five acts into one. I have taken only one
subject from the play--the part in which Beatrice and Benedick, who
detest each other, are mutually persuaded of each other's love, whereby
they are inspired with a true passion. The idea is really comic." I
don't {99} quite understand what he means by the last sentence: it is
certainly a comedy idea, but not to me comic. Perhaps the translation
of the original may be somewhat free: I have not the French original
version by me, so I quote from the volume in Dent's "Everyman's
Library."
It will be noticed that the original idea of a one-act opera is
abandoned. The work was produced in two acts, and was a great success.
Writing again to his son he says: "_Beatrice_ was applauded from end to
end, and I was recalled more times than I can count"; and to his friend
H. Ferrand: "I am just home from Baden, where _Beatrice_ is a real
triumph." He speaks of his "radiant singers." He says: "People are
finding out that I have melody; that I can be gay--in fact, really
comic; that I am not noisy." Benayet, whom Berlioz humorously calls
"King of Baden," was the director of the new Opera House, and he
treated the composer most generously financially, and lavishly as
regards scenery and dresses--a thing to which he was not accustomed: so
he ennobled him thus. The whole _Beatrice_ episode is one of the
happiest in a not very happy life.
Coming to the music itself, the overture is not long, but an admirable
comedy overture, beautifully scored. The first number is a
drinking-song in praise of the wine of Syracuse, sung by a bass called
Somarone, a creation of Berlioz, with a spirited chorus.
A fine chorus welcomes the return of the victorious Don Pedro. There
is a very pretty "Siciliana," followed by a song in praise of Claudio,
sung by Hero.
After this, the hero and heroine have most of the work; and on their
finally agreeing to get married, much simple fun is made by the rest of
the characters. The so-called "Maidens' Duet" became a very popular
number. In this work are two four-part choruses called "Epithalme
grotesque," composed in _capella_ style. The end is very bright, and
the whole opera though difficult to sing and play, is not expensive to
mount.
I cannot trace a performance of this work here in London, {100} but it
would be well worth the attention of the Carl Rosa Opera Company; for
even if it has been produced, it must have been a long time ago, and it
would be perfectly fresh now. The opera has been performed more
frequently in Germany than anywhere else. It was given at Weimar and
Stuttgart under the composer's direction, and the last important
production was under Mottl.
+Sir Charles Villiers Stanford's+ opera, _Much Ado About Nothing_, has
nothing in common with Berlioz's _Beatrice et Benedict_, and very
little in common with Shakespeare's work of the same name. The
libretto is by Julian Sturgis, and the work was produced at Covent
Garden in May 1900, and also at the Stadt Theater, Leipsic, April 1902,
with a German translation by John Bernhoff.
Berlioz took a single episode for his opera in two acts, and worked it
out logically, ignoring everything that had nothing to do with his own
plot, which was "Beatrice and Benedick." Sturgis and Stanford bring in
nearly all Shakespeare's characters, but these say and sing things that
would have made Shakespeare turn in his grave if he could have heard
them there. When Debussy wanted to set Maeterlinck's _Pelleas et
Melisande_, he set every word of the original play and made a perfect
work of art. When Richard Strauss made an opera of Oscar Wilde's
_Salome_, he did the same thing, and, however much some of us may
dislike it, no one can deny that he turned out a very perfect art-work,
as regards form and brilliance. He produced a great opera, unpleasant
from some points of view, but, judged as a whole, a real achievement.
He trusted in his librettist and was justified in his trust. Stanford
did not trust in Shakespeare as much as he did in Julian Sturgis, and
his trust was very much betrayed.
Touching on the opera purely from a musical point of view, there is
much very pleasant music in it. There is no overture, and the first
act begins just before the masque. The male chorus sings "Sigh no
more, ladies" as the curtain rises.
{101}
Almost at once Don John and Borachio begin the plot. Claudio and
Benedick enter, Claudio immediately disclosing his love for Hero, the
story of the play being pretty closely followed. Leonato now makes a
tardy effort to welcome Don Pedro and the rest, and a masque begins
with a very stately saraband. Then, according to stage directions,
"Enter a pomp of clowns and country girls," who dance a morris-dance,
while the chorus sings about spring and maying. The masque ends with
Hero, crowned Queen of Summer, singing a very graceful welcome to the
princes. Claudio, as in Shakespeare, thinks the prince is wooing for
himself, and sings a tragic farewell to Hero and love, with many
repetitions of the words "farewell" and "love." Beatrice and Benedick
then have their little comedy scene, and the Prince explains to Claudio
that he has won Hero for him, and gives him some solemn advice. All
the principals join in and sing a fine sextet, Don John on the bottom
line singing with the others, but with sinister significance, that he
will mar their music presently.
The Prince announces his intention of making Beatrice and Benedick fall
in love with each other, and the four conspirators, Hero, Claudio,
Pedro, and Leonato, sing a quartet about it, finishing with a great
number of "with a fa-la-la's." Don John says he will cross the
wedding, and in a few words tells Borachio to meet Hero's gentlewoman,
Margaret, that night, and he will bring the Prince and Claudio. The
doors of the supper-room are thrown open and a procession of guests
comes out, with Hero and Claudio in the centre, the chorus singing
"Sigh no more, ladies," until the curtain comes down on the first act.
The second act opens with a short orchestral introduction. The scene
is Leonato's garden near Hero's window. Claudio sings a typical
serenade, at the end of which Hero comes out on the balcony, and they
have a long love-duet. Benedick then enters, and sings a lengthy and
very clever soliloquy about love and ladies; and then Hero, Pedro, and
Claudio, in a vocal trio, describe the love of Beatrice for {102}
Benedick, the last-named listening as in the play. The scene ends with
a very bright trio by the conspirators about having snared their bird.
The next episode sticks closely to Shakespeare. Don John guides Pedro
and Claudio to Hero's window; they see Borachio embrace Margaret, and
Claudio makes up his mind to denounce Hero in the church. The act ends
excitedly by Claudio rushing off, followed by Don Pedro and Don John,
and the curtain quickly falls.
The third act opens tempestuously on the orchestra, typifying Claudio's
bitter thoughts. He is discovered alone in the church, where he sings
a grim and very dramatic quasi-recitative about Hero's fall from grace.
The bells are now heard--only three, F, G, A, and the organ begins,
acolytes lighting the altar candles. The church fills, friars start
the hymn outside to the words, "Mater dulce carmen lenis," the bells
going right through the hymn with excellent effect. Then comes
Claudio's denunciation of Hero and his refusal to marry her; she
swoons, and everyone leaves the church except Hero, Beatrice, Benedick,
Leonato, and the friar. The friar, in a fine bass number (beautifully
sung at Covent Garden by Pol Plancon), explains his plan of pretending
that Hero has died of shame at the false accusation. Benedick promises
to challenge Claudio, and during this scene a funeral bell is heard,
and a procession of the Misericordia Fraternity crosses the stage
carrying a bier and singing "Miserere mei Deus" as it passes out of
sight. Benedick sings very solemnly "And so farewell" (I don't quite
see why, because Benedick knows Hero is not dead), and the curtain
comes down to _fortissimo_ music on a very effective third act.
The last act takes place in Messina, near the burial-ground of
Leonato's family. The music to open is not at all gloomy, as it is to
introduce Seacole, Dogberry, and Verges. Curiously enough, Verges is a
silent performer, or, as he is called in the bill of the play, a
"persona muta." The watch come straight to the point. They have
caught Borachio telling of his doings, and the movement follows {103}
very closely Shakespeare's development of the episode. Benedick comes
on, tries to make a song in Beatrice's honour, fails (just as he did in
Shakespeare), but finally sings quite a good song about "Morning,
spring-a (sic) ring-a (sic) and chantecleer." Don Pedro and Claudio
enter; Benedick delivers his challenge and they prepare to fight, when
Don Pedro comes between them. Dogberry, Verges, Watchmen with
Borachio, bound, enter, and all the villainy of Don John is explained.
The Friar enters; Claudio begs forgiveness, and the Friar produces the
living Hero without any of Shakespeare's pretence that she was another
daughter. Claudio at once sings a song to Hero, calling her angel of
pity, and sentimentalising over her for quite a long time. Hero joins
in the general soppiness, and, after a great high-note effect on the
part of both, Beatrice and Benedick break in with their comedy scene,
in which they agree to get married, to shouts of "How dost thou,
Benedick, the married man!" The principals and chorus all join in
singing "Sigh no more, ladies," which finally brings down the curtain
very brightly on a charming comedy opera; the music vastly superior to
the book. It was a brave attempt of Sir Charles Stanford, but he was
beaten by his librettist every time. It is not my intention to give Mr
Sturgis's perversions of Shakespeare; but why not have followed the
original text whenever possible, and cut anything that would have made
the work too long? Some of the paraphrases are quite as long as the
original, but how lamentably weak! If only Sturgis had used
Shakespeare and a large blue pencil! Of course, the whole text is too
long to set for an opera--even as a play it is too long; but to rewrite
immortal phrases and put them into such obvious opera libretto form (of
the worst period) was a foolish thing to do, and will kill Stanford's
heroic attempt to achieve English grand opera whenever it is performed.
Mr Sturgis touched no phrase of Shakespeare's that he did not degrade;
there is really no reason why the libretto of a modern opera should be
written in rhyming couplets.
{104}
There are two other operas on this subject, but neither has yet been
performed in England: _Beaucoup de Bruit pour Rien_, by +P. Puget+
(Paris, 1899); and _Ero_, by +C. Podesta+ (Cremona, 1900), about the
latter of which I regret I can obtain no details. The former, an opera
in four acts and five scenes, libretto taken from Shakespeare's play by
Edouard Blau, music by Paul Puget, was first performed at the Opera
Comique, Paris, on March 24, 1899. As a whole, the librettist adheres
closely to his text, with the exception of the omission of Dogberry and
Verges; and I don't think that anyone except an Englishman could
possibly understand two such thoroughly British characters. In this
work they would only make the serious parts seem ridiculous. The last
scene of the last act is novel, and owes very little to Shakespeare.
Hero is lying on a mortuary bed before the altar of the cathedral;
Claudio enters, throws open the great doors, and, in the presence of
all, makes a humble confession of his mistake and begs for pardon. He
swears to consecrate himself to her, and puts on her finger a ring. At
the touch of his hand Hero comes slowly from her faint, and the piece
finishes happily. It is a very good libretto, and quite as near the
original text as an opera can be expected to be. To this libretto M.
Puget has composed some very beautiful music. The prelude to the first
act is full of happy characterisation, though rather short. The duet,
Hero and Beatrice, sung while they present flowers to Don Pedro, is
melodious and simple; and in this act there is a very pretty Sicilian
song and dance. In the second act a madrigal, sung by Benedick, is
charming and very delicately scored, as is also a quartet for Pedro,
Leonato, Benedick, and Beatrice. In the third act, the scene of the
arrival of the bridal cortege at the cathedral, with fine organ and
orchestral effects, is very impressive; and in the last scene, the long
monologue, addressed by Claudio to the crowd, is broadly phrased and
very pathetic in its dignity: but it is unfortunately largely
overscored. The one serious blot on the work is the tendency of the
composer to {105} over-weight the singers. The opera earned a very
well-deserved success.
+Edward German's+ overture and incidental music for Sir George
Alexander's production of _Much Ado_ at the St James's, 1898, is German
at his best. The overture is mostly very bright, the first theme being
really a saltarello. The second _motif_, Hero and Claudio, is
naturally more sentimental and subdued. Don Pedro has a fine theme
(the third subject of the overture), which is afterwards used for his
entrance. These themes are all blended and woven together, and the
whole ends with a brilliant coda, in saltarello style again. There is
a very pretty movement, _alla Siciliana_, called "Leonato's Garden";
while the Dogberry music is in a hurried, flurried manner, quite
indicating the fussy old constable. The Bourree and Gigue are very
well known on the concert platform. The former is one of the prettiest
Old English dances that Edward German has ever given us. The
_grandioso_ effect of the first theme coming in augmentation for the
coda is wonderfully good, and makes a really brilliant ending. In the
Gigue, also, German is in his happiest vein; but I fear that a great
deal of the incidental music is still in manuscript.
{106}
OTHELLO
Rossini's _Otello_, produced at Naples, 1816, is the earliest grand
opera on the subject. For many years it enjoyed great popularity. But
in 1887, in Milan, was produced Verdi's tragic masterpiece, and the
earlier composer's work died a very natural death.
Many serious critics have said that Verdi's is the great tragedy opera
of the world, but, anyhow, it is a great tragic opera. The incidental
music composed for stage productions of the play has never been of very
much importance. There is supposed to be a traditional setting of the
"Willow Song," sung by Desdemona; but, as Shakespeare did not even
write the words of the said song, merely quoting a few lines from a
long poem given in its entirety by Bishop Percy in his invaluable
_Reliques_, this setting, even if contemporary, has not much to do with
our subject, "Shakespeare and Music." The other songs, "King Stephen
was a worthy peer," and "Let me the canakin clink, clink," are both
probably quotations from older songs; while the so-called "traditional"
tunes are very like the so-called "traditional" etc. in other plays by
the master. In point of fact, I have often heard an old actor sing the
King Stephen lyric to the same tune as the First Gravedigger's song in
_Hamlet_, and the two bear a very close resemblance to the traditional
tune of "The Babes in the Wood." Still, the so-called traditional (I
am tired of writing the word) setting of "A poor soul sat sighing" is a
very exquisite thing, and worthy of its place in any production of the
play. But the purity of its _melodic line_ would probably stand out in
contrast to its modern {107} associates, if introduced into a modern
version of the incidental music; so it is as well to leave it
honourably alone, and write a new setting more in keeping with the rest
of one's music.
+Dvorak's+ fine _Othello_ overture is fairly well known in
concert-halls, but is too long and elaborate for theatre use. It is
scored for full orchestra with harp, and an important part for English
horn. The opening is slow and _pianissimo_, muted strings giving out
an almost hymn-like subject, occasionally broken in upon by
anticipation of the real principal theme. This is developed very
dramatically, and leads skilfully into the first subject proper--a very
quick, bright, one-in-a-bar theme, with tragic suggestions in it.
The second subject is of a more peaceful character, and the work slows
down for a while. The long development is mostly very strenuous, but
just before the end are some beautiful sad passages full of tragedy and
pathos. The end is _fortissimo_ and _accelerando_, with a curious
sequence of passing notes in the melody against a very rough chord,
repeatedly struck by the rest of the orchestra. Though a little long,
this overture is full of dramatic and melodic interest, and is, so far
as I know, the only composition directly founded on our dramatist by
this composer.
+Raff's+ "Othello" overture is a fine though uninspired work.
+Rossini's+ grand three-act opera, _Otello_, libretto by the Marquis
Berio, enjoyed a long run of popularity. It was first produced at the
Teatro del Fondo in the autumn of 1816. Originally Othello, Roderigo,
and Iago were all great tenor parts; but later, Rossini, realising the
difficulty of getting three tenors of high standing to sing together,
rewrote the part of Iago for baritone.
The work made an enormous impression, and was soon being played over
all Europe. In many ways it was much in advance of its time, the
composer writing his own {108} ornaments and embellishments, and often
successfully investing them with real dramatic meaning. In the last
act the librettist introduces a new character who sings a barcarolle to
Dante's celebrated words, "Nessun maggior do lore." This is one of the
most beautiful things in the work. It is for tenor. The librettist
does not attempt to adapt Shakespeare's tragedy, but is content to take
enough plot and situations for a conventional Italian libretto, and he
succeeds in doing this very well.
The overture is studiously conventional, but some of the numbers are
very beautiful. The duet between Desdemona and Emilia, "Vorrei che il
tuo pensiero," is strikingly lovely; and the quintet in the finale of
the first act is a fine piece of writing, the insistently-recurring
ascending scale of Brabantio to the words "il barbaro tenor" having a
terrific effect. The duet, Othello and Iago, in the second act, is
full of melodic beauty and dramatic moments. Desdemona's great aria,
"Assisa a pie d'un salice," is really beautiful, and the end of the
opera is truly dramatic. The whole work is unquestionably Rossini's
greatest opera, with the exception of _William Tell_.
+Verdi's+ "lyrical drama in four acts," book by Arrigo Boito, is on a
very different plane. Here we have the finest opera-librettist, with
the possible exception of Richard Wagner, collaborating with one of the
greatest dramatic composers of all time on a subject by the dramatist
of all time--and a stupendous work is the result.
The comparative slowness of the sung as against the spoken word has
necessitated much cutting, but with great technical skill Boito has
devised a wonderful book, as true to Shakespeare as is possible in a
libretto. The work was first produced at the Scala, Milan, February 5,
1887. The English translation is by Francis Hueffer, for a long time
musical critic of the _Times_. The success was immediate, and the
opera at once passed into the world-repertory.
There is no overture, and the whole action of the piece {109} takes
place in Cyprus. In the original production Tamagno and Maurel were
Othello and Iago. After two and a half bars of _fortissimo_ orchestral
music, the curtain rises on a tavern with an arbour. In the background
is the sea. It is night, and a storm is raging. It is really
Shakespeare's Act ii., Scene 1. Iago, Cassio, Montano, Roderigo, and
chorus are watching Othello's ship, buffeting the waves, making slowly
for harbour. Eventually Othello lands, and explains that the ocean has
overwhelmed the Turk, and the war is over. Othello goes into the
castle, and the chorus celebrate the happy news, the storm gradually
dying away. No finer opening for an opera has ever been devised, and
it is remarkable how the composer and librettist have managed to
sustain this high level right through the four acts of the work.
Iago and Roderigo, following closely the original text, conspire
against Othello, and the crowd make a bonfire in the background.
Cassio enters and joins a group of soldiers, and the crowd light the
bonfire and sing a chorus in praise of fire generally; at the end of
which Iago tempts Cassio to drink, and sings an enlargement of "And let
me the canakin clink," the chorus joining in the refrain.
Cassio gets very drunk, and the Shakespeare text is closely followed.
Towards the end of the fight Othello has a magnificent entrance. He
stops the strife with the words, "Lay down your arms."
After a tremendous _fortissimo_ chord on the orchestra there is a long
and most significant pause. Then Othello has a beautiful but most
distressing scene with Cassio. All exit save Desdemona and Othello,
who sing an exquisite and passionate love-duet, which finishes the
first act.
Near the beginning of the second act Iago has his first long soliloquy:
very grim, but most dramatic. The duet between Othello and Iago that
follows, in which Iago sows the seeds of jealousy, carries the action
forward swiftly, and the "green-ey'd monster" lines are impressively
set. At the close of the scene a chorus is heard singing softly,
"off," accompanied by two notes (tonic and dominant) on {110} the
cornamusa, or "bay-pipes." Grove is silent on the subject of the
cornamusa; but Riemann, in his _Dictionary of Music_, says it is "an
old Italian kind of schalmey," "also similar to the word bagpipe": so
that "bay-pipe" is obviously a misprint for bagpipe in my edition of
this work. The schalmey or schalmei was the predecessor of the oboe.
This accompaniment is added to by mandolins and guitars on the stage,
and gradually the whole orchestra joins in. The chorus is peaceful and
melodious, and makes a strong dramatic contrast to what has gone before
and what follows. At the end of this chorus Desdemona intercedes with
Othello in Cassio's favour, and really fans the flame of jealousy;
Othello denounces Desdemona, and the act ends with a dramatic duet
between Othello and his betrayer.
The third act has a somewhat longer orchestral prelude than the first
two, but the librettist gets to work very swiftly none the less. The
handkerchief business is immediately begun. A long duet between
Desdemona and Othello follows, the former very loving, the latter very
ironical, the whole culminating in a magnificent passage in which
Othello sings the words, "I mistook you ... for that strumpet of Venice
who has married Othello." Desdemona is overwhelmed with horror, and
Othello pushes her out of the room. There is great trumpeting from all
sides of the stage, and, to a chorus of welcome by the Cypriotes, the
Venetian ambassadors enter, bringing Othello's letter of recall. After
a big chorus and ensemble, Othello and his ancient are left alone; the
former gets more and more excited, and finally swoons. Iago jeers at
the fallen Othello, the chorus, behind, sings "Hail, Othello," and on
this situation, to a great music of trumpets, the curtain falls.
The fourth act opens with a short orchestral prelude on the subject of
the "Willow Song," which comes a little later. The scene is
Desdemona's bedroom, and she and Emilia are discovered. After a short
dialogue, Desdemona sings the "Willow Song." For sheer beauty this is
the most exquisite thing in the work: it is a wonderful piece of pure
lyrical writing. Emilia says "Good night," and {111} exits. Desdemona
intones to a sustained accompaniment a "Hail, Mary," and then sings a
beautiful prayer. She lies down on the bed, and long-sustained high
chords are heard on the orchestra. These cease, and a sinister motive
on the lowest bass notes is heard _pianissimo_. At the first note
Othello is seen standing on the threshold of a secret door. To a
certain musical figure he lays his scimitar on the table. He stands
before the candle, doubtful whether to blow it out or not; he goes to
the bed; he stops himself; he raises the curtains and looks for a long
time at the sleeping Desdemona; he kisses her once, again, again, and
she wakens. It must be understood that until Desdemona wakens not a
word is spoken, but the whole action is fitted to the most dramatic and
speaking music, and the effect is awe-inspiring. He tells her to pray,
as he does not want to kill her soul; and after a short duet he stifles
her, and she utters a shriek. This arouses Emilia, who knocks three
times on the door--Othello still gazing at Desdemona--three times
again, and yet again. Each knock is as carefully written down in the
score as if it were a part for a musical instrument--Verdi is so
thorough. Finally Othello opens the door. Desdemona manages to gasp
out, "I have been slain unjustly, I die here guiltless," and expires.
Emilia shouts for help, and Ludovico, Cassio, Iago, and others enter.
All is explained to the unfortunate Othello, who suddenly stabs
himself. As he is dying he sings the perfect words, "I kissed thee ere
I killed thee;--no way but this, Killing myself, to die upon a kiss."
Mr Hueffer has slightly altered the last six words, but I have ventured
to put back Shakespeare's original text; in fact, I could not have put
down the translator's variant. On these immortal words, sung
_pianissimo_, the curtain falls on this great art-work.
The perfect combination of Verdi and Boito, and the sympathy of both
with Shakespeare, are amongst the wonders of the world to me. The art
of collaboration has never, to my knowledge, been brought to such a
pitch of perfection except in the case of _Falstaff_, the work of the
{112} same trio. George Meredith, in one of his letters, dated 1896,
with reference to his friend Professor W. G. Plimmer, a well-known
amateur musician, writes: "He has got a score of _Othello_ to play to
me; says it is Wagner and water; would seem to say it is Verdi-gris of
Wagner"; which shows that the Professor may have been some sort of a
musician, but was certainly an amateur. Some critics endeavour to
trace the influence of Wagner on Verdi's later operas, but I think it
was the composer's own rich development in his later years that made
his last two operas stand out so much from the rest of his operatic
work. Of course, Wagner's influence on his contemporaries, especially
the younger ones, was, and is still, enormous in Germany. But though
it is quite easy to trace the harmonic and melodic influence of Wagner
on Humperdinck or Strauss, I quite fail to see either influence on
Verdi. The two operas are the natural result of a glorious old age.
+Arnold Krug+, born 1849 at Hamburg, has written an interesting
symphonic prologue to this play. After the usual slow introduction, we
start away with a good, quick, syncopated theme for strings, soon added
to by wood wind (evidently the fiery Othello). Then comes the gentle
Desdemona theme, which persists for a long time, after which the music
gets really exciting. Iago works Othello up to a frenzy of jealousy;
Desdemona's gentle explanations are overborne. After a strong climax
her end comes, followed shortly afterwards by Othello's. The coda is a
short _morendo_ episode, in the major, and very peaceful.
Though this work is by no manner of means great, it is not without
interest, and it is one of the few purely abstract compositions we have
on this play.
+Zdenko Fibich+, who has composed a very interesting symphonic poem on
the theme, was a leader of the "Young Czech" musical movement. He was
born on December 21, 1850, at Seborschity, near Tschlau, and was taught
music at Prague and Leipsic. This is his first symphonic {113} poem,
but it is a very interesting example of the composer's method.
Though there is no definite programme, Fibich quotes several passages
from the play to indicate his intentions. The first is:--
... Rude am I in my speech,
And little bless'd with the set phrase of peace.
Here there is a fanfare for trumpets and horns working into a strong,
rough military march. Music descriptive of Othello's many adventures
follows, until he says:--
This only is the witchcraft I have us'd--
Here comes the lady; let her witness it.
Then the Desdemona melody, oboe solo, harp, and strings, makes its
appearance. This is really a beautiful theme, perfectly orchestrated,
and it just expresses Desdemona's character. Her words, written in the
score, are: "I saw Othello's visage in his mind; And to his honours and
his valiant parts Did I my soul and fortunes consecrate." Presently
comes Iago with his "jealousy" _motif_, which struggles for a long time
with Desdemona's "innocent" theme, but finally wins. The music is
intensely dramatic here: the clash of wills, Iago's and Othello's, and
the sweet personality of Desdemona, all struggling for predominance.
Finally the trombone and tuba blaze out, _fortissimo_ and _grandioso_,
the jealousy theme in octaves. The music dies away, and for the last
time the Desdemona melody is heard very _piano_. Four short, violently
_forte_ bars follow (the brass having the theme), and the work ends
with a solo _pianissimo_ chord on the harp. The end is most curious,
such an immense amount of meaning being got into the last fifteen bars.
The whole work makes a fine piece of vivid orchestral tone-painting,
and the music distinctly derives from Shakespeare's text, and is worthy
of it. The last words quoted are Othello's: "I kissed thee ere I
killed thee;--no way but this, Killing myself, to die upon a kiss."
{114}
Sir Herbert Tree commissioned +Samuel Coleridge Taylor+ to write the
music for his revival of _Othello_ at His Majesty's. The composer has
made a suite for orchestra out of the numbers written for this
production. The first section is called just a Dance. This is
strictly Oriental in character, full of movement and excitement. The
second number is a "Children's Intermezzo," and is very simple in
character. No touch of the Orient here. No. 3 is a Funeral March in G
minor, mostly written on two ground basses, one for the march and one
for the trio. It is a fine broad movement, working up to a great
climax in the middle and dying away very effectively afterwards. The
setting of the famous "Willow Song" is simple and beautiful.
{115}
KING RICHARD III
The play of _Richard III._ has not attracted musicians. I can only
trace one opera founded on it--that by the French composer, +Gervais
Bernard Salvayre+, produced 1883 at Petrograd. This work was a dead
failure, its chief faults--noisiness and an amalgamation of different
styles, from Meyerbeer to Verdi--being so prominent that it was only
performed a few times. Concerning two other works, which I have not
been able to find, a few bare _data_ are given below.
Of incidental music, specially composed, much has been written, but
most of it is unimportant. Many producers seem to have been content
with a funeral march and a liberal use of fanfares; but the late
Richard Mansfield, the Anglo-American actor-manager, had the good sense
to commission +Edward German+ to compose the music for his production
at the Globe in 1889, and the result is a fine overture and some very
effective and appropriate incidental music.
The overture is in strict form. It opens _maestoso_, the Richard III.
theme being given out _forte_. It is a sinister subject, well suited
to the character Shakespeare drew, if not in agreement with our modern
whitewashing historians. After this short introduction the overture
proper starts, with Richard's _motif_ on the violins, _allegro molto_,
accompanied by _tremolo_ strings. This is worked up to a fine
_fortissimo_, and prepares the way for the second theme, "The Princes."
Here we have a tender melody, again suited to the author's picture of
the characters, but not at all {116} like the horrible little prigs one
generally sees in these parts in the theatre. Personally I have every
sympathy with Richard for killing the Princes whenever I see them on
the stage! This theme is worked up to a fine climax, and then the very
clever development begins. The subjects are well mixed and blended,
and the overture comes to an end in a very brilliant manner.
In the incidental music the first number is the King Henry theme, a
plaintive minor melody; then the Lady Anne _motif_, also plaintive, but
not minor. The Lord Mayor theme is a mock dignified march, marked
"quaintly" in the score. The number called "On the Way to Chertsey" is
in the "Old English style," and foreshadows the famous "Henry VIII.
Dances" that followed. "In the Tower" is naturally sombre, very
ominous and fateful. The "Entrance of the young Duke of York" is a
pretty, boyish, scherzo-like little number; and "In Baynard Castle" is
a serious, organ-like piece of music all on a pedal, and rather like a
conventional postlude. "Richmond's March" is also serious, and is
marked "religiose," an allusion to his well-known habit of praying!
The processional march, played as Queen Elizabeth and train enter the
Tower, is a fine, pompous, thoroughly English march, as is fitting for
the occasion; and the "Intermezzo Funebre," played as King Henry's
funeral procession approaches, is all its name promises. The work ends
with a short "Victory theme." This score, which was the first
incidental music written by Edward German, then musical director at the
Globe, made quite a sensation, and abundantly justified Mansfield's
selection of his composer.
+Frederick Smetana+, born March 2, 1824, perhaps the greatest Bohemian
musician, wrote a great symphonic poem on this play. It is a very
elaborate work and laid out for a very large orchestra. The composer
gives no definite programme, but the music throughout is very dramatic
and full of tragic interest. After a few quiet introductory {117} bars
the basses give out the principal theme quietly, but working quickly up
to a _fortissimo_.
This subject, with slight changes, dominates the entire work; it is a
grim, characteristic, sinister theme, and a splendid one to develop.
Almost immediately it has been announced the answering _motif_,
plaintive and melodious, follows, and for a long time these are the
only subjects used. After a good working-up, a four-note figure of the
theme is taken by itself and developed into a great march tune, typical
of the King in his pomp. After this, one new subject is introduced--a
breathless, syncopated, _agitato_ phrase, which, worked up with the
other theme, develops into a magnificent coda, marked "vittorioso" in
the score--victory for Richmond, I suppose. The last few bars are
again grim, the same four notes from Richard's theme broken in upon by
two sharp _fortissimo_ chords.
This is indeed a welcome addition to our scanty stock of _Richard III._
music. It is a symphonic poem in the grand manner, and worthy to stand
with the greatest works in that class. This work was first performed
in England at the first Henschel concert, St James's Hall, November 12,
1896.
All that is known of an opera bearing the impressive title of _Ricardus
Impius, Angliae Rex, ab Henrico Richmondae Comite vita simul et regno
exitus_, is that it was a drama in Latin, music by Jean d'Eberlin, and
was produced by the students of the Benedictine convent at Salzburg on
September 4, 1750. The composer, +Johann Ernst Eberlin+, was born at
Jettingen, Bavaria, 1702, and died at Salzburg, Austria, in 1762. He
was Court organist to the Prince Bishop of the latter town, and chief
organist to the Cathedral. He composed an immense amount of church and
organ music.
The other work unknown to me is +Canepa's+ _Riccardo III._ (Milan,
1879).
{118}
ROMEO AND JULIET
It is a curious fact that, though _Romeo and Juliet_ contains more
exquisite lyrical passages than almost any other play of Shakespeare,
there is no song or lyric in it.
Anyone except Romeo would have hired a quartet, or anyway, one singer,
to serenade Juliet under her balcony; but she remains unserenaded.
Even the four lines beginning "When griping grief" (sung by Peter in
Act iv., Scene 4) are not Shakespeare's, but quoted by him from Richard
Edwards's _Paradise of Daintee Devices_, and sung to a so-called
traditional tune. But if there is no song like "Sigh no more, ladies,"
or "Who is Sylvia?", there is little doubt that a greater number of
composers have been inspired (more or less) by this tragedy than by any
other of Shakespeare's subjects if we except _Hamlet_. A mere list of
the names is imposing. The most popular work is, no doubt, Gounod's
opera _Romeo et Juliette_. The book, which adheres fairly closely to
the original play, is by Barbier and Carre, and the work was first
performed at the Lyrique, Paris, on April 27, 1867. The characters are
the same as those of Shakespeare's play, with the addition of Stephano,
page to Romeo (mez. sop.), and Gregorio, a watchman. The waltz in Act
i. is a very popular _coloratura_ soprano song, but is not in the least
the kind of thing the real Capulet would have allowed the real Juliet
to sing to his guests. Mercutio's Queen Mab scena is very effective,
as are the Balcony duet and the prelude to the fifth act. But the most
successful and to my mind the most Shakespearian character in the whole
opera is Friar Laurence, a conception full of dignity and pathos. Pol
Plancon was {119} magnificent in this part. Taken altogether, Gounod
has turned out a very successful French grand opera, which will hold
its place in opera repertories for many years to come.
The only other opera on this story that has had any great success is
+Bellini's+ work in three acts, _I Capuletti ed i Montecchi_, book by
Romani, produced at Venice, March 11, 1830. It is a real Bellini, full
of florid arias, word repetitions, bravura passages, cadenzas, and all
the vocal gymnastics so beloved of his period; but the music, as a
whole, would fit any story quite as badly as it does that of Romeo and
Juliet. The overture is rather curious. The first subject, second
subject, development, recapitulation, and coda are all in the same key,
that of D major. The effect is overwhelming. It is a perfect tonic
orgy. An amusing account of this opera is given by Berlioz in his
_Autobiography_. During the time he held the Prix de Rome, passing
through Florence, he heard some strangers at a _table d'hote_ talking
of Bellini's _Montecchi_, which was soon to be given. He writes: "Not
only did they praise the music, but also the libretto. Italians as a
rule care so little for the words of an opera that I was surprised, and
thought--at last I shall hear an opera worthy of that glorious play.
What a subject it is! Simply made for music. The ball at Capulet's
house, where young Romeo first sees his dearly loved one; the street
fight at which Tybalt presides, patron of anger and revenge; that
indescribable night-scene at Juliet's balcony; the witty sallies of
Mercutio; the prattle of the Nurse; the solemnity of the Friar trying
to soothe the conflicting elements; the awful catastrophe; and the
reconciliation of the rival families over the bodies of the ill-fated
lovers. I hurried to the Pergola Theatre. What a disappointment! No
ball, no Mercutio, no babbling Nurse, no balcony scene, no Shakespeare!
And Romeo sung by a small _thin_ woman, Juliet by a tall stout one.
Why, in the name of all things musical--why?"
{120}
I will just enumerate the remainder of the operatic settings, giving
date and place of production and names of composer and librettist. It
is rather a formidable list, but one never hears any of the works
mentioned, save those of Steibelt and Vaccaj, at the outside; and as
for Bellini's version, it would scarcely be possible to hear it
anywhere out of Italy.
_Romeo e Giulietta_, a serious opera in three acts, by +Zingarelli+,
was composed in Milan and first performed in that city (1796). It was
produced in Paris in 1812, and had some success. Nicolo Antonio
Zingarelli was born in Naples, 1752. He was celebrated in his
lifetime, and was thought much of by Haydn, who prophesied a great
career for him. According to Coppa, his librettist, he wrote the opera
in "forty hours less than ten days." He composed a cantata for the
Birmingham Festival of 1829, and, as he could not take it to England
himself, entrusted it to his pupil Costa. This was Michael Costa's
first introduction to the English public. Hence the Philharmonic pitch
and loud orchestral playing from which we suffered for so many years.
The two most celebrated numbers in the opera are the duet "Dunque mio
ben" for soprano and contralto, and the air "Ombra adorata aspetta."
The Emperor Napoleon I. was unable to hide his emotion when he heard
this song, especially when sung by Crescentini (Romeo); who achieved so
great a success with this melody that he persuaded himself that he was
the real composer. This fable obtained, very unjustly, some credence
from the general public. The last time the Emperor heard Crescentini
sing this song he was so affected that he sent him from his own breast
the Order of the Iron Crown, and gave the composer an order for a Mass
for the Imperial Chapel that should not last longer than twenty
minutes. He had it rehearsed in his presence, and was so pleased that
he gave the musician 6000 francs. Zingarelli was an enormously
productive composer, and wrote a great number of operas, as well as
quantities of church and chamber music, but one {121} seldom hears his
name now. His music is still sung in provincial Catholic churches.
_Romeo et Juliette_, an opera in three acts, book by M. de Segur, music
by +Daniel Steibelt+, was produced at the Theatre Feydeau, 1793, just
four months after the production of a work on the same subject by
Monnel and Dalayrac, _All for Love_, or _Romeo et Juliette_. In spite
of this clashing, the opera was a success. It had been refused by the
Academy of Music, so the authors cut the recitatives, put in prose
dialogue, and produced the piece as an _opera comique_. The _Moniteur_
of September 23 describes the music as "learned, but laboured and
ugly." However, the public loved it, and other critics say it had
power and originality and distinguished voluptuous melody. Juliette's
song, "The calm of the night," and the quartet, "Graces, virtues," held
their own for a long time; as did the funeral chorus at the end of the
second act.
In 1825, at the Theatre Italien de Paris, in Milan, +Nicolo Vaccaj+
produced his opera on the same subject. It is one of the composer's
best efforts, the finest scene being that at the tomb. The air, "Ah,
se tu dormi svegliati," is pathetic and passionate. The last act of
this work is often substituted for the last act of the Bellini opera
already dealt with, as the latter composer's fourth act is very weak.
Nicolo Vaccaj was born at Tolentino in 1790. He spent some years in
London, where he was a very successful singing teacher. He wrote a
great amount of music, but none of it is very distinguished.
The +Marquis Richard d'Ivry+ composed an opera on this subject,
produced in Paris in 1878. He was a gifted amateur, born, February 4,
1829, at Beaune (Cote-d'Or), and composed several other operas. This
one was dedicated to Edward VII. when he was Prince of Wales, and was
called _Les Amants de Verone_, a lyric drama in five acts, words and
music by d'Ivry. The music, not at all {122} ambitious, is tuneful and
simple. The most important number is the farewell duet between Romeo
and Juliet in the second act. A critic, writing of this work, says:
"It is a pity that the author has not corrected in his poem those
vulgar expressions that disfigure it, and in his music those
old-fashioned formulas (_peu nouvelles_)." As I have only the piano
solo copy before me, I cannot speak on the first complaint; but on the
second I agree with the critic. The work is amateurish and
old-fashioned, often in the abusive sense of the word, but it is
certainly melodious and generally unpretentious. Each act has quite a
pretty and effective prelude, and the occasional dances are graceful.
+Pietro Carlo Guglielmi's+ opera on this play, _Romeo e Giulietta_, was
produced in London in 1810. The composer was born at Naples in 1763.
There are several detached numbers in the British Museum Library. They
are just the ordinary Italian opera music of the time. The wonder of
the story does not seem to have made the slightest impression on the
composer, who proceeds calmly on his conventional way, after one
interesting burst of originality: he actually makes Romeo a bass
baritone! After this one is not so surprised to find Juliet a deep
mezzo, nearly a contralto. To make up for the lack of tenor interest,
the part of Paris is made quite important, and among other numbers he
is given a very effective duet with Juliet. One of Juliet's songs is
described as "The Favourite Prayer," and is quite a good example of the
conventional operatic music of the period; as is Romeo's song with
chorus, in which he strives to quiet the street-quarrel between the
rival houses. The love duets with Juliet are thoroughly vocal; and the
trios, called "Favourite" again, for the lovers and the Friar, and for
Bianca and the lovers, are pretty melodious stuff, but utterly lacking
any sense of drama.
Of the non-operatic works on this subject, +Berlioz's+ symphony _Romeo
and Juliet_ is by far the greatest. {123} During the six years that
Hector Berlioz was a student at the Paris Conservatoire, the two
influences that affected him and his work most, according to his own
memoirs, were those of William Shakespeare and Ludwig van Beethoven.
It is interesting and strange that perhaps the greatest of all French
musicians should have been so profoundly moved by the plays of an
English poet and the music of a Dutch musician. I speak of Beethoven
here intentionally as Dutch, because his father was Dutch, and had only
lived in Germany two years when Beethoven was born; and I consider that
a man takes his nationality from his father and not from his actual
birthplace. Beethoven could certainly have played cricket for the
Rhineland on a strict birth qualification; but he was distinctly of
Dutch blood, and took the precaution of leaving Germany for Austria as
soon as he could. Finally came another influence to drive Berlioz
further into the arms of Shakespeare but not of Beethoven--also a
foreign one, that of Henrietta Smithson, the Irish actress. She was
playing Shakespeare heroines at the Odeon early in 1833. He fell madly
in love with her and went to see her whenever she played, just as our
modern gilded youths haunt the stalls every night to see their
favourite musical-comedy actress; the only difference being that
Berlioz saw his dear one in many different and exquisite characters,
while our youths hear their favourites say the same few lines or sing
the same little song every night of the year. Berlioz composed music
for her and gave concerts of his own compositions in her honour (the
latter must have bored her very much, judging from the attitude of the
average actress towards serious music--and Miss Smithson, from all
accounts, was not a great actress); and finally he married her. They
lived together as unhappily as possible for several years, and then
parted; but at least one great art work was the result of their union:
I mean the Fifth Symphony. "Romeo et Juliette, symphonic dramatique
avec choeurs, solos de chant, et prologue en recitatif choral, op. 17,"
to give it its full title, was finished in 1838, produced in 1839 at
the Conservatoire, and {124} repeated three times within a short
period. The work had a very mixed reception. Berlioz was never
popular in Paris or among his own countrymen; but all admitted that the
general conception was colossal. It is now regarded as a classic
throughout the world, but it is a big undertaking to produce. Little
bits of it "would never please" as _entr'actes_ or incidental music to
a production of the play in London. The words are by Berlioz, inspired
by Shakespeare, and versified by Emil Deschamps; and the work is
dedicated to Paganini, who a little earlier had presented Berlioz with
twenty thousand francs to show his admiration for the earlier Symphonie
Fantastique. Berlioz says in his autobiography: "I remember in one of
my Campagna rides with Mendelssohn (this was during his tenure of the
Prix de Rome) expressing my surprise that no one had ever written a
scherzo on Shakespeare's sparkling little poem, _Queen Mab_. He, too,
was surprised, and I was very sorry I had put the idea into his head.
For years I lived in dread that he had used it: for he would have made
it impossible, or at any rate very risky, for anyone to attempt to do
it after him. Luckily he forgot." This was a very generous tribute to
Mendelssohn's power as a fairy-music composer, coming from a musician
in no very great sympathy with his style.
This symphony is scored for a very large orchestra. The first movement
consists of a fine musical imitation of a street fight, culminating in
the entrance of the Prince (on the full bass), who stops the fight.
Then comes a choral prologue for contraltos and basses, giving a rough
idea of the plot. Then a Queen Mab scene for tenor and chorus, and a
great concert and ball given at the Capulets'. This finishes the
second part. The third part is the love scene (Balcony scene as we
call it) in Capulet's garden. There is some very exquisite love-music
here; and the whole movement, which is really the so-called "slow
movement" of the conventional symphony, is very beautiful. The fourth
section (Scherzo) is called "Queen Mab," and is one of those delicate,
gossamer, fairylike works in which Berlioz {125} so excels. Then come
choral music for the funeral cortege of Juliet, and Romeo's invocation
at the tomb of the Capulets. The finale takes place in the graveyard:
Montagues and Capulets are both there, Friar Laurence explains
everything, and there is reconciliation between the rival houses,
ending in their swearing over the graves to be friends for ever. I
know this is a very bald account. The work should be heard to be
understood fairly; but a very interesting couple of hours can be spent
by a musician on the full score of this work in the British Museum
reading-room. The text is given in both French and German. Wagner, in
his letters from Paris, 1841, says of Berlioz: "He has no friend deemed
worthy to be asked for counsel, none he would permit to draw his notice
to this or that sin against form in his works. In regard to this, I
was filled with regret by a hearing of his symphony, _Romeo et
Juliette_. Amid the most brilliant inventions, this work is heaped
with such a mass of trash and solecisms that I could not repress the
wish that Berlioz had shown this composition before performance to some
such man as Cherubini, who, without doing its originality the slightest
harm, would certainly have had the wit to rid it of a quantity of
disfigurements.... Wherefore Berlioz will always remain imperfect,
and, maybe, shine as nothing but a transient marvel." There is some
sound though exaggerated criticism in these sentences; but Wagner could
not have known on what sort of terms Cherubini and Berlioz were. That
the latter could submit a work for correction to the former is
impossible for anyone knowing anything about their personal and
artistic relations to consider for a moment. Still, the personal
criticism of one great composer by another is always interesting and
informing.
Tschaikowsky's Overture-Fantaisie, _Romeo et Juliette_, is scored for
an ordinary symphony orchestra with horn and harp. It is very modern
and very emotional, and at times almost hysterical. The work begins in
a quasi-organ manner, but the first subject is very bold. Whether
{126} it is to express Montague or Capulet I don't know. It seems too
robust to express my idea of Romeo, but it may be Tschaikowsky's. The
second subject is obviously Juliet, and the two themes are developed to
the end, which, curiously enough, for the last few bars is quite
lively. The work makes a very interesting contrast to Berlioz, but I
suspect that the great Frenchman had a deeper insight into
Shakespeare's poem than the Russian. Tschaikowsky's work could be done
without any mention of Romeo and Juliet or Shakespeare; Berlioz's could
not.
+Joseph Joachim Raff+, a composer whose name is unfortunately mostly
associated with the well-known or notorious Cavatina, is a much
underrated man. He was an indefatigable worker and an outstanding
example of the fatuity of Carlyle's definition of genius. Undoubtedly
Raff was no genius, but he was a composer of far from common ability.
His four Shakespearian overtures, of which the one to _Romeo and
Juliet_ is the first, are all most interesting. They are not absolute
programme music. They give the idea more than the story, but are none
the worse for that. The Romeo overture opens with a fine broad theme
for the horns, swiftly followed by a somewhat suave melody for the
strings, the other instruments gradually joining in. The middle part
is quite tragic, and the whole is carried out to a well-constructed
finish. Without achieving great music, Raff rises to certain heights
in this overture.
+Hugo Pierson's+ concert overture _Romeo and Juliet_, op. 86, is very
interesting, but not so much so as his symphonic poem _Macbeth_, which
I described at some length in an earlier section. Composed for a large
orchestra, it opens with a short _allegro appassionato_ introduction;
but this soon changes to a graceful theme typical of the luxurious life
of Verona, broken in upon occasionally by suggestion of the hate
between the rival houses of Montague and Capulet. This is followed by
an amorous subject typical of Romeo, and by a gay theme for the great
dance. The {127} Balcony scene is beautifully portrayed. The
remainder of the music becomes high tragedy, and it remains so till the
very end. The overture is quite short and not so difficult as most of
Pierson's work, and it is full of melody and broad orchestral effects.
The themes are all original, as is their treatment, and the tonality is
interesting though difficult to follow.
+Edward German+ composed the whole of the music for Forbes-Robertson's
production of _Romeo and Juliet_ at the Lyceum, September 1895, and
also dedicated it to him. It is a complete piece of work, admirably
carried out and suited for the occasion. It opens with a fine sombre
prelude, showing the atmosphere of hate which was brooding over the
otherwise pleasant town of Verona. This feeling of hate and the
love-music are the two most important themes in the prelude, which
finishes up with six bars, _religioso_, to suggest the tomb. For the
remainder of the music Mr German has himself made a selection of themes
containing all that is of the most importance. The curtain music for
the first act is a broad theme in common time, which serves to open the
scene and is otherwise harmless. Then comes the Peter _motif_--a good
Old English comedy theme with an excellent descending bass. The March
which follows is a thoroughly good Old English march of the kind to
which Mr German has accustomed us. The Capulets' Reception music and
Juliet's theme (I am quoting Mr German) are graceful six-eight numbers,
and if taken a little faster than marked would make excellent Old
English country dances. Even at the proper time one expects to see
shepherds, not great ladies and gentlemen. The Love _motif_ is sombre
enough--Mr German never seems to give his lovers time to be happy; but
the Nurse theme is a real bit of German at his best, and is very
welcome. The music for Paris at the tomb of Juliet is necessarily sad,
and the Death theme, the last number, is quite in keeping with the end
of Shakespeare's tragedy. There is a charming nocturne which makes a
very effective {128} _entr'acte_, delicately scored and very original.
The Pastoral, again, is a delightful composition. But the best number,
to my mind, is the Pavane. Here Mr German has got the real
Romeo-Juliet-Shakespeare atmosphere, and in this simple dance has done
more to express in music what Shakespeare was showing to us than in his
complicated prelude or in the rest of the incidental music. This
Pavane is a real gem.
+Joseph Holbrooke's+ poem for chorus and orchestra, _Queen Mab_, was
first performed at the Leeds Festival in 1904. The chorus part is _ad
lib._, but if properly performed makes a very effective addition to the
fairly large orchestra that Mr Holbrooke has scored for. The opening
is in the guise of a scherzo, very brilliant and difficult; then comes
a long slow episode; then much development; and finally the entrance of
the chorus. The time is _adagio_, and the words begin, "Arise, fair
sun, and kill the envious moon," ending six lines afterwards. These
lines are repeated again and again, quite in the so-called
old-fashioned style; the chorus dies away; and the orchestra finishes
the work with a coda _fortissimo_. Queen Mab has long since
disappeared.
+Johann Severin Svendsen+, born 1840, Christiania, wrote a _Romeo and
Juliet_ overture, but there is no copy of it in the British Museum.
The following operas are mentioned in Mr Barclay Squire's interesting
article on Shakespearian operas, from the book _Homage to Shakespeare_,
1916. As they more or less complete the list, I mention them; but I
cannot find copies of them or any reference as to their comparative
merits, or otherwise:--Dramma per Musica, in 2 acts, pub. Berlin in
1773, with no composer's name; opera by Benda, Gotha, 1776; T. G.
Schwanenberg, Leipzig, 1776; L. Marescalchi, Rome, 1789; Von Rumling,
Munich, 1790; Porta, Paris, 1806; Schuster, Vienna, {129} 1809. This
article gives a fairly complete list of the music inspired by our play.
It seems curious that with so magnificent a theme only one
composer--Berlioz, of course--should have risen to absolutely supreme
heights. I suppose his work is performed very occasionally; whereas
Gounod's is in every operatic repertory in the world.
{130}
THE TAMING OF THE SHREW
This play seems, on the whole, to have been very much avoided by
musicians. There must be a certain amount of music in any work of
Shakespeare, but producers appear to have been content to use old stuff
and adapt it for this piece. +Noel Johnson+ wrote some very pretty
music for the Asche-Brayton production; but Sir Frank Benson's version
had hardly any music in it: just a dance (the beautiful Rigadoon, by
Rameau), a gavotte by Handel, and a song by Sir Henry Bishop, "Should
he upbraid"--words not from the _Shrew_, nor even by Shakespeare.
A musical version, chiefly by +Braham+ and +T. S. Cooke+, was produced
in London in 1828. But the really important work on the subject is
+Hermann Goetz's+ opera, _Der Widerspenstigen Zaehmung_, produced at
Mannheim, 1874, book by Joseph Victor Erdmann. This work is Goetz's
only complete opera, as, unfortunately for music, he died at the early
age of thirty-five, in the height of his powers. His _Taming of the
Shrew_ is still in the repertory of the German opera-houses.
The characters have the same names as in the play--Katharina and
Bianca, sopranos; Hortensio and Lucentio, bass and tenor; Baptista and
Grumio, basses; the Tailor, tenor; and Petruchio, baritone.
The work begins with a full concert overture, a capital number, which
would make an excellent opening for any production of the play. The
themes are bold, striking, and original, though the composer shows
throughout the {131} strong influence of Schumann. The opera is in
four acts, the first taking place in a street outside Baptista's house.
Lucentio, with guitar, is singing a sentimental ballad, occasionally
interrupted by Baptista's servants, who rush from the house singing
"The Devil is loose in the house." Baptista asks them what is the
matter, and the servants at once give notice on account of Katharina's
outrageous behaviour. There is nothing much of Shakespeare in this
act, but it makes a brilliant opening to the opera. Katharina then
comes on the balcony and tells the people how good she is going to be.
The neighbours all join in, and there is a beautiful bit of choral work
for principals, neighbours, and chorus. All exit except Lucentio; the
chorus in the house sing an unaccompanied sort of evening hymn, the
music dies away, the lights in Baptista's house go out, and Lucentio
serenades Bianca.
Presently she appears on the balcony, and they sing a beautiful love
duet, say good-night, and exit. Hortensio arrives to serenade her
also, and quarrels with Lucentio, and the pair of them make such a
noise that they waken poor old Baptista, who appears at the house door
in his dressing-gown, with a light, still wondering if he will ever get
any peace. Petruchio enters to a very blustering tune (the Petruchio
_motif_, I call it). They make themselves known to each other, and
Petruchio, in a beautiful and melodious song, describes his deeds in
the past, just as in the play, and says what a poor opinion he has of
the power of a woman's tongue. The act ends very happily, with
Petruchio promising to woo and win Katharina.
The second act starts with a short prelude, _sostenuto_ and slow, and
as the curtain goes up Katharina and Bianca begin their quarrel scene,
mostly on the former's part. Bianca produces a guitar and plays, while
her sister says she will live and die a maid. Petruchio enters and
woos the Shrew in a dramatic duet, and the act closes with a fine
_ensemble_ for the principals.
The third act opens, after hardly any orchestral introduction, with a
quartet for Bianca, Lucentio, Hortensio, {132} and Baptista, lamenting
the absence of the bridegroom. Katharina joins in, very scornful about
him, and the wedding guests enter, singing how difficult it is to have
a wedding without a bridegroom. Then comes the familiar lesson scene.
Lucentio sings the first lines of the first book of the _AEneid_, with
his own additions. Hortensio also sings to his guitar--a method of
music-teaching that even Bianca can see through; and then Baptista
enters, and, in a very lively number, gives the news of Petruchio's
return. He arrives, more bluff and hearty than ever, clad in eccentric
clothes, and hurries his bride-to-be to the church. The domestics of
Baptista's house sing a chorus, showing how glad they are that
Katharina is finally married and got rid of. The bridal party returns,
and Petruchio announces his intention of departing at once. The close
of the act must be very effective, according to the stage directions,
when properly done. Grumio brings in two horses. Petruchio springs on
one, Grumio rides off on the second, the chorus and principals singing
lustily the while.
The fourth and last act opens with a male chorus, Petruchio's servants
being bullied by Grumio, awaiting their master's return. The bridal
pair make a fine entrance, and, as in the play, the husband finds fault
with all the food, and sends it away. Katharina is left alone, and
sings a beautiful and pathetic soliloquy on her difficult position.
Grumio introduces the Tailor, and there is a very amusing quartet for
the four. After this the action is much hurried. The changed
Katharina arrives at her father's house; her father congratulates his
son-in-law on the admirable way in which he has reformed Katharina;
everyone is pleased, especially the servants of Baptista, and the whole
work ends with a joyous _ensemble_, making a very brilliant close to
the opera.
The opera was refused by innumerable managers, but was finally staged
by Ernst Frank at Mannheim, 1874, where its success was immediate and
decisive. The next year it was performed at Vienna, Leipsic, Berlin,
and other {133} German towns, and it was also produced in London at a
matinee at Drury Lane, October 12, 1878. In 1880 it was revived by the
Carl Rosa Company at Her Majesty's, Minnie Hauk taking the part of
Katharina. It very well deserves a revival at the present day. Every
note of it would be fresh to nine hundred and ninety-nine opera-goers
out of a thousand. All the parts are good, and ample scope is given
for brilliant singing.
{134}
THE TEMPEST
Of all the plays _The Tempest_ has been most popular with musicians.
The earliest music to _The Tempest_ is generally believed to be by
+Robert Johnson+, who wrote settings of "Where the bee sucks" and "Full
fathom five." The _Encyclopaedia Britannica_ is quite definite on the
subject; but as Johnson was born in 1604, and Shakespeare died in 1616,
and had left off writing plays for several years before his death,
Johnson must, as I said in the Introduction, have been something of a
musical prodigy.
The next in order seems to be +Matthew Locke's+ instrumental music to
an operatic version of _The Tempest_ (based on Dryden-Davenant), played
in London in 1673. This work was revived and revised with additional
numbers by +Henry Purcell+ in 1695. The exquisite "Come unto these
yellow sands" was one of the additional numbers. In both of these
adaptations the words are very much altered, or "improved," as the
theatre people of the time thought; but a very good hotch-potch version
can be made by taking the best numbers mentioned, scoring them lightly,
and having them sung simply and not operatically.
+Arne's+ "Where the bee sucks" is his best work, and, I think, the most
beautiful of all the settings.
+John Christopher Smith+, Handel's pupil and amanuensis, composed two
operas on _The Tempest_, one of which was produced in London in 1756.
The overture is the usual {135} one of the period; but Ariel's storm
song, which opens the first act, beginning with a long orchestral
prelude, is a very original piece of work. It is a dramatic recitative
with elaborate orchestral accompaniment to the words, slightly adapted,
from Ariel's speech to Prospero in Act i., Scene 2. The following
numbers have no connection with Shakespeare's play, a delightful
setting of "Come unto these yellow sands," for Ariel, being the next
Shakespearian lyric taken--this for high soprano with strings, very
florid but melodious; and the music for "Full fathom five" is also very
much in keeping with the words. Caliban (baritone) sings "No more dams
I'll make for fish" to a rollicking tune, and follows it with a curious
song called "The owl is abroad." The words are not by Shakespeare, but
it is said that it was a great favourite with audiences.
Ariel's song, "Before you can say come and go," is very gracefully set,
and has a charming _obbligato_ part for the violin; but Prospero's
recitative, "Now doth my project gather to a head," is Shakespeare's
blank verse set to music. The duet ends peacefully and happily with a
duet for Ferdinand and Miranda about "gentle love, innocence, and
chaste desire." On the whole the work is disappointing. One could
have done with a little more Shakespeare and less of Christopher
Smith's own librettist; but it contains much charming music, some of
which would sound very fresh if revived now.
+John Davy+, a West-countryman, born at Exeter, 1763, composed an
overture and other music for _The Tempest_. It is dedicated to the
memory of John Philip Kemble, and includes songs by Arne, Purcell, and
Linley. The overture is a very simple affair, bringing in Purcell's
"Where the bee sucks" and "Come unto these yellow sands," and is,
therefore, not so independent of the rest of the music as the overture
of this period usually is.
After the overture comes +Linley's+ graceful setting of "O, bid your
faithful Ariel fly," sung in Prospero's cave {136} by Ariel (the words
by Dr Laurence). Then follows a very simple so-called symphony by
Davy, all very quiet and peaceful, going into Linley's horrible "Storm
Chorus." Christopher Smith's Caliban song is introduced after the
"Storm"--"No more dams I'll make for fish," which has a very cheerful
tune; and Purcell's beautiful settings of "Come unto these yellow
sands" and "Full fathom five" follow. Between Acts i. and ii. Davy
introduced a symphony by himself, consisting of a very simple Largo,
followed by an equally simple Rondo. The song and chorus that follow
are by Purcell, to words by Dryden, beginning "King Fortune smiles,"
which, like the next song by the same authors, are too interesting to
pass over in silence, though neither has any real connection with
Shakespeare. The music for the appearance of Fairies is by Purcell, to
words by Dryden, "Where does the black fiend ambition reside?", and is
for two bass voices and chorus, with an interesting solo bassoon part.
The opening of the third act consists of a very pretty symphony by
Davy, in the form of an air with variations. The only musical number
in this act consists of a song, very grotesque in style, for Caliban,
words by Ben Jonson, music by Christopher Smith. The prelude to the
fourth act is in march rhythm, a pleasant, cheerful piece of music,
composed by Davy. The setting of "Where the bee sucks" is Arne's
delightful one, and is sung by Ariel, repeated by a quartet, with added
words and the music much elaborated, while, according to the stage
directions, Ariel and the spirits ascend into the sky. This is the
last number, but the untiring Linley has added an appendix consisting
of two songs for Ariel, "While you here do snoring lie" and "Ere you
can say come and go," and a duet for Juno and Ceres, entitled "Honour,
riches, marriage, blessing"; all with words by Shakespeare from this
play--quite a concession on the part of a composer of this period,
especially of T. Linley himself.
Between R. Johnson's time and the present day I can {137} trace twenty
operas on this subject, but none of them has held the stage. The only
modern one that was produced in London seems to be +Halevy's+ two-act
opera _La Tempesta_, book by Scribe, produced at Her Majesty's in
Italian. The story of how this work came to be composed is rather
interesting. In October 1831, Mendelssohn gave a grand concert at
Munich, and was so successful that he received a commission to compose
an opera for the Munich theatre. He consulted with Immerman as to the
libretto, and arranged with him for one founded on _The Tempest_. The
composer and librettist, however, soon quarrelled, and the opera scheme
lay dormant for some time. About the middle of October Mendelssohn was
in communication with Lumley, lessee of Her Majesty's, for an opera,
libretto by Scribe, on the same subject. Mendelssohn did not like this
libretto, and finally turned it down; and Jacques Francois Fromental
Elias, "a Jew whose real name was Levy," as Grove's _Dictionary_
prettily phrases it, then set the libretto. Halevy was born in Paris,
1799, and studied at the Conservatoire under Cherubini. Having won the
second prize twice, he finally carried off the Grand Prix de Rome
itself.
The opera was produced at Her Majesty's, London, on June 14, 1850, and
made an enormous success. The first act is opened by a chorus of Air
Spirits, who obey the orders of Ariel. Sleeping Sylphs are wakened,
and make together a most poetic choreographic effect, which is repeated
again in the first tableau summoned by Prospero. Carlotta Grisi acted
with great success as Ariel in this work, and Lablache was terrible and
grotesque, though sometimes tender, as Caliban. Sontag was the
Miranda, and the whole performance was conducted by our own Michael
Balfe. The most popular numbers in the score were the cavatina, "Parmi
una voce mormore"; the duet, "S' odio, orror di me non hai"; and the
finale to the second act, which is full of movement and originality.
A lyrical drama, after Shakespeare, by Armand Silvestre {138} and
Pierre Berton, music by +Victor Alphonse Duvernoy+, was produced in the
Salle du Chatelet on November 24, 1880. This remarkable work won the
Grand Prix for musical composition offered every two years by the town
of Paris. It obtained a very well-deserved success at the first public
performance for its great qualities of form and style. Much of the
opera was greatly applauded, especially the duet of Ferdinand and
Miranda, "Parle encore, que ta voix m'enivre," the dramatic trio,
"Courbe-toi, vaincu sous la chaine," the very original song of Caliban,
the symphonic music descriptive of Miranda's sleep, the prelude to the
third act, and the pretty ballet air of the Sylphs.
Larousse, the musical historian, says that it is a truly interesting
work, and certainly produces a grand effect on the stage. The composer
of this opera was born in Paris, 1842.
+Zdenko Fibich's+ three-act opera, _Boure_, or _Der Sturm_ (1895), is a
recent opera on this subject, and is by far the most modern in
treatment. All Shakespeare's principal characters are present, and the
libretto is very ingenious. There is no overture proper, but a fairly
long orchestral introduction opens the first act; it consists of very
furious storm music, with Prospero's principal theme hammered out on
the bass brass. As the curtain rises, Prospero and Miranda are
discovered watching the storm; the storm dies away, and Miranda, in a
very melodious passage, asks her father all about it, and what has
happened to the sailors and the ship which they have both seen in great
difficulties. In a very dignified quasi-recitative passage Prospero
tells her that the storm is of his own planning, and he then relates
much of the story of his life and wrongs.
Though long, the orchestral accompaniment to this is so interesting and
varied that no one could be bored by it. At the end Prospero puts
Miranda to sleep, and after a beautiful orchestral interlude summons
Ariel, who tells him in charming musical phrase what she has done with
ship and sailors, and then exits to a delicate orchestral {139} passage
for wood wind. Prospero awakes Miranda, and sends her into his cave;
then he calls for Caliban, who presently appears to a grotesque tune
played on the basses. To characteristic music he grumbles at his
perpetual labour, till Prospero, angry, sends him off. Ariel and a
spirit chorus now lure Alonzo and the rest, by their singing, to where
Prospero is, and totally bewilder them; a very beautiful _ensemble_
follows for chorus and principals, which finishes on the exit of all
except Prospero and Miranda. Ariel returns bringing Ferdinand, whom
Miranda recognises as the being she had seen in her dream. Ariel sings
a very pretty adaptation of "Full fathom five," and the two
lovers-to-be make friends, Prospero looking on unseen. Suddenly
Prospero breaks in upon them very angrily, and displays to Ferdinand
some of his miraculous powers, causing lightning and thunder, and
finally paralysing him.
This is all done to a most effective and appropriate setting, and the
curtain falls on the first act to a fine dramatic situation, much
heightened by excellent music.
The second act opens with a fairly long orchestral prelude; it is on a
dominant pedal, fifty-five bars in length, and depicts the depths of a
tropical forest. Ferdinand sings, and is presently joined by Miranda.
Now we have a really amusing comedy scene for Trinculo, Stephano, and
Caliban, the last-named having an excellent grotesque song, in which
the others join. The drinking scene is very well set to music, the
part of Caliban being strongly marked and individual.
Ariel breaks in on this festive scene with her spirit chorus, and the
comedians exit. Gonzalo and the other nobles enter, and, as in the
play, spirits bring mysterious food and drink, and strange music is
everywhere heard. All this is capitally done. Ariel, in a dramatic
manner, denounces them all as "men of sin." Prospero then enters, to a
fine _maestoso_ bass movement, explaining everything; and the act
finishes with a solemn march, to which all the spirits of Earth, Air,
Fire, and Water enter and do homage to Prospero.
{140}
The last act opens with a long prelude signifying Prospero's magic
powers. Sometimes we get charming light Ariel music, sometimes music
suggesting a deeper, more awful, kind of magic, and sometimes a
grotesquely comic dance rhythm, which is, nevertheless, almost sad,
suggesting poor Caliban. It is altogether a most interesting prelude,
and would make an excellent concert number by itself. The curtain
rises on Prospero's cave to mysterious sounds; alchemical instruments
are scattered about, and great books in ancient bindings lie on the
table. Prospero and Ariel are discovered. The Spirit tells him that
Caliban and his friends are going to kill him in his sleep. Ferdinand
and Miranda enter hand in hand, and Prospero summons the Spirits, who
sing sweetly to the lovers. Presently Caliban and his friends enter,
and Ariel and the other spirits chase them away jeeringly. Ariel
claims liberty; and, to sonorous music, Prospero renounces his magic
arts. With a great musical noise his cave disappears, and the scene
changes to the landscape of the first act. In the rocky cove Alonzo's
ship is ready to sail; Prospero calls on Ariel for the last time; and,
to solemn tones, all the mortals enter from different parts of the
stage. The end is now very near. Ariel is set free; Prospero promises
all a comfortable, safe voyage; the sailors sing of the joys of home
life; and the curtain falls to the Spirits singing of their new
freedom. The Caliban and Spirit music is the best part of the opera.
All the mysterious magical effects are most impressively done, but the
composer is not so happy with his lovers. The orchestral interludes
are excellent, and the many choruses of unseen Spirits are most
melodious, and not too difficult.
+Alfred M. Hale+, a very progressive young composer, has written an
opera on this subject, parts of which were performed at the Queen's
Hall on February 28, 1912. Among the numbers given was a duet for
Miranda and Ferdinand. A well-known musical critic writes as follows
concerning this number: "Mr Hale has written vocal parts {141} in the
style of an intoned conversation; no really vocal phrases are apparent,
but the text is moaned to a vague backing of orchestral activity.
Occasionally one heard snatches of _Tristan_ or _Pelleas_. All is
vast, vague, and vacuous. Mr Hale's orchestra breathes with its mouth
wide open." So we will leave it at that.
+Sullivan's+ _Tempest_ contains some of his finest music. Composed at
Leipsic when he was Mendelssohn Scholar, it has all the freshness of
youth and none of its immaturity. It was first performed at the
Crystal Palace, June 8, 1862, and was enthusiastically received,
Charles Dickens complimenting the young composer very highly. Though
not written expressly for the theatre, the music can be used almost as
it stands; but I have never heard it without additional numbers. When
it was adopted for Henrietta Hodson's production, Sullivan's "Where the
bee sucks" was cut out and Arne's substituted. Arne's setting is his
best work, and, in my opinion, the most beautiful of all the versions
extant; but Sullivan's is fine too, and the former did not blend with
the rest of the score but stood out and spoilt the whole musical scheme.
+Taubert+ wrote capital incidental music for this play, but I have
never heard it without additional numbers. Sir Frank Benson used a
great deal of this setting in his production of _The Tempest_, but he
made use of much other music as well. In his version the play began
with a "Storm Chorus" by Haydn, supposed to have been inspired by his
first (a bad) crossing to England; at least, this was the tradition in
the Benson company. Then he went on to Taubert for "Come unto these
yellow sands" and "Full fathom five," both very pretty arrangements for
Ariel (soprano) and chorus; back to Arne for "Where the bee sucks," and
to Sullivan for "Honour, riches." A song for Ariel, "Oh, bid thy
faithful Ariel fly," by T. Linley, was interpolated, the words not even
by Shakespeare. For the closing scenes, Sir Frank returned to {142}
Taubert; and if the whole affair was a hotchpotch, it was a very
agreeable one.
The last, and quite the most important, music written for _The Tempest_
since Sullivan's time is Humperdinck's. +Engelbert Humperdinck+ is
well known in England as the composer of the opera _Haensel und Gretel_,
the scores of _Koenigskinder_ and _The Miracle_, but few English people
know his Shakespearian works. His music to _The Tempest_ was first
heard at a great production of the play in Berlin at the Neue
Schauspielhaus on October 25, 1906. It consists of a long prelude,
running into storm melodrama music for the whole of the first scene,
calming down beautifully for Miranda's first entrance. All the lyrics
and choruses are set, and in all there are eighteen important numbers.
The music is difficult, and the chorus and orchestra must be on a large
scale; but it would make a very interesting production if it could be
done exactly as the composer devised it, with no added numbers, extra
lyrics, or pseudo-Elizabethan bilge. Here are ninety pages of closely
printed pianoforte score; enough, surely, for the most old-fashioned
producer without additional numbers. Very effective use is made of the
male and female chorus, singing _bouche fermee_ instead of the
orchestra playing, as melodrama music. Ariel's "Where the bee sucks"
is a charming setting, and the choruses and dances are most carefully
and reverentially done. There is no German equivalent to Shadwell,
Davenant, or Dryden. Here we have nothing but the exact text of
Shakespeare, and really it seems quite enough. The Prospero _motif_, a
fanfare, occurring frequently, holds the entire work together, and the
magic music would be a great help to any Shakespeare production. I
hope one day to see a straight production of this play with the music
as composed.
+Berlioz+ was early attracted to _The Tempest_, and even called one of
the ladies he adored--Miss Moke, subsequently {143} Mme. Pleyel--Ariel.
At the end of 1828, after the failure at rehearsal of the Symphonie
Fantastique, he was asked to write something for Girard, conductor of
the Theatre Italien. He then composed his Fantasia with choruses on
_The Tempest_, but Girard at once saw it was too big for his theatre
and could only be done at the Opera. There was to be a concert for the
Artists' Benevolent Fund, and the work was accepted for performance by
the director of the Academy, M. Loubbert, of whose care and kindness
during the production Berlioz speaks most highly. He quotes
Shakespeare about him (he often quoted Shakespeare), saying to a
friend, "He was a man, Horatio." I cannot do better than transcribe
the composer's interesting account of the first performance, taken from
his _Autobiography_: "All went splendidly at rehearsal; everything
seemed to smile, when, with my usual luck, an hour before the concert,
there broke over Paris the worst storm that had been known for fifty
years. The streets were flooded, practically impassable, and for the
first half of the concert when my _Tempest_, damned _Tempest_, was
being played, there were not more than three hundred people in the
place." Just Berlioz's luck! Something nearly always went wrong with
his work in Paris. In London, Petrograd, Berlin, anywhere else, he was
immensely successful, but in Paris never quite a success, even at the
height of his fame. The second performance, the following year, was
much less unfortunate. Of the work itself Berlioz writes: "It is new,
fresh, grand, sweet, tender, surprising."
It is a pity composers do not tell us more often what they think of
their own works. I mean in autobiographies and signed articles, of
course; not, as has sometimes happened, in inspired articles written by
their friends, or in anonymous ones written by themselves.
To come to the work itself, Berlioz incorporated it in his _Lelio_, or
_The Return to Life_ (lyric melodrama). This is one of the most
extraordinary hotchpotches in all music. It begins with a ballad by
Goethe, then there is a long apostrophe to Shakespeare, then a
brigand's song and {144} chorus, then a song of bliss; finally, the
composer, Lelio or Berlioz, decides to write a fantasia on _The
Tempest_, and calls on Shakespeare to stand by him. The orchestra and
chorus then perform the fantasia. It is scored for full orchestra, but
also for two pianos _a quatre mains_. The first number is a chorus of
air spirits, soprani, alti, and tenori--1 and 2 calling on Miranda to
come to her destined husband. (This is a rough translation.) After
this comes a long orchestral interlude with a great _crescendo_ and
_diminuendo_, returning again to the Miranda chorus. The next is also
a long orchestral interlude, introducing Caliban. The chorus shout
_fortissimo_ at him, calling him "Orrido monstro," which, I believe,
means "horrid monster." After another long orchestral bit, the chorus
again begins about Miranda, and sings a farewell chant to her as she is
leaving the island. The coda is marked _piu animato confuoco_, and
keeps up _animato_ to the end. Whether it is supposed to show general
relief on the part of the inhabitants of the island on the departure of
Prospero and the rest of the mortals, or sorrow for the same reason, I
do not profess to know. Lelio (Berlioz) says a few words to the
performers, finishing, "You have indeed made progress, so much so that
we may henceforth attempt works of greater depth than this feeble
sketch." But this "feeble sketch" makes a very difficult work to
tackle; and if Berlioz had developed it, Heaven only knows where we
should end!
_La Tempete, Fantaisie pour orchestre_ by +P. Tschaikowsky+, is a very
long and complicated symphonic poem, with a definite programme. It
really tells a good deal of the story of Shakespeare's play-poem. It
opens with "The Sea." After a few preliminary bars for wind, the
strings _pianissimo_, and very much divided, play without any change of
expression for fifty-three bars, and for the same number of bars the
bass is F, with occasional changes to F sharp. It is a wonderful tone
picture of a calm sea. Then comes Ariel, very light and feathery,
presently ordered to bring about a great storm: and it comes--quite one
of the most terrific {145} in all music. The storm having calmed down,
we get the love-music of Ferdinand and Miranda--very timid music, but
finally swelling up to a fine _forte_ effect; however, before this
happens there is an amusing dialogue (if one may use the word) between
Ariel and Caliban. To most impressive music, Prospero surrenders his
magic powers, and the mortals quit the island. The sea music starts
again just as in the opening, and the work ends on a perfectly calm sea
even as it began. It is, of course, as with all the composer's greater
works, very difficult, and scored for a large orchestra; but its
effects are certain, and it is grateful to conduct or play. The storm
is undoubtedly one of the most graphic imitations of Nature in all
musical art.
+Frederick Corder's+ Concert Overture "Prospero" is a very good example
of the composer's work. It was produced in 1885, and the _motto_ is
from _The Tempest_, Act iii., Scene 3: "What harmony is this? My good
friends, hark!"
It opens with a _forte_ theme for trombones and tuba, obviously
Prospero himself; followed by flute solo, again obviously Ariel,
accompanied by _pianissimo_ violin (very high sustained chords) and
harp. These two subjects hold a sort of dialogue in which Prospero has
the last word till the _Allegro con fuoco_ commences.
This theme is a very high, swift, semiquaver passage for violins, with
some occasional help from the wood wind. It leads to a subject for
'cello of quite a melodic, easy-going character, which might easily be
Ferdinand, and, as the first violins join in, Miranda. Then enters
Prospero with his trombones against this sweetness, and the drama of
the overture begins--Prospero drowns his books, Ariel is heard singing
joyfully, but somewhat sadly, and, in the end, the spirits of the
island, free at last, are heard in a great rejoicing.
I wish Mr Corder had written even the vaguest programme for this
overture. I have tried to write one, but I may be wrong the whole
time; anyway, I have done my best, and {146} can heartily express my
great admiration for the overture and the attitude it takes according
to my reading of the play.
Mr Corder has also set "Come unto these yellow sands" and "Full fathom
five" for soprano and female chorus, with harps for the first number,
and contralto and orchestra for the second; both are melodious and
effective, though there is much repetition of the words.
+J. F. Duggan+, born 1847, died 1894, whose name does not appear in any
musical biographical dictionary that I can find, has done a couple of
interesting settings of songs for Caliban. The first, curiously
enough, is for a tenor: I have often thought of Caliban musically, but
never as a tenor; still, here it is. The words begin, "No more dams
I'll make for fish," and the setting is quite appropriately grotesque.
The second is elaborate. It was first sung by Sir Charles Santley, to
whom it was dedicated, and is for high baritone. The words begin, "Art
thou afeared?" and the music is quite decorative in its harmonic
progressions, and gives points quite excellently to the curious lines
in which Caliban describes the musical wonders of the island to
Trinculo and Stephano, while Ariel plays on his tabor and pipe. This
song was published in 1871, and that is the only further biographical
detail I can give.
+Clarence Lucas+, a Canadian composer (b. 1866), has written a very
brilliant Scherzo for piano solo, entitled "Ariel." He has taken as
his motto Shakespeare's words, "On the bat's back I do fly," and has
certainly illustrated the familiar passage with great dexterity. It is
a gossamer piece of work, and, though difficult, is highly effective.
It bears strong traces of the composer's years of study at the Paris
Conservatoire.
+Joseph Spaight+, a clever young English composer, has written a string
quartet called "Ariel," which is really very interesting. The work is
divided into eight sections, {147} each one expressing some Ariel
episode in the play. The episodes are described in a few words, such
as "On a ship in a storm," "Invisible," "Playing time on tabor and pipe
and leading Caliban, Stephano, and Trinculo away." They are highly
descriptive, but one may well question whether the string quartet is
the proper vehicle for such programme music.
{148}
TIMON OF ATHENS
The only opera mentioned by Mr Barclay Squire that might have been
founded on this play is _Timone, Misantropo_, by the +Emperor Leopold
I.+, produced at Vienna in 1696. Leopold I., Emperor of the West, was
born in 1640, and educated by the Jesuits for the Church, and he
probably learned music from them. I have read fine biographies of him;
but though I find he was not a really good ruler, there is no mention
of his gifts as a musician. It would be interesting to discover a copy
of an opera, libretto by the King of Dramatists, music by the Emperor
of the West, King of Hungary and Bohemia; but with the exception of the
name and the date I can discover no record of the work at all: not even
a popular selection for the pianoforte--Leopold-Liszt!
In 1678, Thomas Shadwell produced his version of _Timon of Athens_,
under the title "The History of Timon of Athens, the Man Hater, made
into a play by Thomas Shadwell." Of the atrocities committed by the
adapter on Shakespeare in this version it is not easy to speak with
restraint. Suffice it to say that ten years after the production
Shadwell became Poet Laureate! The masque in Act i. is written
entirely by Shadwell, with music by +Henry Purcell+. Whether this work
comes legitimately within the scope of my theme I am not certain.
Undoubtedly the author and composer must have been under the influence
of, if not inspired by, Shakespeare: as we have so little music for
this strange play, I will therefore make a short analysis of the
masque. Julian Marshall, in his foreword to the Purcell {149}
Society's edition, says: "This work was not well calculated to inspire
the genius of Purcell. Written to order, and perhaps in some haste,
the score is slight in character and design." There are several
beautiful numbers.
The work consists of an overture and thirteen numbers. The first part
of the overture is taken from the "Trumpet Sonata," and is fairly
familiar to lovers of Purcell. The duet for two nymphs that follows is
preceded by a "Symphonie of Pipes" to imitate birds: this is played on
two flutes with a very pretty effect. The bass song, "Return,
revolting rebels," sung by Bacchus, has a fine bold melody; and a slow
trio in the minor is in strong contrast to the principal theme. The
best chorus is "Who can resist such mighty charms?", which, though
simple in construction, has some fine broad effects.
The last duet and chorus, for Cupid and Bacchus, is very bright and
melodious, composed in six-four time, and makes a merry end to the
masque. After the epilogue comes a "Curtain tune on a ground," for
strings only--by far the most interesting number in the piece. The
persistent use of the idiom of "false relation" throughout the whole
piece gives it a curious interest; and the contrapuntal and harmonic
devices are also quite elaborate. I should think there is more of the
real Timon in this one number than in all Shadwell's perversions.
{150}
TWELFTH NIGHT
In spite of its great poetical beauties, _Twelfth Night_ has not
attracted many composers. There is only one opera that I can trace,
and that is _Cesario_, by +K. G. Wilhelm Taubert+, produced in Berlin
at the Royal Opera House in 1874. There is no attempt to foster the
delusion that anyone who is not next door to an idiot could ever
mistake Sebastian for Viola, or _vice versa_. Viola, in this version,
is a soprano, and her brother a tenor-baritone, so it is hard to
understand how even Orsino was taken in; but he was (and he a baritone,
not a tenor!).
The opera opens with an overture, conventional and not very
characteristic, and the curtain rises on a scene in Illyria, near
Orsino's palace.
A chorus of maidens, wives, sailors, children, and musicians is
discovered, singing a very bright and melodious number, which, though
very tuneful, does not help the action at all. The second scene opens
with storm music bringing on Viola and the Sea Captain.
The librettist, Emil Taubert, does not adhere any too closely to the
original, so I will just describe the most effective numbers. Sir
Toby's drinking song in the first act is a thoroughly good German
drinking song, with the usual low bass E for the end; and directly
afterwards Sir Andrew has a grotesque love-song with no little humour
in it.
In the fourth scene there is a very sentimental duet between Viola and
Orsino. As the work progresses we get farther and farther away from
Shakespeare, and so I leave the only opera founded on this exquisite
play. I {151} think a great deal of its weakness is due to the
librettist cutting out Feste, the clown. There is no "Come away,
Death," "O mistress mine," or "When that I was."
So it is with pleasure that I turn to +Humperdinck's+ delightful music
for Reinhardt's production at the Deutsches Theater, Berlin, produced
on October 17, 1907. The first scene is in Orsino's court (as in
Shakespeare), and gives the whole romantic atmosphere of the rest of
the play. Most producers begin with the short scene of Viola's
shipwreck, thus cunningly avoiding the whole idea of the plot. Two
violins, viola, and viol-da-gamba are discovered playing the music of
"O mistress mine" on the stage; and if it is impossible to obtain a
viol-da-gamba, the composer allows one to use a violoncello. Also
there is a guitar off the stage. The text is closely followed. The
setting ('cello solo) for the words "If music be the food of love" is
very beautiful; and until the Duke's words, "Enough, no more," the
incidental music fits in with every shade of expression in that perfect
monologue. The next number is the serenade for the clown (Feste). He
is supposed to accompany himself on the guitar, but the guitar part is
cued in for the harp if the singing-actor has not enough skill on the
instrument. It is a very charming song, not in the least like the
settings of the same words to which we are all so accustomed, but none
the worse for that. The catch "Hold thy peace" is a perfect canon at
the unison, sung by Sir Toby, Sir Andrew, and the clown. All the
verses in the kitchen scene are set to music, the versatile clown
playing the accompaniments on his ever-ready guitar.
In Act ii., Scene 4, no expensive prima-donna is called upon to sing
"Come away, Death." Orsino simply sends for Feste, and tells his
orchestra to play the tune while they are all waiting.
When the clown does arrive to sing the song the audience has been
played into the exact mood Shakespeare wanted; and the number, lovely
as it is, gets a better chance of {152} success than if the orchestra
had been playing something quite different (as I have often heard), or
an entirely new character, a singing woman, had been introduced for
this special number. Feste sings "Hey, Robin, jolly Robin" and "I am
gone, sir," to specially composed music still accompanied by the
guitar, and there are two settings by Humperdinck of the epilogue song,
"When that I was." Both are written for Feste; but the first one is
accompanied only by the guitar, while the second has an elaborate
orchestral accompaniment. You can take your choice; both settings are
equally good.
This music, both in form and expression, is, perhaps, the ideal music
for a Shakespearian production. Nothing is forced on the hearer. When
Shakespeare wanted music he said so, either in his stage directions or
in the text. This is exactly what Humperdinck has given us. Never to
my knowledge has Shakespeare's text been so reverently treated by any
composer or producer. I often think that it is not entirely the fault
of the composer of Shakespearian music that so much of it is
superfluous; perhaps a little blame may lie with the
actor-manager-producer, who must have a march to bring him on and take
him off at every entrance or exit.
+Sir Alexander Mackenzie's+ delightful _Twelfth Night_ overture was
first produced at a Richter concert in 1888. Though it is not exactly
programme music, Sir Alexander gives occasional quotations on the score
indicating his intentions.
The opening is labelled Act ii., Scene 5, Malvolio (taking up letter),
"By my life, this is my lady's hand." The 'cellos, basses, and violas
play a unison quaver passage of introduction, and Malvolio obviously
speaks through the medium of a bassoon. The clarinets and the rest of
the wood wind join in, the strings sustaining an accompaniment; and so
the first episode finishes.
The next is labelled Act ii., Scene 5, Sir Toby, "Why, thou hast put
him in such a dream that when the image of {153} it leaves him he must
run mad." Then comes, to my idea, the triumphal music of Malvolio.
This is quickly followed by a label, Act ii., Scene 3, Sir Toby, "Shall
we rouse the night owl in a catch?" and for a few moments we have
bright sounds of revelry; but very swiftly the music gets slow and
_piano_, and presently we return to Act i., and the words on the score
are, "O, she that hath a heart of that frame, To pay this debt but to a
brother," etc. This subject is very beautiful, and admirably portrays
Orsino's love for Cesario. After this comes a bright, melodious
episode working up to a _fortissimo_ climax. Then we have another
label, Act iv., Scene 2, Malvolio, "Fool, there never was a man so
notoriously abused. I am as well in my wits as thou art."
The music then proceeds in _fugato_ manner for a long time, and there
are no more directions or quotations from the text in the score till
towards the end. This is now the regular coda, and very brilliant it
is. But just before the close one finds the label, Act v., Scene 1,
Malvolio, "I'll be revenged on the whole pack of you"; the original
Malvolio _motif_ being played by the violas and 'cellos and taken up by
the rest of the orchestra. The whole finishes _fortissimo_ and very
cheerfully. There is a curious kettledrum solo in the third bar before
the end. Taken all round, this overture is quite one of the best
Shakespearian commentaries extant. Without being in the least
pedantic, it has a smack of the period; and as a sheer, joyous bit of
comedy it ranks very high in the repertory of Shakespearian music.
+Sir Henry Bishop's+ third pasticcio opera was founded on _Twelfth
Night_. It was produced at the Royal, Drury Lane, in 1820. Contrary
to his usual custom there is no overture, and the first number is a
song for viola with bassoon _obbligato_ to the words, "Full many a
glorious morning" from the 33rd Sonnet. The first half is very unlike
the composer's usual manner, but in the second he soon gets back to his
original style. The next number is a quintet with words from _The Two
Gentlemen {154} of Verona_--"Who is Sylvia?" The melody of the first
verse is by Ravenscroft (1714), that of the second by Morley (1595),
and the whole is arranged by Sir Henry; so there is not much unity of
style about it, though if well sung and unaccompanied it should be
effective. The duet "Orpheus with his lute," words by Fletcher, for
Viola and Olivia, is really too bad; and with pleasure we turn to a
quartet by Thomas Ford (1580) and D. Calcott (1766). It is called
"Come o'er the brook, Besse, to me." The first line is from _King
Lear_, Act ii., Scene 6, but in the text it is "bourne" not "brook."
The rest of the lines are spurious. The first verse is by Ford, the
second by Calcott, and the whole arranged by Bishop; but this time he
has thrown in a harmonica part, the first that I have met with in this
orchestration. The quartet and chorus at the end of the second act are
by Bishop; the words, some of them from the second part of _Henry IV._,
and some spurious. The whole finale is very pretentious and of no real
musical value. In Act iii. we have the inevitable cavatina, "Take all
my loves," from the Sonnet No. 40, sung by Olivia. It is a most sugary
song; only a few lines are taken, and repeated _ad nauseam_. The duet
Olivia and Viola, called "Cesario," is adapted by Bishop from a work I
cannot trace (by a certain Winter). The only composer of that name in
any musical biography is Peter von Winter, born at Mannheim in 1755,
and pupil of Browning's celebrated Abt Vogler. The words are a very
corrupt version of Olivia's speech in Act iii., Scene 1 of this very
play, and the music sometimes fits in and sometimes does not.
Kit Marlowe's "Crabbed age and youth," set by Bishop for Olivia, has a
fine cadenza duet with the flute, but is otherwise not notable; and
"Bid me discourse," which follows, is too well known to need mention.
An old setting of the Clown's song, "When that I was," is arranged by
Bishop for the finale. Viola and Olivia have one chorus to themselves,
very _rubato_. The melody and chorus are frequently changed,
rhythmically and melodically, but it {155} makes a good finish to a
very extraordinary mix-up of styles and composers. True to his ideals,
Bishop does not use "Come away, Death," or "O mistress mine," two of
the loveliest lyrics in the language--I suppose because they happen to
occur in _Twelfth Night_!
During his second visit to London, +Haydn+ composed his single
contribution to Shakespearian song. It is contained in the set of six
"Original Canzonets, composed for an English Lady of Position." The
words are from _Twelfth Night_, beginning "She never told her love,"
and the song is very pathetic. Curiously enough for the period, the
words "Smiling at grief" are the only ones repeated. The canzonet
opens with a long symphony for piano. The voice part is melodious and
vocal; the harmonies are more complicated than is usual with Haydn, and
there is more liberal use made of the chord of the diminished seventh
than one looks for in his work. The voice part is of just an octave's
range, and there are no aggressive _coloratura_ passages or high notes.
The only work of +Johannes Brahms+ in which I can trace the direct
inspiration of Shakespeare is his setting of the Clown's song, "Come
away, Death," from _Twelfth Night_, for trio of female voices, harp,
and two horns. This is an exquisite little work, very complete; there
is hardly any repetition of the words: just at the end Brahms repeats
"to weep there," but that is all. The combination of female voices,
harp, and horns seems on paper to be rather eccentric, but in practice
it is admirable, used as skilfully as Brahms has used it. This trio
was not written for the play. In any decent production the song must
be given to Feste, but how often is it? Time after time I have seen a
strange woman in tights dragged on to sing one of the numerous Wardour
Street versions, and no one seems to mind. Without this song, the
whole character of Feste, one of the best of all the Shakespearian
clowns, sinks into almost nothingness.
{156}
Perhaps somewhere, hidden away in some old music catalogue, I may find
something more of Brahms in relation to Shakespeare. Indeed, I hope
so. What a Hamlet overture he could have written!
The bridal song, "Roses, their sharp spines being gone," and graceful
dance (Malvolio), composed for Sir Herbert Tree's revival of _Twelfth
Night_, make one wish that the composer, +Paul Rubens+, had devoted
more time to this kind of work. The words, by Fletcher, are
beautifully set; and though there is no attempt at intentional
archaism, there is an inimitable quaintness about this song, and the
graceful dance which always accompanies Malvolio's entrances and exits,
that is hard to find in modern Shakespearian music.
+Augustus Barratt's+ setting of "Come away, Death," in the same
production, is very beautiful. +Frederick Corder's+ version of the
same lyric for a trio of female voices and piano is a sad little
number; but I wish he would set the words straight, without repetitions.
+Sir Charles Villiers Stanford's+ settings of the "Clown's songs" in
_Twelfth Night_ were not written for any special production, and were
first sung by Mr Plunket Greene. There is no needless repetition of
the words, every syllable being given its exact musical value; so, from
several points of view these versions are nearly perfect. The first,
"O mistress mine," has a flowing though not very significant melody,
and a graceful accompaniment. The second, "Come away, Death," is
naturally of a very sombre nature, the harmonies being rather more
elaborate than in the other two songs. The last lyric, "The rain it
raineth every day," is, to my mind, much the best of the three. It is
a very merry song, and the major effect and the little florid voice
passage at the end make a charming close. Unfortunately, Sir Charles
omits the last verse but one.
{157}
+Dr Arne's+ setting is beautiful. It has a curious burden to it, in
the accompaniment only; but the words are sadly chopped about.
+Sullivan's+ "O mistress mine" is quite one of his most effective
songs; and there is a beautiful flowing _obbligato_ in the
accompaniment which suggests that Sir Andrew, who played on the
"viol-de-gamboys," was playing it for the Clown.
+J. L. Hatton's+ setting of "When that I was" is quite pretty, but he
plays the deuce with the words. The exquisitely quaint first line,
"When that I was and a little tiny boy" becomes "When I was a tiny
boy"; the last verse but one is entirely omitted; and the last verse of
all is quite spoilt. There can be no possible excuse for Hatton or
anyone else changing "But that's all one; our play is done, and we'll
strive to please you every day," into "But that's all one, our song is
done, for the rain it raineth every day." This song, for tenor solo
and four-part male chorus, won a prize given by the Melodists' Club. I
suppose it was a word-distorting contest, and I congratulate the judges
on a fine decision.
+Samuel Coleridge Taylor's+ setting of "O mistress mine" is interesting
in several ways. It is not in the least like any other musical version
of the same words, and, though they are set quite straightforwardly,
the general effect is curiously bizarre. The accompaniment is in the
style of a guitar serenade, which is, of course, thoroughly in keeping
with the stage situation, although the song itself was not composed for
any special stage performance.
{158}
THE TWO GENTLEMEN OF VERONA
With the exception of the perfect lyric "Who is Sylvia?" composers have
left this play severely alone; but +Sir Henry Bishop+ certainly
produced a pasticcio opera on _The Two Gentlemen of Verona_ at the
Royal, Covent Garden, in 1821. The work is the usual jumble of words
from the plays, poems, and sonnets, set to music for the most part by
Bishop. There is an overture which is really a string of tunes, mostly
in C major, not labelled by the composer, and which do not occur later
in the opera. It is a very bad example of a very bad class of
so-called overture. The first song is a setting of the fifth to the
twelfth lines of the Sonnet No. 64, sung by a character called
Philippe, who does not appear in Shakespeare's play. It was performed
by a Master Longhurst, a boy of some importance in his time, as he is
mentioned by name in several books of reference regarding this song.
The song in question is not worth very much, but is a good example of
how a perfect sonnet may be transformed into a very indifferent song.
This is followed by a duet for Philippe and Julia, with words from
Shakespeare's 92nd Sonnet, but the first line is unhappily changed from
"But do thy worst to steal thyself away," into "Save, though you strive
to steal yourself away." The improvement is obvious! and the musical
setting quite in keeping with the improvement in the text; only a few
lines of the poem are sung, but oh! how often repeated!
Sylvia has a great show in the next number. It is an extraordinary
perversion of the Sonnet No. 109, "Oh, never say that I was false of
heart," a poem that any {159} decent-minded pirate or burglar would
have left alone. Still, Sir Henry rushes in with what is officially
described as a bravura song. Certainly only lines 1-4 and 13-14 are
set to music, but how the few words are contorted! In the coda Sylvia
sings on the word "all," fourteen bars first and then fifteen!
A society for the protection of sonnets should certainly be formed.
The ever-useful _Passionate Pilgrim_ is used for a mixture of Dr Arne
and Bishop as an unaccompanied quartet, "Good night, good rest," and we
will leave it at that; but the following number cannot be lightly
treated. It is difficult to forgive a composer who seizes on the
perfect sonnet in the world and writes a "Solo Brilliante" on the first
four lines. These are certainly correctly printed, save that the word
"curse" (Shakespeare) is transformed into "moan" (Bishop), and lines
9-12, with endless repetitions, are dragged in for the second half.
This solo ends with a long cadenza for voice and flute, the voice only
using the first half of the word "heaven"; there are just thirty bars
on the syllable "hea-"! The four-part round, "To see his face," words
from _Venus and Adonis_ (only the first four lines of stanza 183 are
set), is an ingenious and entertaining piece of work, and should be
most effective. For some strange reason, "Who is Sylvia?" is set as a
quintet, with Julia on the top line. The first half of the melody is
by Bishop, but the second half is believed to be by Rousseau; anyhow,
no one would quarrel now as to how to apportion the requisite blame;
the "dishonours" appear to be equally divided, except that Rousseau,
being a Swiss, could not be expected to show so tender a regard for
Shakespeare as Shakespeare's own fellow-countryman Bishop did. The
cavatina sung by Julia is to the first eight lines of the 73rd Sonnet;
and the male chorus, "Now the hungry lion roars," is, of course, from
one of Puck's speeches in _A Midsummer Night's Dream_, but is sadly cut
and altered.
The duet, "On a Day," words from _Love's Labour's Lost_, and also _The
Passionate Pilgrim_, is another "I know a {160} bank"-like thing, and
quite as uninteresting. Julia's next song, "Should he upbraid," is
familiar to all, and the words are founded on a speech of Baptista in
_The Taming of the Shrew_. The finale is a duet by Sylvia and Julia,
assisted by the full chorus: its title is "How like a winter," and the
words are partly adapted, very freely, from the first four lines of the
97th Sonnet, and from the masque in _As You Like It_.
A stranger jumble of words could hardly be conceived; yet this opera
was quite successful, and no one seemed to think any the worse of
Bishop, who was mainly responsible for its monstrosities.
+Dr Arne's+ version of "Who is Sylvia?" is really a very charming song,
very melodious, very vocal, and full of delicate grace-notes. The last
verse is set as a trio, but can be sung as a solo without spoiling the
composer's intentions; in fact, he says it may be done without
additional voices.
+Macfarren's+ part-song is very good--I mean Sir George's, not
Walter's. Both have set the words. But the best setting of "Who is
Sylvia?" must for ever remain +Schubert's+--one of the perfect songs of
the world.
{161}
THE WINTER'S TALE
There is only one opera, _Hermione_, by +Max Bruch+, founded on _The
Winter's Tale_, and very little other music has been inspired by it,
though the story possesses great operatic possibilities.
+Engelbert Humperdinck's+ music for the Reinhardt production in Berlin,
September 15, 1906, is, as usual with his incidental music, perfectly
appropriate--not a superfluous note in it; and also as usual in these
productions, Shakespeare's Act i., Scene 1, is Reinhardt's. Before the
rise of the curtain an orchestra of wood wind, horns, and harp plays
soft and solemn music (called "Tafelmusik" in the score) behind the
scenes, and the orchestra continues till a fanfare of trumpets
announces the entrance of Leontes, Hermione, and their suite.
There is no more music until we come to Act iii., Scene 2, when, to
open the Court of Justice scene, we have a broad, dignified fanfare,
_quasi marcia_, scored for trombones, tuba, and drums, and part of this
is played at the end of the scene. This is the motive associated with
the Oracle.
At the end of Act iii., Scene 3, Time, a chorus, enters, and solemn
music plays during his speech, composed in the manner of the Oracle.
In the meantime, an act-change has been made, and without pause the
curtain rises on the fourth act; the music dying away as Polixenes and
Camillo speak, swelling up on their exit and running into the symphony
of Autolycus's song, "When daffodils begin to peer." This is very
beautifully set, and the composer adds the verse from the end of the
scene, which makes six verses {162} instead of five; but this is quite
legitimate, as the last verse is obviously part of the whole lyric,
though separated from the rest by some dialogue.
The music to open the fourth scene is called "Sunday Bells." I confess
I don't understand why it is introduced, unless it be to cover a
scene-change, and I can find no mention of bells or Sunday in the text;
but I am quite sure there is some good reason for this number, apart
from its own beauty. It is _pianissimo_, scored for very high tremolo
violins, celesta bells, and harp; and I should very much like to know
exactly what it means in its present position in the play.
Now comes a long and elaborate march of shepherds and shepherdesses,
beginning in march time, four in a bar; then the time changes to two in
a bar, and a very wild dance follows. Again the time changes, to
mazurka rhythm now, three in a bar, and a very graceful dance in this
time follows; finally we return to the fast two-in-a-bar passage, and
the whole dance finishes with a coda, during which the music gets
faster and faster to the end. The whole number makes a short ballet,
with plenty of rhythmic changes. It is most effective, as well as
being part of Shakespeare's plot.
Almost immediately comes Autolycus's song, "Lawn as white as driven
snow"; this also is very carefully set. The next number is very
interesting. It is a trio, sung by Autolycus, Dorcas, and Mopsa,
accompanied by a _bouche fermee_ male-voice chorus--not singing the
usual slow, sustained harmonies, but a quick four-part syncopated
rhythm. This is a very ingenious number. After a little dialogue
comes Autolycus's last song, "Will you buy any tape?" to a simple tune
with an elaborate accompaniment. The Satyrs' dance that follows is a
good example of strong but grotesque dance music in its first theme,
but the trio is sensuous and suave, and the number finishes with a
repetition of the first theme and a short but brilliant coda on the
same melody.
In the last scene of the fifth act we have music {163} again. Paulina
says, "Music, awake not; strike!" and very mysterious music is played
until Hermione moves; then occurs a fine theme for brass and strings,
while Hermione descends from the pedestal; after which, with a few
pauses, the music continues to the end, when the curtain falls very
slowly on Shakespeare's own last words. The melodrama music here is so
superlatively good that one hardly notices it, such is its absolute
Tightness. The situation, dramatically, is so strong that, though the
music also is very individual, it does not for a moment counteract the
strength of effect of the closing scene, but just helps it to a
complete finish. Rarely has Shakespeare been better served by his
acolytes.
{164}
SHAKESPEARE'S SONGS
+William Linley+, born 1771, edited two volumes octavo of settings to
Shakespeare's lyrics, called _Dramatic Songs_. Some of them are by
Purcell, Arne, etc.; but unfortunately the majority are by the editor,
who seems to have had no exaggerated respect for Shakespeare's text,
but a very high opinion of his own powers.
Mr Linley has some very naive remarks to make in the observations
printed after the preface. Writing of the lyrics sung by Feste in
_Twelfth Night_, he says: "Though there is a whimsical point about
them, they are not inelegantly written." (This of "Come away, Death"!)
Linley proceeds: "Shakespeare evidently meant that it should be sung
with pathetic expression, but one is not prepared to relish it from the
Clown; and there is nothing ludicrous in the words, and the plaintive
wildness which they seem to demand from the music could not, by any aid
of preparation, be given by the Clown so as to produce a feeling of
melancholy--it would be more likely to excite laughter."
After these preliminary remarks, one may expect anything from our
editor; and when one remembers the exquisite pathos of Mr Courtice
Pounds' singing of +Augustus Barratt's+ setting at His Majesty's one
can smile at the pretentious want of knowledge displayed in Linley's
short introduction.
His own setting, which is before me, is sorry stuff. Words and phrases
are repeated over and over again. He does not even set the first
sentence correctly; he says, "Come away, Death, come away," and
continues his "improvement" throughout the song.
{165}
The same kind of thing occurs throughout his two volumes; but it is
interesting to note that for a long time it was considered a standard
work, and Roffe, so late as 1867, speaks of it in his +Handbook of
Shakespeare Music+ as "a happily conceived work."
It is a curious thing that the lyrics in the plays most popular with
composers are either frankly not by Shakespeare or are very doubtful.
The one most frequently chosen, "Take, oh take those lips away," from
+Measure for Measure+, has been set, according to Roffe (1867),
seventeen times; and, according to a work not quite truthfully
describing itself as _A List of All the Songs and Passages in
Shakespeare which have been Set to Music_, thirty times. Now, the
second verse, "Hide, oh hide," is undoubtedly by Fletcher, from _The
Bloody Brother_, and it is likely that Shakespeare merely quoted the
first verse without acknowledgment, as he often did.
The next in order is "Orpheus with his lute." Roffe gives it sixteen
settings, and _A List of all the Songs, etc._, twenty-two; the latter
boldly states, "By John Fletcher." Act iii., Scene 1 is part of the
Fletcher portion of _Henry VIII_. "Shakespeare wrote only 1168-1/2 of
the 2822 lines of the play; the rest are Fletcher's." The editors
responsible for this note are F. J. Furnivall and W. G. Stone.
"Come live with me" (_Merry Wives_) has been set, according to Roffe,
sixteen times, and according to the "List" eighteen--the words being
quoted from Kit Marlowe. "The Willow" song from _Othello_ (Roffe six
and the "List" eleven) is much older than Shakespeare, and is quoted by
him from a long poem now in Percy's _Reliques_.
Very naturally, since these dates (1867 and 1884) many other settings
of songs from Shakespeare's plays have been made. Still, these four,
two certainly not Shakespeare's and two quite doubtful Shakespeares,
keep ahead in the list of music composed for or concerning the plays.
I have referred to the "List," and think it only fair to give an
account of it. It was published for "The New Shakespeare Society," and
compiled by J. Greenhill, the {166} Rev. W. A. Harrison, and F. J.
Furnivall; but unfortunately it was published in 1884, and has not been
brought up to date. Here one may find that composers were not content
with juggling and altering Shakespeare's perfect lyrics, but chose
chunks of blank verse and snippets of sonnets to set, for no earthly
purpose that I can see. Some of the composers' selections are quite
incomprehensible. Why +R. J. Stevens+ should have chosen Prospero's
magnificent lines, beginning "The cloud-capt towers, the gorgeous
palaces," and made them into a glee for S.A.T.T.B.B., passes my wit to
understand.
Also, why +Sir Henry Bishop+ chose Sonnet 109, "Oh, never say that I
was false of heart" (lines 1-4 and 13-14), or Sonnet 29, "When in
disgrace with fortune" (lines 1-4 and 9-12), with several verbal
alterations. All this tends to show that the composer could not have
had the smallest conception of the sonnet form, to cut and chop it
about as he has done. Personally, I think that no sonnet ought to be
set to music, but I know that quite good musical authorities differ
from me, and I am content to say that either the whole sonnet or none
of it must be set. It is impossible to cut a word or a sentence out of
a sonnet without spoiling its form and balance; and, if these
essentials are gone, how can it make a perfect song?
{167}
INDEX
Adam, Adolphe, 87.
Alexander, Sir George, 9, 105.
Allitsen, Frances, 6.
Alma-Tadema, 16.
Ardevies, Jules, 76.
Armbruster, Carl, 25.
Arne, Dr, xiii, 7, 8, 11, 92, 94, 134-136, 141, 157, 159, 160, 164.
Asche, Oscar, 22, 130.
Atterbury, Luffman, 73.
Attwood, 65.
Auber, 67.
Bach, xi, 86.
Balfe, 80, 81, 137.
Balling, 5, 55.
Bannister, xi.
Barbier, 29, 118.
Barker, Granville, 95.
Barratt, Augustus, 156, 164.
Battishill, 94.
Bavaria, King of, 56, 70.
Bazzini, 51, 52.
Beecham, Sir Thomas, 100.
Beethoven, xi, 14, 15, 58, 123.
Bellini, 119, 120.
Benayet, 98, 99.
Benda, 128.
Benson, Sir Frank, 5, 22, 54, 55, 88, 130, 141.
Bentley, 22.
Berio, Marquis de, 107.
Berlioz, 3, 25, 36, 50-52, 56, 98, 100, 119, 122-126, 129, 142-144.
Berlioz, Louis, 98.
Bernhoff, 100.
Berton, 138.
Bethmann, 68.
Bishop, Sir Henry, xiii, 1, 5, 7, 8, 10-12, 13, 63, 65, 92-96, 130,
153-155, 158-160, 166.
Blau, 104.
Bloch, 59, 61.
Blow, 39.
Boieldieu, 87.
Boito, 29, 32, 50, 56, 83, 84, 108, 111.
Bourchier, 78.
Braham, 80, 130.
Brahms, 155, 156.
Brayton, Lily, 130.
Brian, Havergal, 3.
Bridge, 38.
Broughton, The Misses, 43.
Browning, Robert, 27, 86, 154.
Bruch, Max, 17, 161.
Buelow, von, 47.
Burney, Dr, 28, 29.
Butt, Clara, 6.
Callcott, D., 154.
Calvert, 77.
Campbell, Mrs Patrick, 78.
Canepa, 117.
Capelli, 7.
Carlyle, 126.
Carre, Albert, 60.
Carre, Michel, 18, 29, 118.
Chaplin, 51.
Chelard, 56, 57.
Cherubini, 125, 137.
Chilcot, T., 5, 71.
Chorley, 68.
Choudens, Paul, 18.
Cibber, Colley, 29, 31.
Cimino, G. T., 74.
Clark, Hamilton, 22.
Clement, 1, 14, 32, 47.
Coleridge Taylor, 114, 157.
Collier, J., 6.
Collin, Baron von, xi, 14, 58.
Cooke, Dr, 88, 94, 130, 131.
Coppa, 120.
Corder, Frederick, 145, 146, 156.
Corelli, Archangelo, 28.
Corfe, 65.
Costa, 120.
Crescentini, 120.
Crotch, 13.
Cumberland, 3.
Cummings, W. H., 54.
Dalayrac, 121.
Dante, 108.
Davenant, 29, 54, 134, 142.
Davison, 68.
Davy, 135, 136.
Debussy, 100.
Deffes, L., 17, 75, 76.
Dent, 99.
Deschamps, 124.
Dickens, C., 141.
D'Ivry, Marquis, 121.
Dixon, C., 72.
Doppler, 20.
Dryden, 134, 136, 142.
Duggan, 146.
Dumas, A., 27.
Duvernoy, A., 138.
Dvorak, 107.
Eberlin, J. E., 117.
Eccles, John, 55.
Edward VII., 121.
Edwards, Richard, 118.
Eggers, J., 58.
Elgar, Sir Edward, 40.
Elias, J. F., 137.
Enna, August, 2.
Erdmann, J. V., 130.
Faccio, 29, 32.
Faure, G., 78, 79.
Ferrand, H., 98, 99.
Fibich, Zdenko, 112, 113, 138.
FitzGerald, 57.
Fleg, 59.
Fletcher, 43, 45, 46, 71, 72, 96, 154, 156, 165.
Forbes-Robertson, 25, 127.
Ford, T., 154.
Frank, Ernst, 132.
Frederick the Great, 27.
Fuller-Maitland, 5.
Furnivall, F. J., 46, 47, 165, 166.
Gade, 2, 38.
Gainsborough, 72.
Galliard, 71.
Garal, Pierre de, 31.
Gasparini, 28, 29.
George III., 73.
German, E., 9, 37, 38, 42-44, 105, 115, 116, 127, 128.
Giordani, 72.
Girard, 143.
Godfrey, A., 62.
Goethe, 143.
Goetz, 130.
Gounod, 118, 119, 129.
Graun, 2, 21, 27.
Greene, Plunket, 156.
Greenhill, 47, 165.
Grieg, 35, 38.
Grisi, 80, 81, 137.
Grove, 1, 18, 32, 70, 72, 73, 110, 137.
Guglielmi, 122.
Guillaume, 34.
Hale, 140, 141.
Halevy, 32, 76, 137.
Handel, xi, 2, 27, 38, 47, 73, 90, 91, 93, 94, 130, 134.
Haraucourt, 78, 79.
Harrison, 47, 166.
Hatton, 42, 87, 157.
Hauk, Minnie, 133.
Haydn, 120, 141, 155.
Henry VIII., 45.
Henschel, Sir George, 22, 23, 117.
Hignard, A., 31.
Hodson, Henrietta, 141.
Hohenzollern-Hechingen, Prince of, 51.
Holbrooke, Joseph, 128.
Horn, xiii, 12, 80, 88.
Hueffer, Francis, 108, 111.
Humperdinck, 77, 108, 112, 142, 151, 152, 161.
Humphrey, xi, 39.
Immerman, 137.
Irving, Sir Henry, 15, 16, 22, 37, 43, 55.
Irving, H. B., 22.
Jackson, 72.
Johnson, Noel, 130.
Johnson, Robert, xi, xii, 134, 136.
Joncieres, Victorin de, 27.
Jonson, Ben, 136.
Judith, Mme., 28.
Kean, Mrs C., 42.
Kemble, Fanny, 57.
Kemble, J. P., 57, 135.
Kemp, Dr, 10.
Kipling, 89.
Kirchner, 9, 70.
Kreutzer, K., 51.
Kreutzer, R., 2.
Krug, Arnold, 112.
Lablache, 80, 137.
Laboix, 14.
Lampe, J. F., 92.
Lampe, Mrs, 92.
Larousse, 1, 14, 32, 47, 138.
Laurence, Dr, 136.
Leborne, 28.
Lennen, 87.
Leonhardt, Caroline, 63.
Leopold I., 148.
Leveridge, 55.
Levey, 57.
Linley, 5, 135, 136, 141, 164.
Lisle, Rouget de, 56.
Liszt, 34, 57, 62, 65.
Locke, xi, 54, 55, 134.
Longhurst, Master, 158.
Loubbert, 143.
Lucas, 9, 146.
Lumley, 137.
MacDowell, E. A., 37.
Macfarren, 20, 45, 160.
Mackenzie, Sir A. C., 15, 16, 31, 152.
Maeterlinck, 108.
Maggioni, 80.
Mansfield, Richard, 115, 116.
Marescalchi, 128.
Marlowe, 12, 154, 165.
Marshall, Julian, 148.
Martin Harvey, Sir John, 26, 27.
Mascagni, 19.
Massenet, 31.
Maurel, Victor, 84, 109.
Mendelssohn, 43, 63, 65, 75, 88, 89, 96, 97, 124, 137.
Mercadante, 40.
Meredith, George, 112.
Metzler, 45.
Meurice, Paul, 27.
Meyerbeer, 27, 63, 115.
Missa, 18, 19.
Moke, Miss, 142.
Monnel, 121.
Moody, 21.
Morgan, M., 40.
Morley, 124.
Mosenthal, 81.
Mozart, 86.
Napoleon I., 120.
Nicolai, 80, 81, 82.
Nicolini, 28.
Novello, 54.
O'Neill, 26, 27.
Paganini, 124.
Parry, 80.
Pelham, 39.
Pepys, 38.
Percy, Bishop, 106, 165.
Perrier, 28.
Peters, 63.
Piave, 56.
Pierson, H. H., 63, 126, 127.
Pinsuti, C., 74.
Plancon, Pol, 102, 118.
Playford, 71.
Pleyel, Mme., 143.
Plimmer, W. G., 112.
Podesta, C., 104.
Porta, 128.
Portland, Earl of, 28.
Pounds, Courtice, 164.
Prout, E., 48.
Prussia, King of, 89.
Puget, P., 104.
Purcell, Dan, 55, 77.
Purcell, H., xi, 12, 54, 55, 71, 77, 90, 134, 135, 136, 148, 149, 164.
Raff, 63, 107, 126.
Rameau, 130.
Ravenscroft, 154.
Reinhardt, 77, 151, 161.
Richter, 37, 152.
Ricordi, 85.
Riemann, 1, 18, 32, 47, 110.
Roffe, 165.
Romani, 119.
Ronald, Landon, 40.
Rosa, Carl, 99, 133.
Rosse, Frederick, 78.
Rossini, 45, 106, 107, 108.
Rousseau, 159.
Roze, Raymond, 47, 48.
Rubens, Paul, 156.
Rubini, 80.
Rumling, Von, 128.
Saint Georges, 87.
Saint Saens, 43.
Salvayre, 115.
Sankey, 21.
Santley, Sir Charles, 146.
Sardinia, King of, 50.
Scarlatti, D., 29.
Schott, 70.
Schroeder-Devrient, 57.
Schubert, 5, 19, 20, 45, 160.
Schumann, 47, 48, 62, 63, 131.
Schuster, 128.
Schwanenberg, 128.
Scribe, 137.
Segur, 121.
Shadwell, 29, 134, 142, 148, 149.
Sharp, Cecil, 95.
Shaw, Bernard, 47.
Silvestre, A., 137.
Smetana, 116.
Smith, J. C., 7, 90-92, 134-136.
Smithson, Henrietta, 123.
Smyth, Dr Ethel, 5.
Sontag, 137.
Spaight, 146.
Spohr, 62-63.
Squire, Barclay, 7, 34, 47, 128, 148.
Stadfeldt, 34.
Stanford, Sir Charles V., 100, 103, 156.
Steibelt, 120, 121.
Stephens, 11.
Stevens, 166.
Stevenson, Sir John, 73.
Stone, 165.
Strauss, R., 65, 66, 100, 112.
Stuart, Otho, 22.
Sturgis, Julian, 100, 103.
Sullivan, Sir Arthur, 45, 55, 77, 141, 142, 157.
Svendsen, 128.
Tamagno, 109.
Tamburini, 80.
Taubert, Emil, 150.
Taubert, Wilhelm, 58, 141, 142, 150.
Taylor, Coleridge, 114, 157.
Terry, Ellen, 37, 44, 55.
Thomas, Ambroise, 29, 30, 31.
Tindal, W., 73.
Tree, Sir Herbert, 22, 23, 47, 88, 114, 156.
Troutbeck, the Rev. J., 36.
Tschaikowsky, 23, 25, 35, 125, 126, 144.
Vaccaj, N., 120, 121.
Verdi, 2, 40, 50, 51, 55, 56, 80, 83-86, 106, 108, 111, 112, 115.
Veracini, F. M., 7.
Viardot, Mme., 27, 57.
Vogler, Abt, 27, 154.
Wagner, 2, 28, 30, 56, 57, 60, 62, 65, 67-70, 81, 84, 86, 108, 112, 125.
Wagner, Cosima, 55.
Webb, Gilbert, 41.
Weber, 27, 88, 89.
Weingartner, F., 52.
Weiss, 5.
Weldon, John, 71.
Wilde, Oscar, 100.
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Winter, Peter von, 154.
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Young, Isabella, 92.
Zeno, Apostolo, 28.
Ziani, 7.
Zingarelli, 120.
PRINTED IN GREAT BRITAIN BY NEILL AND CO., LTD., EDINBURGH.
End of Project Gutenberg's Shakespeare and Music, by Christopher Wilson
***
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tomekkorbak/pile-curse-small
|
Gutenberg (PG-19)
|
Teodor Majkowicz
Teodor Majkowicz (; 6 January 1932 – 9 May 1998) was a Ukrainian Greek Catholic hierarch in Poland. He was the first Eparchial Bishop of the new created Ukrainian Catholic Eparchy of Wrocław-Gdańsk bishop from 1996 to 1998.
Life
Born in Rzepedź, Second Polish Republic in the Ukrainian family of Ivan and Mariya Harhaj in 1932 and in 1947, together with family, was forced resettlement after Operation Vistula. He was ordained a priest on 24 June 1956 by Roman Catholic Bishop Marian Jankowski. He worked as Roman Catholic priest, but in 1960th begun to help in the renewed Greek Catholic parishes.
He was appointed by the Holy See an Eparchial Bishop of the new created Ukrainian Catholic Eparchy of Wrocław-Gdańsk on 24 May 1996. He was consecrated to the Episcopate on 12 July 1996. The principal consecrator was Archbishop Myroslav Marusyn, and the principal co-consecrators were Archbishop Jan Martyniak and Bishop Julian Gbur in Cathedral of St. John the Baptist, Przemyśl.
He died on a heart attack in Kraków on 9 May 1998.
References
Category:1932 births
Category:1998 deaths
Category:20th-century Eastern Catholic bishops
Category:Bishops of the Ukrainian Greek Catholic Church
Category:Polish people of Ukrainian descent
Category:Bishops in Poland
Category:Polish bishops
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tomekkorbak/pile-curse-small
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Wikipedia (en)
|
The State of JavaScript in 2015 - sahara
http://www.breck-mckye.com/blog/2014/12/the-state-of-javascript-in-2015/
======
wycats
I completely agree with this post that there is churn fatigue. Part of that is
in libraries, but an even bigger part of it is in the tooling that people use
to build JavaScript applications.
It's easy to see all of these new things flying by, combined with changes to
JavaScript itself, and feel completely overwhelmed. To be honest, over the
past two years, even as a maintainer of Ember, I have experienced very serious
hype fatigue.
This is a large part of the reason behind Ember's philosophy of finding and
implementing strategies for stability without stagnation. On the one hand,
people (including us) are tired of the constant barrage of new tools and
techniques. On the other hand, it would be terrible to get beaten by a
competitor that discovered a wonderfully productive new solution. The Ember
team has spent the last few years honing a process for dealing with these
conflicting desires.
That process involves:
* six-week release cycles, so every new change is incremental and adds value on its own
* canary, beta, and release channels (just like browsers), so that people will more appetite for churn can help test out features, and get them stable by the time they ship as part of a final release
* SemVer, so upgrading across final releases is relatively painless and the biggest part of our community can take advantage of the improvements as they roll out
* having each member of the core team build apps that we care about and maintain, so that we can feel the competing costs of maintenance and keeping pace with the latest and greatest first hand
The core ideas come from shipping browsers, which have had to deal with
requirements of very strong stability with an increasing desire to "go fast".
The pace of new browser features has been so good, in fact, that they have
been used as an argument in favor of completely breaking things and starting
over.
Ironically, the browser instead shows us that if we want to avoid stagnation,
we are going to have to have strategies for bringing people along. Stability
without stagnation is not a paradox; it's a recipe for success.
(we talked a lot more about the nitty-gritty technical details in the
previously discussed Ember 2.0 RFC:
[https://github.com/emberjs/rfcs/pull/15](https://github.com/emberjs/rfcs/pull/15))
~~~
sant0sk1
FYI: Yehuda and Tom talked to us about "stability without stagnation" and
other philosophies behind Ember 2.0 in episode 131 of The Changelog:
[http://thechangelog.com/131](http://thechangelog.com/131)
~~~
notduncansmith
FYI: You're replying to Yehuda.
~~~
girvo
One of the funnier idiosyncrasies of Hacker News.
------
vjeux
The way we tried to open source our front-end stack at Facebook is to release
a collection of standalone libraries. This strategy worked very well to
integrate with existing codebases but we're missing a very large audience:
people starting new projects. It's not trivial at all to glue all those
projects together. So while it's tempting to reject "framework"-type projects,
that's actually what a lot of people want and our most common request.
\- React: [http://facebook.github.io/react/](http://facebook.github.io/react/)
\- Flux: [http://facebook.github.io/flux/](http://facebook.github.io/flux/)
\- Jest: [http://facebook.github.io/jest/](http://facebook.github.io/jest/)
\- Immutable-js: [http://facebook.github.io/immutable-
js/](http://facebook.github.io/immutable-js/)
\- Flow: [http://flowtype.org/](http://flowtype.org/)
\- JSX: [http://facebook.github.io/jsx/](http://facebook.github.io/jsx/)
~~~
MrBuddyCasino
This looks like a good opportunity to point people at Mercury:
[https://github.com/Raynos/mercury](https://github.com/Raynos/mercury)
It is similar to Mithril, but with a strong focus on modularity. To quote the
website: "mercury is a small glue layer that composes a set of modules that
solves a subset of the frontend problem."
You can basically swap out things that you don't like, use it with Backbone or
JSX etc. Its weak point currently is documentation, which is of course a
biggie.
------
ChicagoDave
I've been a developer for over 30 years and there's _always_ churn. You will
_always_ have to learn new things. That's just the way it is. Some things are
truly better (C#) and some things are not (Flash). It often takes time to weed
out the truly bad things, especially if the bad thing is the only thing that
solves a noteworthy problem (how to provide high-end interactive animated
content through a browser aka Flash). We've managed to move most of the basic
concepts of Flash to the browser via HTML5 and that is very clearly a better
solution.
The Angular 2 issue is somewhat curious. My biggest question isn't about the
new teaser specification. It's what happens to the current version. It's open
source, right? I suspect a number of corporate babysitters will provide the
support required to make sure 1.x lasts for a decade or more. If you choose to
adopt 2.0 for _new_ projects, so be it. Although why on earth the A2
architects chose to break XHTML standards baffles me. An attribute in parens?
Seriously?
I personally see the new JS world as a step forward. It's absolutely a molten
spew of new and unproven code, but it's also easier to build things than ever
before. There are a ton of problems solved with a front-end MVC connecting to
a service layer. A TON.
The hard part is that we need better tools all around for JS that we've been
spoiled with in C#, C++, Java, and even Assembler.
But one more thing that's hinted at, but I'm suddenly asking myself. What if
Anders Hejlsberg (C#/TypeScript) were to publish a monolithic front-end
MVC/MVVM framework and its use was built into Visual Studio 2015, which is
going to be free at the Pro level? That would throw even more F bombs into the
JS world.
In any case, if you're a senior developer or architect and making decisions
about technology, you better know what you're doing. You can pick 2% usage
code, but you better own it.
~~~
bshimmin
Addressing just a small point from this: a lot of people working on the web at
the moment have absolutely zero interest in using Visual Studio. Like, say,
all the people using Macs.
~~~
pjmlp
> Like, say, all the people using Macs.
Outside US, it is a very small number.
~~~
timrichard
You could go to just about any tech meetup event in London and see that isn't
true. And these people are largely the hiring pool for web applications.
~~~
pjmlp
People in the UK have a very good salary in comparison with average European
one.
------
doublerebel
This only refers to frontend JavaScript and reflects the opinion of a dev who
hasn't been using JS all that long. Angular was never that great a framework,
it's popularity was by and large because it came out of Google. It's far too
tightly coupled to the DOM and was therefore destined to have problems as HTML
and browsers evolve.
Npm is stable, Backbone is stable, Node is stable, Gulp is great, and devs
like myself who have seen trendy frameworks come and go (Batman.js and jQuery
templating come to mind) are still using the same great composable tools that
were better designed from the start.
Backbone (and my favorite, Spine) are built on more loosely coupled components
and can be used on applications which have no DOM, such as Canvas games or
native mobile apps. Browser fragmentation has been an issue since the dawn of
JS -- and these days the JS ecosystem extends far beyond the browser.
Take a look at the mature tools for front or backend that major companies rely
on and be glad that the open-source nature of JS produces so many options and
rapid evolution.
~~~
pluma
Factors in Angular's success:
* backed by Google * MEAN * plenty of media/blog coverage * seductive examples (that don't reflect best practices)
My personal gripe is with the last point. A lot of the appeal is in the two-
way binding -- which is often the first thing to go out of the window once
scaling becomes a problem.
Also, I have no idea why the author thinks Browserify and Angular go well
together. They don't. At all. Browserify is great on its own, but there's not
really any "blessed" way of using a module system with Angular (and like
jQuery Angular 1.x is tightly coupled with the global scope).
~~~
Illniyar
I haven't seen two-way binding go out the window with scaling.
It's still the number one selling point and greatly reduces development time
in both small and large applications.
The only thing I've seen is that in bigger projects, if there are locations
where huge amounts of binding might take place (such as drawing, tables,
etc...) you don't use two-way-binding in that particular place.
And in any case many of the popular frameworks (Ember, backbone etc... ) also
use two-way binding, they just don't support two-way binding on simple js
objects. And for that many of the bigger frameworks (
~~~
Offler
> The only thing I've seen is that in bigger projects, if there are locations
> where huge amounts of binding might take place (such as drawing, tables,
> etc...) you don't use two-way-binding in that particular place.
Sounds like two-way data binding went out the window then...
------
sosuke
My stance has been to take a more static view of an applications development
life cycle. So you're on an Angular 1.x app, Angular 2 is coming out in a
year, your project will be launched or is already launched and you're
concerned with switching.
Stop, right now, just let it go, take a step back from the bleeding edge and
see that you've got all the JavaScript libraries and tools you need to put
together any application you could imagine. If your imagination is big enough
then you'll be hand writing your own additions in no time. So long as your
applications runs on the major browsers latest-1 without issue there isn't a
reason to upgrade. If you're writing a project there isn't a reason to make a
framework jump, and if Angular 1 to 2 is that different, consider it a
framework jump. Why feel bad about not knowing your way around when you go
from one framework to another, would you feel the same going from Drupal to
Wordpress? They are both CMSs, both PHP, both extended far beyond their
initial goals. Angular 1 will go into maintenance if Angular 2 is that
different, development will slow, and eventually you'll upgrade to Angular 3,
which is incompatible with Angular 2, but after years of having a working
application.
I've gone from Angular, to Kendo, to Ember, to Backbone. If you want to make
an 'investment' in knowledge of front-end development learn the plain
JavaScript, read through the framework you're using. Walk through the
execution, that will allow you as a developer-for-hire to pickup the newest
shiny on a new team with less issues.
Web development has always had this pace, whatever tool or setup you commit
too, the next week someone will call you an idiot for using it. Ignore them,
make something maintainable, nothing in the new framework is ever mission
critical, just nice to have.
~~~
tracker1
Exactly... I worked on a project a couple years ago, and decided to use a beta
version of bootstrap as the baseline for the project... I cloned the repo,
merged the pieces into my project, and kept a copy of the docs at-that-time
for reference.
The site still works great... the codebase is fine. It was before some later
changes to bootstrap 3, so it isn't current with the released version, but it
still works, and did better so than v2. The same goes for most things
involving open-source tools. You can go through migration cycles, or accept
and limit the scope of how you use it.
I always applied the same arguments for using Mono in places as a practical
reasoning. So what if new development stopped/dropped or rolled.. as long as
what I'm doing can keep running.
Your best bet is to keep your codebase modular so much as possible, and it
makes it easier to replace certain pieces.
Today, I really like react + yahoo's flux implementation. There are some weird
corner cases I've had to deal with, it's still nice. It really just depends on
your needs.
------
kangax
This is nothing new.
Back when I was starting, it was all about "JS libraries"; when Prototype.js
gained the most traction at one point, beating in popularity older Dojo.
Still, there were new libs popping up again and again — Mootools, MochiKit,
YUI, jQuery. jQuery "won" by introducing a simple and powerful concept of
operating on collections via an intuitive API.
Then there were modules — AMD, Require.js, Common.js, etc. New "standards" and
libraries competed and everyone claimed to be the best.
Then Backbone and others brought a new perspective on widgets via sort-of-MVC,
and a whole slew of libs emerged — JavascriptMVC, Knockout.js, SproutCore ->
Ember, Angular, etc. All similar concepts rearranged in a different flavor,
shifting abstraction into one layer or another, with different levels of
convention.
In the end, every wave brings something good. Right now we have React &
Ractive bringing concept of virtual DOM. It seems long overdue and sorely
needed.
Staying at the edge must be exhausting. Staying in the middle of a bell curve
is best bang for your buck.
------
cageface
_By using small libraries – components with a dedicated purpose and a small
surface area – it becomes possible to pick and mix, to swap parts of our front
end stack out if and when they are superceded._
This is the problem with front-end dev in a nutshell. Everybody is mixing and
matching their own solutions which makes it impossible for an ecosystem of
higher level, reusable components to emerge. Compare this to iOS, for
instance, where I can go pick and choose from a huge online library of
prebuilt components and be fairly confident I can just "pod install" them and
go. I'm not a fan of Angular but it was a _good_ thing for there to be
something like a de-facto SPA framework standard. I can only imagine how upset
business owners that invested heavily in Angular 1 apps are feeling now.
If web developers are serious about mounting a challenge to the rising tide of
native apps, they need to build some consensus and agree on some durable
foundations. In the end elegance and novelty count for nothing if you don't
have a healthy, stable ecosystem upon which businesses can depend. It's sad to
think that the freedom that makes web dev so appealing may also turn out to be
its fatal weakness.
~~~
sehr
_Compare this to iOS, for instance, where I can go pick and choose from a huge
online library of prebuilt components and be fairly confident I can just "pod
install" them and go_
I believe this is the one of the main motivators behind web components
~~~
cageface
I haven't built anything non-trivial with web components but I do like where
they're going with them in principle. The biggest problem I see with WC is
that they require native browser support to really function properly and I'm
not sure it's really in Apple's or Microsoft's best interest to support them.
AFAIK Apple hasn't made any indication so far that they will support the WC
spec.
~~~
Offler
I think the biggest problem with WCs is they are standardizing best practices
from 2011/Angular early days. Things have moved on and mutable two-way state
that binds to a stateful DOM is no longer state of the art.
------
cromwellian
Not sure why he is including GWT. Google continues to fund GWT. We just hired
another full time engineer on the project. We just released GWT 2.7 which has
a massive number of new changes, including an all new incremental compiler
that reduces development recompiles from minutes to seconds.
We have a lot more external contributor interested that in the past now, have
accepted many more patches, and we just landed Java8 lambda method support,
with even more cool stuff to be shown at GWTcreate.com conference in January.
In other words, Google has not removed support from the project, which has
continuously existed since 2006. Not sure how much more dedication you want in
funding for an open source tool/library.
~~~
brey
so instead of being a tool which Google has already removed support for, it's
in the bucket of tools which - at least to me - should be treated as liable to
be cut at any time and don't rely on it.
sorry, Google lost any credibility in this area over the Reader fiasco -
Google has no interest in maintaining a project for the good of a community,
if it doesn't align with corporate strategy. 8 years history means nothing.
~~~
coriny
"... it's in the bucket of tools which - at least to me - should be treated as
liable to be cut at any time and don't rely on it."
Unless you've paid for a guaranteed period of support, bug fixes and
extensions of functionality, this how you should treat all code libraries
surely? All libs come as is, and statements of future actions are always
expressions of intent, not facts. If your company is utterly dependent on a
single free 3rd party library then you should be prepared to take over
ownership of it - or accept that your company's survival is at the whim of
another. Personally, I would not be swayed by any brand name here - but who
would you trust (enough to bet your company on) to provide long term support
for a free OSS library?
Personally, I would consider the closing down of a very niche, free, consumer
product based on a seemingly dying web technology as a very poor guide towards
how Google will treat GWT, which is actually used by them for website
development.
------
Illniyar
I'm not sure if this churn is unique to the javascript and front-end world.
When I used to work in Java a few years back, there was a new "favorite"
framework every few months:
* build: ant, then maven and just when maven started getting massive traction, gradle.
* web frameworks: JSP, JSF, Spring MVC, Wicket, Tapestry, GWT, struts, dropwizard (and compiled java - Grails, Play etc...).
Even "standards" made by the "governing body" conflicted with each other -
JDO, JPO and ESB (the persistence part, though I'm not sure if there was a JSR
for that) for example.
A new web shop even had a hard time choosing the Language of the month:
Groovy, Scala, Clojure.
If you go broader then the Java world, then the flavour of the week platform
was even harder to pinpoint- ASP.net ,PHP,wordpress,drupal,rails, node etc...
Not to mention databases - from everything must be relational in one Monolith
DBS (oracle mostly) to sharded mysql with memcache layer, to only noSQL
(usually mongodb),then to polyglot persistence (I.E. use what fits) and now
into the brave world of natively distributed sql (I.E. newSql).
I don't think it's the front-end that is high churn, I think web development
as a whole has changed so much in the last few years that the technologies
involved has changed drastically.
At least in front-end development you one language, and the knowledge of some
universal standards (you aren't going to need to relearn HTML and css).
Also there is still jQuery- which regardless of how many things are built
against it, it exists in practically every site.
~~~
gred
> build: ant, then maven and just when maven started getting massive traction,
> gradle
I'm not sure that I would call 3 big build systems over the course of 20 years
"churn" :-)
> web frameworks: JSP, JSF, Spring MVC, Wicket, Tapestry, GWT, struts,
> dropwizard (and compiled java - Grails, Play etc...)
The height of the churn corresponded to people trying to handle MVC on the
server side, and seems to have subsided somewhat as people have simplified the
server side (RESTful APIs) and moved the MVC to the client side.
I wonder if this churn is somehow intrinsic to the type of problem being
solved (user interaction), rather than to the technology / language /
community.
~~~
Illniyar
in regards to build, I was talking more about when these systems became
popular/hyped/adopted rather then when they were released.
Maven didn't became really adopted until 2.0 came out, and, to me at least,
Gradle gained traction extremely fast after Maven was adopted (along with sbt
for scala and others). I think Maven laid out the foundation for the adoption
of gradle.
But yes, it's a lot farther apart then Grunt vs Gulp. I was more trying to
show that build systems change even for very stable languages/ecoSystems
(relatively speaking).
In regards to problem solved - it's an interesting thought, I haven't done a
lot of ui outside of web, I wonder if other people can shed some light on
churn regarding ui frameworks on desktop (or even flash/silverlight/unity
etc...)
~~~
empthought
There is some churn in layout recommendation and widget availability, but the
fundamental application construction model in iOS 8 is the same as it was for
OpenStep 20 years ago.
~~~
gred
Open source; MVC; API stability -- choose two?
------
grumblestumble
The whole "use lots of little modules" idea is great on the surface, but when
you have to build large applications with small teams, I find it fails:
\- There are always multiple choices for each piece of functionality you need
to address, and personality clashes over which is the "best".
\- Security is a whole lot harder to nail down with more moving parts. Go with
Angular, you have this: [https://code.google.com/p/mustache-
security/wiki/AngularJS](https://code.google.com/p/mustache-
security/wiki/AngularJS). Similarly, Ember:
[https://code.google.com/p/mustache-
security/wiki/EmberJS](https://code.google.com/p/mustache-
security/wiki/EmberJS). Even though these frameworks aren't 100% secure
(although Angular comes pretty close), you can be more aware of the pitfalls.
The more independent modules you have to keep track of in your app, the more
difficult it becomes to track security flaws.
\- Some seemingly unrelated components just don't end up playing nice with
each other, and this can be hard to determine ahead of time.
------
dpweb
I think alot of the devs today have grown up with all this frameworks on top
of other frameworks. The problem is you lose power with every layer of
abstraction. It's the price you pay for it. They also abstract at too low a
level, especially since browsers have caught up. They don't need provide a new
custom ajax for instance, XHR as implemented in the browser works quite well
without imposing an arbitrary syntax on top. So I think people have moved
increasingly to vanilla. We've come full circle with the opinionated
frameworks and some people are frustrated and where do we go now?
Web components are the most promising development, because the preferred
approach in sw development has always been isolation/separation of concerns.
This is pretty much the opposite of the JQuery style. In theory you can
separate using JQuery but in practice still in 2014 you cannot look at source
in any moderately complex web app and understand what's going on. Ultimately,
its going to have to be a DOM/JS mix (Those aren't going away for a long time)
but they never got it quite right. The web component frameworks are the best
thing going for the future.
IMO they should be declarative, that is - in the HTML - but programmable, and
that's the way things have been heading. So in 10 years we'll still have the
DOM and JS (although it would be interesting to have more languages easily
usable in the browser). As Polymer evolves it (or some equivalent) will make
it into the browser.
~~~
Offler
> IMO they should be declarative, that is - in the HTML - but programmable,
> and that's the way things have been heading.
Sounds like React. WCs templates aren't programmable that's a DSL that is
specific to Polymer.
~~~
dpweb
The mingling of HTML/JS in React I find unattractive (at best) but I'll have
to look into React some more.
~~~
akrymski
This was my first reaction as well. I've tried using React but the designer in
me hated having views inside my controllers. So I've ended up writing vanilla
js, and a helper MVC framework:
[https://github.com/techlayer/espresso.js](https://github.com/techlayer/espresso.js)
which borrows a bunch of concepts from React but is really just a tiny helper
lib.
------
kartikkumar
As a relative beginner in front-end dev, I have to say, the whole JS world has
me completely flummoxed. I really don't know which way is up and given that my
time is at a premium at the moment, I want to learn something that is going to
give me a firm foundation in the long-term. It seems with all these frameworks
that it's like betting on a horse blindly, at least to someone who only has a
cursory view of the JS landscape. I've played around a bit with Express.js and
with jQuery, but not enough to know which way is up.
I've been wondering if all this change means that the real way for me to start
is diving straight into vanilla JS. I have a firm grasp of Fortran, C++ and
experience with MATLAB, SciPy, and Julia (recent) for scientific computing.
Coming from the engineering world though, I have no sense how the front-end
dev community is shaping up, and that makes me nervous about deciding where to
spend my time learning. There are some fun projects I have in mind to bring
some of the engineering stuff I've done to the web (e.g. an asteroid redirect
mission calculator), but I'm worried about spending time learning a framework
that'll just disappear by the time I even really get going.
Does all of this change mean that, in the long-run, I'm best working my way
through vanilla JS and at a later stage making using of frameworks or
libraries to make the more mundane programming tasks a synch? Or should I
actually be starting off by learning a framework? Input highly appreciated!
~~~
dccoolgai
"I've been wondering if all this change means that the real way for me to
start is diving straight into vanilla JS."
Yes. If you learn JS really well, you can adapt to the framework-du-jour
quickly. Learn the DOM , Learn the Web Standards: Two years from now, these
frameworks may or may not matter but the things that are happening in Web
Standards like ServiceWorker, Components, RTC, etc. definitely will. If you
are searching for the branch to cling to in the storm, it is this: Web
Standards (which includes "Vanilla" JS). Start here and work your way
outwards:
[http://youmightnotneedjquery.com/](http://youmightnotneedjquery.com/)
~~~
kartikkumar
Thanks, I guess that's along my line of thought at the moment.
My interpretation from my limited exposure is that RoR is a big step up from
"vanilla Ruby" and that the community in that case is consolidated enough that
it's pretty much a no-brainer to just start with RoR as a beginner. In the
case of JS it seems like a movement towards consolidation in that sense is
still a long way off, meaning that "vanilla JS" knowledge carries more value
than it might do 5 years from now. I've also wondered if all the energy that's
being pumped into frameworks and libraries wouldn't yield more if it was
targeted towards completely replacing JS with something that's more akin to
modern (front-end) dev from the ground up. Maybe that's a silly thought, given
legacy and the close relationship with browser development, but as an outsider
it seems like a lot of energy is spent on "warring" that could perhaps be
focussed more productively in a different direction altogether.
Any other JS resources you would recommend to start from the bottom
outwards/upwards?
~~~
dccoolgai
Resources:
1\. [https://developer.chrome.com/devtools/docs/console-
api](https://developer.chrome.com/devtools/docs/console-api)
2\. [https://developer.chrome.com/devtools/docs/commandline-
api](https://developer.chrome.com/devtools/docs/commandline-api)
If you are doing webdev, Chrome DevTools is _everything_. The console and CLI
are your window to the truth. It literally spells the difference between
wondering why things work like an idiot and knowing it like a boss. Pay
special attention to getEventListeners(IClickThisAndItBreaks),
debug(WeirdFunction), console.trace().
3\. [http://caniuse.com/](http://caniuse.com/)
The things in that list: You should know a lot of them. You should know OF
almost all of them (what they do on a conceptual level).
4\. Hate to reco a paid thing, but this book was critical to me: Secrets of
the Javascript Ninja by Resig. TL;DR: Everything in JS is a function. There is
1 thing to know about functions: The "Everything/Nothing Rule" (my paraphrase)
- Scope has everything to do with how the function is declared and nothing to
do with how it's called. "this" has everything to do with how a function is
called and nothing to do with how it's declared.
5\. Embrace Function-ness: lodash.com/docs
6\. Embrace Event-ness:
[http://api.jquery.com/callbacks.add/](http://api.jquery.com/callbacks.add/)
7\. Embrace Async-ness. Easiest way for me on this was to dabble with Node -
async.js & promises.
8\. After you lock all that down (don't get scared - it's actually easier than
it sounds), learn how a browser really works and performs. Good place to start
on that: [http://superherojs.com/](http://superherojs.com/) \- "Under the
Hood" section. (Other good links there, too.)
9\. Follow people like Jake Archibald to learn about the Web's "coming soon"
stuff like
[https://jakearchibald.github.io/isserviceworkerready/](https://jakearchibald.github.io/isserviceworkerready/)
~~~
kartikkumar
Wow, awesome list! Thanks for putting the time and effort into putting that
together. Sounds like I have a plan laid out to get started over the winter
break! Thanks!
------
rurabe
I agree that fragmentation is a problem, but don't understand why the solution
to that problem should be smaller, fragmented libraries instead of larger,
complete frameworks. Isn't that the same problem described in combining all
the tools with small market/mind share? In my experience, far more problems
arise from the interaction of separately authored modules versus the
interaction of modules designed to work together. Not to mention that there
will be far more blogs and SO posts about a larger framework.
~~~
bsaul
I came to say the same. If you multiply the number of dependencies, owned by
different people, having different interest, you multiply the chances of
having to catch up with a problematic update.
On a more general pov, the debate between "integrated design" and
"modularized" design has been going on for decades. We know the advantage of
both. The problem right now is that angular made a desition to break
compatibility in a major way while their framework was barely becoming
mainstream. Let's not make it a bigger problem.
People that invested in the .net framework, or in the unity framework, did not
make a blunder. All we need is an equivalent in the front end js world.
------
hrish2006
I wonder if we need any JavaScript framework at all, given how far JS has come
in recent years, yes, I use an MVC framework currently for the apps I'm
building but I'm writing more and more of my apps these days using nothing but
vanilla JavaScript(ES-6 to be exact) and the dom apis, and I'm not depending
upon any framework. (well, I use traceur but only because ES-6 support is not
fully baked in to all browsers). IMO the frameworks that are all out there
today are simply too big and try to do too much for you. The only libraries I
use from time to time are underscore, d3 and moment.js.
~~~
pluma
I'm finding that in many cases the old adage holds true: "You're always using
a framework. Either you're using an existing framework, or you're building
your own." (paraphrased)
Sure, if legacy browser support is not a concern and you don't need to support
bleeding-edge features (i.e. unstable APIs), you can go a long way with
vanilla JS. But at some point any large system needs abstractions in order to
stay maintainable. And if you don't use existing abstractions, you'll have to
come up with your own abstractions.
Of course the other option is to simply not build large enough systems to
require abstractions.
That said, I do prefer smaller libraries, too. This is why I see React not
being a full replacement for all of Angular as a feature rather than a
limitation.
I only ever began considering Express as a framework when it dropped the vast
majority of its features (mostly middleware) in 4.x, too.
~~~
hrish2006
Well, a custom framework might evolve when you write everything using just
JavaScript, but I've found that when such a thing does happen, it suits your
needs perfectly. Even if I screw up, I'll at least know where to look when I'm
debugging :)
~~~
andybak
Time to wheel out another paraphrase of Greenspun's Tenth Rule
([http://en.wikipedia.org/wiki/Greenspun%27s_tenth_rule](http://en.wikipedia.org/wiki/Greenspun%27s_tenth_rule))
How about:
"Any sufficiently complicated collection of libraries contains an ad hoc,
informally-specified, bug-ridden, slow implementation of half of a full
framework"?
;-)
~~~
hrish2006
That sounds about right :) . However, you need a great degree of discipline
(greater compared to other languages IMO), to write good JS. JS enforces
almost nothing, so it's up to the programmer to design an application
architecture that suits her, so it might not be as ad-hoc in real life
applications after all.
------
Mc_Big_G
Ember had a lot of growing pains, but it's starting to come out of it's cocoon
and spread it's wings. When you combine it with the massive productivity boost
of ember-cli, tooling that does all the tedious and hard shit that no one
wants to deal with, it's a big win.
I recently made a simple app and decided to just write it in jquery and
constantly found myself missing doing things "The Ember Way"™ Building an
"ambitious" application in jquery alone would be complete madness and half-
hearted frameworks don't really give you much benefit for all the wrestling
you have to do.
I really like that the Ember team strives to find the right way and deprecates
parts of the api that they find people using in bad ways. I've also seen a lot
a pragmatism around preventing bloat like removing string inflections etc...
The best advice I have if you really want to try Ember is to read the guides,
completely, word for word. Then try to write a simple app, using the
guides/recipes/API for reference and then read the guides again, completely.
Then do all that again. It won't take as long as you think and you'll be far
ahead of where you would be reading some introductory blog posts.
Admittedly, I have been frustrated at points, but that's par for the course
with any js framework at the moment and if I had chosen Angular 1.x for any of
my previous clients, I would be VERY embarrassed right now.
~~~
tragic
I like ember well enough, but sweet jesus it's _huge_. We have a page weight
budget; 350k of ember plus 100k of jquery plus 50k of handlebars leaves about
-150k for all the ad/analytics code the rest of the business needs. It's just
not going to happen.
That's a serious advantage for angular - it's pretty small for what you get
out of the box, and there are no external dependencies.
I saw in the Ember 2 RFC that they hope to slim down a little, which would be
good (especially now that Angular is going mad), but for those of us who don't
want to send a great hulking wodge of stuff to every P.O.S. phone that so much
as glances at our apps, it's going to have to get a lot smaller.
------
akrymski
Small libraries win out every time, as soon as there is a decent package
management system. Just look at what happened with Node and NPM - npm really
rocks, and the whole node ecosystem is choke full of great and small libraries
that fit together nicely.
I write node on backend and frontend, and package the frontend using
browserify into a single index.html file that contains _everything_ the app
needs, so it's one HTTP request to fetch the app. That's the new binary format
of the web, and all the dependency management is done for you. It's bliss. For
the frontend I used vanilla JS to write a small Backbone-style library to meet
my needs:
[https://github.com/techlayer/espresso.js](https://github.com/techlayer/espresso.js)
because even Backbone seemed too monolithic to me (requires jQuery/Zepto).
I've tried React and Angular, but I simply don't understand what they offer
over Vanilla JS. What developers really need is to agree on a package standard
(NPM!) so that small libs can flourish. There are tonnes of great libs on
github but unless they are in npm, it's just a hassle, let's face it. Frontend
devs need to adopt the same approach of publishing everything to npm as Node
devs have been doing for years. You don't see monolithic frameworks in Node
world because the package management system _just works_. I don't care about
standards, but if everyone embraced _something_ the world would be a much
happier place.
~~~
jnem
>I've tried React and Angular, but I simply don't understand what they offer
over Vanilla JS.
Agreed, especially considering many devs choose Angular, Ember, etc. to
perform easy two-way data binding. However, two-way data binding can be
achieved fairly easily in vanilla JS. I recall Javascript Weekly sharing a
great article about how simple it is to do:
[http://www.sellarafaeli.com/blog/native_javascript_data_bind...](http://www.sellarafaeli.com/blog/native_javascript_data_binding)
------
at-fates-hands
As someone who was drinking the AngularJS kool-aid, the merry-go-round joyride
ended abruptly for me and my startup after the Angular team announced a lot of
the updates they were planning, including the obsolescence of previous Angular
versions at the ng conference in October.
My partner and I had about 8 months of dev time into a directory app we were
building on the MEAN stack. It just so happens AngularJS was a big part of
that architecture.
After some long conversations over beers and some teeth gnashing, one thing
became clear. If the Angular team just decided to make these huge changes now,
what keeps them from doing it again in the near future? If they have no plans
now of making newer versions backwards compatible, does this means every new
version will be this way? All it did was create huge questions of trust and
reliability with using a framework which could dead end your project somewhere
in the distant future. This meant continually looking over your shoulder,
which is not good for any business.
Our final decision was to scrap what we were doing with Angular and now are
looking at several options which include:
1 - going with a traditional .Net stack / MVC
2 - going with Django or other Python framework
3 - moving to another JS framework like Ember
Either way, We're moving away from Angular. Call me gun shy, call me spooked
by the latest change in direction, but I have a bad feeling about how this is
going to turn out in the next 18-24 months.
------
ben336
So there seem to be 2 separate issues this post is addressing.
1\. A lot of JavaScript frameworks are being released 2\. JavaScript
frameworks are being updated too fast.
His biggest example, the Angular 2.0 split, is of the second one, but he seems
primarily concerned with the first one.
I can see the first one being a problem primarily for developers keeping their
skills up to date. The fact is that once you've put a decent amount of code
down into an application, you're not going to be constantly switching
frameworks. Maybe do it once, but otherwise the applications that are already
built will stay on a stable foundation. So for developers working on a single
or stable set of applications (not client work), this shouldn't effect their
actual work. There may be an issue of skill decay if employers are constantly
looking for the latest and greatest, but outside the Silicon valley bubble, I
still see a lot more jQuery and Backbone job postings than Ember or React.
As for the issue of frameworks lacking stability, I frankly don't see that.
Yes Angular is making big breaking changes. But otherwise? Let's look at the
other 6 biggest front end libraries/frameworks.
jQuery has been fairly stable for a few years now, with minimal breaking
changes.
Underscore has been very stable, albeit growing with competition/help from Lo-
Dash
Knockout and Backbone have evolved slowly while remaining small and very small
respectively.
Ember has a very clear process for moving their framework while allowing
actively developed applications to stay up to date in a reasonable way.
React is still pre 1.0 and that's something you should know going in.
Basically if you started a project with any of those technologies (or angular
for that matter) at some point in the past 3 years, you've probably had a
pretty easy time in adjusting as the library specific concepts have changed.
I just don't see the idea of "Frameworks are evolving too quickly" as being
particularly compelling. There's a lot of information out there. Yes if you
want to know it all and always be using the newest shiny thing, it will
probably be too much. But none of this is preventing anyone from actually
building useful things today.
~~~
joesmo
I'd say the Angular 2.0 split actually fits your first point (A lot of
JavaScript frameworks are being released) rather than your second as
essentially, it is a new library that shares only the name. The way I see it,
Google is deprecating Angular 1.0 and creating a new library which will also
be called Angular (2.0) but might as well be called something else. This
bungling is rather typical of Google open source projects and I agree with the
author on being aware of corporate sponsorship. I'd add to that, especially of
Google, whose track record in this space (front end) is abysmal and whose
track record in general as far as developer technologies is mediocre at best.
~~~
marknutter
It shares more than just the name. The Angular rewrite was unavoidable if they
had any hope of integrating seamlessly with web components. They also remove a
lot of the concepts that people lambasted Angular 1.0 for and end up with a
much more elegant framework. It seems they were damned whether or not they
wrote Angular 2.0 - people would either bitch about the current framework for
being convoluted in places or bitch about the new one for having breaking
changes.
~~~
joesmo
I don't see anything else that it meaningfully shares with Angular 1,
certainly nothing that warrants keeping the name the same. What people are
bitching about now is that Angular is essentially deprecated and a dead
project: in other words, Google's spectacular failure at maintaining the
project. That applies to both Angular 1 and 2 now, as it's clear to me and
plenty of other devs that Google is simply not serious in this space (not to
mention that Angular 1 wasn't all that great to begin with when used for
anything but simple apps). I think it'd be foolish to choose Angular 1 or 2 at
this point, knowing that there will be literally no support from the creators.
Other frameworks do this as well, just not on such a short timescale.
~~~
marknutter
> What people are bitching about now is that Angular is essentially deprecated
> and a dead project: in other words, Google's spectacular failure at
> maintaining the project
You keep using the term "Google" as though it represents a single, unified
entity aligned on all fronts. Angular was never an official initiative within
Google and its usage within Google is actually pretty limited. It's a Google
framework in name only. It grew organically out of one small team's (who
happened to work at Google) desire to simplify the rewrite of a very large
legacy web app (DoubleClick). It's no more "Google Angular" than Bootstrap is
"Twitter Bootstrap", which was another project that started within large,
recognizable company but wasn't officially initiated or mandated by said
company. I'm sure Google employees are sick of people lumping them into one
big group and making blanket statements such as the ones you made in your
comment.
> I don't see anything else that it meaningfully shares with Angular 1
Then you haven't been paying attention. Angular 2.0 still has dependency
injection, directives, two-way binding, scopes, routing, and more. Directives
are being renamed to match more common terminology and scopes are now just
implied but these are _improvements_ , not removals.
> I think it'd be foolish to choose Angular 1 or 2 at this point, knowing that
> there will be literally no support from the creators.
This is just FUD. The creators have said they will continue supporting Angular
1.0 well after Angular 2.0 is released; they even hired a few people recently
to do just that. And there are core contributors out there who don't work for
Google who will likely keep supporting Angular 1.0 for as long as it makes
sense to. It's open source, after all. And to say that Angular 2.0 will
receive "literally no support from the creators" is simply trolling.
~~~
joesmo
Whether or not the creators are mainly Google based or not, it doesn't change
the fact that their support is unreliable and untrustworthy. It's not trolling
for me to express my opinion as such. If they're so quick to abandon Angular 1
(about 2 years since the stable release), they're likely to do it again. This
isn't a technology issue, it's a trust issue. All this so they can create a
more "elegant framework" that's likely to be more of the same. Also, just
because the 2.0 release uses general concepts and design patterns that 1.0
also happens to use (DI, routing, two-way binding, etc.) doesn't make it an
upgrade. That's akin to saying they're both Javascript, so they must have
something in common. Ridiculous.
------
michaelmcmillan
Great post! I agree with your argument regarding libraries over frameworks,
but I think the real problem is how we couple our software to third-party
libraries. Frameworks tie you down more than a library, like you said. But if
you're not careful a library can do just the same. Which is why I believe
developers have to be more clever when architecting software.
Reading your post reminded me of Robert C. Martin (Uncle Bob) opinions on how
coupling your code with anything that can screw you over obviously is a bad
idea.
"Apparently the notion that it’s a good idea to hide the framework, UI, or
database from the application code is not universally accepted."
"What happened to us? How did we forget these rules? When did the old rules of
coupling and cohesion evaporate from our awareness? Are we really so naive as
to think that the best way to write a complex system is to throw a bunch of
components into a bag and shake it until it works?"
[http://blog.8thlight.com/uncle-bob/2011/11/22/Clean-
Architec...](http://blog.8thlight.com/uncle-bob/2011/11/22/Clean-
Architecture.html)
~~~
je42
Yep !!!
------
jimmytidey
This discussion is exactly why I'm drawn to Meteor. As someone who turns out
prototypes and doesn't do full time web development, the overhead of
researching all these options every time I try to do something is too much.
The cost is that I might not always be using exactly the right thing, and that
I'm stuck with Meteor's quirks. The pay off is that it always just waiting to
go.
As an aside, I think it's notable what a barrier to entry all this is. If you
want to try your hand at web app development the thicket of libraries is not a
welcoming prospect...
~~~
evo_9
I have to agree, I've played with all the 'big' JS frameworks during the past
2 years and only Meteor has 'stuck' for me. Part of it is that it's just so
fast and easy to crank out something usable with minimal effort; I think this
is largely because Meteor is unencumbered by any MVC requirements. It would
take a lot for me to consider changing to something else at this point, Meteor
is just so fast, easy and most importantly fun to develop apps in.
------
d0m
Yeah, I agree. I lost faith in Angular (Even the 1.x). From now on I'll be
using React for the view and a mix of amazing smaller libraries for the rest.
------
ux-app
"Prefer dedicated libraries to monolithic frameworks", this is the money quote
for me.
I got burned a long time ago when I wrote a large personal project using ExtJS
(~1.2 i think). Breaking changes, coupled with a kitchen sink mentality soured
me against large frameworks.
It's vanilla JS with a few small very targeted libraries to fill in the gaps
from now on for me.
------
mimo84
Where I work we decided to avoid using libraries and frameworks, because
decisions taken at that level was do not give us the flexibility to deal with
the problems that we face. The main issues we found were:
1\. Change of behaviour between versions, (e.g. the way a frameworks integrate
with a page)
2\. Reliance on functionality being supported into the future
3\. Customer expectations
4\. Browser support
That said, it is true that a frameworks gives you the ability to put together
an app in a few weeks. However, when you know that what deal with with
something that needs to be maintained for years than knowing what does each
piece of your code is far more important.
~~~
Bahamut
It's possible to do the same with a framework - it is also likely that
frameworks and various libraries will be more performant and account for
cross-browser issues. For example, I am not going to handcode JS logic with
generating SVG for a graph - I'm going to use d3.
~~~
spyder81
Well, sort of. It's possible if you're willing to take on maintenance of that
library if/when they abandon it, and be able to dive into the guts to track
down bugs or weird behaviour.
As a good example, we're on the verge of ditching JQuery.
~~~
Bahamut
Here's the rub though - code will not (likely) live forever. That's just the
reality of software engineering.
I always have to dive into the guts of a library to figure out bugs regardless
- I feel like that's essential for a software engineer to become well versed
in, regardless of whether the work is in frontend or backend.
The cost of not producing at a fast enough rate is something almost no
business can afford, especially in the startup world. The speed at which
companies have to move are always on full thrust because if they don't move
fast enough, then it costs sales, reputation, and gives competitors more of an
opportunity for market entry.
Homerolling your own framework/library can be a dangerous operation, and you
lose the benefits of the lessons that others have learned in maintaining open
source frameworks/libraries.
~~~
davidgerard
> Here's the rub though - code will not (likely) live forever. That's just the
> reality of software engineering.
Yes. Only the code you wish wouldn't!
(seriously. I'm maintaining complex logic in ant. AUGH MY EYES)
------
noname123
Good zeitgeist. I feel compelled to give my $0.02 as I was quoted in the blog
as someone who "frankly feels completely overwhelmed." However, my criticism
will be more from a programmer's perspective not so much a "web application
developer" perspective.
Re: the chaos/churn in Javascript, forgetting for a minute the buzz-words of
Backbone.js, React.js, Ember.js, Gulp, Angular etc. - they seem all to be a
fight about MVC, traditional vs. single-page app vs. isomorphic.
I fail to see how improvements in these tools actually push us to create novel
projects. While one can nit-pick about React.js rendering performance in its
internal "DOM diff" model or Flux's "data flow architecture" in improving code
readability, but they are just buzzwords to me like words-play in a post-
modern novel or art that arrange concepts in their idiosyncratic way in an
arbitrary aesthetic way; although sometimes the rearrangements can be
beautiful, they are ultimately shrines to themselves and their creators and
subculture.
Subculture because everyone wants something of their own and ignore
interoperability. Although the data model are the same whether you're a
single-page or isomorphic, there is no community standard to define standards
to define your data models a la J2EE annotations or code-generated one's a la
Google Protobuf. Same thing with single app controllers, no standard like
RESTful web service spec that's universal and interoperable like between
.net/Java/Python etc. that can be applied to say, Sail/Backbone/Ember/Angular.
Postmodern because they are always self-referential to the
"Ember.js"/"Node.js" way of doing thing - when they all do the same thing
which is rendering HTML elements on the web browser in 2014, much like Visual
Basic rendering forms on Windows 95 desktop in 1997. Never mind all the touts
about performance, architecture, when the users won't care about the
diminishing return of shaving off some microseconds of your AMD JS module
loading or the beauty of your invisible architecture.
IMHO, instead of a race to the bottom to the most "efficient" and "beautiful"
stack to render HTML, I care more about the _ideas_ that push the web as a
medium, e.g.,
WebGL
([http://www.chromeexperiments.com/webgl/](http://www.chromeexperiments.com/webgl/)),
Web Audio API
([https://chromium.googlecode.com/svn/trunk/samples/audio/samp...](https://chromium.googlecode.com/svn/trunk/samples/audio/samples.html)),
Web Real Time Collaboration
([https://togetherjs.com/](https://togetherjs.com/)
[http://www.webrtc.org/](http://www.webrtc.org/))
~~~
carsongross
An alternative direction to head is back to the future: take the web for what
it is and try to simplify AJAX interaction, rather than relearn all the hard
lessons of client/server programming from the 80's, but in a hobbled browser
sandbox.
This is what I'm trying to accomplish with intercooler.js:
[http://intercoolerjs.org/](http://intercoolerjs.org/)
~~~
mike_hearn
_An alternative direction to head is back to the future: take the web for what
it is and try to simplify AJAX interaction, rather than relearn all the hard
lessons of client /server programming from the 80's, but in a hobbled browser
sandbox._
For an even more retro approach, perhaps some things are just better written
as desktop apps. I know they're out of vogue at the moment, but I've been
having good experiences with writing a JavaFX app lately. Particular points to
note:
* I wrote my own online updates engine, that can be used to implement Chrome/Web style silent background updates, but which can also give control to the user over which version of the app they use. Users can downgrade at any time if a new version is buggy or just not as good as the previous version. It's very small, simple and easily integrated. It supports threshold signed updates so it's also suitable for high security apps where a hacked web server could be critical. It's called UpdateFX, check it out.
* JavaFX has a tool that creates native, bundled installers on each platform (dmg, exe/msi and deb). The user does not have to install JVMs or get any Ask Toolbar crap on their system. You remain in total control over JRE upgrades.
* UI is specified with an XML dialect called FXML, it's quite intuitive and anyone who knows HTML can pick it up quickly. But there's also (unlike with the web) a competent visual designer. You can style UI with a dialect of CSS and it's very easy to match the Twitter bootstrap look, native looks can be done too.
* Data binding is easy, the UI is OpenGL/Direct3D hardware accelerated, you can trivially apply effects like drop shadows or blurs and animate them, the API is clean, the entire framework is open source and the developers are responsive.
* Because it's not a web app, support for offline or flaky internet connections is second nature.
If your users can tolerate the initial download then it's a much more pleasant
and robust development experience. If your users are the type who can't wait,
you might want to stick with the web.
~~~
munificent
> For an even more retro approach, perhaps some things are just better written
> as desktop apps.
This is effectively what the mobile marketplace has decided. Native mobile
apps are thriving while mobile web apps struggle to keep up.
~~~
jbergens
I'm not sure that is true, a lot of apps use web technologies on the inside.
The more interesting part is that most seem to choose native not because of
the development story but because they need to reach some special API or
really want to keep the UI very close to examples from the platform
manufacturer. It is actually a problem to go native when you have to develop
multiple versions of each application which might totally lose any advantages
the native coding experience has over html+js.
------
empthought
Can someone more invested in the SPA/rich internet application JavaScript
state-of-the-art explain to me what is unappealing with the Dojo toolkit[1]?
Of all the frameworks I've seen, it's appeared to have the most consistent and
sustained developing, documenting, and extending efforts, over the past six
years or so.
But I'd rather be programming iOS any day, so maybe my tastes in client-side
application programming are very out-of-step.
[1]: [http://dojotoolkit.org](http://dojotoolkit.org)
------
oakaz
If you close your ears to people who try to spread the words of unix
philosophy, this is where you find yourself at.
For past 4 years, there is NPM, and there is people trying to explain why you
should build your software with modules instead of frameworks.
~~~
mhd
That was the vision of OOP, too ("Software ICs") and we all know how well that
turned out. Even Unix is not really the big success story here -- one might
say that even something like 'awk' is already stretching the paradigm, never
mind common fellow travelers like Perl or Emacs. Never mind most graphical
interfaces.
I know, this will probably evoke a "No true Unixman" response, maybe even with
pointers towards the Plan 9 highlands, but the truth is that a) connecting
stuff is hard and b) a good connection is often a prime feature itself.
Especially the latter will result into a plethora of modules of its own, for
nearly all possible combinations of component modules. The end result is even
more "frameworks". Sure, they're going to be _modular_ frameworks, but I don't
really know whether that's going to help the developers who live in the
uncanny valley of _mostly_ knowing what's there and how it connects.
A "fat kernel" with lots of "satellite modules" might be a viable approach,
too. Just like with most programming languages (i.e. not C or JavaScript),
where you've got plenty of useful stuff in your standard library, and some
package manager for the rest.
But hey, if the JavaScript ninjas finally figure out how to properly combine
software components, that would be better for all of us. I just wouldn't bet
on that.
------
ebiester
I posted it elsewhere, but I remember it said from my days watching the
proliferation of java frameworks: If you aren't using a framework, you're
building a framework.
When I spent some time in the node.js world, I felt the same thing: there were
a few attempts at frameworks, but most everybody was writing their own glue
framework between microlibraries. I am convinced that it is only fun the first
few times you have to do it. :) It reminds me a little of the days before
server side frameworks, where people were reinventing the wheel (poorly) every
project.
Further, I don't think it's necessary to run and learn every single framework
that comes out. If something is an order of magnitude better, it will take
over the market. (Ember, Angular, and React are all an order of magnitude
better than backbone.) There will come something that is an order of magnitude
better than these eventually. Until then, just get stuff done.
And frankly, there's no shame in continuing to render on the server until that
next generation leap comes.
------
prottmann
To be fair: many things were developed in the last 4 years since google pushed
V8.
Thats why so many things changed too.
And the other thing is: why are all those things so successfully? People had
enough from old fat frameworks, that where developed 10 years ago with a
language from 15 or 20 years ago.
This old languages and frameworks did not fit to Web-Development, Apps,
whatever... all the things that boomed since 2007.
------
al2o3cr
"Developers will move, I believe, from monolithic frameworks like Angular.js
and Ember to a ‘pick n mix’ of small, dedicated libraries to mitigate the risk
of churn"
Well, that _would_ reduce the framework churn rate for an individual developer
to exactly the rate that said developer gets new projects. Too bad about the
NEXT dev on the project, tho...
------
cozuya
Relying on reddit for all of your "temperature gauges" of the JS community
probably isn't for the best.
~~~
state
I would tend to agree, but what would you recommend instead?
~~~
cozuya
Good question. I guess here, and Twitter? ugh. There's nothing "centralized"
for cutting edge javascript development (hopefully not an oxymoron..), so I
consume a few different places daily. I don't feel like I'm missing out on
things that's for sure.
------
yeskia
How is this churn any different to other languages at the height of the
popularity? Every other web programming language seems to have it's defining
framework (whether it be a collection of quality packages or entirely first
party code). From Rails to Django to Symfony to MVC, plus not forgetting that
each language also has a popular "slim" framework also.
I see no reason why that would differ in the JavaScript world - whether it be
front-end or back-end. Angular's changes may have burned a lot of developers
but it could just be teething problems - learnt some critical lessons on the
first round and resolving them before it's too late. I fully expect to see a
solid MVC framework on the backend, whether it's Sails.js or something else
that comes along.
~~~
mattxxx
idk; I've been focusing on all things javascript for the past two years, and I
can relate to the "alienation" the author is describing. I mostly write
vanilla (or +underscore) and AngularJS, and it feels like you have to
constantly compare things, because so many of the workflows don't feel right.
AngularJS scales really well on gigantic applications, and it felt like there
was going to be some stability from the corporate-world, but now it's gone.
Frontend code is so hard to maintain well (compared to backend), and now it's
going to cost companies millions of dollars to migrate: retraining, migration,
unit-testing, QA
sigh...
~~~
Bahamut
The stability will still be there - the first evidence of breaking changes was
at ng-conf back in January, when Vojta presented about di.js. In addition,
Angular 2.0 won't come out for over a year (I'd bet on 1.5 years from now
given the tendency for timelines to slip - 1.3 was originally supposed to come
out a year ago), and Angular 1.x will be supported for 1.5 years after that.
That's at least 3 years of active development in 1.x. Meanwhile, the
development ecosystem will probably have finally adopted Web Components and
ES6 as the norm for development, and so it would give the perfect opportunity
to evaluate options to migrate to then.
Web Components looks hugely promising as the path for independent components -
essentially what Angular directives were meant to be in the absence of such
browser technology.
------
briantakita
People who paid attention to Rails upgrade issues over the years saw issues
with heavy frameworks that abstract a bit far from the input & output.
Simple libraries often mean less maintenance headaches, more flexibility, and
better productivity over the long term. YMMV of course ;-)
Exoskeleton looks like a promising microframework replacement for Backbone.js
- [http://exosjs.com/](http://exosjs.com/)
\---
Edit: re: downvotes. I know, sometimes it hurts to hear there are other ways
that may be more optimal. Been there. Developing software is hard sometimes
but it's a craft :-)
~~~
bbcbasic
Why is maintaining a Rails application a mess? Yes if everything gets stuffed
into controllers/models then maybe. But you don't have to do that.
~~~
briantakita
The upgrades have been historically been quite painful. Especially from v2 to
v3.
Perhaps it's better now that the api has stabilized a bit. I've been using
node.js & some Sinatra lately.
Upgrades tend to be smoother & due to less monolithic libraries. Also, the app
startup time & TDD cycle tends to be faster with slimmer libraries.
It's also nice to be close to http vs the ambiguous controller methods &
complicated route files.
Plus ActiveRecord is slow, especially with collections. The business logic can
often be implemented in simple functions, resulting is less abstraction
overhead.
~~~
bronson
True, v2->v3 was hard due to escaping-by-default, but that was a long time
ago. v3 to v4 was trivial and v4 to v5 looks to be similarly easy.
Also, I find business logic sql libs written by typical devs tend to be
unreadable and much buggier than AR code. They start clean, but once some
other devs make some edits, they end up a jumble of sql concatenation
nightmares (even if you use prepared statements, and especially if you've ever
switched sql dialects). Given the choice, I think I'd rather see them written
as stored procedures. At least that enforces decoupling.
I agree with your other points -- less code is more better.
------
err4nt
Well said Breck! As a front-end dev it feels like a hurricane of new libraries
and frameworks all the time.
Two years ago I decided that the best course of action would be for me to
really dig into HTML and CSS, and ive been learning vanilla JavaScript as
well, and that combination has worked and will continue to work. Im leery of
anything I _couldnt_ write myself, but if I can take an existing library and
expand on it and make it my own that saves me time and I know I wont have to
worry about compatibility changes down the road.
------
funkiee
I think the Front-End community just happens to collaborate a lot more than
other communities and so the ideas get shared at a faster pace. Yes, it leads
to framework churn, but it's mostly because we're learning from each other's
ideas. If the other side of the coin is stagnation where people learn the
dogma of a framework and not the reason behind it, I'm all for framework
churn.
Find something that works for your team and stick with it. No one is making
you use the latest framework or library out there.
------
dustingetz
open source has won, we are innovating at faster and faster speeds than ever
before, and the best innovations eventually bubble up to the top, bad ideas
get peer reviewed out and thrown away before the whole world depends on them,
this is amazing!
I for one am perfectly able to track all this innovation within my specialties
(enterprise web dev) across multiple language ecosystems, and if I miss
something, someone in my monkeysphere will make me aware of it, all of this
fuss sounds like hot air to me.
~~~
Avalaxy
Maybe because you're primarily a front-end developer? If front-end is not your
fulltime job it's really hard to keep up with all the new frameworks and
changes.
~~~
w4tson
Agreed. I'm an enterprise dev who tries to keep a finger on the pulse but it
can be quite difficult. I take my eye off the ball for 6 months and it turns
out grunt is no good?! etc etc.
------
RyanZAG
Not sure why he brings up GWT so much - GWT seems to be very healthy right
now. I'd probably choose to use GWT in a new project before I'd choose Angular
at this point..
------
hardwaresofton
Iteration produces churn (I don't think anyone would argue for not arriving at
the best solution in an iterative manner in this day and age), and almost
everything on the front end is iterating.
I say keep calm and watch it churn.
When it stops churning, whatever comes out is going to be worth it
------
tk42
The state of JavaScript in 2015: it still sucks. I just wish the webbrowser
creators would implement a way of other languages to be executed as a
replacement of JavaScript. Not gonna happen, I know...
~~~
pestaa
In my mind it's in the same spot as PHP: the language can hardly be worse, but
so much quality code is written in both, you're beginning to accept them.
Lucky if you can work with a disciplined team...
~~~
juliangregorian
JavaScript, while it was rushed and had questionable design goals, at least
was somewhat designed. You can't say that about PHP.
Also not sure I can get on board with "lots of quality code in PHP", some
sure, but seems that anyone who knows PHP and another language prefers to
write in another language.
~~~
pestaa
The early PHP releases indeed weren't thought through fully, but recent
versions are taken quite good care of.
The are emergent (PSR) standards nicely backed by all the leaders in the
community (Symfony, Laravel, Silex, Drupal 8.) The Doctrine ORM is also an
extremely pleasant way to interact with a relational DB (on par with Python's
SQLAlchemy.) I very deeply hated PHP but nowadays I find it fun to develop and
ship software written in PHP.
As for JavaScript, 1 week is nowhere near enough what I'd call "designing a
language." It has quite the same evolutionary history as PHP, except for being
rediscovered a year or two ago.
~~~
juliangregorian
No dude. Sorry, your opinion is wrong. If recent versions were indeed "taken
quite good care of", there wouldn't be >5000 functions all existing in the
global scope, with completely inconsistent naming and arity patterns. There
wouldn't be exactly one non-scalar data type, the so-called "associative
array" monstrosity. I could go on. I don't think you'd care.
It's also funny that you listed 4 actors as "all the leaders" when Laravel
uses mostly Symfony code, Silex is made by Symfony, and Drupal is known to be
terrible.
The last time I had to program something real in PHP, I got caught trying to
debug network calls (all PHP debugging is an exercise in futility, you just
never know, am I going to throw an error, return 0, return -1/false/something
else, is it something that gets swallowed by the interpreter?) and tried to
use a try/catch to catch all exceptions. So pretty much "catch (Exception
$e)". Except that, since I was trying to be good and use PSR, I was using
namespaces, and PHP does not search the root namespace unless you are in the
root namespace. Which is ridiculous and the only language I know to do that.
The really infuriating part however was that the interpreter gave no
indication whatsoever that something was wrong, it just silently failed.
Making it ironic that by dint of using an error construct, I was prevented
from seeing compile errors in my code.
Congratulations on knowing that JavaScript was written in a week, however if
you had actually dug deeper, you would have known that the creator was a bit
of a language nerd and was concepting something different but was forced to
shoehorn it into a more Java-esque paradigm at the eleventh hour. When I use
JavaScript, I don't have to RTFM to find out what order str_replace takes its
arguments in for the 3000th time (and don't give me the string functions/array
functions bit because it isn't actually true). Nope, I can just
"string".replace(find, replace) because the language was designed. Whereas PHP
to this day seems to be a slipshod cadre of hackers (and not in the elite FBI
break-in sense, but in the duct tape and baling twine sense) blithely adding
whatever feature scratches their particular itch with no care or concern for
the rest of the ecosystem.
I don't think JavaScript is a great language. But it is an understandable
language, a predictable language. When I have to use PHP it makes me want to
quit my job. When I have to use PHP it makes me want to quit being a software
developer.
------
vkjv
I completely agree with the modular, single purpose library approach, but, for
large teams, it adds a lot of hidden overhead: library curation.
It's so easy to just, `npm install` or `bower install` a new library,
sometimes you don't even think about it. But, this causes a huge bloat and
duplicated functionality that both produce huge build artifacts and increase
the learning curve.
You need to make sure you have at least one person dedicated to saying, "I
know B does X better, but, we are already using A and it does X good enough."
~~~
je42
In my experience you will get into this problem also in any other language. I
had this particular problem with C#/Unity, C++/Windows and Python/Linux.
------
cayblood
I'm surprised there was no mention of Google Polymer in this article (and very
little in the comments). As I understand it, one of the big reasons why
Angular wasn't backwards compatible is that they wanted to remove directives
and opt for a more web-components-compatible approach. Having worked with
Polymer during the past few months, I'm very impressed with its modularity and
the simplicity one can achieve because of how each component's features are
well-encapsulated.
------
thomasfoster96
I still have issues with people loading jQuery just to get an element using an
id. I'm glad I haven't dived into the world of Angular and other frameworks.
~~~
simonrobb
If you misuse jQuery, it doesn't reflect badly on jQuery as a technology, it
reflects upon the developer. jQuery is an outstanding library.
If you stay away from technologies because there are developers out there
misusing it, I doubt you'll be left with much but machine code.
~~~
thomasfoster96
Well, yes, that's correct. jQuery is outstanding, but 95% of the time you
don't need to use it.
------
sauere
I got to agree with the Reddit posts quoted in the blog post.
But it's not just JavaScript, it's Frontend and WebDev in general. The whole
landscape is too big and moving too fast for anyone to move along and most
importantly: it is very, very frustrating. Go to angel.co and just look at
three or four job openings and you will end up with 50 different Frameworks,
Libs and Stacks. Half of them might be dead or deprecated in 12 months. It is
insane.
~~~
davidgerard
I'm a sysadmin supporting this shit for bespoke web applications. A new piece
of semi-supported crap every six months and the business expects it to be
supportable for two or three years. (We're getting better about demanding they
fund a damn sprint for any nontrivial work.)
Our devs are a very smart and capable bunch, but are slowly learning the
Support Hangover of being the knowledgeable one on a project because you made
a foolish and enthusiastic choice when the project was launched ... it's how
you learn the "-ops" bit of devops.
Some year webdev will grow out of the CADT model, but it won't be this year.
------
bwindels
Funny how a lot of the comments here, on an article about framework fatigue,
talk about frameworks that don't have problem x :)
My preferred way of working in a lot of projects is to work with the DOM
directly but keep the code that is DOM-aware as minimal as possible, and call
my domain layer right from the event handler after extracting the needed info
(id, ...) from the event and target. IMHO, data-binding is not that useful in
most projects.
------
mattxxx
Frontend JS is so hard to tame, and it feels like everyone has such varied and
strong opinions on it. I'm with the author on continual shake-ups in frontend
dev, but maybe with better support for DOM stuff, and framework agnostic
dependency stuff, we might have gotten somewhere just as some of the rug got
pulled out.
Sigh... with AngularJS 2, I'm shuddering at all the unit tests that will have
to be rewritten.
------
ryanmk
I'm glad I read this article. I just started experimenting with javascript for
web development, and I've encountered so many Named Swords.
------
louischatriot
The last point about small libraries versus monolithic framworks really
resonnates with me. I always have a hard time understanding why my team should
commit to one specific way of doing almost everything, instead of picking the
best tool for every job. In my experience, framework code is of a very varying
quality, some is good, some is not, some doesn't suit what I want to do.
------
Lamba
I stick to using well established libraries/frameworks, eg jQuery. Unless you
have a large and complicated model, an MV* framework can be overkill and add
unecessary complexity in addition to possibly tying you down to something that
becomes a laughing stock in six months. The new and well received SPA book by
Mike Mikowski and Josh Powell takes a similar stance.
------
btbuildem
Seems relatively accurate to me. I understand the lean towards tiny fragments,
there is less upfront investment / easier learning curve; this reduces risk.
Perhaps with time we will see intermediaries emerge between light libraries
and heavy frameworks - eg combinations of the former into subsets of the
latter, suited for less general development.
------
bahmutov
Are we really now complaining that the fast pace of new tools is a problem?
Not to put everything in black and white, but would the author prefer new
releases every 5 years? Just apply same principles to picking new tools like
you would when buying a car: do you really need it? Can you afford it? Does
the new model have something the old one does not?
------
tempVariable
This and the related reddit post put some more libraries on my radar and the
cycle continues. That is probably the most useful thing for me out of this
debate.
I have not dipped my toes into a production app with ember or angular because
of the same list of concerns put forward by folks here and on the other-webs.
------
ddw
Does it really take that long to learn Angular? Will it really take long to
upgrade to 2.0 and will you have to do it immediately?
The web has always changed quickly because that is the only way it can
survive. If you think you can write an app and let it sit there for years
you're silly.
Technology: there is no end game.
------
gfodor
My team was trying to decide what Javascript libraries to use to build our web
tier for our project. After spending a few days trying to get our heads around
the ecosystem, we just gave up and went running back to Rails. Couldn't be
happier.
~~~
pluma
What does Rails have to do with front-end SPA frameworks?
Or are you talking about node?
~~~
gfodor
Yeah we were looking into node for the server.
------
cturhan
Great article and I agree on most of the parts.
But, don't put tldr; on bottom of the article.
------
BuckRogers
I feel sorry for those stuck in web development. Native apps always were and
still are the way to go. Appstore/Play and soon Windows 10's inevitable
blastoff to mass popularity will bring a popular appstore to all 3 major
platforms.
As the article states, there was a time a few years ago that js-all-the-things
appeared interesting and unstoppable. To me it appears in 1 year when Win10
arrives, people will have better spent their time honing skills for native
apps.
Webapps as people envision them (universal applications) will die- returning
to their original intention. Document sharing and simple data
collection/retrieval.
Blame Eich and Mozilla for that. They insisted on pushing no bytecode for the
web. Wanting us to rely on Eich's JS + rest of the webstack monstrosity
requiring ugly hacks.
~~~
mappu
I don't see (comparatively) a lot of people targeting the Windows 8 app store
that's been available for 2 years already. Most Windows deployment is either
ad-hoc exe's or centrally administered msi's. What's changing with Windows 10?
~~~
BuckRogers
Win10 and it's (likely) XP/7 popularity level is a dark horse for native apps,
and looming blow for the webapp movement. Which I believe has gotten a _very_
long free-pass thanks to the most popular platform not having a cohesive
appstore ready (on a popular OS).
Win8 IMO is almost irrelevant, the marketshare isn't there to add a MS Store
option for me or many others. The corporations haven't and won't hop on.
Everyone is (IMO rightly) focused on iOS/Android/web at the moment. Agreed on
MSIs, but I'd add the customizable corporate frontend stores should be more
powerful and slick than the current method (same appstore for MS desktop and
mobile). It's possible once enterprise moves to the MS Store that MS mobile
devices make major inroads. For consumers, I think they'll rejoice at Win10,
upgrade to it and by default go to the MS Store for security reasons alone.
Not to mention auto-updates, same apps as on MS mobile etc.
I'm not pro-MS, I'm actually anti-all-for-profits and a Mozilla fanboy. I just
disagree with Eich on a bytecode for the web, he blew it as far as the web
being the prime delivery mechanism for apps is concerned. The webstack sucks,
it had to go. Too late now.
I understand my view isn't popular at the moment. Especially among webdevs who
are most likely to be reading this HN post. Those people have invested heavily
in the webapp dream with their time, skills and careers. Anything to the
contrary that it was a great idea is going to get downvoted. Regardless, I
think this is an accurate reading of the foreseeable future.
~~~
modarts
>Regardless, I think this is an accurate reading of the foreseeable future
It's not accurate at all though.
~~~
BuckRogers
Good thing we'll see if my prediction, or your non-contribution turns up
correct in the next 2 years then.
~~~
oldmanjay
Your prediction relies on a windows app store somehow making the web
irrelevant which is amazingly unlikely and counter to every trend of the last
20 years. I suspect you have some emotional investment in the Microsoft
ecosystem that is coloring your perspective.
My prediction is that your prediction is dead wrong. Nothing will stop the
web, certainly not your app store dystopia, and certainly not the way
Microsoft would run it.
~~~
BuckRogers
I never spoke in absolutes, as you are. I said it was a blow to the webapp
movement. Webapp movement defined here as a universal application deployment.
Presuming about my intentions or feelings towards the MS ecosystem is
ridiculous. I had courses on VB6 in the late 90s, that's the closest and most
exposure I've ever had to their ecosystem. I do wish I knew C# now that .Net
is merging with Mono though. I see no shame in that. I don't hate MS anymore
than I do Google, Apple, Oracle or ANY for-profit. For-profit means not-in-my-
best-interests.
"Nothing will stop the web" sounds way too much like the idiotic quote,
"always bet on JS". I'm not betting on JS with Eich, but I'm not against the
web. Certainly my HN post of what I think will happen, won't affect that
outcome.
I'm with (I believe) most everyone in supporting webapps being the universal
delivery mechanism for apps in the future. Where did I say I wasn't? I also
think there was a limited window of opportunity for this to take off. That
window roughly being 2004-2014. Today, native apps are still on top.
Webapps will continue on in some form. But with Apple and Google already
having appstores, will a popular version of Windows with an appstore be the
closing of that door? That door being defined as webapps becoming the
_dominant application delivery platform_. Yes, I think so.
But as of today, I fully believe webapps were/are hobbled during their glory
years by the webstack, the web needed a bytecode.
If someone merely looking at circumstances and speaking on them bothers you so
much, you are likely someone who speaks only to persuade others to your
viewpoint. I'm not trying to persuade you and don't care where you stand.
Frankly, I'm more than likely aligned with your views on webapps. I just
personally find the webstack inconducive with the goal.
Action needed to be taken at a high level (likely at Mozilla, to make the
webstack legacy and introduce a new bytecode standard), in a window of
opportunity while the last major player (MS) was essentially out of the
appstore business. I don't see it happening in time now. We'll see, but I
predict it is _you_ who has an emotional investment in the webstack.
------
wyclif
The State of JavaScript in 2015, Vine edition:
[https://twitter.com/jennschiffer/status/539274049273479170](https://twitter.com/jennschiffer/status/539274049273479170)
------
CmonDev
This is why nobody mainstream wants to work with web front-end. Would you be a
JavaScript MVC expert or a Java server-side expert? Think about the rate of
knowledge aging.
------
jfmercer
An altogether excellent article. You have impressed clearly and eloquently the
exact same sentiments as I have about instability of the Javascript landscape.
------
calebm
I've often found Libraries > Frameworks.
------
WhyYes
Stop doing your coding in a framework. I know coding something big in JS is
not ideal and thats why Google made Dart.
------
strickjb9
I disagree with this post. Churn is the byproduct of evolution. Libraries will
slowly die and fade away but we learn with each misstep. Sure, there is a lot
of redundancy in the work but each different library/framework/plugin/shim is
a mutation. The good ones pass down traits to future libraries.
Survival of the fittest. Churn is just necessary. The front end world is a
huge ecosystem which is constantly evolving.
------
hammadfauz
To me, it is not at all alarming. But it might be due to my inexperience in
dealing with truly huge code bases.
No matter what framework, in the end it's all JavaScript. So even if I develop
a flashy app using a nice fat framework, it is still going to run unless
JavaScript itself is changed.
That said, I can build an app in Angular today, and when something flashier
comes out, I can code new features/modules to my app using that.
~~~
AYBABTME
I think the main problem is about fixes. Invariably, something is going to go
wrong in the future with whatever framework you use. Either security related
or else. Then your version of {{framework}} won't be supported anymore and
you'll have to:
- fix it yourself
- give up: turn off your app
- ignore: let people deal with the issue/be vulnerable
If your version of {{framework}} is supported, likely all you'll have to do is
wait for a patch.
------
montecruiseto
if we're worried about this miniature explosion...just consider the supernova
that's coming when the internet of things hits the scene. Then, we will all
look back on how peaceful things were in 2014.
------
tomcam
Oh yeah, another thing happened this year. The hivemind turned its back on the
creator of JavaScript because he had a private, principled difference of
opinion that was never in the slightest reflected in his public role.
|
tomekkorbak/pile-curse-small
|
HackerNews
|
Decreased chest mobility in children with spastic cerebral palsy.
Consequences of neuromuscular impairment may lead to lung damage and reduced lung function in children with cerebral palsy (CP). The purpose of this study was to evaluate chest mobility by means of chest expansion (CE) measurements in patients with spastic CP. Chest circumference at maximal voluntary inspiration (Cinsp) and at maximal voluntary expiration (Cexpir) and CE (the difference between Cinsp and Cexpir) were measured in 56 consecutive inpatients with spastic CP and in 40 healthy children. CE was significantly decreased (p < 0.001) and Cexpir was increased (p < 0.02) in the CP group, while mean Cinsp values were not statistically different (p > 0.05). The difference between CP patients and controls with respect to CE was becoming more prominent in older children. As chest mobility is decreased in spastic CP patients, early initiation of pulmonary rehabilitation, which may improve and maintain chest mobility and respiratory function, seems reasonable in this patient group.
|
tomekkorbak/pile-curse-small
|
PubMed Abstracts
|
Q:
java.lang.RuntimeException: Unable to instantiate activity ComponentInfo / java.lang.ClassNotFoundException
I'm having this error while running on my device. I've been browsing the issue and I'm pretty sure I'm not having the same issues as mentioned. Both of my activities are declared in the AndroidManifest and the intent filter is there. I have no libraries whatsoever (except v4 support library, but declaring it doesn't change the problem). I tried replacing in my Manifest carpedujourproductions.quickpronote.MainActivity by .MainActivity but still no luck. I'm running Android Studio 0.2.5 so I couldn't find how to resolve potential issues related to Java Build Path/Order and Export
I couldn't help but noticing my MainActivity's icon in the tree had a grey cross on the upper-left corner.
Logcat:
E/AndroidRuntime: FATAL EXCEPTION: main
java.lang.RuntimeException: Unable to instantiate activity ComponentInfo{carpedujourproductions.quickpronote/carpedujourproductions.quickpronote.MainActivity}: java.lang.ClassNotFoundException: Didn't find class "carpedujourproductions.quickpronote.MainActivity" on path: DexPathList[[zip file "/data/app/carpedujourproductions.quickpronote-2.apk"],nativeLibraryDirectories=[/data/app-lib/carpedujourproductions.quickpronote-2, /vendor/lib, /system/lib]]
at android.app.ActivityThread.performLaunchActivity(ActivityThread.java:2157)
at android.app.ActivityThread.handleLaunchActivity(ActivityThread.java:2281)
at android.app.ActivityThread.access$600(ActivityThread.java:148)
at android.app.ActivityThread$H.handleMessage(ActivityThread.java:1263)
at android.os.Handler.dispatchMessage(Handler.java:99)
at android.os.Looper.loop(Looper.java:137)
at android.app.ActivityThread.main(ActivityThread.java:5124)
at java.lang.reflect.Method.invokeNative(Native Method)
at java.lang.reflect.Method.invoke(Method.java:525)
at com.android.internal.os.ZygoteInit$MethodAndArgsCaller.run(ZygoteInit.java:737)
at com.android.internal.os.ZygoteInit.main(ZygoteInit.java:553)
at de.robv.android.xposed.XposedBridge.main(XposedBridge.java:110)
at dalvik.system.NativeStart.main(Native Method)
Caused by: java.lang.ClassNotFoundException: Didn't find class "carpedujourproductions.quickpronote.MainActivity" on path: DexPathList[[zip file "/data/app/carpedujourproductions.quickpronote-2.apk"],nativeLibraryDirectories=[/data/app-lib/carpedujourproductions.quickpronote-2, /vendor/lib, /system/lib]]
at dalvik.system.BaseDexClassLoader.findClass(BaseDexClassLoader.java:53)
at java.lang.ClassLoader.loadClass(ClassLoader.java:501)
at java.lang.ClassLoader.loadClass(ClassLoader.java:461)
at android.app.Instrumentation.newActivity(Instrumentation.java:1061)
at android.app.ActivityThread.performLaunchActivity(ActivityThread.java:2148)
... 12 more
Feel free to browse through the code here for AndroidManifest, MainActivity.java, FirstRun.java, etc.
A:
Your MainActivity.java is excluded from compile, so this class isn't included in .apk. Remove line:
<file url="file://$PROJECT_DIR$/src/carpedujourproductions/quickpronote/MainActivity.java" />
from the excludeFromCompile section of the .idea/compiler.xml file (or you can do this from IDE settings).
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tomekkorbak/pile-curse-small
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StackExchange
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So it's gonna be a hell of a long-ass post, as I really need to share with y'all the awesomeness of this mother fucking exchange! This whole thing is rated R as well, with lots of swearing, so brace yourselves!
So my amazing Santa warned me that I was going to drown in some kind of candy shower, and I gotta say I was not disappointed!
I tracked the goddamn boxes for over a week on USPS, as excited as a teenage boy before losing his virginity, and on Saturday morning, the depressed and cunting twat of a delivery guy finally showed up!
T'was 2 heavy boxes, obviously shipped upside down when it clearly fucking stated "THIS SIDE UP YOU MORON" ('can't blame him tho, he's French, but still)!
I stared, standing still, completely flabbergasted, for minutes, feeling the climax coming, not even daring to open the packages.
The first one had an enveloppe, telling me to "read it first", and I did. Then I proceeded.
HOLY CRAP ON A CRACKER, the first box was filled with a bunch of snacks from Southern 'Murica, and each of the items had a post-it with a funny message (I'll get back to them below)!
After reading everything, and pissing myself (Good Lord E., you're the funniest lil' shit I've ever met!), I then proceeded to open the second box.
JESUS FUCKING CHRIST! Moar candy! Moar snacks! Even alcohoool!! Did I mention fookin' alcohol?!
So here's the complete list for you guys: - Candy: Pixy Stix, Crush Orange, Andes, Warheads, Werther's Original, Laffy Taffy, Mary Jane, Hot Tamales, Twizzlers, Charleston Chews, Milka Oreo, Baby Bottle Pop, Lemonhead, Dots and Chick-O-Sticks, - Salty snacks: Hot Fries, Brim's, Planters, David's Sunflower Seeds, Corn Nuts, Boiled Peanuts, Vienna Sausages, Slim Jim, - Sweet snacks: Cracker Jack, Moon Pie, Lucky Charms (aka Marshmallow Matty's) - Drinks: Yoo-hoo, Milo's, Coke and JACK DANIELS!!
And the snack award goes to (Leo, gtfo, I didn't say Oscar):
Original Lemonhead, with that Oprah-y message that made me cry! (see picture),
Oreo flavored Milka candy bar, 'cause I swear I will savor it! (see picture),
Those badass Lucky Charms, I've been dying to eat some since I left the US years go (see picture). Plus, I love the tagline "Love me or I'm free", I wish more prostitutes would go by that line lol...
I can't thank my unimaginable bastard of a Santa enough! May she be blessed by the Ancient Gods!! And long live Reddit Gifts!
For now, I gotta go. My people need me, and it is time to get drunk while filling my belly with those delicious treats. And hookers too!
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tomekkorbak/pile-curse-small
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OpenWebText2
|
Survivor
Last night’s Survivor gave us a peek into a changing, slightly crazier Coach, who we are sure to see more of in upcoming episodes. The duel pitted friend against friend, and the immunity challenge was just a whole lot of gross, gagging nastiness.
Stacey joins her biffle Christine on Redemption Island. Stacey relays to Christine all the lying and drama that has been going on with the Upolu. She tells Christine that Coach is the ring-leader (and the pot stirrer), and that all the people in the blue tribe are heading to hell wearing gasoline drawers. If Stacey ever gets tired of being a mortician, she can take her one-liners on the road.
Last night’s Survivor was very cut-throat. As usual, Brandon does a lot of repenting, Dawn does a little ass kicking to win immunity for her tribe, and Cochran and Marijuana Jim devise a plan to disrupt Team Pretty. I am loving Savaii this season. Is it just me, or is the Upolu just a bunch of Shady McShadersons?
The episode begins with Ozzy and Elyse getting cozy on a hammock. Marijuana Jim is getting jealous nervous that their bond may be tighter than his is with Ozzy. He’s worried Ozzy is morphing into Rob Mariano. MJ quickly realizes that Elyse has to go before they become a power couple. Has someone been smoking dope watching Bachelor Pad? Marijuana Jim finds a quick ally in Cochran, as it buys him more time to prove himself.
Over at Upolu, Brandon Hantz Crazy Pants is apologizing to Mikayla for gravitating towards untruth. He next approaches Edna to repent for his lying and to casually mention that Edna is not a member of the main alliance like she thought she was. I couldn’t tell if it was a strategic move on Brandon’s part or inadvertent slip-up. You never can tell with that sneaky BHCP.
Last night’s Survivor: South Pacific began with Christine joining Semhar on Redemption Island. She’s down, but not out, and both women are confident about their potential second chance after the duel.
At Upolu, Mikayla tells Coach she was blindsided by Brandon, and guess who just happens to interrupt their conversation? Why it’s mini-Russell Hantz himself! I assume that he is going to apologize to Mikayla for his lies, but instead he opts for a side hug from Coach. Brandon never planned to come on the show and play the game like his uncle. He wanted to be a hero not a villain. Oops!
The Upolu tribe receives two invitations to attend the duel. Coach requests to go, and Stacey wants to join him. Ozzy and Elyse are the witnesses from tribe Savaii. During her week on Redemption Island, Semhar has found time to braid her hair. I almost didn’t recognize her. Right away, Christine tells Jeff Probst she was voted off the main island because of Coach’s disdain for her (true) after she called him a temporary player.
Last night’s Survivor: South Pacific had the blue Upolus scheming, leading each of them to wonder which tribe mates they should trust, while the red Savaiis welcomed Cochran…but for how long?
Semhar is the first castaway sent to Redemption Island and is overly emotional as she awaits the arrival of the next cast off from the main island. Fear not, she chooses to combat her feelings of negativity by channeling her inner Maya Angelou.
On the main island, at the Savaii camp, Cochran is thanking his lucky stars he didn’t get his torch snuffed and is thanking his teammates. He promises he’ll prove them he’s a worthy ally. Ozzy identifies with his passion but needs to see some getupandgo from the little guy. Keith is finally getting some air time, both befriending and questioning Ozzy.
Day four at the Upolu has Coach telling Edna he feels like he started on the outside. He asks Edna who has the immunity idol. As there has been no obvious digging, she is concerned it’s already been found. Edna is worried that she may be the first voted out of her tribe, so she strategically aligns herself with the pro.
Last night the ninety minute premiere of Survivor: South Pacific aired on CBS. Two former Survivor staples and two-time previous game players Ozzy Lusth and Coach Wade are back to square off with the newbie castaways on an episode aptly titled “I Need Redemption.”
Right off the bat, we meet John “Cochran” Cochran who has watched every season of the show, and even wrote a prize winning paper on it while in law school at Harvard. Native American Elyse isn’t much into the outdoors, but she’s hoping her heritage will work to her advantage, and then there’s Rick a rancher from the Midwest. Stacey is a funeral director and mortician who promises to be nosy and while pretending to play nice. Russell Hantz’s (a former Survivor with multiple games under his belt) nephew Brandon likens himself to Hitler’s nephew and vows to change the perception of his family’s name. Maybe not the most accurate of comparisons, but he doesn’t want his fellow castaways to know that he shares the blood of a Survivor competitor who wouldn’t have won any popularity contests.
Think you could survive another season of competition and deprivation in the wild? CBS hopes so! Survivor: South Pacific is returning for its 23rd season!
The drama begins in Samoa, as the 18 castaways are divided into two teams, the Savaii Tribe and the Upolu Tribe, both named for Samoan islands. The cast will include 16 Survivor novices and two former castaways back for revenge, another chance at famewhoring, and a million dollars.
This isn’t the first time CBS has employed this trick, as Season 21, Redemption Island mixed in two experts with the pack of amateurs castaways. Even though several of the cast members are first timers on Survivor, many have “experience” with reality tv – and you know what that means: they know how to cause D-R-A-M-A!
CBS has released the names of the 16 newbies this week and plans to release the names of the final 2 contestants later in the week. No ideas yet of who it could be! I’m hoping for Richard Hatch, if he’s not back in prison! Also one of the new contestants, 19-year-old Brandon Hance, is actually the nephew of villain Russell Hantz!
Borrowing another twist from Redemption Island, the eliminated castaways aren’t immediately vanquished, but instead go to “Redemption Island” (the place, not the season) where he or she will face off against the next person eliminated by Tribal Council. The loser of the duel will then be sent home, while the winner remains in the game until the next person voted off arrives, where the cycle begins anew until ONE eliminatee, referred to as the Sole Survivor, is left standing. The Sole Survivor will then return to the game to compete for the million dollars. I guess, no one is truly safe in this edition!
The 90 minute season premiere airs Sept. 14 8/9c on CBS. The cast bios and photos for the 16 new contestants are below!
UPDATE – Ben “Coach” Wade and Oscar “Ozzy” Lusth are rumored to be the two returning cast members.
The game began with the final and very anti-climatic Redemption Island challenge. Playing for an opportunity to be voted off again by Rob Mariano were his zombies Andrea, Matt, and Grant alongside Mike. Andrea made it very clear going into the game that she was the “under under dog” so of course the challenge was one that was geared for her she was able to win. It was a challenge which required balance, and after Grant, Matt, and Mike lost balance in that order, Andrea won her shot back into the game.
While it seemed like the perfect opportunity for Rob’s groupies Ashley and Natalie to team up with Andrea and vote off Rob one of the men, they simply failed to use their brains as Rob was able to convince them, quite easily, to vote off Andrea. Rob was so confident in his mind control over his cult members that he even contemplated not playing his idol. Ultimately he did though he didn’t need to as the others voted off Andrea.
The next to last episode of this season’s Survivor: Redemption Island begins with Ashley relishing in the blindside the Ometepe served fellow tribe member Andrea. Meanwhile, once the newest cast-off arrives on Redemption Island, Andrea somehow tries to gain sympathy for her recent betrayal while blaming Matt for her decision to vote against him. Needless to say, Andrea is getting zero love from the folks she has sent to Redemption Island before her.
The duel among the Redemption Island crew involves navigating a handle through a long maze of tiles (similar to a Cracker Barrel game, if I recall) and then completing a puzzle at the end. Ralph starts off strong and is the first to finish the maze. GO RALPH! Andrea is so far behind on the maze, mumbling and grumbling the entire time. Much like with past duels, Mike wins, with Matt a close second. Fortunately for Andrea (and unfortunately for me), Ralph can’t get the puzzle together and is sent to the jury.
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tomekkorbak/pile-curse-small
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Pile-CC
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Kiverte a biztosítékot Mága Zoltán 350 milliós kormányzati kistafírozása a kultúrelit hagyományosan jobbosnak tartott tagjainál is – a Válasz Online érdeklődésére nemcsak Horváth László Fonó-igazgató, de Agócs Gergely és a Csík Zenekar prímása is nemtetszésének ad hangot. S hogy miért most? Mi változott az egyébként sok-sok éve sztárolt hegedűssel kapcsolatban? Cikkünkből kiderül. Ahogy az is, mely fontos szereplőnek nincs baja a Mága-döntéssel, s miért nem valószínű, hogy a kormányzati kultúrdöntnökök bármilyen értékalapú érvelés hatására leszállnának a Mága-vonatról.
Október végén telt be a pohár. Az utolsó csepp a határon túl pottyant bele, de akkor aztán kicsordult az abban rég gyűlő méreg. „Mága Zoltán pont olyan vírus a magyarság kulturális térképén, mint anno a 3+2 együttes volt” – írták közleményben a vajdasági A Dombos Fest alapítói, közölve: küzdeni fognak az ellen, hogy Mága visszatérjen a Vajdaságba. Fesztiváljukkal ugyanis 20 éve azért harcolnak, „hogy a vajdasági magyaroknak ne a lakodalmas rock legyen az identitásuk”.
A történet önmagában lehetne a szűkös vajdasági magyar kultúrtér helyi érdekű torzsalkodása, ám ennél jóval többről van szó. „Talán annak is ideje van, hogy ezt az őt útra indítók is észrevegyék…” – zárul a Dombos-alapítók Mága-ügyi közleménye, amely tehát már kifejezetten a magyar kormány kultúrdöntnökeinek szól.
Hogy utóbbiak épp most lettek címzettek és felelősök az eddig legfeljebb a rendszer hibakódjaként kezelt Mága-jelenséggel kapcsolatban, annak oka elég egyértelmű. Noha a Dombos-alapító, szintén vajdasági, ám főként a Fonó Budai Zeneház vezetőjeként ismert Horváth László már négy éve is beszélt a Heti Válaszban arról, hogy „bármelyik színháznak jár több százmillió forint, sőt még Havasi és Mága Zoltán koncertjeire is elmegy ennyi közpénz, nekünk pedig ebben az évben például 14 millió forint jutott”, a tao-rendszer fennállásáig legfeljebb az egyébként még szocialista időkben bevezetett szisztémát lehetett hibáztatni. Az egy éve eltörölt szabály szerint ugyanis nagy cégek úszhatták meg a társaságiadó-fizetést, ha az összeget kulturális célokra fordították. Ez aztán a visszaélések melegágya lett.
Elterjedt például a „vattázás”: megérte ingyenesen osztogatni a jegyeket, minél nagyobb árat nyomtatva rájuk. A jegyár 27 százalékát be kellett ugyan fizetni áfaként, ám 80 százalékát lehetett visszakapni a társaságiadó-felajánlásokból. Tuti üzlet volt megtölteni mondjuk az Arénát akkor is, ha a 12 ezer nézőből csak kétezer fizetett valóban a jegyért. Bár Mága Zoltán célzottan is kapott közpénzt az elmúlt öt-hat évben, a tao-rendszer nagy kedvezményezettje lett, milliárdokra szert téve. (A hegedűsre ömlő taós és célzott közpénzesőt a 444 vette górcső alá. Akit részletesen érdekelnek az összegek, itt megtalálja őket).
hirdetés
A tao eltörlésének indoka elvileg éppen a visszaélések kiszűrése, valamint az értékes produkciók támogatása volt. „Az előadó-művészeti szervezetek támogatása a jövőben kontrollált direkt elosztás útján, valós teljesítmények és értékek mentén, a költségvetési előirányzat terhére valósul majd meg, garantálva a magyar előadó-művészeti élet minőségi, kontrollálható és hosszú távú fenntarthatóságát. Az új rendszertől elvárt cél az átláthatóság, ellenőrizhetőség és esélyegyenlőség javítása, valamint a kulturális közfeladatok hatékonyabb ellátása” – fogalmazott az Emberi Erőforrások Minisztériuma a 24.hu érdeklődésére.
A „valós teljesítmények” és értékek hangzatos jelszava a valóságban aztán Mága Zoltán idei 350 milliós támogatásában öltött testet – azaz a hegedűs lett az átalakítás legnagyobb egyszemélyi nyertese.
Miközben olyan játszóhelyek, mint a Zeneakadémia, csak töredékét kapták a tao-kompenzációra benyújtott kérelmüknek – nagyjából tizedannyi pénzt, mint Mága.
„Most például a templomokat rohanta le”
„Valóban ezért alakult át a rendszer? Ettől most jobb lett?” – teszi fel a költői kérdést Horváth László. A Fonó vezetője szerint Mága Zoltán kiszabadította magát a Moulin Rouge kötelékéből, és most már úgy gondolja, az a muníció, bájalgás, amivel ott célba ért, mindenhol érvényes. „Most például a templomokat rohanta le, olyan programot képviselve, amelyeknek köze nincs a szakralitáshoz. Tette ezt úgy a Délvidéken, hogy a helyi pártirodában osztogatták a belépőket az arra érdemeseknek, aztán meg már azt hazudták a délvidéki magyaroknak, hogy íme, az identitásunk része. Ez az árukapcsolás, az állami mecenatúra, a párt által delegált közönség, a templomokat megcsúfoló, szakralitást nélkülöző produkció… mindez adományozó, jótékonykodó üzenetként megfogalmazva egyszerűen felháborító.”
A Válasz Online szerette volna leültetni egy vitára Horváthtal Mága Zoltánt már a Dombos Fest-közlemény után, a hegedűs megkeresésünket azonban azzal hárította el, hogy „a Vajdaságban tartott 20 állomásos koncertkörutam kapcsán semmilyen vitáról nincs tudomásom”, ő csak szeretetteljes fogadtatást tapasztalt, ráadásul nem érti, miért gondoljuk, hogy neki bárkivel is vitáznia kellene a magyar kultúra állapotáról, jelenéről, hiszen „sem intézményvezető, sem lemezkiadó cég vezetője, sem kulturális területen tevékenykedő politikus, vagy a témában kutató szakember, antropológus nem vagyok”.
Pedig korántsem Horváth magánakciójáról van szó a Mága-jelenség bírálatakor. A hegedűs immár nyílt állami kistafírozása ellen balliberális elhajlással korántsem vádolható kulturális szereplők sora kelt ki érdeklődésünkre – többen névvel, arccal.
„Komolyzenének komolytalan” – Vass András, a Pannon Filharmonikusok karmesterének Mága-ügyi „szakvéleménye”
Mága Zoltán zenei teljesítményének megítélése jelentősen megosztja a magyar társadalmat. A mi szakmánk is megosztott, eddigi tapasztalataim szerint többségben vannak a „komolyzenészek” közt azok, akik negatívan ítélik meg tevékenységét. Ha jellemzően piaci alapon, magáncégek önkéntes támogatásával hozná létre a kétségtelenül látványos produkcióit, akkor ugyanúgy elkönyvelhető lenne, mint bármely más könnyű- vagy világzenei együttes, amely ilyen keretek közt éli az életét. Az erőteljes állami szerepvállalás azonban komoly értékválasztási problémákat vet föl. A kárpát-medencei magyarság és a velünk itt lakó nemzetek népzenéje világszinten is egyedülálló és felbecsülhetetlen értéket jelent, óriási potenciállal bíró szellemi forrást és kiváló kulturális exportterméket is. Ennek igen értékes része az autentikus cigányzene, amelynek – bár fogyatkozó számban – ma is vannak kiváló képviselői. Ugyanígy: a Hubay Jenő, Székely Zoltán, Zathureczky Ede, Kovács Dénes és mások által jegyzett magyar hegedűiskola a kezdetektől máig világhírű és világszínvonalú hegedűsökkel ajándékoz meg mindannyiunkat. Bartók Béla és Kodály Zoltán nemcsak a népzenekutatás területén alkotott maradandót, hanem a komolyzene oktatásában, a zenepedagógiában, a klasszikus- és komolyzene értelmezésében és előadói gyakorlatában is olyan szakmai és morális elveket fektettek le Weiner Leóval karöltve, melyek máig iránytűként szolgálnak minden szakmáját komolyan művelni kívánó muzsikus számára. Ezeket figyelembe véve éltek és alkottak a XX. század legnagyobb magyar muzsikusai Solti Györgytől kezdve Végh Sándoron keresztül Kocsis Zoltánig. Véleményem szerint ebbe az értékrendszerbe nem fér bele az, amit a Mága Zoltán által jegyzett koncerteken láthatunk, hallhatunk: népzenének nem autentikus, világzenének nem elég színvonalas, komolyzenének komolytalan.
A Hagyományok Háza tudományos munkatársa, a zenész és népzenekutató Agócs Gergely szerint például Mága Zoltán előadói ténykedése a show-business működésének keretében értelmezhető, s úgy kétségtelenül sikeres. Persze fogas kérdés, mi a különbség a művészet és a szórakoztatóipar között. Hol húzható meg a határ? „René Berger a Festészet felfedezése című művében úgy fogalmaz, hogy a művészet mindig eszméltetni akar. A festészetet ez különbözteti meg a giccstől, mely a kápráztatásra, a bódításra törekszik. Nagyapáink egy találó magyar kifejezéssel ezt nevezték szemfényvesztésnek. Mága célja sem más, mint a kápráztatás, az andalítás, az illúziókeltés” – véli Agócs, aki érdeklődésünkre röviden vázolja is, hogy Mága szerinte miért fontos az amúgy értékekre hivatkozó magyar politikának. Az okfejtés szerint a fogyasztói fordulatot követően a magyarok lakta országokban is kialakult tömegtársadalmak igényei nemcsak a gazdaságot és a politikát, de a kulturális életet is átformálták: a társadalom zenei kultúrája a saját kifejezőeszközei aktív használatától két-három emberöltő alatt eljutott a mások által legyártott kulturális termékcsomagok passzív fogyasztásához. E csomagok gyártóinak sikere nem a művészi mondanivaló csiszoltságán vagy az alkotói invenció ihletettségén múlik. Az ő sikerük záloga a jól megválasztott pr-stratégia.
hirdetés
Az eladott jegyek száma ma szinte kizárólag a plakátméret-, és mennyiség függvénye. Aki ezen a szinten sikeres, akinek megfelelően sok követője van a világhálón, aki megtölti a legnagyobb csarnokokat, annak előbb-utóbb lesznek politikus barátai. A politikának ugyanis tömegbázisra van szüksége, ezért behálózza a népszerű embereket. „Ezzel nem lenne semmi gond” – veti közbe Agócs, aki szerint azonban a jelenség új mozzanata, hogy a hatalom a szórakoztatóipar szereplőit megpróbálja a magasba emelve, „mondanivaló-szinten” is legitimálni. „Így kerülhetett Mága Zoltán egy magas beosztású vajdasági magyar döntéshozó érvelésébe, aki szerint a hegedű hibátlan fogsorú mestere azért koncertezett az ott élő magyarok településein, hogy erősítse identitásukat.” Amíg Mága „a revü szemfényvesztő világát” képviseli, nem lenne vele dolga Agócsnak, a Dombos Fest létrehozóinak nyilatkozatával viszont a fenti új mozzanat miatt messzemenően egyetért. „Ők ugyanis arra hívják fel a figyelmet, hogy ma a silány szórakoztatóipar, a show-business vegytisztán profitorientált teljesítményei helyet követelnek maguknak a magas esztétikai értékkel jellemezhető, valódi identitásképző alkotásoknak fenntartott művészeti felületeken.”
A politikának ugyanis tömegbázisra van szüksége
Szabó Attila is hasonlóan látja az ügyet. A Csík Zenekar prímása és gitárosa pedig nem a „folkrendőrség” tagja: főként neki köszönhető, hogy a Csík népzenésíteni kezdett ismert slágereket (Most múlik pontosan…), autentikusság és kortárs gesztusok tehát egyszerre jellemzik. Szabó politikailag sem mondható ellenzéki elhajlónak: Egerben a legutóbbi időkig a kulturális bizottság tagja volt, régóta remek kapcsolatot ápol a térség fideszes országgyűlési képviselőjével, Nyitrai Zsolttal, ahogy az eddigi polgármester Habis Lászlóval is. Utóbbi rossz lóra tett, ha azt hitte, Mágával megnyerhető az önkormányzati választás: bár a hegedűs náluk is megfordult a kampányban, Habis kikapott.
Noha a művészeti életben mendemondák sora kering arról, ki játssza fel stúdióban Mága hegedűszólamait, a Válasz Online kérdésére Szabó elmondja: nem hegedűkezelési technikájával van gond, sőt nem is Mágával. Hanem a mértékkel. „Adna az állam 5-10 milliót támogatásként, a többit pedig teremtse meg piaci alapon – ezzel nem volna semmi baj. Azzal, hogy ő a tao-kompenzáció legnagyobb nyertese, már van probléma.” Ahogy azzal is, amikor a busás támogatásoknak köszönhetően ő jut olyan helyzetbe, hogy százmillióknak ő jelenítse meg a magyar kultúrát: mondjuk az amerikai tévében, a PBS-en, amely 120 millió embernek vetítette Mága műsorát. „Bartók és Kodály, e két zseni országa válik operettországgá” – mondja Szabó, hozzátéve: nem Lehárral van baja természetesen. Értjük. Merthogy az Állami Népi Együttestől kezdve a Dunán át a Jászság Népi Együttesig van egy sor társulat, amely egyébként valóságosan magyar kultúrát közvetít, ráadásul nem is sikertelenül – utóbbi például Mexikóban turnézott idén.
„A népzene az egyik legjobb exporttermékünk, már ezért sem Mága Zoltánt kellene külföldön népszerűsítenünk. Lehet, hogy ő a Carnegie Hallt is ki tudja bérelni, de elfogadhatatlannak tartom, hogy a magyar kulturális elit kamuművészeket futtat külföldön. Ez a teljes hazai kulturális piac megalázása” – fogalmazza meg ugyanezt a szempontot határozottabban már idézett Horváth László.
Los Angeles-i kultúraközvetítés
„Nem értek egyet” – ezt már Demeter Szilárd mondja érdeklődésünkre. A Petőfi Irodalmi Múzeum vezetőjének véleményére nemcsak azért voltunk kíváncsiak, mert a belmagyar Szabó, a Vajdaságot „képviselő” Horváth és a felvidéki Agócs mellett szükségünk volt egy székely megszólalóra is – Demeter az elmúlt években a miniszterelnökkel közeli munkakapcsolatba került, és a kultúrirányítás egyik legbefolyásosabb szereplője lett. „Szerény véleményem szerint a magyar kulturális identitás része a szórakoztatóipar is. Ezt lehet tagadni elitpozícióból, ettől még tény. Ráadásul ezek a viták ízlésviták, tehát eldönthetetlenek” – védi meg érdeklődésünkre a kormányzat Mága-döntését Demeter, mégpedig a társadalmi hasznosság alapján. „Mentek-e a Mága-koncertek miatt többen templomba, olyanok, akik egyébként nem járnak oda? Kapott-e a délvidéki magyar közösség olyan többletet ezáltal, amitől kicsit jobban érezte magát magyarként a szülőföldjén? Ha a válasz igen – és sejtésem szerint igen –, akkor részemről virágozzék minden virág.”
Demeternek azzal sincs gondja, ha a Mága-féle kultúrfauna közpénzből burjánzik bele olyan terekbe, amelyekbe eddig autentikus vagy kortárs művészetet igyekeztek eljuttatni. „A Csoóri Alapban évente mintegy 3 milliárd forint van a magyar népi kultúra megerősítésére. Pál István Szalonna szerint soha ennyi pénzt még nem fordítottak erre a területre. Ugyanígy a magyar kultúra egészére is rengeteg pénzt fordít a kormány. Nem másoktól veszi el” – érvel Demeter.
×××
A másoktól való elvétel témaköre ugyanakkor hetek óta izgalomban tartja a kulturális életet.
Több szereplő számolt be lapunknak egy tervezetről, amely szerint a Nemzeti Kulturális Alapnak befellegzett.
A pályázatain évente szétosztott cirka 5 milliárd forintot a szóbeszéd szerint a jövőben egy törvénymódosítással már a nagy, kiemelt intézmények vezetői dobnák szét. Többek között Demeter Szilárd is. A részletekről későbbre remélünk tájékoztatást, egyelőre számunkra sem világos, melléküzemágban mégis hogyan lenne képes évi 12 ezer pályázatot véleményezni ő, vagy mondjuk Vidnyánszky Attila, a Nemzeti Színház igazgatója – a templomtorony-aládúcolástól a könnyűzenei támogatásokig mindent.
Arra azonban következtethetünk az átalakulás irányából, hogy táboron belüli értékalapú felhorgadások ide vagy oda, sok évig mosolyoghat még ránk hatalmas plakátokról az a hibátlan fogsor, újévi koncertjét hirdetve – a kormányzati fontos emberek ugyanis nemigen terveznek leszállni a Mága-vonatról.
Fotók: Magazoltan.com
Ez a cikk olvasóink támogatása nélkül nem készülhetett volna el. Ha fontosnak tartja munkánkat, kérjük, legyen „előfizetőnk” akár már havi 1700 forintért, és csatlakozzon hozzánk a Facebookon!
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Seasonal dynamics of Ixodes ricinus in a 3-year period in northern Spain: first survey on the presence of tick-borne encephalitis virus.
No cases of tick-borne encephalitis (TBE) in humans have ever been diagnosed in Spain. However, it is not clear if the necessary conditions for TBE virus (TBEV) persistence and transmission exist there, particularly synchrony in larval and nymphal activity, which has been related to the appearance of TBE in several countries. This synchrony allows ticks to cofeed on the same rodent host, facilitating transmission of TBEV between tick stages. From March 2006 to October 2008, 182 tick samplings were carried out on a monthly basis in six field sites in northern Spain using the blanket dragging technique. A total of 964 tick adults, 10,117 nymphs, and 73,534 larvae were counted. Ixodes ricinus was the predominant tick species. More number of adults, nymphs, and larvae were captured during the first year (2006) compared with the second or third years (p<0.05). Adults and nymphs were more active between April and June, whereas the peak of larvae appeared between May and September. Good synchrony between larvae and nymphs was observed only in two sampling sites, where mean maximum temperatures were below 10 °C from November 2006 to March 2007, but this synchrony was not maintained during the third year. Significant associations were found between abundance of I. ricinus larvae and temperature. Presence of TBEV was investigated by real-time reverse transcriptase polymerase chain reaction in 1800 nymphs analyzed in pools of 5 and in 630 adults processed individually, and all of them were negative. We therefore concluded that TBEV prevalence is either very low or absent in the investigated regions in northern Spain and current conditions there do not seem to favor TBEV maintenance. However, active and extensive surveillance based on epidemiological data collection, including data on changes in livestock, temporal fluctuations in density of small mammals, as well as tick seasonal population dynamics, is indispensable to predict the appearance of new TBE foci and recommend preventive measures.
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Over at College Insurrection , Professor Jacobson explains why men are staying away from the college campus:
The media often wonders why young men are staying away from universities and colleges. Perhaps the hostile environment on campuses is part of the reason. Universities, protected by law and compelled by a directive from the Obama Department of Education, have established a kangaroo campus court system in which young men regularly face life-changing quasi-judicial proceedings based on accusations of sexual misconduct at which they have little due process protection. At College Insurrection we highlighted one such case at Brown University, University without shame: How Brown betrayed one of its students. But these cases take place regularly as documented by The FIRE organization.
Jacobson makes a good point: “On campuses, there is a very real war on men, but few seem to care.”
This is an important point that needs to be explored. Men on campus are afraid to speak up and with good reason. Even Warren Farrell, author of The Myth of Male Power was stifled by radical feminists at the University of Toronto when trying to talk about men’s rights.
When I was speaking to men about college for my book, I found that many did not want their names used and were afraid that there would be repercussions if their identity was known. I use the word afraid because that is what it is. Men don’t want to think of themselves as fearful, many deny that anything is happening and don’t feel the need to fight back. Instead, they stick their head in the sand and call this “bravery” or “not wanting to seem like a victim.” But they are victims of kangaroo courts and angry feminists regardless of their denial.
The discrimination will continue because there is no push back. If 5-10 percent of men fought back, stood up and started realizing that men’s rights are human rights and that they are not victims for daring to believe that their voices in gender and reproductive equality are just as important as a woman’s is, then maybe things will start to change. Until then, the kangaroo courts and angry feminists will have their day.
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Chemical engineering of Mycobacterium tuberculosis dodecin hybrids.
The suitability for chemical engineering of the highly symmetrical Mycobacterium tuberculosis dodecin was investigated, its inner cavity providing a large compartment shields introduced compounds from bulk solvent. Hybrids were obtained by S-alkylation of cysteine mutants and characterized by spectroscopic methods, including the crystal structures of wild type and biohybrid dodecins.
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MY FIRST JOB after graduating from college was at a chain bookstore in a shopping mall. There were many silly regulations that employees there only followed when the boss was around. One in particular involved a procedure for closing the store down at the end of the day. The door was built in four sections that slid on a rail because the entrance was so wide. According to the employee handbook, one had to close a section, wait 45 seconds, then close another section, wait another 45 seconds, and so on — presumably to give lingering yet unseen customers the chance to get out. Of course, no one followed this rule. Not even the boss: we all just closed up as fast as we could and went home. That is, no one followed the rule except for Tim. He would stand in front of the store, empty of customers, looking at his watch, waiting for his second hand to count down each 45-second interval before moving on to close the next section of the door. Tim was great, but this habit of following the rules, regardless of the context, drove everyone crazy. He made me wonder: what if all the employees followed all of the rules, to the absolute letter, all of the time? Would anything ever get done? In some ways, to do so would have brought the whole bookstore to a grinding halt.
Without knowing it, my coworker was an early adopter of a philosophical movement just now gaining popularity: accelerationism. Both the June 2013 issue of e-flux (edited by Gean Moreno) and the Acceleration Symposium held in December of the same year (organized by Armen Avanessian and Mateo Pasquinelli) functioned as early collocations of the movement. The basic idea of accelerationism is that the best way to carve out alternatives to a dominant system is by speeding up the system’s own mechanisms. For example, one strategy for challenging, say, consumerism, is to become such a perfect consumer that you end up demonstrating how unattractive consumerism actually is. In a way, this is what Tim did, though unintentionally: he found a way to use the rules of a system against the system itself, although he did it in a way more similar to the work-stoppage practices of the Autonomia movement (Antonio Negri and Paolo Virno) rather than the speeding-up of acceleration.
Benjamin Noys, one of the main figures of accelerationism, delivers an excellent and fast-paced 100-page introduction to the topic in his new book Malign Velocities: Accelerationism and Capitalism. While books such as the #Accelerate Reader and Nick Srnicek and Alex Williams’s accelerationist manifesto are also key texts, the strength of Noys’s book lies not only in how he provides an overview of past figures and movements from which accelerationism sprang (Nietzsche, communism, Detroit techno, cyberpunk), but also in his discussion of some of the limits and challenges to the movement. Typically for Noys, the book covers a wide range of topics, from high-frequency trading to literature and social politics, and it sounds more like a warning against immersing one’s self in accelerationism than any kind of manifesto for it — and Noys appears to be aware of this. Indeed, this turns out to actually be a good thing, because the argument for accelerationism becomes stronger the more Noys teases out the problems of many of its accepted notions. “Accelerate accelerationism” appears to have been something like the motto underlying this book.
One of the strongest aspects of Noys’s work in general, and this book in particular, is that its form is a key presentation of its content. Accelerationism is at its best when it ebbs and flows. This is because accelerationism has a tendency to become too smoothly integrated into the system it is trying to dismantle. In the example used above, my coworker Tim’s over-attention to the rules needs to keep pissing off the bosses, otherwise he will become one. Thus a kind of negation is a key element in order to protect accelerationism from falling into an affirmationist fantasy, although this negativity also needs to be kept in check. In this sense the ebb and flow of Malign Velocities is much closer to that of the definition of acceleration in the realm of physics: a change of velocity in any direction whatsoever, rather than just an increase in forward motion.
Yet the core of most notions of accelerationism is actually a kind of going forward. Accelerationism is always, in the words of the Marquis de Sade, “One More Effort.” This sense of “more” is essential because it is what gives the movement its critical edge, meaning its potential to create potential. As Noys says, “Instead of rejecting the increasing tempo of capitalist production [accelerationists] argue that we should embrace and accelerate it. We haven’t seen anything yet as regards what speed can do.” What speed can do is make “much too much” of the dominant ideology of our time: Capitalism. “The only way out of capitalism is to take it further, to follow its lines of flight or deterritorialization to the absolute end, to speed-up beyond the limits of production and so to rupture the limit of capital itself.” Here Noys is using some terminology from one of his main influences, Gilles Deleuze, and repurposing it in order to start defining “what speed can do” to capitalism. For Deleuze, both “lines of flight” and “deterritorialization” indicate acts of diverging from a set path, like water leaking from a pipe, or a plastic cup melting into a puddle. In these examples, both leaking and melting indicate certain forces for escaping set paths: the water from the pipe and the plastic from the shape of a cup. Noys aims to add “speeding up” to the list, and to show how it can provide an escape from capitalism in particular.
In the above quote Noys says that speeding up can do two things: go “beyond the limits of production” and “rupture the limit of capital itself.” Both of these are quite large claims, and Noys aims to stand up to the challenge of developing them both in much of their complicated capacity.
“Going beyond the limits of production” means something quite specific for Noys: creating a relationship between human and machine which results in a level of production so high that “lines of flight” develop away from being chained to a factory floor. This “reintegrating labor into the machine” which “might at once save and transcend the laboring body” carries its own problems, however, for the speeding up of labor might simply lead to trapping humans into an inhuman pace. Yet this potential for danger is not a negative aspect of accelerationism. Rather, it shows how accelerationism best functions not as a tool for generating actual lines of flight, but as a technique for analyzing when and where these lines fray. This is why Steven Shaviro can claim in Post Cinematic Affect that accelerationism has heuristic rather than political validity.
A quite different assessment of this “danger” emerges from a close reading of an earlier use of the term “accelerationism,” in Roger Zelazny’s 1967 Hugo Award-winning science fiction novel Lord of Light. The novel is perhaps best known today because an unproduced screenplay based on it was the real-life ploy used in the Iranian hostage story on which Ben Affleck based his film Argo (2012). While Noys allows a bit of space for Zelazny (“It turns out that term occurs in Roger Zelazny’s sci-fi novel Lord of Light (1967), which I’d read. The unconscious, as usual, works in mysterious ways”), he never engages with it in the way he does other pieces of fiction, such as Thomas Pynchon’s Gravity’s Rainbow (1973) or William Gibson’s Neuromancer (1984).
In Zelazny’s novel, an elite class of planetary colonists suppresses the generations they have spawned by pretending to be Hindu gods and creating a utopian city for themselves called Heaven. However, they are brought down by the “accelerationists,” a group who believes in speeding up the development of everyone to god-like status, with the result that “there would no longer be any gods, only men.” Thus the fake gods are destroyed by everyone who becomes similarly fake. As explained in the novel:
Accelerationism — it is a simple doctrine of sharing. It proposes that we of Heaven give unto those who dwell below of our knowledge and powers and substance. This act of charity would be directed to the end of raising their condition of existence to a higher level, akin to that which we ourselves occupy. Then every man would be as a god, you see. The result of this, of course, would be that there would no longer be any gods, only men.
For Zelazny, the focus of accelerationism is on raising everyone up, while for Noys it seems that it is about pulling everyone down.
An early example of accelerating human labor up to the speed of machine labor is the streamlining of workflows and worker-movements known as “scientific management,” as developed by Frederick Taylor at the end of the 19th century. According to Taylor, production needed to be maximized: this included measuring the movements of factory workers’ bodies in order to make them as efficient as possible and pushing their output to the maximum of their physical capacity, creating a large number of managers to make sure that procedures were followed in the process: thus workers’ bodies become more “machine-like.”
Noys traces the spread of Taylorism in the Soviet Union under Lenin, who hoped to use it in order to go beyond “the limit of capital itself.” The movement was spearheaded by a literary figure, avant-garde poet Aleksei Gastev, a one time laborer himself. Gastev advocated Taylorism as an anti-humanist approach that would create a utopian merging of human and machine; as he says, “Soulless and devoid of personality, emotion, and lyricism — no longer expressing himself through screams of pain or joyful laughter, but rather through a manometer or taximeter. Mass engineering will make man a social automation.” On the one hand, this dream of the worker as a “living machine” has the danger of leading to both, in Noys’s words, “the adoption of the most dehumanizing capitalist techniques of management and the implementation of them in dictatorial and authoritarian form.” Yet this is why the figure of Gastev in particular is important, for he saw lines of flight appearing within scientific management; Gastev saw the worker as “an active, sentient, and creative part of the productive process.” Thus instead of leaking and melting, the forces of divergence are action, sentience, and creativity. One example of the power of the forces Gastev names is in the way he died: despite having been paramount in Lenin’s appreciation of Taylorism, the poet was arrested and shot in 1939 for suspicion of terrorist activities during the Great Purge.
In this reading of Taylorism, one main idea regarding accelerationism — that speeding up leads to alternatives — has been briefly sketched, including both its positive and negative consequences. Yet the difference between Gastev and Lenin’s intentions for Taylorism points to one of the main fantasies that accelerationism can engender: that there is something emancipatory in participating in this speeding-up process. In other words, in what sense are Gastev’s actions, sentience, and creativity possible from within acceleration, and are these even the right forces for which to be looking? Noys approaches this question in his chapter on “tendency.”
Tendency is seen as the moment in which lines of flight diverge from their fate of being subsumed into capitalism. The sources used in the development of the idea of tendency include: Marx’s comment in the third volume of Capital on “the tendency of the rate of profit to fall”; Georg Lukács’s idea in History of Class Consciousness that there is a tendency to “dissolve” the appearance of capital in order to understand underlying historical processes; and Antonio Negri’s concept of tendency as “an adventure of reason as it comes to encounter the complexities of reality, an adventure of reason that is prepared to accept risks.” It is important to focus on the notion of tendency, because its definition is that of the thin crack between a line of flight and becoming an exemplary member of a system one is trying to challenge. Put another way, in the case of my coworker Tim, his timing of the closing of the doors could have easily ended in the boss demanding that all employees follow Tim’s lead, perhaps even revising the employee handbook in order to codify that all employees must have a time-telling device on their person at all times. The reason why this did not happen is hard to pin down, but it boils down to Tim’s behavior simply being “too much” for his boss (and fellow employees) to bear.
At least since Philip Anderson’s pivotal 1972 essay “More is Different,” the idea that “too much” engenders lines of flight has taken hold. But Noys seems to take a different route to the concept of tendency. Up to this point, tendency is related to different ways of uncovering the underlying forces of capital, which (from Marx to Negri) would result in a tendency to swerve away from the mean. However, Noys is interested in “charting more closely the forms and forces of contemporary labor and modes of struggle, rather than an apocalyptic assertion of some final unveiling of forces.” Thus tendency is similar to “speeding up,” in that both aim to foreground a tension between the subject which is accelerating and the system in which the accelerating is being done. This tension is kept in focus in order to maximize the chance that the subject will not become incorporated into the system she is trying to challenge. Yet what is created out of this tension has not been answered.
And in fact this question is perhaps best left unanswered, for one of the main points throughout all of the examples in Malign Velocities is to show how the line of reasoning which asks “What can accelerationism do for you?” leads to the wrong kind of accelerationism. This is because it turns the real forces behind both speeding up and lines of flight into fantasy. For Noys, “This fantasy consists of the premise of the existence of forces that promise accelerative vitality, even in the most extreme moments of despair.” What he advocates instead is to remain with despair, for all accelerationism can do is foreground “the disorder of an inhuman existence.” In this sense, accelerationism is simply a manner of understanding our struggle “over the state and condition of labor.” Any attempt to use acceleration for more than this sinks into fantasy, which leads to a dangerous appropriation by the forces that are being struggled against. And this is the strength of the accelerationism that Noys demands throughout his work: a willingness to partake in the enjoyment of destruction in order to maintain a friction with fantasy.
¤
Brian Willems is Assistant Professor at the University of Split, Croatia, where he teaches literature at the Faculty of Philosophy and film theory at the Arts Academy.
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COMING OF AGE IN SHAKESPEARE
COMING OF AGE IN SHAKESPEARE
Marjorie Garber
ROUTLEDGE
New York and London
To G. Evelyn and Margaret Hutchinson
First paperback edition published in 1997 by
Routledge
29 West 35th Street
New York, NY 10001
First paperback edition published in Great Britain in 1997 by
Routledge
11 New Fetter Lane
London EC4P4EE
Copyright © 1981 by Marjorie Garber
First hardcover edition published in 1981 by Methuen
All rights reserved. No part of this book may be reprinted or reproduced or utilized in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system without permission in writing from the publishers.
Library of Congress Cataloging-in-Publication Data
Garber, Marjorie B.
Coming of age in Shakespeare / Marjorie Garber.
p. cm.
Originally published: London; New York: Methuen, 1981
Includes bibliographical references and index.
ISBN 0-415-91908-8 (pb: alk. paper)
1. Shakespeare, Wiliam, 1564–1616—Characters. 2. Shakespeare, William, 1564–1616- Knowledge—Manners and customs. 3. Shakespeare, William, 1564–1616—Knowledge— Psychology. 4. Rites and ceremonies in literature. 6. Life cycle, Human, in literature.
I. Title.
PR2989.G3 1997 | 96-51672
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822.3'3-dc21 | CIP
CONTENTS
_Preface_
1 INTRODUCTION
'thy passages of life'
2 SEPARATION AND INDIVIDUATION
'a divided duty'
3 NOMINATION AND ELECTION
'an adopted name of privilege'
4 PLAIN SPEAKING
'I take thee at thy word'
5 WOMEN'S RITES
'as secret as maidenhead'
6 COMPARISON AND DISTINCTION
'counterfeit presentment'
7 DEATH AND DYING
'this thing of darkness I acknowledge mine'
_L'envoy_
_Index_
Preface
In one of those curious coincidences that seem to illumine our lives, I found myself on the morning of 15 November 1978, having completed at last a draft of this book, listening to a radio report of the death of Margaret Mead. I was not only saddened but profoundly disturbed. For as long as I have had this project in mind – which is almost as long as I have been talking to students about Shakespeare – I have intended to give it the title it bears, a title frankly borrowed, in great admiration, from Mead's first major anthropological work. I began my lecture that morning – a lecture rather appropriately concerned with the nature of love in _As You Like It_ – by announcing the news of Mead's death to the class. When they seemed indifferent I was freshly disturbed. Had they not been listening to me all term? How could they not see – as I tried to explain to them – how much my approach to Shakespeare resembled, and was indebted to, Mead's approach to the nature of primitive societies?
Of course, I expected too much. My students' minds were full of other important matters – the weekend impended, and so did the paper deadline. Many had doubtless not yet read _As You Like It_ – perhaps some had never heard of Margaret Mead. Few recognized that the study of Elizabethan culture and language was at all relevant to our own. But it is nonetheless in the spirit of Mead's inquiry into the cultures of other peoples, and in particular the process of maturation, that this book was written – and will, I hope, be read. I should like therefore to quote the final paragraph of her introduction to _Coming of Age in Samoa_ as a brief preface to my own argument – substituting only the name of the civilization I propose to explore for that which she has so vividly documented, and noting that similarities, as well as contrasts, are frequently to be found between the practices and beliefs of the two societies.
Because of the particular problem which we set out to answer, this tale of another way of life is mainly concerned with education, with the process by which the baby, arrived cultureless upon the human scene, becomes a full-fledged adult member of his or her society. The strongest light will fall upon the ways in which [Shakespearean] education, in its broadest sense, differs from our own. And from this contrast we may be able to turn, made newly and vividly self-conscious and self-critical, to judge anew and perhaps fashion differently the education we give our children.
Acknowledgments
This study could not itself have come of age without the generous support of many persons and institutions. A fellowship from the American Council of Learned Societies permitted me to complete the first draft; a grant from the A. Whitney Griswold Fund and a semester of leave from my teaching responsibilities at Yale University were likewise instrumental in preparing this book for publication. The staff and services of the Beineke Rare Book and Manuscript Library and the Sterling Memorial Library, both at Yale, provided valuable assistance, as – at a later date – did the librarian and staff of the Haverford College Library.
Among the many people who gave generously of their encouragement and advice, my special thanks go to Rhoda Garber, whose scrupulous stylistic criticisms proved again and again that reason and love _can_ keep company together nowadays, and to Charles Long, whose literary acumen, judgment and patience have contributed much to what may be useful in these pages. Margaret Ferguson, Penelope Laurans and Barbara Packer also offered aid and comfort at crucial times; to all these friends and colleagues I 'stand indebted, over and above, / In love and service'.
I owe as well a continuing debt to my mentors in the field of Shakespeare and Renaissance literature: Alvin Kernan, Maynard Mack, Louis Martz, Susan Snyder and Derek Traversi. Their examples as great teacher-scholars and their humanistic commitment to literature have been of the highest importance in shaping my own sense of vocation and craft. Finally, I should like to thank those many brilliant and inventive younger scholars who have served as my teaching fellows in Shakespeare courses over the past several years. To them, and to the students whom we taught together, I will always be particularly grateful.
_Note_ : Chapter 2 appeared in a somewhat different form in the _Yale Review,_ LXVI, and parts of Chapter 7 were published in _Renaissance Drama,_ IX. I am indebted to the original publishers for permission to reprint this material.
References throughout the book are to the _Signet Classic Shakespeare,_ general editor Sylvan Barnet (New York: Harcourt Brace Jovanovich, 1972).
1
Introduction
'Thy Passages of Life'
Jaques' celebrated observations on the seven ages of man in _As You Like It_ (II. vii. 138–65) reflect a philosophical and iconographie tradition that had its roots in antiquity and was still flourishing in Shakespeare's time. The true number of the ages was in dispute, since learned authorities had espoused a number of figures. Aristotle, for example, divided man's life span into three, Pythagoras, Horace and Ovid four, Marcus Varro five, Avicenna and St Augustine six, and Ptolemy and Hippocrates seven; virtually no number from three to twelve was without its proponents.1 Seven, the magic number associated not only with the ages but also with the planets, the liberal arts, the virtues and the deadly sins, was a popular choice, and Jaques' seven ages have a certain pedantic quality not unsuited to his temperament. But what is more interesting from our point of view than the number of ages he describes is the way he elects to describe them.
The infant mewls and pukes in his nurse's arms, the boy creeps reluctantly to school, the lover (like Orlando) pens bad poems to his mistress's eyebrow. All these are what we might call typical activities for the ages they characterize, of the same genre as those pictorial representations of boys spinning tops, young men hawking, and old men playing backgammon which were frequently to be seen in frescoes, stained-glass windows, and engravings. The soldier, justice and pantaloon, however, are not really engaged in actions at all; instead they are described in terms of their physical appearance, and especially of their language. The soldier is bearded and 'full of strange oaths' (149), the plump justice speaks in 'wise saws and modern instances' (155), the pantaloon, dwarfed by his clothing, finds his 'big manly voice / Turning again toward childish treble' (160–1). A glance back at the earlier 'ages' will reveal that this characterization in terms of utterance is a constant element throughout the passage: the 'mewling' infant, the 'whining' schoolboy and the 'sighing' lover will speak, and illustrate their stages of life as they do so. Jaques' set piece, in other words, is not only a conventional listing of types and vignettes, but also a unified portrait of human development, taking speech as a common characteristic from childhood to senility. When we look more closely at the tradition of the ages of man, the presence of such a pattern appears increasingly significant.
In many cases the ages were combined with such other sequences as the pilgrimage or voyage of life, the wheel of fortune, or the passage of the months – each a temporal progression accompanied by changes in the fortunes and actions of the central figures. Thus January might depict children playing; June, a wedding; November, illness; and December, death. A painting dated 1533 by Dürer's assistant, Hans Schaufelein – which has been in England since Tudor times, and is now at Chatsworth – shows four figures ranged along the circumference of Fortune's wheel, each representing a different age.2 A beardless youth sits at the base, and is succeeded halfway up the wheel by an elegant young gentleman with a stylishly trimmed beard, wearing a brimmed hat. At the apex of the wheel sits a man in early middle age, wearing a full beard and a king's crown, and to his right, descending, is a patriarchal figure in flowing robes and beard, who seems to be tumbling toward the bottom of the frame. Similarities in dress, feature and carriage strongly suggest that the painting depicts the same man at four stages – or ages – of his career, with earthly success conjoined with maturity at the height, and the inevitability of loss and change emblematized by the falling figure of the old man and the presence of the wheel itself. Another pictorial example from about the same period, attributed to Baldung Grien, is a painting (presently in Munich) of 'The Three Ages' designed as a diptych to balance 'The Three Graces'.3 In fact, 'The Three Ages' seems to be almost a parody of the 'Graces', since its three principal figures are similarly linked arm in arm, but instead of three lovely women in the prime of youth we see one young woman, one woman decidedly aged (with drawn face and slightly pendulous breasts) and, in place of the third, a skeleton with a death's head, holding an hourglass and a scythe. Even for the more robust sensibility of the time this pendant to the pleasant aesthetic cliché of the timeless graces might well give one pause; it is a work that might well have appealed to Jaques.
In a less mordant mood, Shakespeare in sonnet 7 also describes three ages, each associated with the position of the sun in the sky (first 'new-appearing', then 'Resembling strong youth in his middle age', and finally 'weary' and 'reeling' 'like feeble age'), with a warning in the couplet that the beloved should get a son while he is in the noon of life – before his own sun sets. In these instances, as in many others, the design is at once typical and teleological; the actions of common life are joined with a version of _memento mori_ , and the meaning of the entire sequence depends upon an acknowledgment of the transitory nature of health, wealth, fame, and power.
Sometimes, however, a further degree of unity can be found in the sequence. Just as Jaques uses speech as an index of human development, in the morality play _Mundus et Infans_ the constant – and constantly changing – element is the protagonist's name. At birth his mother calls him Daliance, but at the age of six the World renames him Wanton. At fourteen his name is changed to Love–Lust–Liking, and at twenty-one to Manhood. Later in life Folly will call him Shame, and finally Conscience will give him the name of Repentance.4
In a rudimentary way, _Mundus et Infans_ places its emphasis upon the moment of change, rather than the subsequent perception of differences. In other words, it indicates a series of crises or turning points. Whereas other versions of the 'ages' theme show typical though temporary stages in a general and inexorable cycle, this play stresses the moments of transition for the individual, as his experiences in the world change him virtually into a different person.
Another example from the Tudor period may help to clarify this distinction between _difference_ and _change_ , and to suggest the relevance of such patterns to our understanding of maturity. As a young man, Sir Thomas More designed a 'fyne paynted clothe' for his father's house which combined elements of the _Trionfi_ of Petrarch with a representation of the traditional ages of man. These 'nyne pageauntes', as More describes them – for they have since been lost – included four that traced the progress from youth to age. The first panel showed a boy spinning a top – a common emblem of childhood. The second through fourth panels, however, included not one but two figures or sets of figures, and in each case the subject of the previous panel was depicted being conquered by the next. Thus the picture of the second age showed a young man on horseback, engaged in the traditional activity of hawking – but the boy of the first age lay beneath the horse's feet. The third age proved the adolescent's downfall, for now he was himself trodden beneath the feet of Venus and Cupid, signifying love. In the fourth age, an old man stood upon the recumbent bodies of Venus and Cupid. In each of these tableaux, the presence of the outdated or superseded figure(s) offered a vivid reminder of the struggle intrinsic to passage from one stage of human development to the next.5
To this point we have been speaking of literary or pictorial artifacts; More's 'pageauntes' were both, since verses of his own composition accompanied each painted panel. But as we have already seen, interest in the ages of man extended beyond artists and poets to astronomers, philosophers, physicians and mathematicians – in short, to anyone concerned with the study of human nature. In its preoccupation with the planets and the seasons, the scrutiny of man's life-span included such disciplines as astrology and even theology, while the contemplation of the wheel of fortune led scholars to history and political philosophy, and the phenomenon of physical deterioration (so explicitly chronicled by Jaques) to medicine. We should not be unduly surprised, therefore, to find the 'new' social sciences of our time – anthropology, psychology and sociology – engaged in a version of the same intellectual quest: to determine the fundamental patterns of human development, and in the course of doing so concentrate upon critical points for growth and change. The relationship between literature and such humanistic disciplines has always been mutually helpful. It is in the nature of new scientific advances to provide suggestive insights into old problems, and just as the hypotheses of Freud, Darwin and Marx offered provocative directions for the scholar concerned with the history and behavior of earlier periods, so the researches of the last century in the area of human relations may indicate some striking new facts about patterns of development in Shakespeare's plays.
*
It may be useful to take account of the concept of 'rites of passage', a term first applied by Arnold van Gennep to the ceremonies accompanying 'life crises' for the individual.6 Drawing primarily upon the behavior patterns of semicivilized peoples, but also upon the practices of the ancient Greeks and certain Christian, Jewish and Islamic traditions, van Gennep observed that there were three major phases which distinguished each of these rites: separation ( _séparation_ ), transition _(marge)_ , and incorporation or reintegration ( _agrégation_ ). For some social events one of these phases might be more important than another, but most frequently the three phases were found in conjunction with one another. Thus marriage, which we think of primarily as a rite of incorporation, was often at the same time a rite of separation, both from a previous family or clan and from the social group of age-mates constituted by unmarried girls (or boys). In the course of this study we will see how this combination of rites and motives will influence such Shakespearean characters as Desdemona, Cordelia and Cressida in their transition from one stage to another. Similarly death and mourning, which we might consider to be self-evidently rites of separation, frequently include rites of incorporation as well: for the deceased, incorporation with those who have died before them, and for the mourners, reintegration into normal society. Here again Shakespearean analogues are not hard to find. The last words of Romeo and Juliet, Antony and Cleopatra, and Lear and Kent all indicate a wish for reunion with a loved one after death. Consider in particular Antony's words on learning the (false) news that Cleopatra is dead: 'I come, my queen.... Stay for me. / Where souls do couch on flowers, we'll hand in hand, / And with our sprightly port make the ghosts gaze' (IV. xiv. 50–2). On the other hand, the final speeches of the survivors of tragedy – Horatio, Edgar, Malcolm, Octavius Caesar, Prince Escalus – all stress the need for a return to a more normal mode of life. The life of the society is altered by the tragic deaths, but cannot cease or die with the dead.
In his introductory remarks on classification of rites in _Les Rites de passage_ van Gennep explains that
transitions from group to group and from one social situation to the next are looked on as implicit in the very fact of existence, so that a man's life comes to be made up of a succession of stages with similar ends and beginnings: birth, social puberty, marriage, fatherhood, advancement to a higher class, occupational specialization and death. For every one of these events there are ceremonies whose essential purpose is to enable the individual to pass from one defined position to another which is equally well defined.7
If we compare this statement to Jaques' speech, we will notice a similar list of stages (coincidentally in this case also seven), but with the important addition of an explanation for the ceremonies marking each stage. It is not the condition of being in any given stage, but rather the passage from one to the next, that is the crucial (and sometimes traumatic) time for the individual. Thus a key element in van Gennep's schema – and in the writings of those who followed him – is the concept of the _threshold_ separating neutral zones from those that are sacred. 'Whoever passes from one to the other', he explains,
finds himself physically and magico-religiously in a special situation for a certain length of time; he wavers between two worlds. It is this situation which I have designated a transition, and one of the purposes of this book is to demonstrate that this symbolic and spatial area of transition may be found in more or less pronounced form in all the ceremonies which accompany the passage from one social and magico-religious position to another.
The term 'magico-religious' may seem uncomfortably specific to anthropology, but if we pause for a moment to consider Shakespearean worlds like the Forest of Arden, the Athenian wood, Prospero's island or the country of Bohemia, we may well discern in them a separate spatial world in which certain quasi-magical events take place: physical transformations, mysterious sleeps and wakings, apparitions, sounds and sweet airs that give delight and hurt not. Indeed there is no need to confine our concept of such sacred zones to the comedies and romances; the heaths in _Lear_ and _Macbeth_ and the fertile world of Egypt are equally set apart and equally representative of territorial (and psychological) passage. Northrop Frye calls this kind of place a 'green world'.8 Alvin Kernan calls it a 'second place';9 C. L. Barber calls its time zone 'holiday' as distinct from 'every day'.10 In short, van Gennep's concept of a 'sacred zone' corresponds to some observations literary critics have already made about the plays. Literary and anthropological schemes agree, and lead us to very similar insights about stages in human development.
Recent work in anthropology has applied van Gennep's concept of the threshold to both preliterate and modern societies, and extended it to secular as well as religious ritual. The anthropologist Mary Douglas has written convincingly about 'persons in a marginal state', 'people who are somehow left out of the patterning of society',11 like unborn children and pubertal initiands in some tribal cultures, or ex-prisoners and mental patients in our own. According to Douglas, such persons are in a condition of 'danger', 'contagion' and 'pollution', and may behave in an antisocial manner. 'Danger lies in transitional states', she writes, 'simply because transition is neither one state nor the next, it is undefinable. The person who must pass from one to another is himself in danger, and emanates danger to others.'12 Douglas' description of social marginality and its effects is both relevant and instructive when considered in the context of Shakespeare's plays. Figures like Mariana ('neither maid, widow, nor wife' [ _Measure_ V. i. 177–8]), Edgar disguised as Poor Tom, or Coriolanus banished from Rome – to choose only a few examples – may aptly be characterized as marginal persons, whose outcast conditions threaten both themselves and the social worlds they inhabit.
Equally suggestive for students of Shakespeare is the work of Victor Turner, and particularly Turner's theory of 'liminality',13 which he defines as 'any condition outside or on the periphery of everyday life'14 – clearly an idea very close to Douglas' 'marginal state', or indeed to Barber's 'holiday'. Turner, however, is chiefly interested in social organization and in the tensions that underlie social groups, tensions he sees as taking the form of a dialectical movement from structure to anti-structure, or from 'fixed' to 'floating' worlds. He argues for the existence of a three-part model of social development, from 'structure' to 'communitas' to 'societas',15 that corresponds with remarkable accuracy to the Shakespearean pattern of court-country–court or city–wilderness–city. 'Structure', for Turner, is a highly organized, hierarchical system that involves political, legal and economic differentiation; here we might think of Theseus' Athens, Duke Frederick's court or the Venice of both _Othello_ and _The Merchant of Venice_. 'Societas', the third stage, produces a renewed and relatively enlightened structure, much like the reconciliations and marriages that end _As You Like It_ or the reunions and unmaskings in the last act of _The Winter's Tale_. But the key and transforming element in Turner's system is 'communitas', the stage of liminality.
'Communitas' is 'an unstructured or rudimentarily structured and relatively undifferentiated _comitatus_ , community, or even communion of equal individuals'16 – a description that seems highly appropriate for such temporary but transforming Shakespearean confraternities as that of Duke Senior and his 'co-mates and brothers in exile' ( _AYLI_ II. i. 1) – or even of England at war in _Henry V_. In fact, Turner cites Shakespeare on this topic directly, describing Gonzalo's imaginary commonwealth in _The Tempest_ as an example of 'ideological communitas' or 'the ideal structureless domain',17 and noting in particular the factors of social equality and absence of property that seem to be constant in such utopian visions. But he also points out the innate fallacy in Gonzalo's commonwealth, since it omits any necessity for work, and therefore for social organization. Gonzalo's slip in imagining himself 'king' (II i. 150) of a place that is to have 'no sovereignty' (161) Turner interprets as Shakespeare's self-correcting acknowledgment of the absurdity of such a plan in the real world. 'Communitas', like the commonwealth, is an 'Edenic fantasy', 'a phase, a moment, not a permanent condition'.18 Yet it is what makes possible the renewal and transformation of human society – whether primitive or modern, experiential or fictive.
For Turner and Douglas, as for van Gennep, the act of crossing the threshold – of becoming a 'marginal person' or a 'liminary' – is both a danger and an opportunity, testing the individual's ability to grow and change. Substantially the same view, as we will see, is presented in Shakespearean drama. Literal thresholds are occasionally mentioned in Shakespeare's works, and references to them there suggest a background in folk custom and superstition. When Richard approaches the gates of York in 3 _Henry VI_ and finds them barred, he senses a bad omen: 'For many men that stumble at the threshold / Are well foretold that danger lurks within' (IV. vii. 11–12). Virgilia, the wife of Coriolanus, refuses to leave the house while her husband is in danger: 'I'll not over the threshold till my lord return from the wars' ( _Cor_. I. iii. 74–5). Here the home becomes a sacred or magical place, assuring protection to its absent master. At the close of _A Midsummer Night's Dream_ Puck tells the audience that he is 'sent with broom, before, / To sweep the dust behind the door' (V. i. 388–9). He comes 'before' the married pairs and sweeps their threshold clean, not only of dust, but also of evil spirits. In _The Rape of Lucrece_ an anthropomorphized threshold attempts to warn Lucrece of Tarquin's entry: 'The threshold grates the door to have him heard' (306), and 'each unwilling portal yields him way' (309); the next threshold to be crossed will be that of her virginity. (In the same spirit we hear of Chaucer's Wife of Bath, an ancestor of the Nurse in _Romeo and juliet_ , that 'Housbondes at chirche dore she hadde fyve' – the church door again identified as a threshold separating the married and the unmarried.)
But the concept of the threshold may be understood to refer not only to doors, gates and portals, but also rivers to be crossed, mountains to be climbed, the foundations of a house to be laid and consecrated.19 The traditional custom of carrying the bride over the threshold upon first entering a new house is a popular manifestation of this rite in contemporary culture – as might be, for example, the launching of a ship with a libation of champagne. (We might note that the ship is officially _named_ , or christened, in this ceremony.) Thresholds of this kind are omnipresent in Shakespearean drama, in part because city gates, castle walls and battlements are so frequent a part of the plays' dramatic architecture. Romeo leaps a wall into Juliet's garden, Coriolanus bursts alone through the gate of Corioles. Lysander tells Helena that 'through Athens' gates we have devised to steal' ( _MND_ I. i. 213), and the King of Navarre instructs the Princess of France that she 'may not come... within my gates' ( _LLL_ II. i. 171) – gates that she herself describes as 'forbidden' (26). Each gate leads to a new place which might fairly be described as a sacred zone, as opposed to the neutral space of the streets of Verona or the city of Athens.
Further, in at least two plays Shakespeare makes the threshold a significant feature of his dramatic design. In _The Comedy of Errors_ Adriana mistakes the Syracusan Antipholus and his Dromio for her husband and his slave. She scolds them for their tardiness and 'strange'-ness, and commands that Dromio 'keep the gate' (II. ii. 207), 'play the porter' (212) and 'let none enter' (219). The subsequent arrival of Antipholus of Ephesus leads to more angry discussion of the barred threshold – 'my door is locked' (III. i. 30), 'get thee from the door' (35), 'What patch is made our porter?' (36). The wrong Antipholus and Dromio have been permitted to pass from the neutral zone of the mart into the Phoenix; with justice Dromio of Syracuse observes that 'this is the fairyland' (II. ii. 190), while Antipholus of Ephesus complains, 'There is something in the wind, that we cannot get in' (III. i. 69). _The Comedy of Errors_ is throughout concerned with magic, magicians, and privileged localities; the incident of the door translates into a literal event the rites of transition which are in the process of befalling its characters.
But of all Shakespearean thresholds surely none is as vivid, or as dramatically accentuated, as that guarded by the Porter in _Macbeth_. He himself compares it to 'hell gate' (II. iii. 2), and those who pass through (in this case Macduff and Lennox) are indeed entering a kind of hell. Earlier we have heard Lady Macbeth exult 'the raven himself is hoarse / That croaks the fatal entrance of Duncan / Under my battlements' (I. v. 38–40) – another deliberate reference to the threshold – and Macbeth, mulling the murder, reminds himself that 'as his host / [he] should against his murderer shut the door' (I. vii. 14–15). While we are speaking of Macbeth, it is interesting to note that one of the commonest of rites carried out on the threshold in primitive societies is that of purification through washing, a rite of separation from previous surroundings to be followed by a rite of incorporation, like the sharing of a meal.20 Although they attempt to do so, Macbeth and Lady Macbeth cannot wash their hands, and thus symbolically – as well as psychologically – cannot separate themselves from the murder (II. ii; v. i). In each case the attempt is accompanied by the real or imagined sound of knocking at the gate, a reminder of Duncan's death and thus of his murderers' passage into unhallowed territory.21 The 'great feast' (III.. i. 12) or 'solemn supper' (14) planned to commemorate Macbeth's accession to kingship (another life crisis) is similarly polluted and disrupted as the ghost of Banquo sits in the place of the host, and so Lady Macbeth must instruct her guests to 'stand not upon the order of [their] going' (III. iv. 119). Together the two broken ceremonies – hand washing and feasting – signify a failure of the incorporation of the protagonists into the normal or 'neutral' world. As such these ceremonies are further emblems of the outcast status conferred by the act of murder – an increasing isolation and derangement which no ceremonial lustration can cure.
In many primitive societies and some more advanced ones rites of separation, transition and incorporation (also known as preliminal, liminal – i.e. threshold – and postliminal rites) commemorate the great events of a lifetime: birth, puberty, marriage, pregnancy, childbearing and death. Some rites may be repeated at several stages of the individual's development. For example, _naming_ occurs shortly after birth as an act of incorporation into society, but a man's or woman's name is frequently changed, sometimes several times, as he or she matures and enters a different stage of social development. A name change may also indicate some specific achievement (e.g. in hunting or war), or signify a physiological or psychological characteristic. Examples from the Bible, from antiquity, from Arthurian legend and from popular practices of more recent times (like the 'nickname' – etymologically from Middle English _ekename_ , an additional name) attest to the presence of related rituals in literate western societies, and as we shall see below (Chapter 3) such a pattern of renaming is significantly present in Shakespeare's plays.
But of all the life crises it is the initiation rite that has attracted the most attention from anthropologists, sociologists and psychoanalysts, as well as literary scholars. Van Gennep observes that initiation rites are rites of separation from the asexual world followed by rites of incorporation into a world of sexuality – and at the same time into a single-sex age group. The young boy is ceremonially separated from his mother and instructed in the mysteries of manhood by male elders of the tribe or clan, and he undergoes this experience in the company of other adolescent males who constitute his new society. Often initiation rites take the form of a ritual death and rebirth: the novice is confined in a dark place or covered with blankets, and no light, not even starlight, is allowed to enter. As Mircea Eliade suggests, 'the novice emerges from his ordeal endowed with a totally different being from that which he possessed before his initiation; he has become _another_ '.22 By common belief the child must die before the adult is born, and this process constitutes _'the end of a mode of being_ – the mode of ignorance and of the child's irresponsibility'.23 Here we might compare St Paul's words to the Corinthians : 'When I was a child, I spake as a child, I understood as a child, I thought as a child: but when I became a man, I put away childish things' (1 Cor. 13 :11). Paul's designation of language as one mark of a stage in personal maturity ('I spake as a child') may once more remind us of Jaques's seven ages, and it is clear that changes in speech, or even the acquisition of entire new languages, are frequently found in the initiation patterns of semicivilized peoples. More about language as an index of maturity will be found in the pages that follow. For the present, however, it may be sufficient to acknowledge that the initiatory rituals which symbolize the transition between childhood or adolescence and adulthood among more developed societies have certain congruences with the practices of those groups studied by field anthropologists, and that such rituals seem to generate a common series of metaphors: the symbolic death of the child, his incubation in darkness, and his rebirth or resurrection into a newborn state where he must learn to speak again, receive a new name and be incorporated into a new society or social group.
Initiation ceremonies for women are not always wholly distinct from rites of betrothal and marriage, since marriage rites, too, are rites of separation as well as incorporation. The young woman is separated from her parents, family or clan, and incorporated into the family or clan of her husband. In some cases – as with matrilineal tribes – the process is reversed, and the young man becomes a member of his wife's family. Like the novice's separation from the mother, the separation of the bride (or groom) is a necessary step in the passage from one age group to another. Each now becomes joined not only to a spouse, but also to the entire group of married women (or men). As was the case with rites of naming and of language, so with marriage rites we have biblical evidence of the continuity of such practices among the ancient Semites: in the book of Genesis, the Gospels of Matthew and Mark, and St Paul's Epistle to the Ephesians we are instructed that a man shall leave his father and mother, and cleave to his wife (Gen. 2:6; Matt. 19:5; Mark 10:7; Eph. 5:31). The happy euphony of 'leave' and 'cleave' in the King James version may serve as a metaphor for the rhythmic relationship of the two states: once again the initiate must ceremonially depart from childhood in order to assume his new status as an adult.
The concept of a pattern of rites that accompany – and therapeutically assist – the individual's progression from youth to maturity is hardly the exclusive province of the anthropologists. The psychologist Erik Erikson has devoted much of his career to exploring what he was among the first to term the 'identity crisis' in an individual's psychic development. Erikson notes that the word 'crisis' has come to be accepted as 'designating a necessary turning point, a crucial moment, when development must move one way or another, marshalling resources of growth, recovery, and further differentiation'.24 The so-called 'identity crisis', according to him, normally occurs in adolescence or young adulthood, although – as we shall see – it may upon occasion be displaced or retarded; Erikson advances a very interesting argument about Hamlet as a victim of 'identity confusion', and goes so far as to suggest that 'tragic man' is frequently denied a 'positive identity' because of the conflict between his inner feelings and the world in which he lives. Erikson also offers a schema of his own, a kind of 'eight ages of man', which he calls the 'Epigenesis of Identity' in the life cycle of the individual. The stages he suggests, and which he correlates with man's increasing chronological age, are: I Trust _v_. Mistrust; II Autonomy _v_. Shame, Doubt; III Initiative _v_. Guilt; IV Industry _v_. Inferiority; V Identity _v_. Identity Confusion; VI Intimacy _v_. Isolation; VII Generativity _v_. Stagnation, and VIII Integrity _v_. Despair. As a psychologist, Erikson is willing to speak in terms which literary critics may well find uncomfortable. For example, he cites with approval Marie Jahoda's definition of a 'healthy' personality in an adult: 'a healthy personality _actively masters_ his environment, shows a certain _unity of_ _personality_ , and is able to _perceive_ the world and himself _correctly_ ** _'_**.25 But he sees no inconsistency in discussing literary figures side by side with historical and contemporary personalities, and the judgments he offers are well documented and frequently persuasive. Perhaps of the greatest interest to this study is Erikson's insistence upon the connection between identity and self-reflectiveness – what will be described in Chapter 6 as the rite of comparison and distinction: 'in psychological terms', he asserts,
identity formation employs a process of simultaneous reflection and observation, a process taking place on all levels of mental functioning, by which the individual judges himself in the light of what he perceives to be the way in which others judge him in comparison to themselves and to a typology significant to them; while he judges their way of judging him in the light of how he perceives himself in comparison to them and to types that have become relevant to him. This process is, luckily, and necessarily, for the most part unconscious except where inner conditions and outer circumstances combine to aggravate a painful, or elated, 'identity-consciousness'.
We can see here the essential outline of a theory of human development which is based upon self-knowledge. The stages through which the developing individual will – and must – pass are all predicated upon an apprehension (conscious or unconscious) of his own place in society. If we return for a moment to Jahoda's definition of 'health' – 'to _perceive_ the world and himself _correctly'_ – we may perhaps suggest that both Jahoda and Erik-son would respond hospitably to the idea, fundamental to this study, that a dramatic character is challenged with understanding the play of which he is a part. The failure of Richard III and Macbeth (and, more controversially, of Othello) to do so is part of their tragedy. At the same time it is also emblematic of their failure to attain 'maturity' – or 'identity' – or a 'healthy personality' in the context of a specific, created, dramatic situation.
Like Erikson, Bruno Bettelheim addresses himself to the 'psychological problems of growing up',26 and does so in part by reference to literary models. Bettelheim defines 'psychological maturity' as 'gaining a secure understanding of what the meaning of one's life may or ought to be'.27 (Macbeth's 'tomorrow' speech, with its despairing reference to a life 'signifying nothing', provides a close Shakespearean analogue.) Even more directly than Erikson, Bettelheim is concerned with justifying the application of psychological and psychoanalytic theory to a branch of literature – in this case, the fairy tale, a genre traditionally interesting to anthropologists and students of mythology.
His estimation of the life crises facing an individual on the path to maturity is not unlike Erikson's epigenetic cycle; and it may be worthwhile to quote his central argument at some length.
In order to master the psychological problems of growing up – overcoming narcissistic disappointments, oedipal dilemmas, sibling rivalries; becoming able to relinquish childhood dependencies; gaining a feeling of self-hood and of self-worth, and a sense of moral obligation – a child needs to understand what is going on within his conscious self so that he can also cope with that which goes on in his unconscious. He can achieve this understanding, and with it the ability to cope, not through rational comprehension of the nature and content of his unconscious, but by becoming familiar with it through spinning out daydreams – ruminating, rearranging, and fantasizing about suitable story elements in response to unconscious pressures. By doing this, the child fits unconscious content into conscious fantasies, which then enable him to deal with that content. It is here that fairy tales have unequaled value, because they offer new dimensions to the child's imagination which would be impossible for him to discover as truly on his own. Even more important, the form and structure of fairy tales suggest images to the child by which he can structure his daydreams and with them give better direction to his life.28
Fairy tales, in other words, have two key functions: they provide available analogues for ideas latent in the child's imagination, and they offer suggestions, if not solutions, for the working out of his unexpressed fears and hopes. Thus for Bettelheim 'Hansel and Gretel' is an exploration of the child's reluctance to separate himself from his parents and enter the world of action, while 'Snow White' confronts the pubertal problems of the adolescent girl, who for the first time perceives herself as a sexual being in competition with her step-mother (or mother). In this case, once again, the element of comparison is an essential factor in self-definition and self-discovery.
Bettelheim's claims for the fairy tale as a catalyst of the youthful imagination are of particular interest because he boldly bridges the gap between life and art, or fact and fiction, to approach a literary work in psychological terms. This is a kind of criticism about which literary scholars have been extremely nervous, with some justification. It is worth observing, however, that this decorous reluctance is equally true of the social scientists. Eliade confronts the problem directly in his study of initiation rites, when he comes to deal with such literary motifs as the grail quest, the 'waste land', and the descent into Hell. Cautiously, he observes that
We here touch upon a problem that is beyond the competence of the historian of religion, for it belongs by right to psychology. But I must touch upon it, in order that we may understand what happened to the majority of initiatory patterns when they had lost their ritual reality; they became what, for example, we find them to be in the Arthurian romances – literary motifs. This is as much as to say that they now deliver their spiritual message on a different plane of human experience, by addressing themselves directly to the imagination.
He then goes on to speak directly of fairy tales, asserting that 'it is impossible to deny that the ordeals and adventures of their heroes and heroines are almost always translatable into initiatory terms', and that 'initiatory scenarios – even camouflaged as they are in fairy tales – are the expression of a psychodrama that answers a deep need in the human being'.29
It is tempting to linger for a moment upon Eliade's choice of words here. 'Scenario' and 'psychodrama' are words which had not "even been coined by Shakespeare's time; the first is an invention of the nineteenth, the second of the twentieth century. But the impulse to see rites of initiation in dramatic terms reflects a basic truth about those rites. They mark a turning point in the life of the individual, and it is of such turning points – crises and peripeties – that drama is made.
Perhaps this is one reason why the vocabulary of the theater is being used increasingly by social scientists in their attempts to understand the function of both religious and secular ritual in human life. Thus Victor Turner speaks of 'social dramas',30 by which he means those disharmonious developments in society that lead to change; 'social dramas' in turn may be divided into 'acts' and 'scenes', and will ultimately lead to some kind of climax. In a similar spirit Mary Douglas comments that 'there are no items of clothing or of food or of other practical use which we do not seize upon as theatrical props to dramatize the ways we present our roles and the scene we are playing'.31 But the most influential use of theatrical terminology for the analysis of human behavior has probably been that of the sociologist Erving Goffman. In _The Presentation of Self in Everyday Life_ and elsewhere Goffman speaks of social 'settings', of 'performances', of 'cues' and 'props', 'routines' and 'parts', 'staging areas' and 'backstage' communication.32 His 'dramaturgical approach' to the structure of social encounters in effect interprets every encounter as a staged confrontation, in which the individual (as both 'performer' and 'character') must present himself effectively to his 'audience', whether that audience is made up of one or many members.
A more directly literary approach to the relationship between drama and ritual behavior was taken by a group of cultural anthropologists during the early years of this century. The Frazer–Cornford–Harrison school of myth and ritual criticism theorized that the roots of drama were to be found in the 'mysteries' of ancient and primitive religions, and sought to find analogies between ancient ritual practice and later dramatic works. Jane Ellen Harrison pointed out that descriptions of the Eleusinian mysteries by later Greek authors 'use constantly the vocabulary of the stage',33 and later suggested that the Don Juan legend originated in 'a fertility ritual'.34 Likewise Sir James Frazer's concept of the dying and reviving god was applied – with modifications – by Gilbert Murray to the origins of Greek tragedy, by F. M. Cornford to Attic comedy, and by other scholars to such diverse dramatic survivals as the European Mummers' Play and the Punch-and-Judy show.35 Murray took a further step, suggesting that ritual origins lay behind the sophisticated drama of Shakespeare, in his 1914 lecture, 'Hamlet and Orestes'.
Whatever the merits of the claim for 'origins', the work of the Cambridge school, like the 'dramaturgical approach' of contemporary social scientists, suggests a persuasive series of analogies between ritual behavior and dramatic action. Moreover, in recent years an explicitly anthropological approach to Shakespeare has been employed by such critics as Francis Fergusson, Northrop Frye and C. L. Barber.
There is an important distinction to be made, however, between the kinds of patterns that interest Barber and Frye, and the rites of passage with which this study will be concerned. Frye draws an analogy between the seasonal cycle and the literary genres, discerning, for example, an important parallel between the movement from winter to spring and the comic progress from trouble to joy. Barber examines holiday festivals and entertainments, and suggests a persuasive formula, 'through release to clarification', which underlies not only those festivals but also a number of Shakespearean plays. In anthropological terms, these are known as 'cyclic group rites', or 'rites of intensification',36 based largely upon changes in the natural round. Seasonal changes, changes of the sun and moon, agricultural activities like sowing, planting and the harvest of the first fruits are occasions for a ceremonial demonstration of the entire populace, whether it be a family, a clan or the citizens of a city or nation. The festival of Lupercalia, which is being celebrated as _Julius Caesar_ opens, is one example of such a cyclic rite. During this fertility festival, held annually on the fifteenth day of February, young men ran naked through the city striking those they met with leather thongs. Plutarch tells us that many noblewomen and gentlewomen 'put forth their hands to be stricken... persuading themselves that, being with child, they shall have a good delivery, and also, being barren, that it will make them to conceive with child'.37 It is noteworthy that Caesar, who will later claim to put no credence in omens, nonetheless reminds Antony to strike his wife Calphurnia: 'for our elders say / The barren, touch'd in this holy chase, / Shake off their sterile curse' ( _JC_ I. ii. 7–9).
Elsewhere in Shakespeare's plays patterns of seasonal change frequently mirror patterns of human development – in _Love's Labor's Lost_ , for example, with its concluding songs of winter and spring, or in _The Winter's Tale_. Hamlet is often compared to one of Frazer's 'dying and reviving gods', and the play has been considered in the context of the year-king tradition.38 Vestiges of a similar mythic pattern appear at the close of _Henry V_ and _Richard III_ , particularly in the agricultural images used by the soon-to-be-victorious Richmond, who speaks to his troops of 'summer fields and fruitful vines' ( _RIII_ V. ii. 8) of 'reap[ing] the harvest of perpetual peace' (15), and of 'smiling plenty, and fair prosperous days' (V. v. 34). Richmond's emergence as a harbinger of fertile days – when he will 'unite the White Rose and the Red' (V. v. 19) – reminds the audience of its escape from Richard's perpetual winter of discontent. Likewise at the close of _Macbeth_ , Malcolm revives the growth imagery of his murdered father, to speak of things 'which would be planted newly with the time' (V. viii. 65). In all of these instances – and in many others – an underlying pattern of decay and rebirth in nature is clearly discernible, and corresponds to the periodic, cyclic and societal ceremonies known to anthropologists as rites of intensification.
By contrast, rites of passage are individual and non-periodic. The crises which provoke them have to do not with the season, but – in most cases – with some aspect of the family system. Where rites of intensification affect all the members of a group at once, rites of passage affect a single person directly, and others only as a result of their relationship to him. As we have already seen, the symbolic pattern of an initiation ritual, like that of an agricultural festival, is based upon a metaphorical experience of death and rebirth. But the life crisis that provokes that experience occurs not as a result of changes in the external world, but rather as a result of changes in the individual. As he grows to maturity – as he comes of age – the novice is separated from a former identity, and integrated into a new social role. It is this kind of crisis, and this kind of rite, that I have attempted to discover and analyze in the patterns of Shakespeare's plays.
It may be useful here to note that seasonal rites frequently provide metaphors for individual rites, as in a phrase like 'green youth'; conversely terms from the cycle of individual maturation may become associated with the larger patterns of times and seasons – e.g. 'the aged year'. In this context, 'maturity' for Shakespeare means ripeness or readiness, and signifies a moment of transition. We hear, for example, about a revolt which is 'almost mature for the violent breaking out' ( _Cor_. IV. iii. 24–5), and of a 'mature time' ( _Lr_ IV. vi. 277) to put a certain course of action to the test. Hamlet's declaration that 'The readiness is all' (V. ii. 224) and Gloucester's similar acknowledgment that 'Ripeness is all' ( _Lr_ V. ii. 11) both allude to an acceptance of death, of man's going hence as well as his coming hither. Touchstone's witty parody of Jaques' seven ages speech likewise stresses the element of change: 'And so, from hour to hour, we ripe and ripe, / And then, from hour to hour, we rot and rot' ( _AYLI_ II. vii. 26–7).
The word 'mature' itself, however, is frequently used in a normative way, to denote a certain stage of human experience. At the beginning of _The Winter's Tale_ we are told that Leontes and Polixenes were childhood friends, and that they have maintained their friendship 'since their more mature dignities and royal necessities made separation of their society' (I. i. 27–8). Ulysses describes Troilus as 'The youngest son of Priam, a true knight, / Not yet mature, yet matchless' ( _T &C_ iv. v. 96–7), and in _Antony and Cleopatra_ Caesar criticizes the revelling Antony by comparing him to 'boys who, being mature in knowledge, / Pawn their experience to their present pleasure / And so rebel to judgment' (I. iv. 31–3). In all of these instances maturity denotes a specific level of development, determined by social responsibilities (Leontes and Polixenes), physical and mental readiness, perhaps including initiation in war (Troilus), and self-knowledge (Antony). The value placed on the maturity depends, of course, upon the speaker and context.
Of all the direct references to the maturity of dramatic characters, however, perhaps the most suggestive is the description of Posthumus Leonatus which occurs at the beginning of _Cymbeline_. The speakers are the First and Second Gentlemen, and as is often the case with Shakespearean opening scenes, these minor characters – who will never again appear – offer opinions which may be taken at face value, precisely because there is no filtering personality to interfere with what they say. In other words, they exist only to speak the truth – or at least the truth as the prevailing opinion has it. And what they tell us is that Posthumus is an exemplary man. 'In's spring [he] became a harvest, lived in court – / Which rare it is to do – most praised, most loved, / A sample to the youngest, to th' more mature / A glass that feated them, and to the graver / A child that guided dotards' (I. i. 46–50). In time we will consider the metaphor of the glass in some detail and take note of such other human mirrors as Hotspur and Hamlet. But what is of chief interest here is the sense that Posthumus is a man for all seasons. To the youngest, to the more mature and finally to the elderly he supplies a needed complementarity; he is what we might today call a 'role model' to children, and a prop and stay to the old. To the 'more mature', – the adults – he is a reflection of their own virtue. Here we have a variation on the theme of the ages of man metaphorically applied to a single individual at a unique time of life. Yet the passage is not without portents of difficulty. To be a harvest in the spring is to risk a loss of ripeness as well as to violate seasonal decorum, and in Posthumus' susceptibility to Iachimo's blandishments we do see something of his vulnerable youth. There are things about life and love that he has still to learn.
In fact the concept of maturity implicitly includes this expectation of growth and change; a mature person, like a mature crop, must have progressed from an earlier stage of greenness. This is no less true in literature than in nature, and from at least the time of Virgil the phrase 'green youth' has been a common one, connoting inexperience, and sometimes also simplicity or gullibility. Thus Polonius calls Ophelia 'a green girl, / Unsifted in... perilous circumstance' ( _Ham_. I. iii. 101–2), although ironically his advice is calculated to keep her unready for adult responsibility. Likewise Cleopatra alludes to her own youth as 'my salad days / When I was green in judgment' ( _A &C_ I. v. 73–4), and throughout the plays 'green' will carry this double connotation of rawness and promise. At the other end of the continuum are a number of references to autumnal decline: sonnet 73, for example, and Macbeth's description of his way of life as 'fall'n into the sear, the yellow leaf' (V. iii. 23).
In almost every case, the Shakespearean protagonist is challenged to change as his or her circumstances change – to adapt to the world, and the people, around him. Those who fail to do so, as we shall see, fail to undergo a rite of passage, and instead of being incorporated into a new identity or social role, they remain static, imprisoned by their own natures and banished or rejected from the world of the play. The wicked Don John of _Much Ado about Nothing_ is one such character, and Malvolio is another; a third, and particularly striking example, is Juliet's Nurse. When we first meet the Nurse we are delighted by her bawdy language and frank sexuality, especially in contrast to the tedious and stilted conversation of Lady Capulet. Our delight continues, virtually unabated, through Act II scene V, in which Juliet waits impatiently for a message from Romeo. When she returns, inevitably late, the Nurse is elaborately out of breath, and some fifty lines intervene before Juliet can pry from her the happy news that her wedding will take place that very day. A few scenes later, however, when the play has been transformed from comedy to tragedy by the duel, the deaths of Mercutio and Tybalt, and the banishment of Romeo, the same behavior leads to a quite different result. Again the Nurse has been abroad, and again she returns, rambles and replies confusedly. Someone is dead – is it Tybalt or Romeo? Are they both dead? What has the prince decreed? The delay in the delivery of this second message is painful, not amusing. Similarly the Nurse's earthy pragmatism is attractive in the early scenes, much less so when she urges Juliet to commit bigamy and marry Paris. Her failure to change serves as an index or foil, against which we can measure the growth – and the consequent isolation – of Juliet. In much the same way the static nature of Don John points up the changes undergone by Benedick and Claudio, and Malvolio's failure to grow emphasizes, by contrast, the growth toward maturity of Olivia and Orsino. Perhaps the quintessential Shakespearean example of such a contrast between stasis and change is the relationship between Prince Hal and Falstaff. In the tavern world, as in the comic scenes of _Romeo and Juliet_ , Falstaff's humor (and humors) are not only appropriate but captivating. With the crossing of the threshold into war, however – and later when Hal crosses a further threshold and becomes king – Falstaff's failure to change is a sign of his unfitness for Hal's new world: 'What, is it a time to jest and dally now?' ( _1HIV_ V. iii. 57).
Inimitably Shakespearean, characters like these are far removed from mere types, although they are related in some cases to the older dramatic forms of the Vice and the Machiavel, and in others to the comedy of humors. By their very nature, however, such figures are radically limited, and the audience will usually find itself more deeply engaged with those characters who do grow and change in the course of the plays. Not only are they more complex, they are also closer to our own challenges and our own experience – to the questions we pose for ourselves about the problems of life and the answers – satisfactory or not – we provide. In the course of four days (or 'the two hours' traffic of our stage') we see Juliet grow from a submissive daughter for whom marriage is 'an honor that I dream not of' ( _R &J_ I. iii. 66) to a sexually self-knowledgeable lover who longs for 'love-performing night' (III. ii. 5). The plays involving Prince Hal are overtly a chronicle of education, and _Hamlet_ too is (among many other things) a play about the problems of coming of age. To speak of maturity for Juliet or Hal or Hamlet is hardly to do violence to the fictive nature of the plays which contain them; the 'identity formation' of which Erikson speaks is crucial to both the protagonist and the secondary characters who surround and influence him. The same could be said of the dramatic development of Leontes, or Lear, or Benedick, each in his own generic context, and, to a lesser but still important extent, of the lords in _Love's Labor's Lost_ , Kate in _The Taming of the Shrew_ , Olivia in _Twelfth Night_ – to cite a random few. Macbeth, too, changes, although in the opposite direction, away from conscience and toward monstrous indifference to life. If we are willing to use the vocabulary of psychoanalysis, we could – and I think should – say that he regresses.
All these are fairly obvious instances, in which some visible alteration occurs in the dramatic character. But what of such figures as Cordelia or Desdemona, who seem so attractive when first we meet them, and who retain their attractiveness for us throughout the play? Is a term like 'maturity' (or its invidious opposite, 'immaturity') applicable to them? Many who admire the plays will bridle at the idea of Cordelia as 'immature', or of an Othello who does not act like an adult. Yet if we consider the experience of the play as one of progress toward self-knowledge, a growth and change for its main characters as well as for the audience, we may find a certain usefulness in these terms. No one, presumably, would wish _King Lear_ to end after the opening scene, with Cordelia's acquiescence to her father's demand for a verbal expression of love. But her failure to offer such a pledge, her determination to love and be silent, does help to precipitate the tragedy. In one sense at least her silence is a self-regarding act, as inflexible as the imperious father whom she so much resembles. Her own phrase as she leaves the court is a suggestive one: 'with washed eyes / Cordelia leaves you' (I. i. 268–9). She has seen something in that first scene which will change her. When she next appears, much later in the play, she is no longer a gnostic emblem of silent wisdom: she is a woman – and she speaks.
The broken Lear, awakening from sleep, gradually allows himself to believe that Cordelia is his child. When he receives her assurance ('and so I am, I am'), he poses his initial question again, although in a different key: 'I know you do not love me; for your sisters / Have, as I do remember, done me wrong. / You have some cause, they have not' (IV. vii. 73–5). Gone is the arrogance of royalty – but the implicit demand remains : tell me that you love me. And Cordelia's enigmatic reply, 'No cause, no cause' (75), is an answer not only to this second question, but also to the first. There is 'no cause' for her to hate him, despite his actions in the past, because the bonds of love and blood which bind her to him are not susceptible to change by reason of circumstance. This is what she had tried to tell him by her silence, and failed. Here she speaks, and speaks what might at first be taken for a falsehood – for in one sense at least she does have 'cause'. But her action in speaking, and her willingness to speak to the question behind the question, mark a change, if not in her moral rectitude and purity of love, then in her capacity to translate that love into a social act of reintegration. Just as her failure to reply in the first scene led to a separation of father and child, so her spoken answer here leads to an incorporation, a new bond, the formation of a new social unit, however brief and fragile. It is this ability to come to terms with the world around her, its social necessities as well as its moral issues, that I have in mind when I speak of 'maturity'.
Desdemona poses a different problem, for she seems from the first to be gifted with womanhood and self-knowledge. Her choice of a husband over a beloved father, as we will see, is a rite of separation and incorporation at once, an explicit and definitive rite of passage. How then can we say that she needs to grow or change? With her, as with some other Shakespearean figures (Duncan comes to mind) the problem lies in her own innocence – in her refusal to see evil in the world. We do not wish her to share Emilia's pragmatic views, but her failure to do so makes her own death inevitable. When she sees 'Othello's visage in his mind' (I. iii. 247) she sees only the noble public man, and not the insecure and vulnerable private one. As for Othello himself, it is certainly true that the audience admires him in the early scenes, agonizes at his credulousness, winces at his blind cruelty and sympathizes with his final magnificent and tragic speech. But this admiration for him as a dramatic character does not blind us to his failures of self-knowledge, or deafen us to his telltale breakdown in speech in the fourth act, when he exhibits the willful temper of a child. That he regains his grandiloquent language in the play's final moments may signal a pattern of growth, but it is a growth that comes too late, just as his refusal to acknowledge his own sexual nature, as we will see, contributes in no small way to the displacement of sexual passions in the direction of violence. Psychoanalysts have seen in him 'a fear of impotency, homosexuality, castration, or a lack of self-esteem'.39 But whatever the specific nature of his inner distress, the crucial fact is that he never comes to terms with it. He participates in the external ceremonies that mark rites of passage in marriage and in war, but never effectively crosses the threshold of self-knowledge.
At this point it may be well to state that despite this brief attempt to explain what I take to be the relationship of maturation, social integration and self-knowledge, I am aware that 'maturity' remains a troublesome word, and I have tried to use it with care. It is not my purpose to judge Shakespeare's characters, except to the extent that the plays encourage us to judge them. Just as an anthropologist visits an alien people and observes its customs, deducing from them the values of that society, so the critic of Shakespeare's plays may visit his dramatic world and deduce its values from what can be observed there.
Manifestly, each play has a world all its own, which may be compared to, but cannot be identified with, that of others or indeed with the world of the reader. Yet there are analogies to be drawn among many of the plays and many of their characters, signalled by similarities of situation or of language. When Romeo doffs his name, declaring in the balcony scene 'Henceforth I never will be Romeo,' he transforms himself. The doffing of the name is a rite of passage, which symbolizes his transition from the clan of the Montagues and the bands of joking youths to the role of Juliet's lover, soon to be her husband. And when the reader, or audience, hears a similar pronouncement at the end of _Macbeth_ , it is reasonable to imagine that a similar rite is taking place, despite the very different dramatic circumstances. 'My thanes and kinsmen,' says Malcolm, 'Henceforth be earls, the first that ever Scotland / In such an honor named' (V. viii. 62–4). The thanes are to doff their former titles, and take new ones; again a rite of passage is ordained – one which will signal a separation from the old Scotland, and a movement toward the unified country under James I's reign. The rhetorical similarity of the two phrases – 'Henceforth I never will be...' 'Henceforth be...' underscores their functional similarity. An act of transformation – literally of 'translation' from one name to another – is taking place.
The chapters that follow will suggest the presence of a number of such rites of passage in the plays. Patterns of initiation and criteria of personal maturity will, inevitably, vary from group to group, or from culture to culture. Some of those described in these pages correspond directly to rites practiced by tribes or sects that have received extensive scrutiny by social scientists, while others may seem less broadly based, more specific to their Shakespearean context. But whether concerned with sexuality and marriage, with naming, with language, or with self-comparison and self-judgment, each rite conforms to the basic sequence of separation, transition and incorporation as documented by van Gennep. The Shakespearean novice, like his or her counterpart in society, must be separated from a former self before he or she can be integrated into a new social role. At the core of the arguments to be advanced here is my conviction, strengthened during the course of this study, that by observing recurrent modes of behavior and speech in the plays, and extrapolating from them certain unspoken but consistent rules of conduct, we can achieve an understanding of 'maturity' as it applies to Shakespeare's dramatic characters. Through their repetitions of motif, incident and phrase, the plays offer us a cumulative portrait of what it means to be a successful adult in a Shakespearean world – and, just possibly, in our own.
Notes
1 Several of these are cited in _The Forest: or, Collection of Historyes no less profitable, than pleasant and necessary_ , Thomas Fortescue (trans.) (London, 1571; rpt. by John Daye, 1576), pp. 37–40, a translation of a French version of an Italian translation of Pedro Mexia's _Silva de varia leccion_ (Seville, 1542). Fortescue's examples and others are mentioned by Samuel C. Chew, 'This strange eventful history', a valuable study of the history of the 'ages' theme, in James G. MacManaway, Giles E. Dawson and Edwin E. Willoughby (eds), _Joseph Quincy Adams Memorial Studies_ (Washington: The Folger Shakespeare Library, 1948), p. 159.
2 Salomon Reinach, _Répertoire de peintures du moyen age et de la renaissance_ ( _1280–1580_ ) (Paris: Maison Ernest Leroux, 1918), IV, p. 626.
3 Reinach, II, p. 711.
4 Chew, p. 162.
5 The remaining five panels show the successive victories of Death, Fame, Time, Eternity, and finally the Poet, over his immediate predecessor. While this departs from a strict adherence to the 'ages' scheme, it is itself suggestive. Thomas More, _The Works ... in the English Tonge_ (London, 1557), sigs. 2¶2v–4r. Cited in Chew, pp. 171–2.
6 Arnold van Gennep, _Les Rites de passage_ (1908). All citations from van Gennep refer to the English translation, _The Rites of Passage_ , Monika B. Vizedom and Gabrielle L. Caffee (trans.) (Chicago: University of Chicago Press, 1960).
7 Van Gennep, p. 3.
8 Northrop Frye, 'The argument of comedy', in D. A. Robertson (ed.), _English Institute Essays 1948_ (New York: Columbia University Press, 1949), pp. 58–73.
9 Alvin Kernan, 'Place and plot in Shakespeare', _The Yale Review_ , LXVII, 1 (Autumn 1977), 48–56.
10 C. L. Barber, _Shakespeare's Festive Comedy_ (Princeton: Princeton University Press, 1959).
11 Mary Douglas, _Purity and Danger: An Analysis of the Concepts of Pollution and Taboo_ (London: Routledge & Kegan Paul, 1966), p. 95.
12 Douglas, p. 96.
13 Victor Turner, _The Ritual Process: Structure and Anti-Structure_ (Ithaca: Cornell University Press, 1969), pp. 94–6 and passim. See also Turner, 'Variations on a theme of liminality', in _Secular Ritual_ , Sally F. Moore and Barbara G. Myerhoff (eds) (Amsterdam: Van Gorcum, Assen, 1977), pp. 36–52.
14 Victor Turner, _Dramas, Fields, and Metaphors_ (Ithaca: Cornell University Press, 1974), p. 47.
15 Turner, _The Ritual Process_ , especially Chapter 3, 'Liminality and communitas', pp. 94–130.
16 Turner, _The Ritual Process_ , p. 96.
17 Turner, _The Ritual Process_ , p. 134.
18 Turner, _The Ritual Process_ , p. 140.
19 Van Gennep, pp. 22–3.
20 Van Gennep, p. 20.
21 Among primitive societies the ideas of holiness and uncleanliness (in persons and in places) are often not distinct from one another, and even in some advanced societies the two concepts may meet or overlap. See Mary Douglas, _Purity and Danger_.
22 Mircea Eliade, _Rites and Symbols of Initiation: The Mysteries of Death and Rebirth_ , Willard R. Trask (trans.), (originally published as _Birth and Rebirth_ ) (New York: Harper & Brothers, 1958; rpt. Harper & Row, 1975), p. X.
23 Eliade, p. xiii.
24 Erik Erikson, _Identity: Youth and Crisis_ (New York: W. W. Norton, 1967) p. 16.
25 Erikson, p. 92; citing Marie Jahoda, 'Toward a social psychology of mental health', in M. J. E. Benn (ed.), _Symposium on the Healthy Personality_ (Supplement II: Problems of Infancy and Childhood), Transactions of Fourth Conference, March 1950 (New York: Josiah Macy, Jr, Foundation, 1950). Following extract: pp. 22–3.
26 Bruno Bettelheim, _The Uses of Enchantment: The Meaning and Importance of Fairy Tales_ (New York: Alfred A. Knopf, 1976), p. 7.
27 Bettelheim, p. 3.
28 Bettelheim, pp. 6–7.
29 Eliade, p. 126.
30 Victor Turner, _Schism and Continuity in an African Society_ (Manchester: Manchester University Press, 1957). See also 'Social dramas and ritual metaphors', in _Dramas, Fields, and Metaphors_ , pp. 23–59.
31 Douglas, p. 100.
32 Erving Goffman, _The Presentation of Self in Everyday Life_ (Garden City, New York: Anchor Books, 1959). More recently Goffman has returned to this question of the relationship of 'everyday life' to the 'theatrical frame' from a somewhat different perspective. See his _Frame Analysis_ (Cambridge, Mass. : Harvard University Press, 1974).
33 Jane Ellen Harrison, _Prolegomena to the Study of Greek Religion_ , 3rd edition (Cambridge: Cambridge University Press, 1922; rpt. New York: Meridian Books, 1960), p. 568.
34 Jane Ellen Harrison, _Epilegomena to the Study of Greek Religion_ (Cambridge: Cambridge University Press, 1921), p. 26, n. 1.
35 Gilbert Murray, 'Excursus on the ritual forms preserved in Greek tragedy', in J. E. Harrison, _Themis_ (Cambridge: Cambridge University Press, 1912), pp. 341ff; F. M. Cornford, _The Origin of Attic Comedy_ (Cambridge: Cambridge University Press, 1914); R. J. Tiddy, _The Mummers' Play_ (Oxford: Oxford University Press, 1923); P. Toschi, _Le origini del teatro italiano_ (Turin, 1955).
36 The term is that of E. D. Chappie and C. S. Coon, in _Principles of Anthropology_ (New York: Henry Holt, 1942). Ch. 20, pp. 484–506, discusses rites of passage in detail. See also Edward Norbeck, _Religion in Primitive Society_ (New York: Harper & Row, 1961), pp. 138–68.
37 'Life of Julius Caesar', in T. J. B. Spencer (ed.) _Shakespeare's Plutarch: The Lives of ]ulius Caesar, Brutus, Marcus Antonius and Coriolanus in the Translation of Sir Thomas North_ (Middlesex, England, and Baltimore, Maryland: Penguin Books, 1964; rpt. 1968), p. 82.
38 For example, Herbert Weisinger, 'The myth and ritual approach to Shakespearian tragedy', in John B. Vickery (ed.), _Myth and Literature: Contemporary Theory and Practice_ (Lincoln: University of Nebraska Press, 1966), pp. 138–68.
39 Norman N. Holland, _Psychoanalysis and Shakespeare_ (New York: McGraw-Hill, 1964; rpt. Octagon Books, 1976), p. 253.
2
Separation and Individuation
'A Divided Duty'
For reasons which are probably both historical and dramatic, there are very few children in Shakespeare's plays. Those who do appear are both pert and malapert, disconcertingly solemn and prematurely adult: the Princes in the Tower, whose uncle's exasperation with them may be shared to a degree by the audience; Macduff's and Coriolanus' sons, both pathetically martial copies of their fathers; Mamillius, whose proposal to tell a 'sad tale ... for winter' reveals an intuitive comprehension of the problems of Sicilia and of his own impending doom. These are not, by and large, successful dramatic characters; their disquieting adulthood strikes the audience with its oddness, and we are relieved when these terrible infants leave the stage. We may feel it to be no accident that almost all go to their deaths.
More frequently, the condition of childhood is described in the plays retrospectively – either in passages of nostalgic reminiscence, or at moments of dramatic choice, when the identity of the child as obedient follower of its parent is called into question. In both of these situations, what is principally at stake is the child's claim to his or her own individual role, distinct from that of playfellow or parent. The pattern of sexual maturation in Shakespeare is one of deliberate separation – a movement away from group identification either with peers or with a nuclear family unit, freeing the individual to contract new bonds. And this pattern of individuation is closely linked to a characteristically Shakespearean concern for fertility and the cycle of nature, the renewal of life and the procreation of the ancestral lineage achieved, perhaps paradoxically, by a necessary act of separation from that lineage. Those characters in the plays who accept this necessity, regardless of their individual fates, are presented to us as figures of moral strength and of self-knowledge; those who cannot accept it – like Ophelia and Coriolanus – are presented as moral weaklings, incapable of coming to terms with the complex worlds they inhabit, and incapable, too, of successfully replacing the fraternal or filial bond with the more fruitful bond of marriage.
A common Shakespearean paradigm for the condition of childhood is that of twins and twinned experience, in which a pair of friends, usually of the same sex, appear to themselves and to others as identical and interchangeable, undifferentiated in character, feature, or affection. Literal twins appear, of course, in _The Comedy of Errors_ and in _Twelfth Night_ ; in both, the twins are repeatedly taken for one another in situations which threaten their societal, and particularly their marital and procreative, roles. Antipholus of Syracuse is claimed as husband by Adriana, his brother's wife; he has himself fallen in love with her sister, Luciana, who rebuffs his advances, thinking they come from her brother-in-law. This inappropriate, indeed wholly stymieing, situation appears to be insoluble, until Egeon and the Abbess are revealed as the long-separated parents of the pair, and the twins' identities are established. Her sons are restored to the Abbess, who now leaves the chastity of the convent to rejoin her husband, and with this token of restored fertility the Antipholuses are matched with their proper ladies. In _Twelfth Night_ Viola finds herself in a situation which is, if possible, even more awkward; disguised as a boy, and dressed in conscious imitation of her brother Sebastian, whom she believes to be drowned, she falls in love with Orsino, in whose service she is employed, and becomes herself the discomfited object of passionate demonstrations from Olivia, to whom Orsino has sent her as emissary of his love. The appearance of the real Sebastian reassorts the pairs, making two fruitful couples where there had been only fruitless error. Individuation, the finding and asserting of identity, is in these plays closely related to sexual maturity and cyclical change; as one grows in self-knowledge, one moves from the confused and mingled identity of twinship, which thwarts fertile pairing, toward productive courtship and marriage. Both of these plays present the familiar Shakespearean theme of losing-oneself-to-find-oneself, but they do so with a novel particularity. The condition of loss or confusion of identity is matched with twinship, and though the love represented by the fraternal bond is not lost, it cedes its primacy to a sexual bond which celebrates human uniqueness.
But literal twins are far from the only instance of childhood twinning in the plays. Frequently, nostalgic recollections of youthful experience utilize the twin image as a sign of interchangeability and lack of differentiation. Such a situation is clearly indicated by Helena's reproach to Hermia in Act in of _A Midsummer Night's Dream_ :
We, Hermia, like two artificial gods,
Have with our needles created both one flower,
Both on one sampler, sitting on one cushion,
Both warbling of one song, both in one key;
As if our hands, our sides, voices and minds,
Had been incorporate. So we grew together,
Like to a double cherry, seeming parted,
But yet an union in partition;
Two lovely berries molded on one stem;
So, with two seeming bodies, but one heart.
(III. ii. 203–12)
The twinship of these two young women, innocent and explicitly parallel to twin forms in nature, is closely analogous to the relationship between Celia and Rosalind in _As You Like It_ , as Celia sets it forth early in the play:
We still have slept together,
Rose at an instant, learned, played, eat together;
And wheresoe'er we went, like Juno's swans,
Still we went coupled and inseparable.
(I. iii. 72–5)
Nor is this imagistic twinning an exclusively female pattern. Perhaps the best known of Shakespeare's images of twinned pairs is that of the two kings in _The Winter's Tale_. There Polixenes, asked by Hermione to describe his childhood friendship with Leontes, gently but firmly refutes her attempt to differentiate them:
_Polixenes_ We were, fair queen,
Two lads that thought there was no more behind
But such a day tomorrow as today,
And to be boy eternal.
_Hermione_ Was not my lord
The verier wag o' th' two?
_Polixenes_ We were as twinned lambs, that did frisk i' th' sun,
And bleat the one at th' other; what we changed
Was innocence for innocence; we knew not
The doctrine of ill-doing, nor dreamed
That any did.
(I. ii. 62–71)
Certain characteristics common to all three of these passages suggest a kind of imagistic unity of approach to childhood: all three pairs are described in natural metaphors of fruit or animal twinning; all imply a springtime landscape commensurate with the youth and incipient maturation of their subjects; all assert, with an insistence almost polemical, the innocence of those described and their undifferentiated nature. If encountered at this stage, all three speakers imply, Hermia could not be told from Helena, Celia from Rosalind, or Leontes from Polixenes.
The tone of each of these verbal descriptions is notably placid, implicitly or explicitly eternizing: 'we grew together'; 'still we went coupled and inseparable'; 'to be boy eternal'. But in Shakespeare's plays any hint of stasis, or resistance to the cyclical pattern of growth and decay, maturity and mortality, is highly suspect and leads to disaster, as Ferdinand's exclamation in _The Tempest_ , 'Let me live here ever!' leads to the breaking of the masque and Prospero's memory of the plot against his life. The desire to be 'boy eternal' effectively precipitates the split between Leontes and Polixenes by exposing their lack of self- knowledge and knowledge of cyclical process. In fact, all three of these passages, despite or perhaps because of their calm expectation of timelessness, are framed by the anticipation of present reversal. Helena's lament is provoked by her belief that Hermia is in league with Lysander and Demetrius to mock her unrequited love:
Is all the counsel that we two have shared,
The sister's vows, the hours that we have spent,
When we have chid the hasty-footed time
For parting us – O, is all forgot?
All school days friendship, childhood innocence?
*****
And will you rent our ancient love asunder,
To join with men in scorning your poor friend?
( _MND_ III. ii. 198–216)
The advent of sexual love, in the case of Helena and Hermia, has brought about separation and differentiation, each here presented in the image of a fall. The fall and its attendant Christian overtones are even more explicit in Polixenes' speech, where they serve as a prolepsis to the larger dislocation of trust and friendship which forms the central action of the play:
_Polixenes_ We knew not
The doctrine of ill-doing, nor dreamed
That any did; had we pursued that life,
And our weak spirits ne'er been higher reared
With stronger blood, we should have answered heaven
Boldly, 'Not guilty'; the imposition cleared,
Hereditary ours.
_Hermione_ By this we gather
You have tripped since.
_Polixenes_ O my most sacred lady,
Temptations have since then been born to's, for
In those unfledged days was my wife a girl;
Your precious self had then not crossed the eyes
Of my young playfellow.
( _WT_ I. ii. 69–80)
Once again, the spur to separation, differentiation, and subjection to the process of time has been sexual; the 'stronger blood' to which Polixenes makes reference is the blood of sexual passion, and the fall, trivialized as 'tripped' in Hermione's playful challenge, is identified as the 'temptation' posed by marriageable, i.e. by sexually mature and desirable, women. The twinned state is disrupted by a remembrance of man's sexual nature; he turns away from the unfallen paradisal timelessness of the innocent twinned lambs, and embraces, as he must, the fallen state of mortal man, his passions and his 'blood'.
The inseparable swans of Celia's account, like the double cherry and the twinned lambs, are an instance of natural pairing in an ideal world, here the mythological realm of Juno, whose chariot they were said to draw. There may be a hint, in the selection of this image, that it too is to be superseded; Juno is the goddess of marriage, and for Celia and Rosalind, as for Hermia and Helena, marriage will replace their 'coupled and inseparable' relation to one another with the more fruitful coupling of sexual love. Celia's idyllic description, like Helena's and Polixenes', is immediately contradicted, in this case by her father, Duke Frederick, who has banished his brother, Duke Senior, from the court, and wishes now to banish his niece, Rosalind.
_Duke_ Frederick She is too subtile for thee; and her smoothness,
Her very silence and her patience,
Speak to the people, and they pity her.
Thou art a fool. She robs thee of thy name,
And thou wilt show more bright and seem more virtuous
When she is gone.
( _AYLI_ I. iii. 76–81)
Where Celia sees a twinship, Duke Frederick perceives the contrast of jewel and foil. His more worldly, yet radically circumscribed, vision can only accommodate a fallen state of competitive theft – 'she robs thee' – as Hermia accuses Helena, and Leontes Polixenes, of sexual theft. As Celia departs with Rosalind for the Forest of Arden, pursuing, as she thinks, the paradisal state of twinned loyalty, she finds herself, as does Rosalind, entering a world of sexual maturity. 'Banished' like Adam and Eve, they 'fall' like Adam and Eve into sexual awareness, and replace their twinned but limited union as sisters with the more inclusive prospect of marriage to two brothers. The choice of a pair of brothers, though inherited from Lodge's _Rosalynde_ , also has the effect of transforming an impossible pattern into a possible one; as we have seen, much the same educative reversal takes place in _The Comedy of Errors_ , where two brothers marry two sisters, and in _Twelfth Night_ , where Olivia's impossible love for Viola-Cesario is shifted to Viola's twin brother Sebastian in the nick of time.
The Celia-Rosalind situation, however, remains relatively dormant as a metaphor. Duke Frederick's dark hints about Rosalind's attractions are not borne out in the plot, and there is no competition between Celia and Rosalind for the love of either brother. The Duke's suspicions do bear fruit, however, in another and later play, in which we are once again confronted with a pair of young women twinned by circumstance. This pair, found in _Pericles_ , are Marina and Philoten, and their situation is described by Gower:
Our Cleon hath
One daughter, and a full grown wench,
Even ripe for marriage rite. This maid
Hight Philoten; and it is said
For certain in our story, she
Would ever with Marina be.
Be't when she weaved the sleided silk
With fingers long, small, white as milk;
Or when she would with sharp needle wound
The cambric, which she made more sound
By hurting it; or when to th' lute
She sung, and made the night-bird mute,
That still records with moan; or when
She would with rich and constant pen
Vail to her mistress Dian; still
This Philoten contends in skill
With absolute Marina: so
With dove of Paphos might the crow
Vie feathers white. Marina gets
All praises, which are paid as debts,
And not as given. This so darks
In Philoten all graceful marks
That Cleon's wife, with envy rare,
A present murderer does prepare
For good Marina, that her daughter
Might stand peerless by this slaughter.
(IV. Prol. 15–40)
The creative activities of singing and sewing link these twinned young women to Hermia and Helena, though in this case a distinction in skill is clearly indicated; Cleon's wife reasons, as does Duke Frederick, that Philoten 'will show more bright and seem more virtuous' when Marina is gone. Significantly, Philoten – whom we never see – is characterized by Gower as 'a full grown wench, / Even ripe for marriage'. The attempt on Marina's life is precipitated, not by generalized rivalry, but by a mother's sexual jealousy on behalf of her daughter: 'She did distain my child, and stood between / Her and her fortunes' (IV. iii. 31–2). For fourteen years Marina has lived safely in Tharsus; it is only when maturity and the prospect of marriage come upon her that her life is threatened, and she is seen to be individuated from Philoten.
We might here take note of an interesting variant of this twinning pattern, in which the specter of an offstage 'twin' or 'sister' offers a strong contrast to the onstage protagonist and acts as an index of her progress. Thus when Lady Capulet broaches the question of Juliet's marriage to Paris by alluding to her 'pretty age', the Nurse reminds her that she can 'tell her age into an hour', because Juliet was 'of an age' with the Nurse's own daughter, Susan. But 'Susan is with God', dead in childhood, and although Juliet will also die young, her experiences with love, sex, pain and loss are enough for a lifetime of adulthood. Susan is almost forgotten as the play unfolds, but her alternative fate is instructive in our observation of Juliet's growth to maturity.
Likewise we hear in _Love's Labor's Lost_ that Katherine, one of the ladies who attends the Princess of France, had a sister who died of love; Cupid made her 'melancholy, sad, and heavy; / And so she died; (V. ii. 14–15). But 'Had she been light, like you,' says Katherine to her friend Rosaline, 'Of such a merry, nimble, stirring spirit, / She might ha' been a grandam ere she died. / And so may you, for a light heart lives long' (15–18). The play does not last long enough to fulfill this prediction, but by its close we have seen the ladies all learn much about the nature of love, combining an appropriately melancholy sadness at the death of the King of France with the promise of future marriages to the lords of Navarre.
Viola-Cesario invents a similar sister, who never told her love and pined away like Patience on a monument, smiling at grief. Her purpose in this invention is, most directly, to educate the obtuse Orsino about the strength of a woman's love. At the same time, however, the 'sister' displaces Viola's own hidden and hopeless passion for Orsino himself; her tale is simultaneously a fiction and a truth. Yet Viola herself is not the type to pine away, and having expressed her feelings in this oblique and emblematic way, she resolutely goes on with the unwelcome task of wooing Olivia – with unexpected but gratifying results. Once again the absent sister serves as a useful reminder of what might have been and a sign of Viola's (and the French ladies') ability to grow, learn and change.
The state of sexual maturity is thus presented by Shakespeare as one of individuation and differentiation. The fraternal or sororal bond is necessarily a limited one, which must yield priority to a marital and sexual bond, as the timelessness of the twinned-lamb and double-cherry images must yield to an acceptance of time and change, and a consequent stress upon fructification and the natural round. A refusal to acknowledge the limits of fraternity or twinship is tantamount to a blindness to self; to be boy eternal is not only impossible, but also undesirable, and it is in coming to terms with the necessity of their 'stronger blood' that Hermia will win her Lysander, and Marina her Lysimachus.
Moreover, the example of Hermia serves, in fact, a double purpose, for in her choice of Lysander Hermia directly disobeys her father Egeus, who has insisted that she marry Demetrius. And it is here that we encounter the second half of the fraternal-filial pattern. Just as it is a sign of self-knowledge and of an acceptance of maturity to cease to be a twinned lamb and become a king and father, so it is also such a sign to turn away from one's duty to a parent and toward one's duty to a spouse. Theseus must learn this before his own marriage day, and ironically so, since he tells us that his own courtship was accomplished not by parental consent but with his sword; yet the choice he ordains for Hermia, marriage to Demetrius or the life of 'a barren sister... chanting faint hymns to the cold fruitless moon', is clearly unacceptable both in terms of comedy and in terms of larger patterns of fertility and renewal. Hermia's defiance of both these father figures, Egeus and the Duke, is a freeing action which liberates all the play's lovers, and leads them into the Athenian wood, with all its sexual passions, temptations and confusions. Avoiding the Scylla of the nunnery, Hermia sails dangerously close to the Charybdis of Titania's lust for the ass-headed Bottom, but emerges safely, and somewhat more self-knowledgeably, into the orderly harbor of marriage.
A less fortunate but even more educative journey is undertaken by Juliet, who, like Hermia, finds herself faced with the choice between a father and a lover. Juliet expresses the nature of her dilemma early in the play, in lines which are so often quoted out of context that their true import is in danger of being obscured: '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' (II. ii. 34–6). This election of identity is forced upon her by circumstance, but there is no doubt of her resolution; she knows the nature of her allegiance, as is clear from her impassioned response to the news of Tybalt's death and its aftermath:
Tybalt's death
Was woe enough, if it had ended there;
Or, if sour woe delights in fellowship
And needly will be ranked with other griefs,
Why followed not, when she said 'Tybalt's dead,'
Thy father, or thy mother, nay, or both,
Which modern lamentation might have moved?
But with a rearward following Tybalt's death,
'Romeo is banished' – to speak that word
Is father, mother, Tybalt, Romeo, Juliet,
All slain, all dead.
( _R &J_ III. ii. 114–24)
Manifestly Juliet is neither hardhearted nor of an unloving disposition, yet she prefers the death of both her parents to the banishment of her lover. Moreover, it is she, and not Romeo, who is most outspoken about the sexual nature of their bond – she who, waiting in the orchard for Romeo to come to her bed, calls upon the horses of the sun in a frank reversal of Ovid's _lente currite, noctis equi_ :1 'Gallop apace, you fiery-footed steeds, / Toward Phoebus' lodging!... Spread thy close curtain, love-performing night.... O, I have bought the mansion of a love, / But not possessed it' (III. ii. 1–27). Juliet's choice is a measure of her maturity and self-knowledge. Awakening in her tomb to find the body of Romeo beside her, she cannot accept the Friar's offer to 'dispose' of her 'among a sisterhood of holy nuns', any more than Hermia can accept the fate of a 'barren- sister' threatened by Theseus. As always in Shakespeare, the alternative of a celibate life in a nunnery is presented as a wrong path, an infertile solution which denies the fundamental nature of humanity; even the abbesses of _The Comedy of Errors_ and _Pericles_ are only temporary inhabitants of the cloister, both mothers who regain by play's end their lost husbands and children – and Angelo in _Measure for Measure_ learns the hard way that he is not really 'a man whose blood / Is very snow- broth' (I. iv.57–8). Juliet's choices, of life with Romeo rather than with father or mother, death with Romeo rather than the convent without him, provide a paradigm of the Shakespearean pattern of achieved womanhood, as it will be manifested in the major tragedies and the romances.
We may see in Portia, as well, an anticipation of this pattern and a full expression of it. In a play constantly concerned with various kinds of fathers and their relationships to their children – Portia's father and his legacy of the casket choice; Shylock and Jessica; old Gobbo and Launcelot; God the Father and His legacy of mercy through His Son – Portia learns with ease and resolution the lesson of necessary filial separation. Subjected to her father's will, she at first laments her condition to Nerissa: 'I may neither choose who I would not refuse nor refuse who I dislike, so is the will of a living daughter curbed by the will of a dead father' (I. ii. 22–4). Yet her father's will is finally one of free will, which leaves her sufficient to stand, though free to fall, and the choice of the three caskets is presented in contrast to the absolute tyranny of Shylock over Jessica, in which daughter and ducats are indifferently interchangeable. The legacy left Portia is one of liberation, not of bondage. When Bassanio chooses the right casket, she significantly gives herself to him in a solemn and ceremonious speech culminating in her bestowal of a ring, a deliberate reversal of the traditional marriage ceremony in which the ring is given by the husband, worn by the wife. And Jessica, too, partakes of this freeing pattern. A more orthodox figure of rebellion against repressive fatherhood, she flees with Lorenzo as Hermia attempts to flee with Lysander, and in the Belmont world she is moved to assert confidently, 'I shall be saved by my husband' – an allusion to 1 Corinthians 7:14:' For the unbelieving husband is sanctified by the wife, and the unbelieving wife is sanctified by the husband.' Salvation and self-knowledge are once again manifestly linked to the rejection of a father's repressive control, and the willed choice of a husband.
A briefer but equally striking version of this choice occurs at the beginning of _All's Well That Ends Well_ , when Helena is torn between the appearance of public grief for her father, and the reality of private grief about Bertram. Lafew and the Countess of Rousillon have spoken feelingly of the untimely death of Helena's father, whose talents as a physician are sorely missed in the court of the afflicted King of France. When she is left onstage alone, however, Helena confesses immediately that her thoughts are elsewhere:
I think not on my father,
And these great tears grace his remembrance more
Than those I shed for him. What was he like?
I have forgot him; my imagination
Carries no favor in't but Bertram's.
(I. i. 82–6)
Significantly, both Bertram and Helena have recently been bereaved of their fathers; equally significantly, Helena starts in unhappy fear when the countess offers to be a 'mother' to her, explicitly declaring that she does not want Bertram as her brother. She wants him, of course, as a husband. But the problem of incest nonetheless pervades this troubling play, and the much-reviled Bertram may perhaps be forgiven something of his churlishness in the light of what we have been saying about stages of maturation.2 Helena's tears, we are told by the countess, are 'the best brine a maiden can season her praise in' (I. i. 49–50). Bertram, she tells us a few lines later, is an 'unseasoned courtier' (72). Helena's ready acknowledgment of the choice of husband over father places her at a different stage of development from Bertram, who is evidently weary of the exclusively female companionship (and apparent domination) of his mother and Helena. The first line of the play is the Countess' disturbingly ambiguous remark that 'In delivering my son from me I bury a second husband.' At once a newborn child and his mother's (forbidden) husband, Bertram chooses instead the hegemony of the king (described by Lafew as Bertram's new 'father') and the fellowship of other lords in the wars. This period of what is frequently called 'male-bonding' is an essential transition for Bertram from the child-parent relationship to a place in adult society. His treatment of Diana, whom (despite her name) he tries to seduce, is almost as shoddy as his treatment of Helena, but _All's Well_ will not, I think, finally permit us to see all the blame on his side. The play offers, instead, a complex and sophisticated network of personal relationships, in which Helena's crucial declaration that she has forgotten her father for Bertram must be partnered by Bertram's discovery that the metaphorical 'sister', however low-born, is not a sister at all, but a responsive sexual partner (who found him 'wondrous kind' in bed – V. iii. 310) and the mother of his child. From the opening line's unwelcome suggestion that he is still an infant to be 'delivered', the play has developed to a point where Bertram himself is to assume the desirable roles of father and husband.
In another of the dark comedies, _Measure for Measure_ , we once again encounter the problems of twinning and individuation combined with the motif of dependence on a father – but in this case the problem is not so happily resolved. Isabella refers to Juliet as her 'cousin', explaining that she uses the term 'Adoptedly, as schoolmaids change their names / By vain, though apt, affection' (I. iv. 47–8). The childhood relationship of the two girls thus seems to have followed the pattern of Hermia and Helena, or Celia and Rosalind. But where both members of those twinned pairs proceeded eagerly toward marriage, Isabella and Juliet have followed paths that are diametrically opposed. As the play opens we hear that Juliet is pregnant by Isabella's brother, Claudio, while Isabella herself is about to enter a nunnery. When Angelo demands that she sleep with him as ransom for her brother's life, Isabella not only declares ringingly that 'More than our brother is our chastity' (II. iv. 184) – she also hastens to Claudio's cell to ascertain that he is prepared to die. And when he, with more bravado than truth, asserts that he is ready, she discovers in him not only a brother but also a father. 'There spake my brother, there my father's grave / Did utter forth a voice' (III. i.85–6). Claudio does not yet know of the proposed bargain, but Isabella has deftly manipulated circumstances so that her father – though dead – appears to support her determination to remain a virgin. She clings to the submissive role of a child, turning away from adult responsibility and sexuality in a single gesture. Her later remark in the same scene, 'Is't not a kind of incest, to take life / From thine own sister's shame?' (138–9), may also be psychologically revealing: her 'cousin' has slept with her beloved brother and is carrying his child.3 Isabella's fanatical chastity seems here not unrelated to taboo, as well as to a regressive return to domination by the father. The play's problematic ending – will she or won't she marry the duke? – is rendered even more disturbing if the duke is conceived of as a man of Isabella's father's generation. Since Lucio calls him an 'old fantastical Duke of dark corners', and the duke alludes to either 'nineteen' (I. ii. 171) or 'fourteen' (I. iii. 21) years of rule, this conjecture seems quite possible. If we are to judge by the tenets and practice of the other plays, however, even a December-May marriage would be preferable, in Shakespearean terms, to a life forever spent in the nunnery – which is not to say that the audience can, or must, assume that such a marriage will take place. The ending remains both disturbingly and fruitfully ambiguous: a striking example of the complex problems of sexual growth and choice.
It is the mature tragedies, however, which most vividly display the importance of this kind of filial choice. Desdemona, summoned to the Venetian council chamber in the middle of the night, replies composedly to her father's question:
_Brabantio_ Do you perceive in all this noble company
Where most you owe obedience?
_Desdemona_ My noble father,
I do perceive here a divided duty.
To you am I bound for life and education;
My life and education both do learn me
How to respect you. You are the lord of duty,
I am hitherto your daughter. But here's my husband,
And so much duty as my mother showed
To you, preferring you before her father,
So much I challenge that I may profess
Due to the Moor my lord.
( _Oth_. I. iii. 177–87)
The argument could not be more clearly put. Loyalty to father must give way to loyalty to husband. At stake for the society is lineal succession, the fertile round; for the individual, what is at stake is achieved maturity, the fruits of life and education. Desdemona, like Juliet, expresses her commitment in terms which are frankly and unmistakably sexual, in her plea in the same scene to accompany Othello to Cyprus:
That I love the Moor to live with him,
My downright violence, and storm of fortunes,
May trumpet to the world. My heart's subdued
Even to the very quality of my lord....
So that, dear lords, if I be left behind,
A moth of peace, and he go to the war,
The rites for why I love him are bereft me,
And I a heavy interim shall support
By his dear absence. Let me go with him.
( _Oth_. I. iii. 243–54)
When she arrives at Cyprus, Desdemona is greeted by Othello as 'my fair warrior'; Portia had likewise assumed, in costume rather than in metaphor, the guise of a man. Yet these are not, surely, evidences of androgyny – no figures are more fulfilled in their femininity than these Shakespearean heroines – but rather confirmatory signs of the mature entry of these women into the world of active passions and state affairs, a world which can only be entered by casting aside the passive modesty of an obedient Ophelia.
Desdemona's recognition of 'a divided duty' is echoed, of course, by Cordelia, in the most famous of all Shakespearean scenes of choice. Demanded by her father, as Desdemona was by hers, to declare the extent of her love and allegiance, she replies in similarly resolute terms:
Why have my sisters husbands, if they say
They love you all? Haply, when I shall wed,
That lord whose hand must take my plight shall carry
Half my love with him, half my care and duty.
Sure I shall never marry like my sisters,
To love my father all.
( _Lr_ I. i. 99–104)
Goneril and Regan, so quick and glib in their own assurances of filial devotion, are exposed in the course of the play to be 'tigers, not daughters' – and this is Goneril's husband's phrase. They are incapable of love, prey to sexual passion without moral scruple or concern, mutually destructive and wholly lacking in self-knowledge. Theirs is the alternative path of Shakespearean offspring; for, as we shall see, the child who clings to its parent, rejecting, whether in passivity, guile or psychological dependence, the claims of marital love, appears repeatedly in the plays as a figure of consummate self-ignorance, unwilling or unable to come to terms with the demands of mature adulthood.
A pivotal example of this condition can be found in the behavior of Cressida, who begins, apparently, as a lover in the Juliet-Desdemona pattern, denying her father's claim upon her:
_Pandarus_ Thou must to thy father and be gone from Troilus....
_Cressida_ I will not, uncle. I have forgot my father;
I know no touch of consanguinity –
No kin, no love, no blood, no soul so near me
As the sweet Troilus. O you gods divine,
Make Cressid's name the very crown of falsehood
If ever she leave Troilus!
( _T &C_ IV. ii. 92–102)
Yet her resolve is rhetorical, not real. The next scene presents her as already resigned to separation, the exchange of tokens with Troilus here almost a travesty of Portia's solemn ring-giving, and only a few hundred lines later Cressida is in full flirtation with the assembled Greek generals. Ulysses' withering epithet for such women, ' _daughters_ of the game' (IV. v. 63), suggests the crucial division between childhood and wifehood which lies at the root of her dilemma. Diomedes, who will become her lover in a key far removed from the Petrarchan idealism of Troilus, has the final word in this encounter, and it is a telltale one:
_Diomedes_ Lady, a word. I'll bring you to your father.
[ _Exeunt Diomedes and Cressida_ ]
( _T &C_ IV. v. 53)
Here we have the spectacle of a return to the parent, the filial choice inverted. Cressida is not a wicked woman, like Goneril, but she is a weak one, not cast in the same heroic mold as Desdemona, or Portia, or Juliet. We may pity her, we may feel that in a sense she has no choice – but the reversal of the pattern of necessary filial separation here becomes its own metaphor, an emblem of Cressida's moral insufficiency.
In this Cressida is, oddly, very like Ophelia, whom she does not otherwise resemble. Cressida is worldly wise, sexually appetitive if not mature enough to comprehend the fuller complexity of marital love; Ophelia, of course, is her polar opposite. Yet Ophelia, too, is confronted with an opportunity to temper, if not to avert, tragedy through moral choice; and Ophelia, too, cannot choose. From the first moment that we see her, we are made aware of her passivity and filial subjection with regard to Hamlet's courtship:
_Polonius_ I must tell you
You do not understand yourself so clearly
As it behooves my daughter and your honor....
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 will teach you.
( _Ham_. I. iii. 95–105)
This is the same first-act challenge Brabantio made to Desdemona, and Lear made to Cordelia. But Ophelia turns away from mature love, turns back to her father and away from life. Hamlet's agonized and punning cry, 'Get thee to a nunnery', exposes a brutal truth about Ophelia's capacity for growth and for sexual love.4
As with the pattern of twinship, this choice between parent and lover is largely but not exclusively female. Ophelia's submission to her father, and the consequent tragedy which overtakes her, find a close counterpart in the tragedy of Coriolanus, whose excessive affection for and dependence on his mother Volumnia prove his downfall. It is no accident that the one insult Coriolanus cannot bear is Aufidius' taunt of 'boy'. It torments him because of its truth, and the more he protests – 'Alone I did it [took Corioli]. "Boy?"' (V. vi. 114) – the more he brings on his own tragic death, suicidally taking refuge for his pride in a claim of martial heroism, when the wilier Aufidius attacks his manhood. He is a 'boy' in his uncritical submission to Volumnia; his tragic condition is such that he is either her submissive son or a mechanical man who 'moves like an engine' and has 'no... kin'. His failure to break the filial bond is indissolubly linked to his fate, and is, as with Cressida, an emblem of it.5
Coriolanus, Ophelia and Cressida are still children in their limited capacity for moral understanding and choice – weak, rather than wicked. Goneril and Regan are more malevolent and purposeful nay-sayers, whose choice of their father, though plainly cosmetic and fictive, is a sign of their moral corruption. Akin to them in this, and in her treatment of her husband as 'the baby of a girl', is Lady Macbeth. Goneril twits Albany for his resistance to bloodshed and his allegiance to the king: 'Marry, your manhood mew.' She equates maturity with murder, masculinity with bloodthirstiness. Lady Macbeth holds the same view: 'When you durst do it [the murder of Duncan], then you were a man' (I. vii.49); she has persuaded Macbeth to her purpose in part through a challenge to his manhood. The men-children he exhorts her to 'bring forth' and the imaginary infants she declares her willingness to destroy are replaced for her by the man-child Macbeth.6 Her relationship to him is not one of support and respect, nor one of sexual passion; instead of declarations of desire we have from her impassioned speeches about the slaughtering of children. Her affection for her husband is constantly tinged with contempt, and it is, unsurprisingly, for her father that she reserves the final commitment of love.
There is only one mention of the bond between father and daughter in the play, but it is strategically placed and, in light of the other examples we have considered, persuasive. It occurs at the moment when Lady Macbeth has returned from Duncan's chamber, having drugged his guards with drink, and is alarmed by an outcry:
_Lady_ Macbeth Alack, I am afraid they have awaked
And 'tis not done! Th' attempt and not the deed
Confounds us. Hark! I laid their daggers ready;
He could not miss 'em. Had he not resembled
My father as he slept, I had done't.
( _Mac_. II. ii. 9–13)
Not a twinge of moral doubt, but Duncan's resemblance to her father, has alone prevented her from committing the murder herself. The contrast between this bond of allegiance and her attitude toward Macbeth is vivid; from this point Lady Macbeth will move inexorably toward guilt and remorse – and, like Ophelia and Coriolanus, toward self-destruction.
Shakespeare's romances, of course, are full of situations in which filial choice and moral strength are paralleled: Florizel's defiance of Polixenes, Imogen's marriage to Posthumus above the protests of Cymbeline and his queen, Miranda's resolute and immediate choice of Ferdinand. In a way, though, it is _Pericles_ in which the issue is most arrestingly posed, perhaps because the incidents of filial choice in _Pericles_ are relatively schematic and clear-cut, exemplary rather than dramatic. The opening act of the play depends to a great extent upon a contrast between two father-daughter pairs: the incestuous Antiochus and his unnamed daughter, and the virtuous Simonides and Thaisa. Both women are approached by Pericles for their hands in marriage. Antiochus' corrupt relationship with his daughter is, of course, the secret hidden behind the riddle Pericles first deciphers to win her. Interestingly, Antiochus assumes a pose of generosity, pretending to invite suitors and to desire their success, while secretly he is unwilling to give up his daughter-mistress and fearful lest their relationship be publicly known. By contrast, Simonides affects a pretense of sternness toward Thaisa's suitors – 'Thou hast bewitched my daughter,' he charges Pericles, in echo of Brabantio and anticipation of Prospero – but his parental firmness conceals a genuine pleasure at her maturity and happiness. Thaisa, like Juliet and Desdemona before her, is forthright in her claim of love:
_Pericles_ Resolve your angry father if my tongue
Did e'er solicit, or my hand subscribe
To any syllable that made love to you.
_Thaisa_ Why, sir, say if you had,
Who takes offense at that would make me glad?
( _Per_. II. v. 66–70)
And Simonides is unambiguous in his joy once he has tested the faith of the lovers: 'It pleaseth me so well,' he tells them, 'that I will see you wed; / And then, with what haste you can, get you to bed' (II. v. 90–1). His acceptance of the sexual aspect of marriage is a key acknowledgment, here, of the necessity for sexual choice and the insurance of fertility, as aspects of order in a Shakespearean society.
The ways in which this order is attained in Shakespeare's plays are as various for individual characters as they are for kingdoms and nations. The central pattern of transition from childhood to adulthood, however, seems to encompass a series of related choices and confrontations, each of which serves to differentiate one character from another and to prepare him for his place in a world conscious of its own constant need for renewal. Twin confronts twin, bosom friend confronts bosom friend, daughter confronts father, son confronts mother – for each the choice is finally that of submission or independence, passive acquiescence or hard-won self-knowledge. The sundering of one bond is the necessary prelude to the forging of another, and readiness for a mature relationship with husband or lover is tied inextricably to self-definition. Twinship and kinship are replaced by selfhood.
It is useful to remember that in Shakespeare's time 'self' meant not only the individual, or that individual's consciousness of his own identity, but also, in an adjectival form, 'same' or 'identical'. Thus Regan claims that she is made of the 'self metal' as her sister, and the Duchess of Gloucester reminds John of Gaunt that her husband was fashioned in the 'self mold' as he was – that is, by the same parents. But by the close of many Shakespearean plays principal characters have been asked to decipher the riddle that so perplexed the onlookers in 'The Phoenix and the Turtle': 'that the self was not the same'. One individual may resemble another, or be born of the same flesh, but no two are identical, and no natal bond can retain primacy over the new bonds of sexual love and marriage. It is this process of individuation and differentiation that prepares the protagonist for his next rite of passage: entry into the full and complex world of adulthood.
We may none of us wish for the fate of a Juliet or a Desdemona, but who among us does not admire them? We may all sympathize with Polixenes, and with Coriolanus, indeed even with Leontes – but who among us can find instruction in their willingness to be 'boy eternal'? All of this Shakespeare knew, and made it a recurrent and fundamental part of his plays – for with St Paul he knew that there was a time to seize, at whatever cost, upon knowledge of self:
When I was a child, I spake as a child, I understood as a child, I thought as a child: but when I became a man, I put away childish things. For now we see through a glass, darkly; but then face to face: now I know in part; but then shall I know even as also I am known.
(1 Cor. 13:11–12)
Notes
1 Harry Levin, 'Form and formality in _Romeo and Juliet', Shakespeare Quarterly_ , XI (1960), 3–11.
2 Otto Rank, in an early work, _Das Inzest-Motiv in Dichtung und Sage_ (1912), 2nd edition (Leipzig: Frank Deuticke, 1926), p. 394n, comments on a slightly different aspect of the incest-motive in _All's Well_. Norman N. Holland, in _Psychoanalysis and Shakespeare_ (New York: McGraw-Hill, 1964; rpt. Octagon Books, 1976), p. 154, summarizes Rank as follows:
The noble Bertram taking to wife the woman he himself has dishonored corresponds to the son whose own birth proves that his mother was dishonored (i.e., had relations with his father). The woman in the dark is taboo, her forbidden quality represented by the dark and the subterfuge; like tabooed women in general, she stands ultimately for the mother.
3 Rank notes an incest-motive in _Measure_ as well. In Holland's summary (p. 230),
Angelo is slipped a maiden he himself dishonored in lieu of the sister, Isabella, who is ostensibly devoted to her brother. Rank says this is a rearrangement of an incest situation: the girl in the dark is the 'dark', tabooed mother, whom the son has himself dishonored, his own birth proving the fact that she has had intercourse with a man. The incest taboo is transferred to the brother-sister relation and expressed in terms of Isabella's chastity.
Rank does not, however, comment on Isabella's odd identification of father and brother, or her desire (presumably also in some ways incestuous) to cleave to the father's imagined precepts and retain her virginity.
4 The literature on _Hamlet_ and incest is voluminous, and would be difficult to recapitulate or summarize here. The reader is referred to Norman Holland's excellent and extensive treatment of writings on that play in _Psychoanalysis and Shakespeare_ , especially pp. 59–63, 88–95 and 163–206.
5 Plutarch's 'Life of Martius Coriolanus' is explicit on this subject, and Shakespeare's play is faithful to its spirit. 'Touching Martius,' writes Plutarch,
the only thing that made him to love honour was the joy he saw his mother did take of him. For he thought nothing made him so happy and honourable as that his mother might hear everybody praise and commend him; that she might always see him return with a crown upon his head; and that she might still embrace him with tears running down her cheeks for joy.... Martius thinking all due to his mother that had been also due to his father had he lived, did not only content himself to rejoice and honour her, but _at her desire took a wife_ also, by whom he had two children; _and yet never left his mother's house therefore_. [Emphasis added] ['Life of Martius Coriolanus', in T. J. B. Spencer (ed.) _Shakespeare's Plutarch: The Lives of Julius Caesar, Brutus, Marcus Antonius and Coriolanus in the Translation of Sir Thomas North_ (Middlesex, England, and Baltimore, Maryland: Penguin Books, 1964), p. 300.]
Not surprisingly, Coriolanus' personality has been of great interest to psychoanalytic critics. Some particularly provocative studies on this subject are Otto Rank, _Inzest-Motiv_ , Ch. 6; Charles K. Hofling, 'An interpretation of Shakespeare's Coriolanus', _American Imago_ , XIV (1957), 407–35; Rufus Putney, 'Coriolanus and his mother', _Psychoanalytic Quarterly_ , XXXI (1962), 364–81; and David B. Barron, ' _Coriolanus_ : Portrait of the artist as infant', _American Imago_ , XIX (1962), 171–93. See also I. R. Browning, 'Coriolanus – boy of tears', _Essays in Criticism_ , 5 (1955), 18–31.
6 On the image of the babe in _Macbeth_ , see Cleanth Brooks, 'The naked babe and the cloak of manliness', in _The Well Wrought Urn_ (New York: Harcourt, Brace & World, 1947), pp. 22–49.
3
Nomination and Election
'An Adopted Name of Privilege'
The final scene of _King Lear_ includes a version of the trial by combat, a ritual familiar to Shakespeare's audiences from the early moments of _Richard II_. In _Richard_ , the scene is a virtual exposition of trial ceremony: a trumpet sounds, the defendant and his accuser stand forward, and the Lord Marshal, instructed by the king, addresses to each a series of formal questions:
What is thy name? And wherefore com'st thou hither
Before King Richard in his royal lists?
Against whom comest thou? And what's thy quarrel?
Speak like a true knight, so defend thee heaven.
( _RII_ I. iii. 31–4)
Mowbray and Bolingbroke identify themselves by name and degree, and the combat may begin. But in _Lear_ , when Edgar appears at the third trumpet to challenge his brother Edmund, this customary pattern is violated. Albany stands for the king, and at his instigation a herald proclaims the ritual questions:
What are you?
Your name, your quality, and why you answer
This present summons?
( _Lr_ V. iii. 120–2)
Our expectation is that the disputants will fulfill the form, and answer the questions; the ensuing combat would seem to depend upon their acquiescence to the ceremony. But our expectation is frustrated, and frustrated in a startling fashion: the disguised Edgar, denying the ritual request, declares instead his intention to retain his disguise. 'Know,' he says, 'my name is lost; / By treason's tooth bare-gnawn and canker-bit' (122–3). Disowned by his father, cheated and betrayed by his brother, Edgar has lost his name by necessity, and throughout the play he chooses to keep it concealed by policy. No longer accepted by his lineal relations, he becomes by turns Poor Tom, and the countryman who leads Gloucester to 'Dover cliff', and the second countryman who finds him after his 'fall' – and ultimately the anonymous masked challenger of the trial by combat. Only when Edmund lies dying at his feet does he reclaim his lost name and lineage: 'My name is Edgar, and thy father's son' (171).
Significantly, this repossession of both name and family comes at a time when Edgar recovers his stolen birthright: both Gloucesters are dead, and he stands at the head of his line. What is even more significant, however, is the dramatic chronology which makes this revelation possible. For Edgar has reclaimed his name before this, in the poignant confrontation with Gloucester in which, he says, 'I revealed myself unto him... and from first to last / Told him our pilgrimage' (V. iii. 194–8). It is in fact this self-naming which leads directly to Gloucester's death: 'His flawed heart... too weak the conflict to support... Burst smilingly' (198–201). But although the reunion between parent and child precedes the trial by combat in historical time, it is described after it in the dramatic action; moreover, the incident takes place offstage, and is retold by the son, rather than presented directly to the audience. This dislocation places dramatic emphasis, not upon the filial recognition scene, but on the son's reclamation of his name. For a playwright so consistently interested in the motif of the family reunion, this is a surprising departure, which underscores the importance of Edgar's action. The transition from 'Know, my name is lost,' to 'My name is Edgar, and thy father's son,' marks a crucial development in the tragedy, and constitutes nothing less than a rite of passage.
In view of the ritual origins of drama, it is perhaps not surprising to encounter in Shakespeare a dramatic pattern based upon names and naming which corresponds to some well-known aspects of primitive religious practice. Among ancient Greek and Semitic tribes, and for a number of primitive tribes today, the name was thought of as part of the extended self of the individual, and therefore as vulnerable: to know another's true name was, in some sense, to have power over him. Hence there developed a practice of dual naming; in which a publicly used personal name, often a sur- or nickname, was substituted for the secret or sacred name of the individual. In some Australian tribes, as Frazer points out,1 the secret name was known only to fully initiated members of the group – that is, to those who had come of age. Likewise in ancient Egypt two names were bestowed upon the child; the 'good' or 'little' name was in public use, while the other, the 'true' or 'great' name, was kept concealed. The names of kings, priests, and other sacred persons were guarded with especial care in such societies, since to hold power over them would be particularly desirable. To give the child the name of a living person became an ambiguously valued action – it might either sap the vitality of the original bearer, or, alternatively, revitalize him and guarantee him extended life. Often the names of the dead were taboo, and could not be mentioned; the inference is that to do so would be to evoke the ghost. For the same reason, those who held the same name as a dead person might choose another, lest the ghost think he was called when his namesake was addressed. The word 'name' in Hebrew and other Semitic societies is in fact a virtual synonym for 'posterity', and to bless or curse the name is thus to affect the entire family and future of its bearer.
Now, some equivalences between these patterns and certain details in Shakespeare's plays will be immediately apparent – as for example the dramatic tension produced by the fact that Hamlet bears the same name as his father, or the resonance of Richard II's poignant cry, 'Arm, arm, my name.' Of special interest to the reader of Shakespeare, however, is the explicit congruence suggested between the rite of initiation and the gaining or learning of a name (or a new name). Eliade notes that the initiation rite itself represents a symbolic death and resurrection, and describes the practice of certain African tribes who severely beat the novice, 'which is said to "kill" his old name so that he may be given another.'2
We need not, of course, restrict our search for such rituals to the practice of primitive tribes or non-western cultures. In Genesis, Jacob wrestles with an angel, and is given a new name: 'Thy name shall be called no more Jacob, but Israel: for as a prince has thou power with God and with men, and hast prevailed' (32 : 28). At the time of the covenant, God likewise renames Abram: 'Neither shall thy name any more be called Abram, but thy name shall be Abraham; for a father of many nations have I made thee' (Gen. 17 : 5). Moses, cast into the Nile as a nameless infant, is given a name which signifies both his identity and his destiny: Pharaoh's daughter 'called him Moses: and she said, Because I drew him out of the water' (Exod. 2 :10). When Saul accepts Christ, he is known as Paul, and Simon known as Peter; in the Vulgate the significance of the name is clear: _'Tu es Petrus_ , _et super hanc petram aedificabo ecclesiam meam'_ (Matt. 16 : 18). 'Christ' itself is a cognomen or epithet meaning 'the anointed one', which is frequently substituted for or added to the given name of Jesus. The book of Revelation explicitly describes a ritual of renaming: 'To him that over-cometh will I give to eat of the hidden manna, and will give him a white stone, and in the stone a new name written, which no man knoweth saving he that receiveth it' (2 : 17), and it is also in Revelation that we hear of one who sat on a white horse, and was called Faithful and True; 'and he had a name written, that no man knew, but he himself' (19 : 11–12).
The Arthurian legends, which probably represent the period of English literature most overtly concerned with initiation rituals, place a similar stress upon the acquisition or revelation of the name. In Malory, Arthur finds his true name and title only after he succeeds in drawing a sword from a stone; the sword bears an inscription which identifies its owner as 'rightwise king born of all England'.3 Galahad is knighted by his father, Lancelot, but will not tell his name; the name is revealed for the first time by the graven letters on the Siege Perilous, which describe him as 'Galahad, the haut prince'.4 He then performs the confirmatory ritual of drawing another sword from a stone, this one engraved to 'the best knight in the world',5 and acquires the shield of Joseph of Arimathea, reserved for 'Galahad, the good knight',6 'the worthiest knight of the world'.7 In a similar way Gareth, the younger brother of Gawain, comes incognito to Arthur's court, where he is mockingly called Beaumains ('Fair-hands') until he proves himself a knight and discloses his true identity.
Classical literature offers the example of Oedipus, perhaps the most suggestive of all legendary searches for the name. Oedipus begins his adventures confident of who and what he is: the son of Polybus of Corinth. By the close of Sophocles' play, he has learned not only the significance of his given name, 'Swollen-foot', but also his real identity and the identity of the murderer he seeks; tragically, the two are the same. The new Sphinx riddle posed for Oedipus is the same as that posed for Shakespeare's tragic heroes: 'who am I?' – and the form taken by that riddle _is_ the name, as Bernard Knox suggests:
_o ἶδα_ the knowledge of the tyrannos, πoύζ the swollen foot of Laius' son – in the hero's name the basic equation is already symbolically present, the equation which Oedipus will finally solve.8
Oedipus the son of Polybus and Merope is also Oedipus the son of Laius and Jocasta; Oedipus the son of Jocasta is also Oedipus, Jocasta's husband. When Jocasta finally learns the truth, she addresses him in despair: 'Unfortunate. This is the only name I can call you.'9 He is no longer either husband or son. As the meaning of his name is revealed, the name itself is at once lost and agonizingly regained.
In these cases, the loss or abdication of the name need not imply the bearer's ignorance: the true name must be earned through a ritual of initiation, and once the rite of passage is successfully undergone, the other initiates – e.g. the Knights of the Round Table, the Apostles – are permitted to share the once concealed or forbidden knowledge. As was the case with Edgar, the true name includes both a personal name (Joseph, Galahad, Arthur) and a surname or cognomen, which may be generic (Israel), titular ('the best knight in the world') or both ('king born of all England'). In Shakespeare's plays, this surname is often called an 'addition'. The hero of _Cymbeline_ is named 'Posthumus' because his parents predeceased him, but his other name, 'Leonatus', was given to his father as a 'sur-addition' because of his bravery in war (I. i. 28–33). As this suggests, Shakespearean additions, like their ritual counterparts, must be earned; they may prove dangerous and even fatal if the rite which qualifies the bearer has not been completed, or is somehow reversed or undone. Thus the proud surname of 'Coriolanus' proves Caius Marcius' death warrant when he uses it in Corioles, and once Lear resolves, 'Only we shall retain / The name, and all th' addition to a king' (I. i. 135–6), he is ultimately deprived not only of title but also of name: 'Does any here know me? This is not Lear' (I. iv. 227).
The most clear-cut example of the dangerous addition is probably that of Macbeth, where the tantalizing sequence of 'Glamis', 'Cawdor', and 'King hereafter' leads ineluctably to murder and self-destruction. Ross has greeted Macbeth with the title Thane of Cawdor', unconsciously echoing the trifold 'hail' of the witches: 'In which addition, hail, most worthy thane!' (I. iii. 106). But Macbeth's subsequent actions, in killing the king and seizing his title, are not emblems of achieved maturity, but rather the opposite: 'brave Macbeth – well he deserves that name' (I. ii. 16) is transformed first into 'the baby of a girl' (III. iv. 106), and then into the monster of the final scenes, who is neither man nor child, and whose name has lost its personal qualities to become itself a 'title', the synonym for tyrant:
_Young_ Siward What is thy name?
_Macbeth_ Thou'lt be afraid to hear it.
_Young_ Siward No; though thou call'st thyself a hotter name
Than any is in hell.
_Macbeth_ My name's Macbeth.
_Young_ Siward The devil himself could not pronounce a title
More hateful to mine ear.
(V. vii. 5—9)
As was the case with Jacob and with Oedipus, man's name here becomes his fate. It is a pattern we will see repeated frequently, with varying permutations, throughout Shakespeare's tragedies and histories.10
One assumption which lies behind the quest for a name is that of a natural reciprocity between the name and the thing – a concept that is often expressed in the tag phrase _nomen-omen_.11 The name is thought to embody the qualities of its bearer, and becomes a sort of talisman. In Shakespeare this kind of name magic usually represents a lost ideal, an earlier and simpler world in which one-to-one correspondences between names and things existed, and in which, therefore, the name did not have to be sought or earned. John of Gaunt, who represents just such a world in _Richard II_ , puns on his name – rather in the manner of Donne's final hymns – as he lies on his deathbed:
O, how that name befits my composition !
Old Gaunt indeed, and gaunt in being old!
Within me grief hath kept a tedious fast;
And who abstains from meat that is not gaunt?
For sleeping England long time have I watched:
Watching breeds leanness, leanness is all gaunt.
The pleasure that some fathers feed upon
Is my strict fast – I mean my children's looks –
And therein fasting hast thou made me gaunt;
Gaunt am I for the grave, gaunt as a grave
Whose hollow womb inherits naught but bones.
(II. i. 73–83)
Richard's impatient response ('Can sick men play so nicely with their names?' – 84) characteristically misses the point, and Gaunt's explanation stresses the necessary link between the personal and familial aspects of the name: 'Since thou dost seek to kill my name in me [by banishing his son Bolingbroke, and thereby ending his line] I mock my name, great king, to flatter thee' (86–7). But the play on 'Gaunt' also suggests an inherent appropriateness between the name and its bearer – an appropriateness which is about to die in England, as Gaunt is dying, and as the name of England itself has lost its power. Indeed, Gaunt's great 'this England' speech, which immediately precedes the puns on his own name, sets up precisely the same pattern of correspondences. 'This royal throne of kings, this scept'red isle...' (II. i. 4off) – in all there are eleven lines of verse and thirteen appositive metaphors before the name of 'England' is introduced, yet the speech, which is a single sentence of twenty lines, is perfectly clear, because its metaphors are persuasive. The equation between 'this other Eden, demi-paradise' (42) and 'this England' (50) is – or was – so exact that the listener assumes the subject. But now, argues Gaunt, the proper name for England is not ' Eden' but 'tenement or pelting farm' (60) ; the easy equivalence between name and thing has been lost, and with it the power which that name wields. The lesson here for Richard lies in the third, unspoken, equivalence, also assumed by an earlier and simpler world: the equivalence between the names of 'Richard' and 'king'.
A similar pattern of _nomen-omen_ appears in _Coriolanus_ , a play much concerned with the losing and finding of names. Here the reference is to one Censorinus, an ancestor of Caius Marcius, 'And nobly namèd so, twice being censor' (II. iii. 246). The detail is taken from Plutarch,12 and the comment made by one of the hostile tribunes in persuading the citizens to revoke their support for Coriolanus. His implication is clear, and is underscored by the succeeding dialogue: once there was a time when magistrates, and indeed magistrates of this noble family, were fit for their posts – so fit that their names and posts were identical. But this is no longer the case; despite his honorable lineage, Caius Marcius, surnamed Coriolanus, is unfit to be consul.
Of all Shakespearean _nomen-omen_ instances, however, none is more striking than the episode of Cinna the poet in _Julius Caesar_. (The Roman plays, with their natural interest in the cognomen, seem to take 'name' as a thematic element with some consistency.) On his way to Caesar's funeral, Cinna is halted by a gang of plebians who challenge his loyalty and ask his name. Unluckily, he bears the name of one of the conspirators, and the plebians, taking the name for the thing, fall upon him and beat him:
_Cinna_ I am Cinna the poet! I am Cinna the poet!
_Fourth_ Plebian Tear him for his bad verses ! Tear him for his bad verses!
_Cinna_ I am not Cinna the conspirator.
_Fourth_ Plebian It is no matter, his name's Cinna; pluck but his name out of his heart, and turn him going.
(III. iii. 31–7)
The scene is a vivid emblem of the confusion which has fallen upon Rome after the murder of its ruler. When times are bad for anyone, the poet suggests, they are particularly bad for poets. Behind the wry Shakespearean truth, however, lies another important thematic point: since the name is no longer directly equivalent to the thing, we act at our peril. For just as one may beat the wrong Cinna, so one may kill the wrong Caesar.
To kill the wrong Caesar is, of course, the fate of revolutionists and conspirators throughout Shakespeare, whether their intended targets are Roman emperors or English kings. In _Julius Caesar_ the distinctions between _nomen_ and _cognomen_ , name and addition, are first blurred, then lost, so that 'Julius' lies bleeding while 'Caesar' escapes the conspirators' hands. Brutus feelingly invokes the doctrine of the king's two bodies:
O, that we could come by Caesar's spirit,
And not dismember Caesar! But alas,
Caesar must bleed for it.
(II. i. 169–71)
But the result of his actions is ironically opposite to his intent. The initial confusion, however, and a willful one, is not Brutus' but Cassius' – since for reasons of both policy and nature, Cassius discounts the idea that names have power.
Brutus and Caesar: what should be in that 'Caesar'?
Why should that name be sounded more than yours?
Write them together, yours is as fair a name;
Sound them, it doth become the mouth as well;
Weigh them, it is as heavy; conjure with 'em,
'Brutus' will start a spirit as soon as 'Caesar'.
(I. ii. 142–7)13
If this sounds a little like Edmund on astrology, or Iago's advice to Roderigo, that is because it is also part of Cassius' own ambitious plan. 'Brutus' and 'Caesar' do have the same number of syllables, and the same metrical stress – but then so does 'Cassius', the unspoken name behind this argument. Yet the irony again resides within the speaker's own rhetoric, for 'Caesar', unlike the others, can and does start a spirit – his own; his name alone has the power to conjure, as Cassius learns at last: 'O Julius Caesar, thou art mighty yet! / Thy spirit walks abroad, and turns our swords / In our own proper entrails' (V. iii. 94–6). Caesar's personal name of 'Julius' is used only twice in the play without the powerful addition: once by Mark Antony, and once by Brutus – both times, significantly, after he is dead. Caesar himself consistently speaks of himself in the third person:
Caesar should be a beast without a heart
If he should stay at home today for fear.
No, Caesar shall not. Danger knows full well
That Caesar is more dangerous than he...
And Caesar shall go forth.
(II. ii. 42–8)
Yet there are of course two Caesars, the invincible ruler and the vulnerable man – a man who suffers from 'the falling sickness' and is hard of hearing:
I rather tell thee what is to be feared
Than what I fear; for always I am Caesar.
Come on my right hand, for this ear is deaf,
And tell me truly what thou think'st of him.
(I. ii. 211–14)
All the greater, therefore, is the conspirators' dismay when they discover that it is 'Julius' who lies bleeding at the Capitol, while Caesar is mighty yet – in fact, doubly mighty. The vengeful ghost stalks the battlefield, and a new Caesar, like a new phoenix, rises from the ashes of the old.
The stage is not long empty of a Caesar; the play's first mention of Octavius comes immediately after Antony's funeral oration. But Octavius is repeatedly described as 'young'; he is untried, an uninitiated novice, and there is in Antony's phrase 'no Rome of safety' for him yet (III. i. 289). It is not until the fourth act that he appears, still patronized by Antony: 'Octavius, I have seen more days than you' (IV. i. 18); in the third scene of that act 'young Octavius' is addressed or described by his novice's epithet no less than three times (92, 150, 165). But the next scene begins the fifth act, and with it his transition from boyhood to manhood, again manifested through a change of name. Antony, still condescending, instructs 'Octavius' to lead his troops to the left, but Octavius demurs; he will take the right. 'Why do you cross me in this exigent?' demands Antony, and the reply is worthy of the speaker's namesake: 'I do not cross you; but I will do so' (19–20). Only four lines later, we hear Antony for the first time address his colleague as 'Caesar', and 'Caesar' he remains, to Brutus (V. i. 56) and to himself (54). The 'peevish schoolboy' (61) has come of age, and the boast of 'always I am Caesar' is transferred to a new generation.
_Julius Caesar_ thus offers its audience versions of the dangerous 'addition', the equally dangerous (because fallacious) belief in _nomen-omen_ , and the initiation rite; of these it is the initiation rite which comes to occupy the most important position in the pattern of naming and renaming which animates so many of Shakespeare's plays.
In _Richard II_ , for example, we can trace both a genuine pattern of initiation and a counterfeit of that pattern, as Richard and Bolingbroke each seek names which the other refuses to acknowledge. Bolingbroke progresses steadily through a sequence of names – Hereford, Lancaster, King Henry IV – insisting at each stage upon the perquisites of his title:
_Berkeley_ My Lord of Hereford, my message is to you.
_Bolingbroke_ My lord, my answer is – to Lancaster;
And I am come to seek that name in England.
(II. iii. 69–71)
Symbolically, on his return from exile, he chooses as his chief public complaint the fact that Richard has removed his engraved name from the buildings of the Lancaster estate: 'From my own windows torn my household coat, / Raced out my impresse, leaving me no sign ... To show the world I am a gentleman' (III. i. 24–7). But Bolingbroke believes that kingship is a role, rather than an anointed right bestowed immutably on a chosen person; just as he can alter his behavior to suit the tastes of Northumberland on the one hand, and an oyster-wench on the other, so his progression from name to name is an act of expedience, culminating in a political objective. Neither the temporary loss of a name, nor the gaining of one, affects his nature and his confident sense of self; even when he has attained the kingship, his principal interest in 'name' is lineal, rather than personal, and centers on the dissolute behavior of his 'unthrifty son' (V. iii. 1). It is only at the close of the play, with a change in Richard's name rather than his own, that we see him truly moved, and determined for the first time to legitimize the stolen name of 'King'.
For Richard, of course, the quest for the name is vital, the more so because of his insistent denial that his name is lost. As we have already noted, his desperate cry of 'Arm, arm, my name!' (III. ii. 86) is greeted by the news that the citizens are deserting; for Richard the call to arms is, tragically, not metaphor but an articulation of literal truth – of the lost _nomen-omen_ relationship in which he steadfastly believes. The impertinent Northumberland predictably takes a more harshly realistic view, in a revealing exchange with the Duke of York:
_Northumberland_ Richard not far from hence hath hid his head.
_York_ It would beseem the Lord Northumberland
To say 'King Richard'....
_Northumberland_ Your grace mistakes; only to be brief Left I his title out.
_York_ The time hath been
Would you have been so brief with him, he would
Have been so brief with you to shorten you,
For taking so the head, your whole head's length.
(III. iii. 6–14)
But that time is already long past. In the deposition scene (IV. i.) it is Richard himself who finally disclaims the name, refusing the courtesy title of 'my lord' offered by Northumberland, almost as if he had overheard the conversation with York:
No lord of thine, thou haught, insulting man,
Nor no man's lord: I have no name, no title,
No, not that name was given me at the font
But 'tis usurped.
(IV. i. 253–6)
To his mind, in losing the title of 'King', he loses also the name of 'Richard', and becomes, as Coriolanus will later become, 'a kind of nothing, titleless' ( _Coriol_. V. i. 13). His belief in the _nomen-omen_ relationship, the kingship of persona, compels him to regard an 'unkinged Richard' as an oxymoron. As he reasons in his soliloquy at Pomfret Castle, to 'play... in one person many people' (V. v. 31) is, for him, to be 'nothing' (38); to lose his title is also to lose his name.
Yet Richard's name is not irretrievably lost, nor is its power altogether gone. Like the ghost of Caesar, the corpse of the dead Richard returns to confront his usurper, and the body of the murdered king is for the first time given its full and proper name:
Great king, within this coffin I present
Thy buried fear: herein all breathless lies
The mightiest of thy greatest enemies,
Richard of Bordeaux, by me hither brought.
(V. vi. 30–3)
Exton's action and his pronouncement make Richard's name into a word of power. 'Richard of Bordeaux', like 'Julius Caesar' and 'Edgar and thy father's son', reunites the individual with his lineage and heritage. Too late, Bolingbroke begins to realize that he, like the Roman conspirators, has chosen Richard's wrong name – seized the public name and not the secret or sacred one. He has appropriated a kingship, but the power of Richard of Bordeaux escapes him, and the name of King Richard, 'that sweet lovely rose' (1 _HIV_ I. iii. 173), comes inexorably to haunt his troubled reign.
Just as the name of the slain king haunts Brutus and Bolingbroke (as Henry IV), so his father's name haunts Hamlet. Claudius has usurped the kingdom, the queen, and the name of king, but Hamlet sees himself as a usurper as well – he bears his father's name, but feels unworthy of it. 'I'll call thee Hamlet, / King, father, royal Dane' (I. iv. 44–5), he apostrophizes the ghost; these noble additions should be the son's as well. But, like Edgar, he feels that he has been dispossessed of them. The _nomen-omen_ fitness of the names of young and old Fortinbras taunts him; in that case the son is the image of the father, and though a novice, 'of unimprovèd mettle hot and full' (I. i. 96), young Fortinbras soon proves himself 'a delicate and tender prince' (IV. iv. 48), a destined ruler. But young Hamlet is persuaded that he bears no such resemblance to his father, the king. Like Edgar, therefore, he chooses a disguise, an 'antic disposition', which leads others to the same conclusion he has already drawn: that Hamlet _is not_ Hamlet. His own inadequacies, as he sees them, coupled with Claudius' act of usurpation, have robbed him of his name.
Hamlet's reassertion of the lost name is, ironically, assisted by his school-fellows and age-mates, Rosencrantz and Guildenstern. Their failure becomes the means of his success. And the literal mark used to achieve that success is of particular interest, as Hamlet himself explains:
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 th' other,
Subscribed it, gave 't th' impression, placed it safely,
The changeling never known.
(V. ii. 49–53)
With his father's ring he signs his name to the paper and the deed. In one uncalculated action ('Why, even in that was heaven ordinant' – 48) Prince Hamlet thus claims the authority of King Hamlet, and exercises the prerogative of the royal seal, the king's official signature. 'Denmark', for him, like 'Egypt', for Cleopatra, is more than a country of origin – it is a surname, part of his identity and role; the play contains allusions to 'the main voice of Denmark' (i. iii. 28), and to 'jocund health[s] that Denmark drinks today' (I. ii. 125), both references to Claudius, while Gertrude implores Hamlet to 'look like a friend on Denmark' (I. ii. 69), again alluding to her present husband. Thus, by the act of using his father's seal, the emblem of Denmark, Hamlet lays claim once more to his name and its proper additions.
As we saw in _King Lear_ , so also in _Hamlet_ the importance of reclaiming the name is emphasized by a rearrangement of dramatic chronology, in order to place the literal moment of self-declaration at center stage. The shipboard incident with its account of the seal, like Edgar's tale of his talk with Gloucester, is presented to the audience at one remove – retold, rather than acted. Moreover, this incident, which occurs before the graveyard scene, is not retold until after it. The scene which therefore draws our attention, and which contains the crucial declaration, is the highly charged moment at Ophelia's graveside, when Hamlet challenges the grieving Laertes. As Edgar had unfolded himself, declaring, 'My name is Edgar, and thy father's son,' so Hamlet, suddenly revealing himself, steps forward to proclaim,
This is I,
Hamlet the Dane.
(V. i. 257–8)
Private name and public name, personal name and surname, both long denied, come together at last in this self-assertion. The epithets addressed by a son to the ghost of his father are now worn as the son's own right; the dramatic tension which has extended from the initial address, 'I'll call thee Hamlet, / King, father, royal Dane' is resolved by the rightful appropriation of that address: 'This is I, / Hamlet the Dane.' Again the rite of passage has concluded with the gaining of a new name. If we need further corroboration of the importance of the name here, we may look to Hamlet's ensuing apology to Laertes, remembering that only once before in the play (iv. ii. 3) has he referred to himself by name at all:
Was't Hamlet wronged 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.
(V. ii. 235–8)
It is almost as if he enjoys, for the first time, the sound of his own name.
For Hamlet and Edgar, as to a certain extent for Richard and Bolingbroke, the experience of the naming ritual is the same: the novice begins with a personal name, but loses it or chooses to conceal it; he then passes some time in a nameless state, during which he is engaged in a quest or an initiation; having successfully undergone this rite, he acquires a new, public name, or else recovers his lost name with an 'addition' denoting family, rank, or social position. This is a basic pattern of maturation in Shakespeare's plays, and, as we have already noted, aspects of it can be found in many of the histories and tragedies. In _King Henry IV Part I_ , for example, Prince Hal tries on a variety of names. Scornfully described by Hotspur as the 'sword-and-buckler Prince of Wales' (I. iii. 228) and the 'nimble-footed madcap Prince of Wales' (IV. i. 94), both belittlings of his right to office, he will later lay claim to that title through his actions in battle: 'And God forbid a shallow scratch should drive / The Prince of Wales from such a field as this' (V. iv. 9–10). As the play begins, we hear his father, the king, express the significant wish that his son be proved a changeling, swapped at birth for the valiant Hotspur, and many others suggest that this is in fact the case – that Hal is not his father's son. To become 'son Harry' (V. v. 39) he faces down his namesake on the field at Shrewsbury, in a formal scene of combat which once again marks a coming of age:
_Hotspur_ If I mistake not, thou art Harry Monmouth.
_Prince_ Thou speak'st as if I would deny my name.
_Hotspur_ My name is Harry Percy.
_Prince_ Why, then I see a very valiant rebel of the name.
I am the Prince of Wales, and think not, Percy,
To share with me in glory any more.
(V. iv. 57–62)
Hal, who by his previous behavior has indeed denied his name, here lays direct claim to both name and title. England cannot support two Harrys – so Hotspur must die. 'I am the Prince of Wales/ like 'This is I, / Hamlet the Dane,' joins together the sundered pieces of personal and public roles, and announces the change for which the regained name is a talisman. In the subsequent plays chronicling Hal's life and reign, this initiation pattern is twice repeated, each time accompanied by a further change of name. When Falstaff addresses the new monarch as 'King Hal' at the close of _Part II_ (V. v. 41), we perceive the magnitude of his error, for that name and that title are irreconcilable. And when King Henry re-christens himself 'Harry le Roy' as he talks in disguise to the soldiers at Agincourt ( _HV_ IV. i. 49) we see a new kind of ruler fashioning himself to suit his changing country.
The love tragedies, too, include elements of the renaming ritual. Romeo's growth to maturity involves a change both in his own name and in that of his beloved. Prior to his meeting with Juliet he has exhibited all the symptoms of the classic Petrarchan infatuation: he roams the woods in darkness, and by day 'makes himself an artificial night' (I. i. 143), all for the love of the tantalizingly distant, maddeningly chaste lady Rosaline. Friar Lawrence calls this 'doting'. Despite his facility with quip and sword, Romeo is at this point still in many ways a child.
But the sight of Juliet brings about a change in his behavior and rhetoric which is confirmed by his willingness to change his name. 'Wherefore art thou Romeo?'; 'Deny thy father and refuse thy name'; 'What's Montague...?'; 'What's in a name?' (II. ii. 33–43). Juliet's insistent questions are all in a way invitations to the quester to sever himself from his child's name or son's name, and to seek a new one through action and initiation. 'Romeo, doff thy name,' she urges, and unhesitatingly he consents to do so:
Call me but love, and I'll be new baptized;
Henceforth I never will be Romeo.
(50–1)
The new name he chooses for himself is appropriate; he is not only her love but for this moment 'Love' himself, Cupid, Eros, who 'with love's light wings' can o'erperch walls. The Romeo who doted on Rosaline has disappeared as effortlessly as the memory of Rosaline herself: 'I have forgot that name and that name's woe' (II. iii. 46). Unluckily for Romeo, however, his initiation involves not one but two actions associated with coming of age: in rapid succession he marries and he kills, and the second action dooms the first. Juliet's playful image of danger and loss now begins to come true:
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!'
(II. ii. 161–4)
When she does call out his name repeatedly, at the news of his banishment and Tybalt's death, Romeo's first, histrionic response touches, likewise, on an ironic truth:
As if that name,
Shot from the deadly level of a gun,
Did murder her; as that name's cursèd hand
Murdered 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.
(III. iii. 102–8)
Her forgiveness and her love are not enough. The tomb to which she is taken mocks the power of the name to summon its bearer, as Echo's cave mocks its own lonely inhabitant. To Juliet he is 'My Romeo', but he is also a Montague, and that is a name he can lose now only through his own death.
For Troilus and Cressida, the consequences of mingling love and war are, if possible, even more disastrous. In the play which tells their story, _nomen-omen_ reappears in a malignant guise: 'Let all constant men be Troiluses, all false women Cressids, and all brokers-between Pandars!' (III. ii. 200–2). The archetypes predate the play, and are determinative; free will in names, as in actions, is 'slave to limit' (III. ii.82). When the anguished Troilus observes the dalliance between Diomedes and Cressida, his confusion is directly related to the wish to make the name equal to the thing: 'This is, and is not, Cressid' (V. ii. 144). The meaning of 'Cressid' to him will not square with the facts as they appear.
The audience's familiarity with 'Troilus', 'Cressida', and 'Pandar' as archetypes or literary clichés gives these lines a curious doubleness in time, as if the play we are watching is or might be different from the story so often told before: against all reason we hold to the wish that for once Cressida will be faithful, and Troilus at last rewarded in his love. But Cressida's prayer, 'Make Cressid's name the very crown of falsehood / If ever she leave Troilus!' (IV. ii. 101–2) inevitably fulfills itself, and the play's characters are locked into their names and roles. Cressid _is_ Cressid, despite Troilus' confusion; her 'secret' name is the name given her by legend, known to the audience and playwright, but not to Troilus – or to herself. Neither of them, of course, suspects that their destinies are fixed by history, and doubly sealed by their very names. The spectacle thus presented, of archetypes struggling blindly against their own defined identities, is – like the play itself – at once ironic and tragic.
We saw in _Romeo and Juliet_ the beginning of the name quest, the novice's first step toward maturity, and in _Troilus and Cressida_ the inexorability of the sacred or legendary name, together with the power wielded by those who know it. In _Antony and Cleopatra_ we see Shakespeare coming to terms with the end of the quest for the name, the drama of the name regained. Cleopatra, of course, bears many names, among them Isis, Dido, Venus and the generic cognomen 'Egypt'. Like Bolingbroke, she knows the name game, and can shift from one role to another virtually at will. But from the first moment that we hear of Antony – and long before we meet him – he is presented as a man who has lost his name, and with it that name's power; as one of the Roman soldiers remarks,
sometimes, when he is not Antony,
He comes too short of that great property
Which still should go with Antony.
(I. i. 57–9)
To this opinion Octavius likewise gives his assent; Antony, who was once a legend, now loses himself in dotage, and is 'not Antony'. The name of 'Antony' here carries a historical, almost a mythical weight; it is a category, and not merely a personal name – as we would say, 'a Hercules', or 'a Hitler'. And in his frustration, Antony himself is occasionally prone to this usage, as when he enters the throne room to find a messenger from Octavius kissing Cleopatra's hand:
Authority melts from me. Of late, when I cried, 'Ho!'
Like boys unto a muss, kings would start forth,
And cry, 'Your will?' Have you no ears? I am
Antony yet.
(III. xiii. 90–3)
There is pathos here, for this Antony no longer commands kings; his forces depleted, his troops deserting, he has shed most of the power which once was his. Yet he is hardly a novice. How then can we call this an initiation, or a self-discovery? If we can do so, it is, I think, by looking at the other meaning of 'Antony' – the Egyptian meaning, which is given so full an explication in Cleopatra's dream vision (V. ii. 74–100). In this reading, Antony is rather lover than soldier, his exploits in the field all confirmatory actions in the service of his lady. Much the same irony is present here as in _Troilus_ : the Roman soldiers understand in 'Antony' the substance of a soldier and ruler; the audience, which knows the rest of the legend, perceives that he has only now become the true 'Antony', a warrior who gave all for love.
The voice in which he addresses her is that of a man on a quest:
Dost thou hear, lady?
If from the field I shall return once more
To kiss these lips, I will appear in blood;
I and my sword will earn our chronicle....
Come,
Let's have one other gaudy night.
(III. xiii. 172–83)
And Cleopatra, delighted at this restoration, replies,
It is my birthday.
I had thought t' have held it poor. But since my lord
Is Antony again, I will be Cleopatra.
(185–7)
The two names are mutually sustaining and restorative. The mention of Cleopatra's birthday, which Shakespeare takes from Plutarch,14 is here appropriately juxtaposed to an image of rebirth through the name. In short, the situation in _Antony and Cleopatra_ bears a certain resemblance to a phenomenon we noticed in _Julius Caesar_ and _Richard II_ : the singling out of the wrong name. Cleopatra's Antony is in this moment restored, even as the Roman Antony prepares to die; at the end of this same scene, as if to emphasize the dichotomy, his Roman aide Enobarbus resolves to leave him.
The death of Antony, when it comes, is tragically linked with Cleopatra's use (or misuse) of his name. Terrified of his anger after she has deserted his troops in battle, she takes refuge in the monument and sends the eunuch Mardian with a message:
Mardian, go tell him I have slain myself:
Say that the last I spoke was 'Antony.'
And word it, prithee, piteously.
(IV. xiii. 7–9)
All too faithfully, Mardian performs his charge:
The last she spake
Was 'Antony! most noble Antony!'
Then in the midst a tearing groan did break
The name of Antony; it was divided
Between her heart and lips: she rend'red life,
Thy name so buried in her.
(IV. xiv. 29–34)
So effective is this piteous wording that it immediately realizes itself as truth. As the name of Antony is fictively broken and buried, so the living Antony resolves himself for death, as if the (supposed) destruction of his name wielded some magical power over the bearer of that name. 'Unarm, Eros. The long day's task is done, / And we must sleep' (35–6). Eros declines to stab his captain, and kills himself instead; yet if the soldier Eros is not his master's slayer, the fault may yet lie with his namesake: 'I will be / A bridegroom in my death, and run into't / As to a lover's bed.... Eros, / Thy master dies thy scholar' (99–102). As it happens, Shakespeare did not invent the name of Antony's companion, nor did he choose the names of Cleopatra's handmaidens, Iras and Charmian; yet it is clear that Antony dies in the company of love, and Cleopatra attended by her chief attributes of ire and charm. Thus in _Antony and Cleopatra_ names become more than things – become powerful watchwords, easy to misinterpret, and tragic to misuse. Antony, long an initiate of war, remains almost throughout a novice in love; the triumph of regaining the name is followed immediately by the careless cursing of that name, at the direction of one whom Antony has acknowledged to be a 'witch' (IV. xii.47).
Of all Shakespeare's heroes, perhaps the one who delights most in his new-won name is Coriolanus; yet, as we have already seen, it is his incautious use of that name which leads directly to his death. Like Bolingbroke and Hal, Coriolanus progresses through many names in the course of the play. When we first meet him he is Caius Marcius, son of Volumnia, but soon he earns the surname of 'Coriolanus', conqueror of the city of Corioles. The way in which he wins and accepts that name is worth our attention: declining any share of the spoils of war, he consents to receive only his general Cominius' horse, and his proclamation:
from this time,
For what he did before Corioles, call him,
With all th' applause and clamor of the host,
Caius Marcius Coriolanus.
Bear the addition nobly ever!
(I. ix. 62–6)
But no sooner has he been given this honorific surname than the audience is offered a chance to see what names mean, and do not mean, to Caius Marcius. Like any hero, he has the right to beg a favor of his generals, and this he promptly does, recalling that in the city of Corioles lives a poor man who once gave him shelter. 'I request you', he says, 'To give my poor host freedom' (86–7). 'O, well begged!' cry the generals, and 'Marcius, his name?' (87, 89). But Marcius has forgotten his name.
By Jupiter, forgot!
I am weary; yea, my memory is tired.
Have we no wine here?
(90–2)
Personal names have no significance for him. Did the man live, or die, because Marcius had forgotten his name – or was he ever thought of again? Could knowing his name have saved him? Things without names tend to slip from our memories, as Marcius himself is shortly to learn.
In the middle of the play, Coriolanus undergoes a process of stripping which is characteristic of the hero of Shakespearean tragedy. From the man who has everything – mother, wife, son, public honors, even briefly the consulate – he becomes a man who has nothing – a man who, like Edgar, wears a disguise, and temporarily lacks a name. Arriving at the home of his former enemy, he is greeted by Aufidius, 'the second name of men' (IV. vi. 126) in Cominius' phrase, and subjected to an insistent catechism:
Whence com'st thou? What wouldst thou? Thy name?
Why speak'st not? Speak, man. What's thy name?
In reply, Coriolanus unmuffles himself:
_Coriolanus_ If, Tullus,
Not yet thou know'st me...
necessity
Commands me name myself.
_Aufidius_ What is thy name?
_Coriolanus_ A name unmusical to the Volscians' ears,
And harsh in sound to thine.
_Aufidius_ Say, what's thy name?
Thou has a grim appearance, and thy face
Bears a command in't....
What's thy name?
_Coriolanus_ Prepare thy brow to frown. Know'st thou me yet?
_Aufidius_ I know thee not. Thy name!
_Coriolanus_ My name is Caius Marcius, who hath done
To thee particularly, and to all the Volsces,
Great hurt and mischief; thereto witness may
My surname, Coriolanus. The painful service,
The extreme dangers, and the drops of blood
Shed for my thankless country, are requited
But with that surname....
Only that name remains.
(IV. v. 57–77)
'Only that name remains.' Aufidius is right to wonder what this stranger in his camp may represent. In his own view, Coriolanus is no longer a man, but just a living name, or more properly a living surname. His addition of 'Coriolanus' replaces, and obliterates, all his other names and titles, leaving him no wife, no mother, no kin. In an earlier speech to the senators extolling the virtues of Coriolanus on the battlefield, Cominius described him in terms which were disturbingly machine-like: 'from face to foot / He was a thing of blood, whose every motion / Was timed with dying cries' (II. ii. 108–10). Now, newly ensconced in Corioles, this inhuman abstraction seems to be all that is left of Caius Marcius Coriolanus. On the one hand, his name has become a magic talisman to the Volscians; the 'soldiers use him as the grace 'fore meat' (IV. vii. 3). On the other hand, the man himself disclaims all names.
Coming to plead with him for mercy on behalf of Rome, Cominius finds that he has rejected even his surname:
He would not seem to know me....
Yet one time did he call me by my name.
I urged our old acquaintance, and the drops
That we have bled together. Coriolanus
He would not answer to; forbade all names;
He was a kind of nothing, titleless,
Till he had forged himself a name o' th' fire
Of burning Rome.
(V. i. 8–15)
He will not be known by the proud title which commemorates a Roman victory; yet what title, what surname, could be awarded to the Roman general who conquers Rome? The concept is an oxymoron; the would-be conqueror remains, therefore, effectively dehumanized, 'a kind of nothing, titleless'. Characteristically, and with his usual charming obtuseness, the old counsellor Menenius when he goes to see him pleads from the other extreme, claiming exactly the kind of name Marcius has forbidden. 'My son Coriolanus' (V. ii. 63); 'thy old father Menenius' (70) – these are names that have long been rejected, long abandoned as too painful and vulnerable. The meeting between the two is framed by a scene that is at once painful and comic, as Menenius, sailing confidently into the Volscian camp, boasts to the watchmen of the power of _his_ name:
_Menenius_ My name hath touched your ears: it is Menenius.
_First_ Watch Be it so; go back. The virtue of your name Is not here passable.
(V. ii. 11–13)
His name is not a magic word, a password, a shibboleth, despite what he may think. But Menenius presses further:
_Menenius_ Sirrah, if thy captain knew I were here, he would use me with estimation.
_First_ Watch Come, my captain knows you not.
_Menenius_ I mean thy general.
(51–4)
Menenius has the wrong name, the wrong addition, yet again – and he certainly has the wrong name when Coriolanus at last appears: 'My son Coriolanus...O my son, my son!' (70). We may be reminded of Falstaff's ill-chosen cry, 'God save thee, my sweet boy!' ( _2HIV_ V. v. 43) addressed to the newly crowned king. For Coriolanus has made up his mind: 'Wife, mother, child, I know not' (81). He disavows all familial and lineal ties, and his one word for Menenius is 'Away!' The watch, standing at the fringes of this exchange, now has its inevitable revenge:
_First_ Watch Now, sir, is your name Menenius?
_Second_ Watch 'Tis a spell, you see, of much power.
(94–6)
The magic power of names is completely denied by the world into which Coriolanus has withdrawn. For if they know his name, they will have power over him; and if he uses their names, he admits to a relationship which makes him vulnerable. To be nameless is to be unassailable, like a god.
But Coriolanus is not unassailable; he, too, has a secret name, and when that name is pronounced he will respond. It is for this reason that Volumnia approaches him as she does. She arrives accompanied by his wife, Virgilia, who in turn produces their son as a kind of stage property, an emblem of longevity: I 'brought you forth this boy,' she says, 'to keep your name / Living to time' (V. iii. 126–7). But Volumnia knows that this kind of lineal afterlife is less important to him than the afterlife afforded by fame and reputation in which she has schooled him. Skillfully, she begins to work on his feelings of history:
if thou conquer Rome, the benefit
Which thou shalt thereby reap is such a name
Whose repetition will be dogged with curses,
Whose chronicle thus writ, 'The man was noble,
But with his last attempt he wiped it out,
Destroyed his country, and his name remains
To th' ensuing age abhorred.'
(142–8)
Here is a name over which Coriolanus will have no control. His new addition will be abhorrent and unpronounceable: the living paradox of a Roman conqueror of Rome. The key to Volumnia's strategy here lies in her dual role: she is both the mythic embodiment of Rome, the she-wolf who suckled Romulus and Remus, and the human mother of a particular man. Artfully now she turns from the civic to the personal – roles which have long been conflated in her tutelage of her son – appealing to him as a private man: There's no man in the world / More bound to's mother...yet.... / To his surname Coriolanus 'longs more pride / Than pity to our prayers' (158–71). And this reversal has its intended effect, though Coriolanus is perceptive enough to see that such pity is 'most mortal to him' (V. iii. 189). No longer an 'engine', who 'wants nothing of a god but eternity and a heaven to throne in' (V. iv. 23–4), in taking his mother's hand and reaffirming the lineal bond he seals his own doom. For Aufidius has been listening, and Aufidius now knows the secret name. The scene in which he makes use of that knowledge is one of the most painful in the tragedies, and one which shows us the initiation pattern reversed, the hero turned back, step by step, from _cognomen_ to _nomen_ , from maturity to childhood.
Ironically, the scene begins with Coriolanus marching for the first time with the commoners, a man who has at last acknowledged his bond with humanity. But Aufidius' jealousy is inflamed, and he unconsciously echoes the attack of the Roman tribunes, with the same chosen epithet of vilification:
_Aufidius_ tell the traitor in the highest degree
He hath abused your powers.
_Coriolanus_ Traitor! How now!
_Aufidius_ Ay, traitor, Marcius!
_Coriolanus_ Marcius!
_Aufidius_ Ay, Marcius, Caius Marcius! Dost thou think
I'll grace thee with that robbery, thy stol'n name
Coriolanus, in Corioles?
(V. vi. 84–9)
This is a point which has probably never occurred to Coriolanus: that the inhabitants of Corioles might object to his surname, which signifies that he has conquered their city. But the worst is yet to come, as the indictment proceeds: 'at his nurse's tears,' continues Aufidius, 'He whined and roared away your victory' (96–7). 'Hear'st thou, Mars?' erupts Coriolanus, calling upon his namesake, and Aufidius' reply is the final straw: 'Name not the god, thou boy of tears!' (100). Not Mars' man, Marcius, but 'boy' – his final name as well as his first name, and a name so truly given that Coriolanus can do nothing but repeat it in disbelief: '"Boy!" O slave!' '"Boy!" False hound!'
If you have writ your annals true, 'tis there,
That, like an eagle in a dovecote, I
Fluttered your Volscians in Corioles.
Alone I did it. 'Boy'?
(V. vi. 102, 111–15)
'Boy' is the true and hidden aspect of Coriolanus' nature, an aspect which, once articulated, has the status of the ominous 'secret name' of ritual. It is a name which accords with his pride, his vanity, his sense of war as a sexual event bonding man to man, his choice of war over statecraft, his relative indifference to his wife and child – and, above all, his passionate love for, and submission to, his mother. Rendered vulnerable by all of these, he is mercilessly stripped of the lineaments of adulthood. The literal _sparagmos_ , or tearing to pieces of the hero which is his fate, follows directly from this loss of name; once again, those who know the secret name of a king or priest are able to rob him of his power. The killing of the name here results, not in a symbolic death and rebirth, but in a real death, only partially compensated – if at all – by the promise that 'he shall have a noble memory' (V. vi. 152). The secret _nomen_ of 'boy' returns Coriolanus to the role of novice from which he began.
To be a 'novice' in Shakespeare's plays is to be one not yet learned in his craft or art – or in his own nature. Octavius is called a novice by Antony – 'Triple-turned whore! 'Tis thou / Hast sold me to this novice' ( _A &C_ IV. xii. 13–14) – because of his inexperience in war, and the slain Edward of Wales is described as a 'princely novice' who never lived to rule ( _RIII_ I. iv. 225) ; according to Petruchio his fellow suitors are novices in love ( _Shr_. II. i. 304), and the virginal Isabella in _Measure for Measure_ is appropriately described as 'a novice of this place' both because it is a nunnery, and because she is untried in the ways of generosity and compassion. As we have noted, the Shakespearean novices who most directly undergo a process of maturation in the course of their plays are often those who, in doing so, pass through the concomitant stages of losing and regaining their names. The situation of Coriolanus is really a variation of the naming pattern rather than a contrast to it, just as the name-quest of Romeo, though it does not complete the full cycle exemplified by Edgar or Hamlet, nonetheless partakes of many of its aspects. In each case the basic rhythm of movement, from personal name to lost name to new name or name regained, can be felt as animating the life – and sometimes the death – of the hero.
If the play itself is in some sense a ritual, it contains within it echoes and vestiges of other rituals. Juliet seeks to know what's in a name; Hamlet impishly demands of Osric, 'What imports the nomination of this gentleman?' (V. ii. 129–30). Both pose a version of the initiate's question, identifying the name as riddle, spell and watchword, as well as title, rank and lineage. For the author of the 'Will' sonnets, once publicly calumnized as considering himself 'the only Shake-scene in a country',15 the quest for the name and that name's meaning offers the dramatic ritual of initiation as yet another significant metaphor for the knowledge of self.
Notes
1 Sir James Frazer, _The New Golden Bough_ , Theodor H. Gaster (ed.) (1890; rpt. [abridged] New York: Mentor Books, 1964), p. 235. Frazer's chapter on 'Tabooed words', pp. 235–46 (sections 181–8), supplemented and revised by Gaster (esp. pp. 176, 271–2), is the major source of anthropological data in this paragraph.
2 Mircea Eliade, _Rites and Symbols of Initiation; The Mysteries of Death and Rebirth_ , Willard R. Trask (trans.) (originally published as _Birth and Rebirth_ ) (New York: Harper & Brothers, 1958; rpt. Harper & Row, 1975), p. 74.
3 Sir Thomas Malory, _Le Morte d'Arthur_ (1906; rpt. London: J. M. Dent & Sons [Everyman's Library], 1963), I, p. 10 (Bk. I, Ch. v).
4 Malory, II, p. 167 (Bk. XIII, Ch. iv).
5 Malory, II, p. 166 (Bk. XIII, Ch. ii).
6 Malory, II, p. 178 (Bk. XIII, Ch. xi).
7 Malory, II, p. 175 (Bk. XM, Ch. ix).
8 Bernard Knox, 'Sophocles' Oedipus', in Cleanth Brooks (ed.) _Tragic Themes in Western Literature_ (New Haven: Yale University Press, 1955; rpt. 1966), p. 13.
9 Knox, p. 20.
10 In accordance with the comedy of humors, the most interesting names in the comedies and the comic names in the tragedies and histories tend to be static and stereotypical rather than progressive and emblematic: consider Touchstone, Sir Toby Belch, Bottom, Doll Tearsheet, Ancient Pistol.
11 Cf. 'Nomen atque omen quantivis iam est preti,' Plautus, _Persa_ , 625 ('That's a name and omen worth any price').
12 T. J. B. Spencer (ed.) _Shakespeare's Plutarch: The Lives of Julius Caesar, Brutus, Marcus Antonius and Coriolanus in the Translation of Sir Thomas North_ (Middlesex, England, and Baltimore, Maryland: Penguin Books, 1964, rpt. 1968), p. 296.
13 The frequency and peculiarity of spoken names in _Julius Caesar_ has been remarked by numerous critics, including Dowden, Granville-Barker, G. Wilson Knight, L. C. Knights, and Maurice Charney. Recently, Madeleine Doran, in _Shakespeare's Dramatic Language_ (Madison: University of Wisconsin Press, 1976), has argued for a balance and pairing between 'Caesar' and 'Brutus' in the play, with the third name of 'Roman' bringing them into equipoise. See her essay,' ''What should be in that 'Caesar'?" – Proper names in _Julius Caesar'_ (pp. 120–53), for a thoughtful discussion of the iterations and resonances of these names. For further analysis of proper names in the play, Doran cites especially R. A. Foakes, 'An approach to _Julius Caesar', Shakespeare Quarterly_ , V (1954), 259–70, and M. W. MacCallum, _Shakespeare's Roman Plays and their Background_ (London, 1910), pp. 228–32 and n. 1.
14 Spencer, p. 272.
15 Robert Greene, _Groats-worth of witte, bought with a million of Repentance_ (1592), sig. F1v.
4
Plain Speaking
'I Take Thee at Thy Word'
_Hieronimo_ Each one of us must act his part
In unknown languages,
That it may breed the more variety.
As you, my lord, in Latin, I in Greek,
You in Italian, and for because I know
That Bel-imperia hath practisèd the French,
In courtly French shall all her phrases be.
_Bel-imperia_ You mean to try my cunning, then, Hieronimo.
_Balthazar_ But this will be a mere confusion,
And hardly shall we all be understood.
_The Spanish Tragedy_ IV. i. 171–80
... for mine own part, it was Greek to me.
_Julius Caesar_ I. ii. 281
I
An infant, according to its etymology, is one who is unable to speak; the word comes from Latin _in_ , meaning not, plus _fans_ , the present participle of _fari_ , to speak.1 In Shakespeare's plays infancy is often defined in just this way, by its lack of speech; we may think of Jaques' 'infant, / Mewling and puking in the nurse's arms' ( _AYLI_ II. vii. 142–3), or Cassandra's 'Soft infancy, that nothing canst but cry' ( _T &CII_. ii. 105). The most extensive mention of infancy in this connection, however, takes place, as we might expect, in _The Winter's Tale_ , the one play in which an infant plays a central role. There Hermione reproaches Leontes for misinterpreting the motives of Polixenes, 'whose love had spoke, / Even since it could speak, from an infant, freely, / That it was yours' (III. ii. 68–70), and later Leontes, beholding the supposed 'statue' of his wife, invites it to
Chide me, dear stone, that I may say indeed
Thou art Hermione; or rather, thou art she
In thy not chiding; for she was as tender
As infancy and grace.
(V. iii. 24–7)
Both references seem to depend, at least in part, upon a literal reading of 'infancy'. The point is made even clearer by Paulina, when she emerges from prison bearing the infant Perdita in her arms. She will show it to the king, she says, in hopes that he may relent:
The silence often of pure innocence
Persuades, when speaking fails.
(II. ii. 40–1)
Not to speak, then, may be appropriate for a newborn child; for an adult, however, it is a different matter. Thersites describes the vaunting Ajax as one who is 'grown... languageless, a monster' ( _T &C_ III. iii. 262–3), and when Iago abdicates language, he abdicates the last vestiges of humanity: 'From this time forth I never will speak word' ( _Oth_. v. ii. 303). Cordelia's famous 'Love, and be silent' ( _Lr_ r. i. 62) is an appeal to the pre-verbal bond between parent and child, but for that reason it is both culpable and vulnerable; in the fallen world of adulthood silence is a dangerously ambiguous kind of language, which often prompts misinterpretation. Hearing her sister Goneril speak glowingly of 'A love that makes breath poor, and speech unable' (6o), Cordelia sees all language as tarnished beyond use. For her the language of love has been usurped, as for Hamlet the language of mourning has been usurped by the Claudius court; 'the trappings and the suits of woe' (I. ii. 86) seem to him capitulations to the prevailing rhetoric of hypocrisy, and to avoid the appearance of complicity he doffs his inky cloak and assumes the antic disposition of the fool – together with the fool's doubling language. But Cordelia's retreat to silence, like Hamlet's refuge in madness, places her greatly at risk; just as the infant Perdita fails to convert Leontes, Cordelia's silence only enrages Lear. We might say that her Shakespearean antitype is Lavinia in _Titus Andronicus_ , who, though with 'her hands cut off, and her tongue cut out, and ravished' (II. iv. SD), is nonetheless able to 'speak' to her father and make herself understood – first by manipulating the pages of a book, and then by writing in the sand with a staff guided by her mouth and mutilated limbs.
In Shakespeare's plays learning to speak is a sign of responsible adulthood, yet another rite of passage – a coming of age – for the protagonist. In fact, language and humanity are often presented as mutually defining; the death of John of Gaunt, for example, is announced by reference to his loss of speech: 'His tongue is now a stringless instrument' ( _RII_ II. i. 149). In the same play Mowbray, hearing his sentence of banishment, likewise equates it with dying:
The language I have learnt these forty years,
My native English, now I must forgo,
And now my tongue's use is to me no more
Than an unstringèd viol or a harp....
I am too old to fawn upon a nurse,
Too far in years to be a pupil now;
What is thy sentence then but speechless death,
Which robs my tongue from breathing native breath?
(I. iii. 159–73)
Those who voluntarily abandon speech effectively dehumanize themselves, by denying the linguistic bond among men. Thus Pericles, believing that he has lost both wife and child, chooses to lose speech as well; when his ship arrives at Mytilene he is described as 'a man who for this three months hath not spoken / To anyone' (V. i. 25–6). His reawakening to life and language is accomplished, appropriately, by his daughter Marina, though neither at first recognizes the other. So profound is Pericles' despair that he turns rudely away from her ministrations, but when she begins to talk of her parentage a change takes place; she senses in his silence some deep attention:
I will desist.
But there is something glows upon my cheek,
And whispers in mine ear, 'Go not till he speak.'
(97–9)
When he does speak, in the very next line, the act marks a return to humanity and kinship: by questioning her, he finds his daughter, and himself.
At times the election of silence is a sign not of pain or weakness but of a kind of perverse strength. We have already noticed that Iago abandons the tool of language which has served him so malignly but so well, and thereby moves closer to the status of 'demi-devil' Othello imputes to him. Similarly in _Much Ado About Nothing_ the Machiavellian Don John characterizes himself – and is characterized by others – as a man 'not of many words' (I. i. 153). A particularly striking instance of the dehumanizing power of silence occurs in the famous deposition scene of _Richard II_ , for in that scene Richard talks almost without pause, though even he perceives that he has lost his onstage audience ('God save the king ! Will no man say "Amen" ? / Am I both priest and clerk? Well, then, amen' – IV. i. 172–3). Boling-broke, on the other hand, confines himself to a few functional inquiries and commands, put forth with the utmost spareness: 'Are you contented to resign the crown?' (199); 'Go, some of you, and fetch a looking-glass' (267); and finally, 'Go, some of you, convey him to the Tower' (315). And when Richard's play has come to its melodramatic end with the breaking of the glass, Bolingbroke remains impassive and aloof: 'Mark, silent king, the moral of this sport' (289) implores Richard – but the play has different meanings for actor and spectator, and nothing demonstrates the futility of Richard's performance more strongly than the silence of the new king.
Sometimes, although speech is not lost, syntax is; the emotional pressures brought to bear on the individual result in a temporary loss of control which is mirrored by a loss of control over language. The clearest example here is perhaps Othello, whose formerly eloquent periods are reduced to gibberish under Iago's expert tutelage:
Handkerchief – confessions – handkerchief! – To confess, and be hanged for his labor – first to be hanged, and then to confess!... It is not words that shakes me thus. – Pish! Noses, ears, and lips ? Is't possible ? – Confess – Handkerchief ? – O devil!
(IV. i. 38–44)
The failure of syntax here is symptomatic: If the ability to speak demarcates that which is human, the fragmentation of language indicates a fall from full humanity, and from human dignity. The irony of 'it is not words that shakes me thus' is dual: Iago's false words have reduced Othello to this state, but his own words, and his inability to control them, are the signs of his reduced condition.
A further example can be found in the degeneration of Lear's speech, which like Othello's undergoes a process of extreme fragmentation. It would be foolhardy to deny that there is a kind of eloquence in 'kill, kill, kill, kill, kill, kill!' (IV. vi. 187), 'Now, now, now, now' (172), 'Howl, howl, howl, howl!' (V. iii. 259) or 'Never, never, never, never, never' (310), but it is an eloquence which emerges despite the language, rather than because of it. The strings of words each replicating the last, as if they could go on forever, draw a diagram of the speaker's unspeakable agony. It is impossible to parse such a sentence; like the wheel of fire, turning forever in hell, the words succeed one another without change or cease.
From here it is but a short jump to _Macbeth_ , where
Tomorrow, and tomorrow, and tomorrow
Creeps in this pretty pace from day to day,
To the last syllable of recorded time.
(V. v. 19–21)
The familiar metaphor is richly suggestive; to measure time by syllables is to draw a direct analogy between human life and human language. Here 'tomorrow' replaces 'howl' or 'kill', but the image is much the same – the future to Macbeth looks very like that line of future kings born of Banquo's seed, which seems to 'stretch out to th' crack of doom' (IV. i. 117).
At the other end of the linguistic scale, and in its way equally inexpressive, is the kind of ornate and obfuscating diction that characterizes figures like the chattering 'chough' Osric, or Don Armado, who will imminently 'turn sonnet', or the 'popinjay' with the 'pouncet box' who so irritates Hotspur. It is a style unwisely burlesqued by Kent, when Cornwall reproaches him for his plain speech: 'Sir, in good faith, in sincere verity, / Under th' allowance of your great aspect, / Whose influence, like the wreath of radiant fire / On flick'ring Phoebus' front – ' ( _Lr_ II. ii. 107–10). Here language may in fact be said to obstruct and prevent communication. The Shakespearean _locus classicus_ for this mode of excess is _Love's Labor's Lost_ , a play which is directly concerned with the problem of learning to speak. We could point to almost any passage in the play as an illustration here – from Costard's delighted discovery that a 'gardon' is worth elevenpence farthing more than a 'remuneration', to Boyet's 'translation' of the language of the 'Muscovites' from English to English, to Berowne's disavowal of ornate language which, inevitably, takes the form of a sonnet neatly concealed in the text.2 Perhaps the most telling moment of all, however, is Marcade's announcement of the death of the King of France, which signals a coming of age not only for his daughter the princess, but also for Navarre and his lords. Significantly, in this play of languages, the news of the king's death is transmitted without words. The messenger's cautious preamble, 'The king your father – 'is interrupted by the princess : 'Dead, for my life ! ' – leaving him to reply only, 'Even so. My tale is told' (V. ii. 717–19). Once again the unspeakable remains unspoken. But even death seems not to educate Navarre, who pleads with the ladies to remain in a lengthy passage so rhetorically complicated that the audience must echo the princess's distress: 'I understand you not. My griefs are double' (750). Only at this point does Berowne express his plea for unadorned language in language sufficiently unadorned: 'Honest plain words best pierce the ear of grief' (751). But his initiation is not over; for a twelvemonth he must visit 'the speechless sick' and make them smile. Rosaline's homily, 'A jest's prosperity lies in the ear / Of him that hears it, never in the tongue / Of him that makes it' (859–61) is not only good moral sense but a sound articulation of the importance of plain talk in Shakespeare – the humanized communication between man and man.
A very similar development takes place in _Much Ado About Nothing_ : with justice, Benedick calls Beatrice 'my Lady Tongue' (II. i. 265), while Beatrice observes that 'an excellent man' would be one whose qualities were midway between those of Don John ('too like an image and says nothing') and Benedick ('too like my lady's eldest son, evermore tattling' (II. i. 6–9). Again language threatens to prevent courtship rather than to make it possible, although it is ironically the lovers' similarity in speaking which signals to their friends – and to the audience – their suitability for one another. Happily both Beatrice and Benedick are compelled to listen rather than to speak by the ruses of their friends, and a last minute reversion to their earlier verbal sparring is silenced at last by a kiss: 'Peace! I will stop your mouth' (V. iv. 97).
We may notice that Berowne's reference to 'honest plain words' has a counterpart in _Much Ado_ , when Benedick complains that Claudio has changed since he has fallen in love. 'He was wont to speak plain and to the purpose, like an honest man and a soldier; and now is he turned orthography; his words are a very fantastical banquet' (II. iii. 17–20). Very frequently 'plain' is the word Shakespearean characters choose to denote appropriate and straightforward language. Because of the meanings imparted to that word by modern critics in their discussions of the sixteenth-century lyric, it may be useful – so as to avoid misunderstanding – to explore for a moment what Shakespeare appears to mean by 'plain'.
Yvor Winters, describing what he calls the 'native plain style' of Thomas Wyatt and others, defines a typical poem of that school as having 'a theme usually broad, simple, and obvious... a feeling restrained to the minimum required by the subject; a rhetoric restrained to a similar minimum, the poet being interested in his rhetoric as a means of stating his matter as economically as possible, and not, as are the Petrarchans, in the pleasure of that rhetoric for its own sake. There is also a strong tendency toward aphoristic statement. '3 Clearly these are rigorous formal and stylistic criteria, derived inductively by observing a relatively small, homogeneous group of lyric poems. But it is worth noting that 'plain' was not a term chosen by poets or critics of the period to characterize these works. Moreover, what Winters means by 'plain' (and what C. S. Lewis, correspondingly, calls 'drab' verse) is somewhat different from the way in which Shakespeare uses the word.
For one thing, Shakespearean characters are usually not speaking of the lyric, or indeed of any formal structure. Berowne does associate lack of plainness with 'taffeta phrases' and Petrarchan sonnets, but there is a strong moral component to his self-reproach. 'Plain' for Shakespeare, as for Winters, can mean 'unembellished, not ornate' ( _OED_ III. 8), but in the dramatic context, when it refers either to character or language, it more frequently means 'open in behavior; free from duplicity or reserve; guileless, honest, candid, frank' ( _OED_ iv. 11) or 'Free from ambiguity, evasion, or subterfuge; straightforward, direct' ( _OED_ IV. 12). Thus the _OED_ cites Mulcaster in his pedagogical work _The Positions_ (1581) as speaking of 'Such as have preferred plaine trueth before painted colours'. In other words, 'plain', either as a personal epithet or as a way of describing a character's language, is simultaneously a stylistic and a moral judgment. For example, Rosaline in _Love's Labor's Lost_ , pretending to accept the fiction of the 'Muscovites', asks for an intermediary to discover their intentions: 'If they do speak our language, 'tis our will / That some plain man recount their purposes' (V. ii. 176–7). A 'plain man' here is someone who is trustworthy and direct, easy both to understand and to believe. Wittily, Rosaline chooses the dandified Boyet for this role, falling in with the spirit of the occasion, and thereby exposing a fundamental lack of 'plainness' on the part of the masquers. Whether used ironically, as here, or more directly, as in Henry V's assertion to Katherine, T speak to thee plain soldier', 'plain' in Shakespeare's plays carries these connotations rather than those elaborated by Winters, and in the discussion that follows the word will be considered – and analyzed – in its usual Shakespearean (and most frequent Renaissance) sense.
*
Benedick's 'tattling' and Armado's inclination to 'turn sonnet' represent one kind of pitfall for the Shakespearean speaker who wishes to make himself understood. Another, at the opposite end of the scale, is plainness itself, especially when carried to excess. We have mentioned Kent's linguistic debate with Cornwall, which lands him in the stocks. Cornwall's accusation, admittedly not offered by the most admirable of Shakespeare's critics of language, nonetheless expresses a prevalent point of view:
This is some fellow
Who, having been praised for bluntness, doth affect
A saucy roughness, and constrains the garb
Quite from his nature. He cannot flatter, he;
An honest mind and plain, he must speak truth.
And they will take it, so; if not, he's plain.
These kind of knaves I know, which in this plainness
Harbor more craft and more corrupter ends
Than twenty silly-ducking observants
That stretch their duties nicely.
( _Lr_ II. ii. 97–106)
It may be remembered that Kent's initial bluntness was the cause of his banishment and disguise. We must all applaud the sentiments of his challenge to the king:
Be Kent unmannerly
When Lear is mad. What wouldst thou do, old man?
Thinkst thou that duty shall have dread to speak
When power to flattery bows ? To plainness honor's bound
When majesty falls to folly.
(I. i. 145–9)
No less certainly, however, we must all observe the consequences of this mode of 'plainness' at work. No less than Cordelia, Kent is simultaneously to be praised and blamed. Without them Lear himself would undergo no anagnorisis; just as certainly, however, the choice of silence by one, and plainness by the other, is a radical – and ultimately tragic – reading of their audience. Unquestionably, Shakespeare invites us to admire and respect these two figures; with no less doubt, I think, he urges us to question the possibility of direct discourse in a tragic universe so entirely grammatized by solipsism.
Kent is not, of course, alone in the tragic company of plain speakers. Enobarbus, to his own loss, is similarly blunt with Antony, and in a significant exchange we can see yet another difference between Antony the hero, and Octavius the politician:
_Antony_ Thou art a soldier only; speak no more.
_Enobarbus_ That truth should be silent I had almost forgot.
_Antony_ You wrong this presence; therefore speak no more.
_Enobarbus_ Go to, then; your considerate stone.
_Caesar_ I do not much dislike the matter, but
The manner of his speech.
( _A &C_ II. ii. 107–12)
Antony, disliking the matter as well as the manner, chooses not to hear; as a result, Enobarbus' repeated warnings are not heeded, and eventually he flees to the rival camp. An instructive contrast is offered in the same play by the messenger who comes to Cleopatra with news of Antony's marriage. Beaten at first for his tidings, he shortly changes his tone, though not his tune, and emerges from the audience with Cleopatra's accolade – and her gold. The lesson seems clear; plain speaking can be self-defeating, if the bluntness of the speaker disinclines his listener to hear. Plain speaking, in short, is not always synonymous with communication, but sometimes with its opposite. Indeed, Shakespeare has written an entire play about this subject – _The Tragedy of Coriolanus_.
There is, moreover, another kind of danger in plainness of speech, or rather in the claim to plainness. Often in Shakespeare's plays a character will use such a claim, with varying degrees of artfulness, to disguise or dissimulate a purpose which is far from plain. Hotspur, to take one example, is a comparatively naive advocate of plain speech. He continually mocks or rejects the arts of language, whether employed by Owen Glendower, or the 'nimble-footed madcap Prince of Wales', or his own wife. Glendower's famous 'I can call spirits from the vasty deep' ( _1HIV_ III. i. 52) elicits an equally famous reply which is a repudiation not only of magic, but also of magical or incantatory language: 'Why so can I, or so can any man; / But will they come when you do call for them?' (53–4). Yet Hotspur's own language is very different from the stripped and unsentimentalized diction he favors in others. The famous trait of 'speaking thick' ( _2HIV_ II. iii. 24) attributed to him by his wife has been much debated. On the stage, particularly in Germany, Hotspur has often been made to stutter, following Schlegel's translation of the word _thick_ as _stottern_ ,4 Michael Redgrave, interpreting 'thick' as 'guttural', produced a Hotspur with a Northumbrian r, while Laurence Olivier memorably performed the part with a speech defect which rendered him incapable of pronouncing the letter _w_ , so that the deathbed line, 'food for – ' (V. iv. 84) was necessarily finished by Hal ('For worms, brave Percy' – 85). Much of this, however, seems to be the result of ingenuity rather than accuracy. The consensus of modern scholarship is that 'speaking thick' is merely speaking impetuously or quickly.5 In fact, Hotspur's language is more than anything a Marlovian cadence, as his character is itself Marlovian; the 'honor' speech (I. iii. 199–205) and such sentiments as 'Doomsday is near. Die all, die merrily' (IV. i. 133) and 'if we live, we live to tread on kings' (V. ii. 85) have a distinct smack of Tamburlaine, and the final confrontation of Hal and Hotspur appears to replay the competition between Shakespeare and Marlowe, with Hal-Shakespeare accorded the last, though generous, word. As Hal completes Hotspur's last sentence, literally taking the words out of his mouth, power and control over language, as well as politics, passes from one to the other.
For Hotspur, though his own language is far from 'plain', there is no division between what he intends to say and what he actually says. When exploited by a skillful orator conscious of his art, however, plainness may become a powerful weapon. The full extent of that power can be seen in the Mark Antony of _Julius Caesar_ :
I am no orator, as Brutus is;
But (as you know me all) a plain blunt man
That love my friend, and that they know full well
That gave me public leave to speak of him.
For I have neither writ, nor words, nor worth,
Action, nor utterance, nor the power of speech
To stir men's blood; I only speak right on.
I tell you that which you yourselves do know,
Show you sweet Caesar's wounds, poor poor dumb mouths,
And bid them speak for me. But were I Brutus,
And Brutus Antony, there were an Antony
Would ruffle up your spirits, and put a tongue
In every wound of Caesar that should move
The stones of Rome to rise and mutiny.
(III. ii. 217–30)
This classic version of what Curtius calls the 'protestation of incapacity'6 means, of course, precisely the opposite of what it says. Brutus, the plain – or plainer – man of the two, is made to seem a schemer and an apologist for murder; the persona of the 'plain blunt man' provides a perfect cover for Antony, enabling him to manipulate his audience with thoroughness and ease. When he allows the mask to slip after the plebians have departed – 'Now let it work: Mischief, thou art afoot' (261) – the offstage audience, no less persuaded than its onstage counterpart, may feel an unpleasant shock of surprise.
How complex this matter of 'plainness' can be is well illustrated by Rosalie Colie's comparison of Brutus' funeral oration with Antony's.7 Brutus, she says, is a stoic, 'whose mode of speech is properly plain' or 'Attic', in contrast to the more 'Asiatic' Antony. Thus Brutus' oration is in prose, 'a device designed to show his relative directness and sincerity,' while Antony speaks in 'artful and insidious' verse. Yet, as Colie argues, 'in one sense, signalized by shifting syntax and broken tone, Antony's language is "plainer", answers more honestly to his mood, and is thus more "Attic" than Brutus'.' 'In _Julius Caesar_ ', she concludes, 'Shakespeare dealt in the problems of politics, as of character and motive; nothing is simple here – not even the rhetoric officially designated as "plain".'
*
When Antony's rhetorical ploy is turned to private use it produces equally devastating results. Richard III, confronting the hostile Woodvilles, takes shelter behind a facade of simplicity:
Because I cannot flatter and look fair,
Smile in men's faces, smooth, deceive, and cog,
Duck with French nods and apish courtesy,
I must be held a rancorous enemy.
Cannot a plain man live and think no harm
But thus his simple truth must be abused
With silken, sly, insinuating Jacks?
(I. iii. 47–53)
Here we have the Osric-figure neatly turned inside out. Yet the snake is readily perceived in the grass, with the aural transformation of _simple_ (52) into the spate of sibilants – _silken, sly, insinuating –_ that insinuate themselves into the final line. Once again artlessness becomes the shield of artifice. This role of the plain man is one Richard will assume again and again throughout his play, from the opening soliloquy, in which he claims he 'cannot prove a lover / To entertain these fair well-spoken days' (I. i. 28–9), to the demeanor which leads Hastings to make Duncan's fatal mistake: 'For by his face straight shall you know his heart' (III. iv. 53). Significantly, Richard frequently adopts the pose of 'infancy' – linking an alleged childishness to his pretended inability to speak the language of love or policy. He is 'too childish-foolish for this world' (I. iii. 141); he '[does] not know that Englishman alive / With whom [his] soul is any jot at odds / More than the infant that is born tonight' (II. i. 71–3); even with his confederate Buckingham he is all submission : 'I, as a child, will go by thy direction' (II. ii. 153). Yet all those with whom he plays this part will shortly be his victims. As he perpetuates his own massacre of the innocents with the murder of the princes in the tower, he hides his deadly efficacy behind the smiling masks of infancy, the blunt and open posture of the self-proclaimed 'plain man'.
In such circumstances, 'plain' may become a code word, a warning sign for the attentive reader or listener. Just as those lovers who say that they 'dote' are liable to be found less than faithful, so speakers who call their language 'plain' invite our close attention. Those who insist most firmly on their plainness may well be concealing some darker purpose. True plain speaking in Shakespeare, then, is not so easily achieved or identified. Kent fails to communicate because he is, in a way, too plain. Richard fails because he intends to; he uses the guise of the plain man to replace, and to foil, all genuine human communication.
II
What I should like to argue here is that these pitfalls – whether of silence, syntactic disintegration, overelaborate rhetoric or deceptive plainness – are part of the test of the Shakespearean hero. To learn to speak well, and to communicate one's meanings, is to attain successful maturity in both a dramatic and a psychological sense. For many of Shakespeare's protagonists, the growth and change in their language is as significant as a shift of locale, clothing, or name: it is a change which confirms adulthood.
The most straightforward example is probably that of Prince Hal, whose education in the tavern is directly concerned with the study of a kind of foreign language. It is not sufficient for him to gain the admiration of his future subjects; in order to gain their confidence, he must learn their vocabulary, as he explains to Poins:
Sirrah, I am sworn brother to a leash of drawers and can call them all by their christen names, as Tom, Dick, and Francis... and when I am King of England I shall command all the good lads in Eastcheap. They call drinking deep, dyeing scarlet; and when you breathe in your watering, they cry 'hem!' and bid you play it off. To conclude, I am so good a proficient in one quarter of an hour that I can drink with any tinker in his own language during my life.
( _1HIV_ II. iv. 6–8, 13–19)
A quarter of an hour may suffice for an introductory lesson, but the study of language and its speakers occupies King Henry V for most of his career. In _Henry IV Part I_ Hal shows his skill in the language of tinkers and drinkers. In _Part II_ his determination to learn languages is recognized as more serious and more self-conscious – as Warwick observes to the king:
The prince but studies his companions
Like a strange tongue, wherein, to gain the language,
'Tis needful that the most immodest word
Be looked upon and learned.
( _2HIV_ IV. iv. 68–71)
By the time of _Henry V_ it has become clear that the French are not the only enemies with whom England is at war; the internecine strife among British nationalities is underscored by the dialects of its soldiers. The regional accents of Captains Mac-Morris, Jamy, and especially the Welshman Fluellen are carefully indicated in the text, and the comic controversy between Fluellen and Pistol turns directly on the matter of language. As Pistol is forced to eat the leek of contrition, the king admonishes him for his error:
You thought, because he could not speak English in the native garb, he could not therefore handle an English cudgel. You find it otherwise.
( _HV_ V. i. 76–9)
An earlier confrontation between Welsh and English, in a softer tone, had underscored the same division, for in _Henry IV Part I_ we find Mortimer lamenting the difficulty of speaking with his wife, the daughter of the Welshman Glendower:
This is the deadly spite that angers me –
My wife can speak no English, I no Welsh.
(III. i. 188–9)
The problem is to some extent alleviated, though not solved, by the mediating influence of the lady's 'looks' (197), 'kisses' (201) and, above all, her song; Wales in the _Henry IV_ plays, as later in _Cymbeline_ , is pre-eminently a land of music and magic. In the same scene, however, we hear Hotspur's animadversions on 'mincing poetry' (130) and his good-humored invitation to his wife to leave 'in sooth' and swear 'a good mouth-filling oath' (252), like the lady she is. The two pairs, so entirely complementary, raise between them the question of the proper language for love and war, and anticipate the courtship between Henry and Katherine which concludes _Henry V_.
Katherine's rather comical language lessons in that play take up the theme once more, for even in the apparent safety of the princess's chamber danger lurks: the innocent terms 'pied' and 'robe', when rendered in the English tongue, are transformed into the vulgar words 'foot' and 'count', which bring a blush to a maiden's cheek – though she bravely resolves to pronounce them, nonetheless. Throughout _Henry V_ , in fact, the king's continuing quest to speak and be understood is counterpointed by the adventures of Fluellen, on the one hand, and Katherine, on the other. With entire suitability, therefore, the final act is divided between them – the first scene presenting the discomfiture of Pistol, the second the wooing of Katherine, with the king present and active in both. His declaration of love is couched, yet again, in terms of plain language: he is a 'plain king' (127), a 'fellow of plain and uncoined constancy' (156); his pledge to his lady is 'I speak to thee plain soldier' (152). Henry's speeches here are prose, a form he has, for his three plays, used on the battlefield or in the tavern but never at court. He carefully reassesses the world of linguistic transformation and variety he has left behind, a world he now holds incompatible with the sober responsibilities of kingship. Each word, now, must mean precisely, and only, what it says:
for these fellows of infinite tongue, that can rhyme themselves into ladies' favors, they do always reason themselves out again. What! A speaker is but a prater; a rhyme is but a ballad;... but a good heart, Kate, is the sun and the moon, or rather, the sun, and not the moon, for it shines bright and never changes, but keeps his course truly.
(158–67)
In the course of this final scene, the king speaks French as well as English, the princess English (of a sort) as well as French, and the betrothal is celebrated with a kiss in which King Henry finds 'more eloquence than in the tongues of the French council' (280–1). The play which began with a casuistic reading of a Latin phrase – _'In terram Salicam mulieres ne succédant'_ (I. ii. 38) – concludes with the union of French and English, Welsh and Scot, in a single, hopeful nation.
The techniques employed so successfully by Hal and others in the three _Henry_ plays are also essayed by figures in other plays of the period, with more variable outcomes. The cowardly and loquacious Parolles in _All's Well That Ends Well_ , whose very name means 'words', finds himself at a loss for them when he is blindfolded and hoodwinked by his fellow soldiers. Since 'he hath a smack of all neighboring languages' (IV. i. 16–17) they pretend to be an enemy regiment by inventing a gibberish of their own on the spot ('Throca movousus, cargo, cargo, cargo,' etc. – 66ff) and deprived of his only weapon Parolles is tricked into betraying them, fearing, as he says, that otherwise 'I shall lose my life for want of language' (72). At the other end of the scale of linguistic competence, but almost equally luckless, is Sir Andrew Aguecheek in _Twelfth Night_. Concluding that his suit for Olivia's hand is in vain, he announces his intention to depart, and Sir Toby Belch asks him 'pourquoi?' 'What is "pourquoi"?' replies Sir Andrew. 'Do, or not do? I would I had bestowed that time in the tongues that I have in fencing, dancing, and bearbaiting' (I. iii. 88–91). Yet had he done so Sir Andrew would have wasted his time. In Sir Toby's world of misrule the word 'why', in any language, has no meaning – until, when the revels are ended, Malvolio asks it three times, plaintively and in earnest, at the play's close ('tell me, in the modesty of honor, / Why you have given me such clear lights of favor, /... Why have you suffered me to be imprisoned, / Kept in a dark house, visited by the priest, / And made the most notorious geek and gull / That e'er invention played on? Tell me why' – V. i. 335–44).
As for the apparently inadvertent bawdiness of Katherine's experiments in English, such errors seem to have been a stock source of audience amusement, so broad that they hardly deserve the label of dramatic irony – but wherever they appear in Shakespeare's plays they serve a double function, coordinating the themes of the plot as they provide pleasure to the delighted spectators. William Page's Latin lesson in _The Merry Wives of Windsor_ follows a pattern very similar to that in hi. iv. of _Henry V_. The ignorant Mistress Quickly hears 'horum' as whore and 'pulcher' as 'polecats', or prostitutes, while the Latin master Evans's Welsh accent makes 'vocative' into the more suggestive 'focative', – especially when it describes the word 'caret', characterized by Mistress Quickly as 'a good root' (carrot). Evans himself seems to quibble on 'qui's', 'quae's', and 'quod's', (keys [penises], case [pudendum], and cods [testicles]), although he may well be unaware of his double entendre. As William Carroll has shown, the theme of language and its breakdown is central to the meanings of the play; 'proper English means, for the Windsorites, not only a plain but a native style as well.'8
A third instance of this kind of humor occurs in _Love's Labor's Lost_ (V. i.), when Holofernes, Don Armado, and a willing but outclassed Costard engage in a lofty conversation touching on proximity 'ad dunghill' (Costard's mistake for 'ad unguem'), the smell of false Latin, the 'posteriors of this day', Armado's dallying with excrement (in the form of his moustache) and various 'eruptions and sudden breaking out of mirth' – 'but let that pass' (74–111). The recurrent scatological references have a lowering effect quite the opposite of what these hopeful linguists intend – and the implicit allegation of flatulence in language applies not only to them, but to their nominal 'betters' and employers, the king and his lords, who have commissioned the ill-fated Pageant of the Nine Worthies.
*
In the plays we have just been discussing, growth and change in language are major themes as well as techniques. That is to say, the plays are in one way or another _about_ language, its use, misuse, and nature, and changes or aberrations in speech are directly relevant to the crux of the dramatic action. But for figures in some others of the plays, the process of growth is indicated not so much by a thematic discussion of language as by demonstrable shifts in the kind of language they speak. Often such figures establish a clear rhetorical pattern early in the play, and alter that pattern radically as the result of a crisis in personal development – whether that crisis is falling in love, achieving revenge, or committing a murder. Romeo, for instance, begins by speaking in exaggerated Petrarchanisms and hackneyed rhymes, as he declares his love for Rosaline. Love to him is 'a smoke', 'a fire', 'a sea', _'a_ madness', 'a choking gall' and 'a preserving sweet', all in the course of five lines, and Rosaline herself is described in the stalest possible terms, like a kind of mail-order Stella:
_Romeo_ O, she is 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 make huge waste;
For beauty, starved 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.
(I. i. 218–25)
Shakespeare's sonnets, even those which are concerned with procreation, sound nothing like this; Romeo's diction seems clearly designed by the playwright to mirror his mental state. But notice how quickly his metaphors and rhythms shift when first he sets eyes on Juliet:
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!
(I. v. 46–9)
The two passages begin identically – 'O, she is', 'O, she doth' – and both are, remarkably, in couplet form – but the second passage displays an energy and originality completely absent from the first. From this moment, energy and originality will animate, not only Romeo's speech, but also his action; the change in his language is a sign of a change in character.
Like Romeo, Hamlet undergoes a startling shift in rhetoric at a time of personal growth and change. As has often been noticed, the soliloquies which are his most striking mode of utterance in Acts 1 through iv are not present in Act v, which marks his return from England. The soliloquies themselves are highly inwrought structures, distinguished by long series of questions, exclamations, maxims, and self-interruptions; the 'rogue and peasant slave' speech alone (II. ii. 555–612) contains ten questions and nine interjections ('And all for nothing!'; 'With Hecuba!'; 'Bloody, bawdy villain!', etc.). The jagged and eruptive syntax of his language in the early acts provides, once again, a counterpart for the troubled workings of his mind. Consider this single sentence from the first soliloquy:
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 mourned longer – married with my uncle,
My father's brother, but no more like my father
Than I to Hercules.
(I. ii. 143–53)
Once again, it is impossible even to consider diagramming such a sentence.9 But observe what happens to his language when he returns from England.
Up from my cabin,
My sea gown scarfed about me, in the dark
Groped I to find out them, had my desire,
Fingered their packet, and in fine withdrew
To mine own room again.
(V. ii. 12–16)
or again,
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 th' other,
Subscribed it, gave't th' impression, placed it safely,
The changeling never known.
(49–53)
Notice the sudden appearance of strings of active verbs _– groped, had, fingered, withdrew, folded, subscribed, gave, placed_. This is a language of action, a literally transitive syntax, in which strong verbs and concrete identifiable objects replace abstraction, involution and indecision. In fact, the entire fifth act serves in a way as a lesson in plain speaking. We first encounter Hamlet in conversation with the gravedigger, learning his 'absolute' lesson on speaking 'by the card' (V. i. 138), or with precision. So 'absolute' is he, in fact, that intercourse with him is somewhat difficult; he speaks in a mode of language not far removed from riddle. Hamlet then moves to Ophelia's graveside, where he engages in a duel of hyperbolic words with Laertes ('Nay, an thou'lt mouth, / I'll rant as well as thou' – 283–4), and at this point there follow the passages I have just quoted, in which the verbs of action predominate. The appearance of Osric closes off this scene, for Osric embodies the opposite of plain speech. His language of flattery is not only unintelligible, but also self-defeating, since it requires full and constant annotation to be understood – what Horatio calls being 'edified by the margent' (V. ii. 158). Why does Shakespeare introduce such an idiosyncratic character at this late point in the play? I suspect that it is to underscore the necessity for plain speech, for language which says what it means, and thereby makes possible communication between man and man. Framed on the one side by the gravedigger, and on the other by Osric, Hamlet's change in linguistic style reinforces the change we have seen in his degree of self-knowledge. Significantly, although his dying words are 'the rest is silence,' he leaves an enlightened Horatio behind him to 'tell my story'.
III
To this point we have been largely considering cases of successful coming of age: characters like Hal, Romeo, and Hamlet – even Berowne and Benedick – whose pattern has been one of growth, and whose changes in language have reflected that growth. But there are in the Shakespearean canon examples of failed maturation as well. Caliban's accusation to Prospero is, 'You taught me language, and my profit on't / Is, I know how to curse' ( _Tmp_. I. ii. 365–6). Caliban's persona and language are essentially childlike, appetitive, demanding; the lyrical passage that begins 'Be not afeard; the isle is full of noises' (III. ii. 138–46) employs a childlike language, a childlike concern with things which 'give delight and hurt not', and the image of one who, like a child, wakes and cries to dream again. Caliban's attempted rape of Miranda contrasts sharply with Ferdinand's gentle courtship, which is accomplished, significantly, through their common tongue ('My language? Heavens! / I am the best of them that speak this speech, / Were I but where 'tis spoken' (I. ii. 431–3). In fact, it is Miranda's reply in that language which demonstrates to the enraptured Ferdinand that she is a woman, and not a goddess. Spirits in _The Tempest_ may speak in song, or even in 'excellent dumb discourse' (III. iii. 39), but the condition of full humanity is clearly and repeatedly equated in the play with the proper use of speech.
It may seem fanciful to draw an analogy between Caliban and Coriolanus, yet both are child-men whose language, though sometimes lyrical, often reduces itself to a curse. Coriolanus is the Billy Budd of Shakespeare's plays, an essentially naive figure for whom a failure in language leads ineluctably to self-destruction. The safe path in _Coriolanus_ is the path of Menenius, who uses language to beguile and, equally important, to let off steam: 'What I think I utter,' he explains, 'and spend my malice in my breath' (II. i. 54–5). But Coriolanus is unable to use language in this ameliorative way; whenever he addresses his adversaries he erupts into splenetic and fragmentary speech. Consider his very first words, addressed to the plebians whom Menenius has been at pains to placate:
What's the matter, you dissentious rogues,
That, rubbing the poor itch of your opinion,
Make yourselves scabs?
(I. i. 166–8)
The moving silence between Coriolanus and his mother, indicated by the stage direction _'Holds her by the hand, silent'_ (V. iii), re-establishes the filial bond, but at the cost of the son's adulthood, even his life. We may well be reminded of the silence between Cordelia and Lear, though formally the two are opposite: one coming at the beginning of the play, the other at the end; one inaugurating a breach between parent and child, the other contracting a peace, though one that invalidates all other contracts. For Coriolanus there is, tragically, no moment of attained maturity, but only a refusal of the burdens of adulthood.
Of all Shakespeare's characters, however, two in particular stand out as examples of a contrary linguistic pattern, a regression rather than a progression – a failure of maturation emblematized by a failure in language. Appropriately, they are characters whose careers, and even whose language, have afforded numerous other opportunities for comparison, as have the plays which contain them: Richard III and Macbeth.
Richard begins his play at the height of rhetorical power. He commands the stage in his opening soliloquy, not only because he appears alone before us, but also because of a superb oratorical style by which he manipulates the offstage audience as easily as he will, in the next scene, manipulate the Lady Anne. The soliloquy itself is a masterpiece of syntactical organization. Its fundamental shape is that of logical argument, a sort of negative syllogism which returns insistently to the vocabulary of proof. The tripartite division of 'Now' (1), 'But' (14), 'And therefore' (28) is reinforced by strategically placed cue words of an escalating power: 'Now' (1), 'Now' (5), 'And now' (10); 'But I' (14), 'I' (16), I' (18), 'Why, I' (24), 'And therefore, since I cannot prove' (28), 'I am determinèd to prove' (30).
Even within this elaborate framework, syntactical divisions and repetitions are precise, calculated, and effective. Notice, for example, the compelling result Richard achieves by combining two stylistic devices: (1) parallel phrases, signalled as such by the repetition of an initial word, with the second and subsequent phrases compressed into half the time of the first; and (2) the recurring use of participial constructions.
Now _is_ the winter of our discontent
_Made_ glorious summer by this sun of York;
And all the clouds that loured upon our house
In the deep bosom of the ocean _buried_.
Now _are_ our brows _bound_ with victorious wreaths,
Our bruised arms _hung up_ for monuments,
Our stern alarums _changed_ to merry meetings,
Our dreadful marches to delightful measures.
(I. i. 1–8)
Parallelism is emphasized here by the repetitions of both _now_ (ll.i, 5) and _our_ (1, 3, 5, 6, 7, 8). The deceptively leisurely and discursive pace of the first four lines is replaced in the next four by a series of rapid rhetorical strokes, each a complete thought in a single line, culminating in the understood gerundive verb of the last ('Our dreadful marches to delightful measures'); by implication, the point is now so self-evident that no separate verb is needed. A similar progression takes place in lines 16–23, with a similar effect:
I, that _am_ rudely _stamped_ , and want love's majesty
To strut before a wanton ambling nymph;
I, that _am curtailed_ of this fair proportion,
_Cheated_ of feature by dissembling nature,
_Deformed, unfinished, sent_ before my time
Into this breathing world scarce half made up,
And that so lamely and unfashionable
That dogs bark at me as I halt by them.
(16–23)
Again there is both parallelism and an insistent acceleration, a pile-up of verbal forms which seem to urge the manifest truth of what is being said. Richard, it appears, scarcely has breath enough to enumerate all the reasons for his just anger and resentment. The personal aside in lines 20–23 is a stroke of genius, seeming to show for a moment the speaker's genuine vulnerability, and thereby enlisting a sympathy which might have been withheld from too dazzling an orator. His very first lines had offered a diabolically equivocal enjambment ('Now is the winter of our discontent / Made glorious summer'), and the final resolution carries all the conviction of an argument fully demonstrated: 'therefore, since I cannot prove a lover... I am determinèd to prove a villain' (27–8).
I have dwelt on the syntactical and rhetorical structure of this speech in order to emphasize its speaker's astonishing degree of control – for what is most remarkable about the opening soliloquy is that it is entirely a tour de force: its self-portrait is demonstrably a lie, and a lie exposed by Richard's own eloquence. The man who cannot prove a lover, and who is neither fair nor well spoken, will in the next scene woo and win the wife of his most recent victim, in the presence of her father-in-law's corpse. Shortly thereafter, with quick-tongued intervention, he will turn Queen Margaret's curse back upon her, ending her list of imprecations with 'Thou detested-' 'Margaret' (I. iii. 232–3). He assures the doomed Clarence, with wry justice, that his imprisonment will not be long; he outwits the credulous Hastings by a trick of syntax, turning his Tf' from a conditional ('If they have done this deed, my noble lord' – III. iv. 72) into a subjunctive indicating a condition contrary to fact, and thus damns him out of his own mouth. The opening soliloquy, in short, is Richard's notice to the audience that he can use language to entrap and imprison. Its rigidly logical format contains a wholly illogical and untrue premise which, nonetheless, like so much of his language, persuades.
However, when Richard attains his objective, and thus turns from antagonist to protagonist, his power – and his language – begin to fail him. The breakdown starts slowly; the play he has designed in order to win the support of London's citizens unaccountably fails of its object. We may be reminded of that later and more poignant scene, the deposition of the king in _Richard II_. 'The citizens are mum, say not a word' (III. vii. 3), Buckingham is forced to report. He himself has been the vehicle of Richard's language, instructed and rehearsed by his mentor.
_Buckingham_ And when my oratory drew toward end,
I bid them that did love their country's good
Cry, 'God save Richard, England's royal king!'
_Richard_ And did they so?
_Buckingham_ No, so God help me, they spake not a word,
But like dumb statues or breathing stones
Stared on each other and looked deadly pale.
(20–6)
A second subterfuge, which significantly employs an initially silent Richard between two bishops, works, not perfectly, but well enough. But no sooner does Richard become king than language is turned against him for the first time. His mother, the long-suffering Duchess of York, confers on him the excommunication of silence, exiling him from humanity and kinship:
Hear me a word;
For I shall never speak to thee again.
(IV. iv. 181–2)
And those upon whom he has practiced his puns and wordplay, deceiving and entrapping them, now begin to find fault with his choice of words. To Richard's feigned indignation, 'You speak as if that I had slain my cousins!' (IV. iv. 222), Queen Elizabeth replies, 'Cousins indeed, and by their uncle cozened' (223), and when he protests to her, 'know that from my soul I love thy daughter' (256), she plucks out his word 'from', showing it to mean 'apart from', and leaving him to remonstrate, 'Be not so hasty to confound my meaning' (262).
Most significantly, although Richard is persuaded that he succeeds, in fact his wooing fails. The queen sees through his rhetoric of persuasion, and the marriage he seeks will not take place. When we compare this scene to the earlier (and successful) wooing of Anne, to which it is structurally parallel, we can readily see what a falling-off has happened here. That Richard does not see this – he comments to himself as she leaves the stage, 'Relenting fool, and shallow, changing woman!' (431) – is part of the play's dramatic irony, and further evidence of his decline.
It is at Bosworth Field, however, that the ultimate degeneration of Richard's spirit and speech takes place. The scenes at Bosworth are a fascinating mix of old and new dramaturgy, working in complementary ways to paint a picture of human dissolution and despair. The famous dream sequence, with the ghosts of Richard's victims visiting first his tent, and then Richmond's, derives much of its power from the medieval pageant of virtues and vices on which it is modeled. But set next to that scene, and in startling contrast to it, is a speech of such psychological realism and immediacy that it seems almost to come from a different play. If we call to mind the seductive mellifluousness of the opening soliloquy, we can have no doubt that Richard's control of the external world – and of his own emotions – has undergone a severe deterioration.
What do I fear? Myself? There's none else by.
Richard loves Richard: that is, I am I.
Is there a murderer here? No. Yes, I am.
Then fly. What, from myself? Great reason why!
Lest I revenge. What, myself upon myself?
Alack, I love myself. Wherefore? For any good
That I myself have done unto myself?
O no! Alas, I rather hate myself
For hateful deeds committed by myself.
I am a villain. Yet I lie, I am not.
Fool, of thyself speak well. Fool, do not flatter.
(V. iii. 183–93)
The fragmentation of thought and structure here is almost complete. Eleven T's, nine 'myself's, and one reflexive thyself' burden these eleven lines, which are as chopped and contradictory as any in Shakespeare.10 Once the master of persuasion, Richard now has difficulty sustaining his language the length of a line. His telling verbal ambiguities have been replaced by a debilitating ambiguousness in his sense of self.
The decline in Richard's language and character from grandiloquence to stammering self-confutation is fairly direct. In the case of Macbeth, the pattern is more intricate and more various. We are never really shown a Macbeth in full control of his own speech; from the first, Shakespeare shows us a man whose diction betrays his distress of mind. Thus the tortured syntax which reflected Hamlet's indecision is even more pronounced in Macbeth's:
If it were done when 'tis done, then 'twere well
It were done quickly. If th' assassination
Could trammel up the consequence, and catch,
With his surcease, success....
(I. vii. 1–4)
The equivocation of the balanced clauses which seem to lead to no conclusion is exacerbated by the hissing sibilants ('assassination', 'consequence', 'surcease', 'success') which render this speech as difficult to pronounce as it is to decipher. And nowhere in Shakespeare's plays, perhaps, is syntax more eloquent of emotion than in Macbeth's final weighing of the murder of Duncan. Only once before in the play has he used the word 'murder', and then only to assert defensively that his murder is 'yet but fantastical' (I. iii. 139), imagined. Now he is faced with the deed itself, and though time will not permit him to delay further, syntax will:
Now o'er the one half-world
Nature seems dead, and wicked dreams abuse
The curtained sleep; witchcraft celebrates
Pale Hecate's offerings; and withered murder,
Alarumed by his sentinel, the wolf,
Whose howl's his watch, thus with his stealthy pace,
With Tarquin's ravishing strides, toward his design
Moves like a ghost.
(II. i. 49–56)
Subordinate clause after subordinate clause retards both the conclusion of the speech and the conclusive, fearful action. 'Withered murder', the subject of Macbeth's sentence and his contemplation, is separated from its verb by three entire lines of verse – until finally the inevitable verb 'Moves' makes its tardy appearance. With that verb, there can be no more delay. The bell rings, the murder is done, and Macbeth's language undergoes a radical alteration.
Theatrically, the change is unmistakable, for it is a change from knotty involution to nakedness and disorientation; words are dropped singly into the silence like stones echoing one by one down a well:
_Lady_ Macbeth Did not you speak?
_Macbeth_ When?
_Lady_ Macbeth Now.
_Macbeth_ As I descended?
_Lady_ Macbeth Ay.
_Macbeth_ Hark!
Who lies i' th' second chamber?
_Lady_ Macbeth Donalbain.
_Macbeth_ This is a sorry sight.
(II. ii. 16–20)
This linguistic diminuendo signals a new phase. Now Macbeth begins to be concerned about things he could _not_ say – 'wherefore could I not pronounce "Amen"?' (30) – and finds himself, for the first time, unable to complete a thought. The postponed verb of the previous passage is followed by a passage which contains no verb at all, the reverse of Hamlet's progress toward a union of verb and action:
Methought I heard a voice cry 'Sleep no more!
Macbeth does murder sleep' – the innocent sleep,
Sleep that knits up the raveled sleave of care,
The death of each day's life, sore labor's bath,
Balm of hurt minds, great nature's second course,
Chief nourisher in life's feast –
(II. ii. 34–9)
Lady Macbeth's impatient interjections, 'What do you mean?' and 'Who was it that thus cried?' (39, 43), interrupt a sequence of appositives which otherwise threatens to continue without end. For a moment Macbeth is reduced to 'infancy', that is, to virtual speechlessness; and, as Cleanth Brooks long ago pointed out, it is as a child that he is treated by his wife from this time forward.11
But there is yet another change of diction on Macbeth's part, which is once again consonant with his emotional state – and this change becomes evident at the time that the murder is discovered. Where his language was at first tortured, and then naked, his public tone, as he announces the death of Duncan, is if anything over-finished, highly decorative, ornate-the language of an Osric or an Armado. Duncan's two sons are awakened, and demand to know what is the matter, and to them Macbeth replies,
The spring, the head, the fountain of your blood
Is stopped; the very source of it is stopped.
(II. iii. 98–9)
Luckily, Macduff is present to offer a translation: 'Your royal father's murdered.' But Macbeth goes on, to describe the body itself, though he is speaking to the bereaved sons of the dead man:
Here lay Duncan,
His silver skin laced with his golden blood.
(II. iii. 111–12)
This is the image of a device, a statue or a tapestry, a fictional death rather than a real one. Macbeth's metaphor is doubly self-betraying – first because of its palpable artificiality, and second because it directly violates a crucial canon of heraldry, one that teaches that metal is not to be placed on metal: 'Metal on metal is false heraldry'12 – a proverbial saying that Shakespeare would surely have known. Like the fanciful picture of the daggers in bloody trousers – 'unmannerly breeched with gore' (116) – this language declares its own untruth. Especially in comparison with the plain-spoken Macduff, Macbeth's rhetoric in this scene is transparently false – and suggests both another 'false face', or attempt to deceive his hearers, and a belated and ineffectual attempt to deceive himself. The syntactical wilderness of the 'tomorrow and tomorrow' speech will only confirm the distance he is here beginning to place between himself and genuine human discourse.
IV
Macbeth's 'tomorrow', like T. S. Eliot's 'whimper', suggests a debasement of utterance to the point where it no longer holds communicative value. If we ask the question, when is speech not speech, one possible phenomenological answer would be, when it is not understood. Recently a number of scholars in widely divergent fields have addressed themselves to matters that bear upon this question, and the results of some of their studies may serve as a useful coda to this discussion.
A fascinating medical case reported in 1977 involved a pair of twin six-year-old girls in San Diego, California. The girls, Virginia and Grace Kennedy, were placed by their parents in a school for retarded children because they were unable to speak intelligently in any known language, although they apparently understood both English (their father's language) and German (their mother's) as well as a smattering of Spanish. They communicated with one another by means of what seemed to be unintelligible gibberish. But psychologists at the school maintained that the twins were in fact of normal intelligence, and that the sounds they spoke to one another might well be a kind of private language. As the principal therapist in the case suggested, 'their jabberwocky may be really a comprehensive private language with a structured syntax. '13 Only one similar case is recorded in the medical literature of the last fifty years – a case involving triplets in Germany. The scientists who studied the Kennedy twins hypothesized that theirs might be one of the very rare instances of what is known as 'idioglossia', or twin speech. If so, as one psycholinguist observed, there might be 'tremendous implications for suggesting that there is an innate endowment for language in humans'.14 Whatever the outcome of these researches – and all observers agreed that more data was necessary before a conclusion could be drawn – the situation of the Kennedy twins is highly suggestive. When it was thought that they could not speak in such a way as to be understood, they were classed as subnormal; once it became clear that they communicated with one another and in fact invented words, perhaps even linguistic structures, to suit their experiences and needs, the girls were reclassified as normal children, and new efforts were made to communicate with them and to teach them those codes we recognize as 'languages' today. In other words, the capacity to speak and be understood was used as a defining principle of human behavior, and the adult futures of the twins will depend in large part upon their continued growth toward a more socially acceptable form of speech.
When we turn from medicine to social science, we will find some of the same kind of investigation going on among folklorists, anthropologists, and psychologists. To take only one example, Bruno Bettelheim in _The Uses of Enchantment_ examines the Grimm brothers' fairy tale known as 'The Three Languages' and discerns in it the rudiments of adolescent maturation : discordant human tendencies are integrated by the hero 'until all coalesce within him, as is necessary for gaining full independence and humanity'.15 The tale offers a useful analogy to the patterns we have been noticing. A young man, sent out into the world by his father to study with a famous master, returns after a year to report that he has learned 'what the dogs bark'. His father, disgusted, sends him for another year to another master, from whom he learns 'what the birds speak'. A third year, and a third master, yields only 'what the frogs croak', and the furious father orders that his son be taken to the forest and killed. By the kindness of servants, however, he escapes, and his subsequent adventures in the world of adulthood make predictably crucial use of the three languages. Eventually he becomes Pope, and is able to conduct a Mass although he does not know the words, through the assistance of two white doves which settle on his shoulders and whisper in his ear.
Bettelheim's analysis of the tale is of considerable interest. He argues that dogs, as land animals, 'represent the ego of man',16 that birds, 'which can fly high into the sky... stand in this story for the superego',17 and that frogs, denizens of the water, are emblems of sexuality and of the id. The boy's progressive mastery of the three languages thus emblematizes his mastery of the complex needs and drives of human nature. 'I know of no other fairy tale', Bettelheim concludes, 'in which the process of an adolescent reaching his fullest self-actualization within himself and also in the world is described so concisely.'18 The basic pattern of language acquisition is here made into a powerful, though deliberately simplified, metaphor for the process of attaining successful maturity.
Viewed from another perspective, the son's adventure might be seen as a chronicle of political education or anthropological inquiry into the patterns of an alien culture. In this way his mastery of unvalued foreign tongues resembles that of Prince Hal, and is put to a similarly expeditious use. A plausible modern analogue is John F. Kennedy's political coup in declaring himself a Berliner in Berlin. Four simple German words, in the midst of a speech otherwise entirely delivered in English, captivated a nation and made favorable headlines around the world.
Since yesterday's fantasy so frequently becomes today's reality, it is not entirely surprising to encounter an intriguing converse of 'The Three Languages' in the annals of modern science – specifically, in the experimental work of animal behaviorists. In recent years, under their patient tutelage, dolphins, gorillas, and chimpanzees have been taught to 'speak'. Whether by means of actual vocalic sounds, sign language, or lexigrams typed on an electronic keyboard, these animals have been able not only to indicate wants and needs, but also in some cases to construct actual sentences, even affective ones expressing pleasure or interest. What is especially striking here is the willingness of psychologists, behaviorists, and the general public to equate linguistic capability with 'humanness'. In the case of Koko, a gorilla, funds were raised by public subscription to obtain her 'release' from the San Francisco Zoo, enabling her to live with her trainer-teacher, a graduate student in psychology. A creature who could talk did not, in many people's estimation, belong in a cage. As the trainer expressed it, at a time when it seemed that enough money would not be collected to meet the zoo's demand, 'to take her away from her family, her environment, to throw her in a cage with a bunch of gorillas [ _sic_ ] – it could kill her.'19
Koko, who had achieved a vocabulary of over 300 words and was estimated to have an IQ equivalent to that of a five-year-old child, even acquired a lawyer – a law professor who specialized in animal rights. He maintained that even if the funds could not be raised, Koko no longer belonged to the zoo. 'The gorilla doesn't exist anymore,' he said.
Under normal circumstances, the only thing this animal doesn't have that we do is language. Now you have changed it. When you give it the conceptual apparatus for conscious reasoning, for mobilizing thought, you have radically altered it. You have given it the pernicious gift of language. If it has never been one before, it is an individual now. It has the apparatus for the beginning of a historical sense, for the contemplation of self.
'In this case', he added, 'you have an ape that has ascended. '20 By acquiring the ability to speak, Koko had – in the lawyer's view at least – become 'human', and should be accorded her human rights.
Recent scholarship on animal 'speech' has tended toward a more skeptical view of the subject. Herbert Terrace, a psychologist, concludes in his 1979 book _Nim_ 21 that so-called incidents of 'language' were actually only clever tricks devised by the apes to obtain rewards; and in _Speaking of Apes_ 22 Thomas Sebeok, a linguist, and his wife Donna Jean Umiker-Sebeok, an anthropologist, contend that the animals are actually exhibiting what is known as the 'Clever Hans effect'. (Hans, a German performing horse at the turn of the century, appeared to be able to compute and analyze by tapping out answers with his hoofs, but was discovered to be picking up unintentional signals from his handler.) Noam Chomsky – after whom Terrace playfully named his chimpanzee 'Nim Chimpsky' – is similarly dubious, asserting in a magazine interview, 'It's about as likely that an ape will prove to have a language ability as that there is an island somewhere with a species of flightless birds waiting for human beings to teach them to fly.'23 But whatever the outcome of this debate among scientists, both the attempt to teach apes to speak and the hotness with which the issue of animal 'language' is debated underscore the degree to which human beings associate 'humanness' with the powers of syntactical speech.
If this definition of 'humanness' seems disputable, naive or even slightly comical, it is nonetheless one that has been given widespread credence over the years. Shakespeare's contemporaries would have found lively literary examples of the same popular belief in Ovid's _Metamorphoses_ , where in a remarkable number of cases the poet emphasizes loss of language as a key element in transformation. Inability to speak, rather than change of shape, constitutes the real isolation from humanity. Thus Kallisto, transformed into a bear by Juno because she is pregnant with Jove's child, is deprived of speech lest her entreaties move the goddess to pity. A harsh, terrifying growl is all that is left her, although, as Ovid is careful to remind us, _mens antiqua manet_ 24 – her human feelings remained.
Echo, who similarly displeased Juno by detaining her in talk while Jove disported himself among the nymphs, is given a punishment to fit her crime: as Golding translates, 'that toong that hath deluded me shall do thee little good; / For of thy speach but simple use hereafter shalt thou have'.25 Actaeon, too, loses the capacity for speech. Having come upon Diana and her nymphs bathing, he is changed into a stag, and in Ovid's account the metamorphosis seems deliberately designed to prevent him from reporting what he has seen: 'Now make thy vaunts among thy mates, thou sawst Diana bare, / Tell if thou can.'26
Most interesting, perhaps, is the case of Io, whom Jove changed to a heifer in order to conceal her from Juno; the goddess then cleverly requested the heifer as a gift. Io tried to express her complaints, but was only able to moo, so that her own voice frightened her. When she came to the banks of her father's stream, he fed her but did not recognize her in her altered form. 'She would have tould hir name and chance and him of helpe besought / But for because she could not speake, she printed in the sand / Two letters with hir foot, whereby was given to understand / The sorrowfull changing of hir shape.'27 Io's inventive substitution of writing for speech is remarkably similar to that of Lavinia in _Titus Andronicus_ , and may have influenced Shakespeare in his framing of that scene. But it may not be too fanciful to compare these actions, as well, to that of the chimpanzee who types out words since she cannot speak them. The imperative need in each case is communication. The story of Io differs from the others we have been considering in that Io, unlike Kallisto, Echo, or Actaeon, is restored to her former shape. Moreover, the restoration, like the bestial metamorphosis, turns upon and emphasizes the change in speech. Io first fears to speak lest she moo instead, but gradually regains her former language. The power of human speech is the final element in the transformation. In essence, Io's language defines her humanity.
In Shakespeare's plays, language frequently takes on a comparably defining role. Those who are willfully silent, those who obfuscate, those who babble of green fields, set themselves apart from the world of full human communication, while others, like Hal and Hamlet, confront and explore the very nature and purpose of speech. The Shakespearean world contains neither a Babel nor a Pentecost; unlike Hieronimo's play, in which each player speaks a different language, there is never in Shakespeare a total loss of understanding – nor is there ever a single, universal, apostolic tongue understood by all. It is precisely because of this medial and mediating role that language becomes a gauge of maturity; for Shakespeare's characters, as for his audience, plain, effective speaking demarcates a rite of passage, separating the self-knowledgeable adult from those capable only of inexplicable dumb shows and noise.
Notes
1 For a persuasive discussion of _infans_ in its relationship to the poetry of George Herbert, see Rosalie L. Colie, _Paradoxia Epidem-ica: The Renaissance Tradition of Paradox_ (Princeton: Princeton University Press, 1966), pp. 201ff.
2 O, never will I trust to speeches penned, a
|
---|---
Nor to the motion of a schoolboy's tongue, | b
Nor never come in vizard to my friend, | a
Nor woo in rhyme, like a blind harper's song ! | b
Taffeta phrases, silken terms precise, | c
Three-piled hyperboles, spruce affectation, | d
Figures pedantical – these summer flies | c
Have blown me full of maggot ostentation. | d
I do forswear them; and I here protest | e
By this white glove (how white the hand, God knows !) | f
Henceforth my wooing mind shall be expressed | e
In russet yeas and honest kersey noes. | f
And to begin, wench – so God help me, law ! – | g
My love to thee is sound, sans crack or flaw. | g
(V. ii. 403–16)
3 Yvor Winters, _Forms of Discovery_ (Chicago: Alan Swallow, 1967), p. 3.
4 C. J. Sisson, _New Readings in Shakespeare_ (Cambridge: Cambridge University Press, 1956), II, pp. 45–6.
5 The Arden editor, A. R. Humphreys, cites _Cymbeline_ III. ii. 58–60, 'say, and speak thick... how far it is / To this blessed Milford', as a parallel instance of usage.
6 E. R. Curtius, _European Literature and the Latin Middle Ages_ , Willard Trask (trans.) (New York: Harper & Row, 1953; rpt. 1963), pp. 409–12.
7 Rosalie L. Colie, _Shakespeare's Living Art_ (Princeton: Princeton University Press, 1974), pp. 170–5.
8 William Carroll, "'A received belief'': Imagination in _The Merry Wives of Windsor', Studies in Philology_ , LXXIV, 2 (April 1977), 200. See also the Arden edition, H. J. Oliver (ed.) (London: Methuen, 1971), IV. i. 45n, and the Signet edition, William Green (ed.) (New York: Harcourt Brace Jovanovich, 1965), IV. i. 76n.
9 J. Dover Wilson, _What Happens in Hamlet_ (Cambridge: Cambridge University Press, 1935; 3rd edition, rpt. 1970), pp. 41–2, and Madeleine Doran, _Shakespeare's Dramatic Language_ (Madison: University of Wisconsin Press, 1976), p. 47, both comment on the way in which this sentence 'turns and turns upon itself' (Wilson) or 'circle[s] round and round' (Doran).
10 For a contemporary example from another Elizabethan poet, though in a much different spirit, compare Sidney's sonnet 74, in which the breakdown of language becomes the subject of the poem.
11 Cleanth Brooks, 'The naked babe and the cloak of manliness', in _The Well Wrought Urn_ (New York: Harcourt, Brace & World, 1947), pp. 22–49.
12 John Woodward and George Burnett, _A Treatise on Heraldry British and Foreign_ , new introduction by L. G. Pine (Rutland, Vermont: Charles E. Tuttle, 1969; rpt. from 1892), p. 102. I am indebted to G. Evelyn Hutchinson for bringing this maxim to my attention.
13 Everett R. Howes, 'Twin speech: A language of their own', _The New York Times_ (11 September 1977), 54.
14 Howes, p. 54.
15 Bruno Bettelheim, _The Uses of Enchantment: The Meaning and Importance of Fairy Tales_ (New York: Alfred A. Knopf, 1976), P-97.
16 Bettelheim, p. 100.
17 Bettelheim, p. 101.
18 Bettelheim, p. 102.
19 Francine 'Penny' Patterson, a graduate student in psychology at Stanford University, quoted in Harold T. P. Hayes, 'The pursuit of reason', _The New York Times Magazine_ (12 June 1977), 79.
20 Theodore Sager Meth, a Newark attorney and Seton Hall law professor, quoted in Hayes, 23–4.
21 Herbert Terrace, _Nim_ (New York: Plenum Publishing Company, 1979).
22 Thomas Sebeok and Donna Jean Umiker-Sebeok, _Speaking of Apes_ (New York: Alfred A. Knopf, 1980).
23 Noam Chomsky, quoted in _Time_ magazine, cxv, 10 (10 March 1980), p. 57.
24 _Metamorphoses_ II, l. 485. Citations are from Ovid, _Metamorphoses_ , Frank J. Miller (ed.), 2 vols, 2nd edition (Cambridge, Mass.: Harvard University Press, 1921; rpt. 1971).
25 _Met_. III, ll. 366–7. _The xv Bookes of P. Ovidius Naso: Entitled Metamorphoses_ , Arthur Golding (trans.) (London: John Danter, 1593).
26 _Met_. III, ll. 192–3, Golding (trans.).
27 _Met_. I, lll. 647–50, Golding (trans.).
5
Women's Rites
'As Secret as Maidenhead'
I
The history of the family, sex and marriage, long of interest to playwrights and novelists, has lately been the subject of several illuminating studies by demographic historians. Drawing upon such evidence as parish registers, diaries, autobiographies, household listing, family correspondence and church court records, scholars like Lawrence Stone, Peter Laslett and the Cambridge Group for the History of Population and Social Structure have attempted to survey the domestic relationships and sexual habits of previous generations in England. Stone, in particular, has sought to draw conclusions and establish trends from the data he has collected, creating what one reviewer called a 'typology'1 of changes in social behavior over the period 1500–1800.
In approaching the predominant patterns of sexual and marital behavior in Shakespeare's plays, it will be useful to consider some of this material, as a way of understanding both what the playwright might have inherited and observed from his times, and how he changed it to conform to his own dramatic purposes. The plays reflect contemporary social history as well as the writings of Elizabethan historians, and the canons of the church courts are sources in some ways as germane to our inquiry as the novelle of Lodge and Greene.
Before Lord Hardwicke's clarifying Marriage Act of 1753, the rite of marriage itself was quite ambiguously defined in England, consisting as it did of no less than five separate steps: (1) a written financial contract between the parents; (2) the spousals, or contract, a formal exchange of oral promises; (3) the proclamation of banns three times in the local church of one of the parties; (4) the wedding ceremony in church; and (5) the sexual consummation. This sequence was further complicated by the existence of two kinds of spousals, the contract _per verba de futuro_ and the contract _per verba de praesenti_. As their names imply, the contract _per verba de futuro_ involved promises to marry in the future, and the contract _per verba de praesenti_ promises couched in the present tense (as, 'I do take thee for my wife'). This second kind of promise, in the present tense, was considered by ecclesiastical law to be a binding legal marriage, which would invalidate a later church wedding to another person. The contract _per verba de futuro_ also became binding if it was followed by sexual consummation.2
Bearing this information in mind, we can, for example, see more clearly into the complexities of _Measure for Measure_. Claudio has been imprisoned for the sin of sexual intercourse with his fiancée, in a judgment which echoes the disapproval of the church; yet by that church's law he is nonetheless (because of that act) now legally married to Juliet. Angelo, in the same play, has apparently engaged at least in a contract _per verba de futuro_ with Mariana. According to the duke,
She should this Angelo have married; was affianced to her by oath, and the nuptial appointed: between which time of the contract and limit of the solemnity, her brother Frederick was wracked at sea, having in that perished vessel the dowry of his sister.
(III. i. 213–17)
In the shipwreck Mariana lost not only her brother and her dowry, but also her 'combinate husband' (222), for Angelo then abandoned his vows, and accused her falsely of dishonor. The 'bed trick' arranged by the duke thus adds sexual consummation to the oral contract, and neatly completes the marriage. It is from this tangled ambiguity of terms and steps that Mariana derives the riddle of her status as 'neither maid, widow, nor wife' (V. i. 177–8).
The matter of contract and precontract is also raised in _King Lear_ , where Albany ironically intercedes in Regan's claim to Edmund's hand: 'For your claim, fair sister,' he declares,
I bar it in the interest of my wife.
'Tis she is subcontracted to this lord,
And I, her husband, contradict your banes.
If you will marry, make your loves to me;
My lady is bespoke.
(V. iii. 85–90)
This was indeed the purpose of the banns, to allow allegations of precontract to be heard; Albany deliberately mocks the process, calling into question yet another one of the play's problematic 'bonds'. Edmund himself will take up the figure as he lies mortally wounded, when, receiving news of the sisters' death, he announces 'I was contracted to them both: all three / Now marry in an instant' (230–1). The familiar Renaissance pun on 'die' is here combined with the language of contractual marriage to produce an effect that is doubly disconcerting.
Elsewhere in the plays we hear Falstaff boasting that he has conscripted 'contracted bachelors, such as had been asked twice on the banes' ( _1HIV_ IV. ii. 16–17)-and who are thus presumably eager to buy their freedom – and we witness Katherine's anticipation of her shame when Petruchio fails to appear: 'to be noted for a merry man, / He'll woo a thousand, 'point the day of marriage, / Make friends, invite, and proclaim the banns, / Yet never means to wed where he hath wooed' _(Shr_. III. ii. 14–17). The aborted marriage ceremony of Claudio and Hero in _Much Ado about Nothing_ , which to Benedick 'looks not like a nuptial' (IV. i. 67), is an instance of the denial of contract at the stage of the church wedding, on grounds similar to those feigned by Angelo: the dishonorable conduct of the bride.
In an attempt to regularize and control marital proceedings which seemed to encourage lax behavior, the Anglican canons of 1604 laid down strict rules about the times and places of church weddings. They were to occur only between the hours of 8 a.m. and noon, in the local parish of one of the partners – again, we assume, to ensure that no conflicting precontract existed. Marriages performed in secular places like inns, or at inappropriate times, such as night, would incur serious penalties for the clergyman. The hedge-priest Sir Oliver Mar-Text in _As You Like It_ is a good example of the kind of clergyman the canons wished to discourage, for reasons which are made clear in an exchange between Jaques and Touchstone:
Jaques And will you, being a man of your breeding, be married under a bush like a beggar? Get you to church, and have a good priest that can tell you what marriage is. This fellow will but join you together as they join wainscot; then one of you will prove a shrunk panel, and like green timber warp, warp.
_Touchstone_ [ _Aside_ ] I am not in the mind but I were better to be married of him than of another; for he is not like to marry me well; and not being well married, it will be a good excuse for me hereafter to leave my wife.
(III. iii. 81–92)
In the event, Touchstone is persuaded, and rejects the services of Sir Oliver to join instead in the 'blessed bond of board and bed' (V. iv. 142) presided over by Hymen, the god of 'high wedlock' (144).
Olivia in _Twelfth Night_ is clearly more amenable to the idea of permanence in marriage, persuading Sebastian to 'go with me and with this holy man / Into the chantry by' (IV. ii. 23–4), the nearby parish chapel. The ceremony there performed, 'a contract of eternal bond of love' (V. i. 155), is probably a contract _per verba de praesenti_ , given Olivia's impatience and eagerness; in any case she subsequently addresses Viola-Cesario (to whom she thinks she is contracted) as 'husband' (V. i. 141). On the other hand, in both _The Winter's Tale_ and _The Tempest_ , the contract seems clearly _per verba de futuro_ : Florizel speaks of 'that nuptial, which / We two have sworn shall come' ( _WT_ IV. iv. 50–1), and asserts his resolute chastity, while Prospero enjoins Ferdinand not to 'break [Miranda's] virgin-knot before / All sanctimonious ceremonies may / With full and holy rite be minist'red' ( _Tmp_. IV. i. 15–17).
Another common situation the canons of 1604 sought to correct was that of precipitate early marriage; marriages between persons less than twenty-one years of age were in that year prohibited without the consent of parents or guardians. Yet once again, although a clergyman performing such a ceremony was liable to punishment, the marriages so performed were deemed both valid and irrevocable. The problem, of course, predated the attempted solution, and Shakespeare touched on it in the situation of Romeo and Juliet. The place of their secret marriage is acceptable – the friar's cell – and the time equally so – it is something after half-past-nine in the morning (II. v. 1–2); these particulars might be seen as emphasizing the spiritual legitimacy of the marriage. Yet the subsequent suggestion made by Juliet's Nurse, that having seen Romeo banished she should consent to marry Paris, is more outrageous to modern sensibilities than it would have been to a contemporary audience. Bigamy was a frequent occurrence, which usually went unpunished and even undetected; it was not until 1603 that it became a civil offense.3 As early as the first act the Nurse had expressed the ambiguous desire to 'see thee married once' (I. iii. 61), leaving the door open for more; her pragmatic observation 'Your first is dead – or 'twere as good he were / As living here and you no use of him' (III. v. 226–7) gave voice to a common sentiment, particularly among the lower classes – though needless to say not one that Shakespeare urged upon his hearers.
The greatest violation committed by Romeo and Juliet, however, was in marrying without their parents' permission – for this action struck at the core of the entire social system. The objectives of marriage were the consolidation and safeguarding of family property, the acquisition of further property or other financial advantage, and the continuity of the family lineage and name through procreation. It was an accepted fact of sixteenth-century life that marriages were arranged by the parents, based upon these economic considerations, and without regard to ties of affection or personal choice. Indeed Dr Johnson, writing two hundred years later, could still express the conviction that 'marriages would in general be as happy, and often more so, if they were all made by the Lord Chancellor, upon a due consideration of the characters and circumstances, without the parties having any choice in the matter'.4 The doctrine of filial obedience in the sixteenth century was based firmly upon the Fifth Commandment, as stressed by both Protestant clergymen and spokesmen for the state,5 but its roots were as much economic and political as they were moral. Thus Lawrence Stone suggests:
To an Elizabethan audience the tragedy of Romeo and Juliet, like that of Othello, lay not so much in their ill-starred romance as in the way they brought destruction upon themselves by violating the norms of the society in which they lived, which in the former case meant strict filial obedience and loyalty to the traditional friendships and enmities of the lineage. An Elizabethan courtier would be familiar enough with the bewitching passion of love to feel some sympathy with the young couple, but he would see clearly enough where duty lay.6
Naturally enough, the economic considerations were most visible, if not necessarily most important, among the great families and the nobility. The opening scene of _King Lear_ is not only an abdication and a division of the kingdom, but also, by design, a betrothal. Cordelia is courted by two men of noble lineage, who are significantly described by epithets of property: 'to [her] young love / The vines of France and milk of Burgundy / Strive to be interest' (I. i. 83–5). But once 'her price is fallen,' (197) Burgundy refuses her hand: 'Election makes not up on such conditions' (206). The gallant rejoinder of France, 'She is herself a dowry' (241), expresses a satisfying sentiment from the vocabulary of romantic love, but remains a most untypical point of view for an Elizabethan monarch. Cordelia's corresponding idealism ('Peace be with Burgundy. / Since that respects of fortune are his love, / I shall not be his wife' – 247–9) underscores the fact that this attitude is an unusual and symbolic departure from the social norm, germane to Shakespeare's dramatic purposes, and deliberately contrary to accepted political and economic custom. The norm would probably be represented more nearly by Angelo's rejection of the dowerless Mariana, or by Bertram's refusal to have a 'poor physician's daughter' as his wife ( _All's Well_ II. iii. 116).
But then Shakespeare is not exclusively concerned with portraying norms. The elements of social realism in his plays rather serve as a background for the emblematic patterns he devises, and as counterpoint to his central characters and their actions. The concept of romantic love, celebrated by courtiers in England since the twelfth century and fostered in Shakespeare's time by both poets and playwrights, offered a beguiling literary alternative to the cold facts of sexual and marital behavior. The nobles and the upper classes must have known both fact and art, and perhaps – like the lords in _Love's Labor's Lost_ – allowed the latter to influence the former. But despite the appeal of a conceit like love at first sight, 'falling in love' as it was popularized by Petrarch and depicted in Shakespearean comedy remained very much a minority experience, especially among the propertied classes.7
The pragmatic approach to marriage and family planning had its counterpart in the process of child-rearing itself, and notably with the personage of the wet-nurse. Infants of the upper classes were routinely separated from their mothers after birth and sent out to wet-nurses, where they spent, on average, the first eighteen months to two years of life. Thus, as we shall see, Leontes taunts Hermione by declaring himself glad that she did not nurse their son, the prince. In some wealthy families the nurse became a permanent member of the household, remaining on as the child's friend and confidant after the weaning process had been completed. Juliet's Nurse is one such figure, demonstrably closer to her charge than are the elder Capulets. We hear of her own daughter Susan, now dead, who was born at the same time as Juliet, and of Juliet's weaning eleven years ago (at the age of three!), when she tasted wormwood on the Nurse's nipple, and proceeded to 'fall out with the dug' (I. iii. 32). It is not clear whether Marina's nurse Lychorida is a wet-nurse, but she is manifestly the strongest personal influence on Marina from birth to puberty, since Pericles, believing his wife dead, has placed his infant daughter into the care of foster parents, the King and Queen of Tharsus. Euriphile, the nurse of Cymbeline's sons, stole them from the king at the behest of the aggrieved Belarius, and the young men grew to manhood regarding the couple as their natural parents; so also Perdita believes herself the child of the shepherd and his wife. In fact, one psychological outgrowth of the practice of wet-nursing was a not infrequent identity crisis on the part of many adults, as reflected in the popular changeling fairy tales of the period. It was perhaps natural to imagine that a wet-nurse whose wealthy charge had died might substitute a child of her own for the missing infant, so as to avoid punishment.8
Nor were the children of the period permitted much more access to their parents as they grew older. The practice of 'fostering out', whereby young people left the home at an early age – about ten – for school or work elsewhere, was extremely common in the sixteenth century. Among its other effects, fostering out led to a concept of adolescence (or 'youth') as a separate stage of human development between sexual maturity in the teen years and marriage in the middle twenties. Lawrence Stone nicely observes that the shepherd in Shakespeare's _Winter's Tale_ 'must have struck a familiar chord when he remarked, "I would there were no age between sixteen and twenty-three, or that youth would sleep out the rest; for there is nothing in the between but getting wenches with child, wronging the ancientry, stealing, fighting." '9 To this category of 'youth' we may assign the young bloods who travel with Romeo, as well as Prince Hal's tavern friends, and, allowing for some difference in class, Rosencrantz and Guildenstern – perhaps even Laertes. It may be noticed that this list of 'youth' is composed almost exclusively of secondary characters; if Romeo and Hal and Hamlet are adolescents, they are so in a very special sense, and their progress toward adulthood is deliberately played off against that of their peers. But the very device of 'playing off' is made possible, in part, by the existence of historical norms and historical practices, familiar to the audience, against which the playwright could counterpoise his characters and his plot.
The concept of 'youth' as the shepherd describes it did not, of course, apply to the young women of the period, although typically they too passed a considerable time between the onset of puberty and the entry into marriage – if indeed they married at all. From the thirteenth through the early sixteenth century, when English nunneries flourished, it was not uncommon for fathers to pledge their daughters to the religious life in order to avoid the expense of a large dowry.10 The situation of Hermia, forced to choose between an arranged marriage and the cloister, is likewise certainly not without precedent in fact. Yet the suppression of Catholicism and the abolition of the nunneries in England, while greatly increasing the number of women who married, rather constricted than expanded the options open to them. Before the Reformation a well-born woman ambitious of personal power often found the freedom she sought rather as the head of a nunnery than as a wife, however important her husband – nor did the rigors of convent life apparently prevent her from indulging a taste for personal luxuries.11 Unlike the case of Shakespeare's deliberately reclusive nuns, such as Emilia in _The Comedy of Errors_ , the convent for some of these women was a way of entering the world even as they were by convention dead to it.
But with the coming of the Protestant ascendancy a new emphasis was placed upon the wife's duty and subjection to her husband, and upon the 'feminine' domestic arts. It is true that during the central decades of the sixteenth century a brief movement toward classical education for women was given impetus by such humanists as Vives and Erasmus. Queen Elizabeth was herself one of the women affected by this trend. She spoke fluent Latin, Greek, French and Italian, and could boast to Essex of confounding an impertinent Polish ambassador with extempore remarks in Latin – a tongue which had 'lain long rusting' since her schooldays.12 As late as 1580 Richard Mulcaster still endorsed the idea of women's education, writing in praise of the many women in the country 'so excellently well trained and so rarely qualified in regard both to the tongues themselves and to the subject-matter contained in them'.13 But even as he wrote, education in the classics was being replaced by a return to the traditional courtly graces: the needlework in which we find Hermia, Helena and Marina so well skilled, the 'music, instruments and poetry' which delight the docile Bianca in _The Taming of the Shrew_ (I. i. 92), and the dancing so deftly performed by the ladies of _Love's Labor's Lost_. The older, more 'masculine' model would perhaps have been more to the taste of other Shakespearean women, like Beatrice, Portia and Kate. But pressures from Protestant clergymen strongly urged a return to the concept of docility in women and wives. Luther's view that women should mind the house and bring up the children was echoed and supported by Protestant theologians and lay persons throughout England. The Homily on Marriage, which was to be read out periodically in all Anglican churches from 1562 onwards, plainly asserted the inferiority of women:
The woman is a weak creature not endued with like strength and constancy of mind; therefore, they be the sooner disquieted, and they be the more prone to all weak affections and dispositions of mind, more than men be; and lighter they be, and more vain in their fantasies and opinions.14
Still, there was a woman on the throne, and clergymen, like poets and playwrights, were well advised to walk carefully. Bishop Aylmer, in a sermon before Elizabeth, spoke of two kinds of women, some 'wiser, better learned, discreeter, and more constant than a number of men', the others 'fond, foolish, wanton, flibbergibs, tattlers, triflers, wavering, witless, without council, feeble, careless, rash, proud, dainty, tale-bearers, eavesdroppers, rumour-raisers, evil-tongued, worse-minded, and in everyway doltified by the dregs of the devil's dunghill'.15 Whether Gloriana was mollified by this politic distinction is not certain. Without doubt, however, the situation of the Virgin Queen created special problems. On the one hand, women were almost universally thought to be inferior, unworthy of holding property, in law and theology alike subjugated to the will of their husbands, basically valuable for the dowries they brought with them and the children they produced. On the other hand, the sovereign was not only a woman but an unmarried woman, without husband or heirs. One member of Parliament in 1559 spoke for them all when he opined that 'nothing can be more contrary to the public respects than that of the Princess, in whose marriage is comprehended the safety and peace of the Commonwealth, should live unmarried, and as it were a Vestal Virgin'.16
Elizabeth herself was not unmindful of this conventual parallel. At one point, early in the reign, she dramatically drew her coronation ring from her finger and held it aloft to declare herself England's nun: 'behold the pledge of this my wedlock and marriage with my Kingdom'.17 Certainly she was as aware as any medieval abbess that her power in some ways derived from her single state – that to marry would inevitably be to subjugate herself to both a husband and a king. Nor could she have forgotten the fate of her mother or that of her father's other wives, forced to surrender not only autonomy but sometimes life itself in Henry's relentless quest for a male heir to his throne. Elizabeth's repeated assertions that she preferred a virgin life were almost surely colored by politics as well as by personal preference,18 but whatever the reason she elected not to marry, her rhetoric of virginity remained to be dealt with by her citizens and courtiers – side by side with her lifelong taste for flirtation and courtship. Throughout her long career Elizabeth remained a paradox for her times, the foremost of Knox's 'monstrous regiment of women' – a keenly intelligent, highly educated, strong-minded, single woman, ruling England absolutely, submissive only to God.
Yet despite the dazzling example of the Virgin Queen, the philosophers and the theologians of the age were turning away from the medieval ideal of chastity and toward the concept of 'holy matrimony', marriage as a condition decidedly preferable to the celibate life of the cloister. In 1523 Erasmus had written that lifelong virginity was a flower which 'hathe her bryghte beautye, her fayre fragrancy, her grace and dignities in _this world'_ 19 _–_ incorporating the priest, monk or nun into the mainstream of life. However, a hundred years later the tide had shifted. Cardinal Bellarmine still held to the Pauline view that marriage was for those who could not resist the weakness of the flesh: 'marriage is a thing humane, virginity is angelical'.20 But the celebrated Protestant preacher William Perkins took a different stance: marriage, he asserted, was 'a state in itself far more excellent than the condition of a single life'.21 In 1549 Archbishop Cranmer had added to his new Prayer Book a third motive for marriage, joining it to the ancient purposes of avoiding fornication and bearing legitimate children; now 'mutual society, help and comfort' was also deemed an acceptable reason to marry. The idea of 'holy matrimony' was coupled with that of 'matrimonial chastity', moderation of sexual passion within marriage – a phrase that sounds curiously like the problematic 'married chastity' of Shakespeare's Phoenix and Turtle, which resulted in their 'leaving no posterity'. ( _P &T_ 59–61). What 'matrimonial chastity' and 'holy matrimony' meant for the development of social institutions in England was an inevitable clash between the old practice of arranged marriages and strict filial obedience, and the new doctrine, encouraged by Protestant theologians, of personal choice in wedlock. Lust was as unacceptable in marriage as out of it, but the claims of affection and preference were growing stronger. In the later seventeenth century the cause would be taken up by numbers of prominent Protestants and Puritans; Jeremy Taylor would compare marital love to the purity of light and the sacredness of a temple, and Milton would claim that the chief purpose of marriage was neither procreation nor civil order, but 'the apt and cheerful conversation of man with woman, to comfort and refresh him against the solitary life'.22
*
For Shakespeare, himself coming of age as a dramatist in this period of consolidation and change, the prevailing beliefs of the time about marriage, virginity, chastity and child-rearing were essential materials for his art. In the history plays he deals vividly with the question of marriages arranged for political purposes and personal gain. The surrogate wooing of Suffolk, the cynical marital politics of Richard III, and Henry V's moving attempt to express his love for Katherine as a personal need over and above the needs of the state – all these are placed against the background of historical custom. The deep affection between Richard II and his queen is yet another evidence of Richard's primary identity as a private person rather than a public monarch – and it is useful to remember here that Shakespeare changed history in order to make the queen a grown woman. Laertes' assertion to Ophelia that Hamlet is a prince, and therefore 'may not, as unvalued persons do, / Carve for himself' ( _Ham_. I. iii. 19–20) touches upon the same theme, as (on the level of the squirearchy) do _A Midsummer Night's Dream, Romeo and Juliet_ and _Othello_. The figure of the tyrant father, defender of patriarchy and patrimony, is everywhere in his work, from Egeus to Shylock.
Yet Shakespeare was by no means, of course, merely the creature of his time. In comedies, tragedies and histories alike, he describes love in affective terms which for the most part go beyond even the courtly expectations of romantic love. As we shall see, his characters are often vividly aware of their own sexuality. His women, in particular, are frequently outspoken about their sexual feelings, as well as about the quality of their love. Certainly they are not the tattlers and triflers of Bishop Aylmer's diatribe; rather, time and again, they show themselves wiser and more capable than their lovers and husbands. In short, much as we should expect, Shakespeare uses the beliefs and practices of the world around him to inform his own dramatic vision, not as a copyist but as an interpreter, making of social custom a thematic instrument to reveal the nature of his characters and their situations.
The rites of passage which demarcate sexual growth to maturity are explored in the plays in considerable detail, in terms which are at some times literal, at others metaphorical or emblematic. To observe them more closely, it will therefore be useful to divide our topic into three phases: sexual self-knowledge as manifested in attitudes towards virginity, chastity and sexuality; actual rites, like marriage, defloration, child-bearing and nursing; and symbolic or metaphorical representations of sexual themes.
II
In the opening scene of A _Midsummer Night's Dream_ , Theseus cautions Hermia to consider her choices carefully: if she does not marry Demetrius, she must either die, or 'abjure / Forever the society of men'.
Therefore, fair Hermia, question your desires;
Know of your youth, examine well your blood,
Whether, if you yield not to your father's choice,
You can endure the livery of a nun,
For aye to be in shady cloister mewed,
To live a barren sister all your life,
Chanting faint hymns to the cold fruitless moon.
Thrice-blessèd they that master so their blood.
To undergo such maiden pilgrimage;
But earthlier happy is the rose distilled,
Than that which, withering on the virgin thorn,
Grows, lives, and dies in single blessedness.
(I. i. 65–78)
Despite his perfunctory praise for the 'blessed' condition of virginity, Theseus – himself shortly to become a bridegroom – clearly regards a life of cloistered celibacy as not very different from the alternative punishment of death. His choice of words – 'endure', 'barren', 'faint', 'cold', 'fruitless', 'withering' – creates a vivid picture of denial and consequent deterioration. By contrast the rose is 'earthlier happy' because it is distilled, transmuted to a perfume which lingers and gives pleasure.
In fact, cloisters, monasteries and nunneries in the plays are not seen as productive parts of 'this world' at all. We have already noted that the abbesses in _The Comedy of Errors_ and _Pericles_ both emerge from seclusion to resume their social roles as wives and mothers, and that Hamlet's injunction to Ophelia to 'get thee to a nunnery' underscores Ophelia's persistent refusal of adult responsibility. In a similar way Friar Lawrence proves an unfit counsellor for Romeo and Juliet precisely because of his unworldliness, his lack of experience. His bromidic advice to 'love moderately' is wholly at odds with the precipitousness of their youthful passion and its language of lightning and excess. Moreover, when pressed by circumstances, he forgets his own conviction that 'They stumble that run fast' (II. iii. 94) and intervenes with unwonted haste – performing the secret marriage, administering the sleeping potion, posting a letter to Romeo that is never delivered, and finally stumbling himself, both literally and figuratively, in the graveyard. Though he is pardoned by the Prince of Verona-on the grounds that 'We still [i.e. always] have known thee for a holy man' (V. iii. 271) – this holy unworldliness is precisely his problem, and his naive attempt to apply the _sententiae_ of the cell to the world of love and action is in large measure responsible for the play's tragic outcome.
A complementary pattern is exemplified by the duke in _Measure for Measure_ , himself very much a man of 'this world', who takes on the fictive identity of 'Friar Lodowick' to observe and control corruption in Vienna. Lucio's description of him as a 'meddling friar' (V. i. 127) fits Friar Lawrence as aptly as Friar Lodowick, but the duke's manipulations are founded in a wiser and less absolute understanding of human nature. Both friars attempt to direct the course of events in the plays of which they bear a part – indeed, the duke has often been compared to a playwright, as well as to God. Structurally, Friar Lawrence's devices might merit the same comparison, except for the important fact that his plans inevitably miscarry, leading at last not to 'wedding cheer' but to a 'sad burial feast' ( _R &J_ IV. v. 87). The functional distinction between the two men is pre-eminently that of experience in the world. Like Emilia and Thaisa, the duke enters his monastery as a temporary refuge, and emerges from it at the play's end to preside over several marriages, including – perhaps – his own.
_Together with All's Well, Measure for Measure probably_ stands as the most direct Shakespearean exploration of the psychological effects of celibacy. In that play Angelo, a self-declared Puritan, reveals himself as a sensualist and 'virgin-violator' (V. i.41), while Isabella, who is about to enter a convent, can utter the chilling sentiment that 'More than our brother is our chastity' (11. iv. 184) at the same time that she describes the loss of virginity in terms both sexual and pathological:
Th' impression of keen whips I'd wear as rubies,
And strip myself to death as to a bed
That longing have been sick for, ere I'd yield
My body up to shame.
(II. iv. 100–3)
For both Angelo and Isabella, virginity has itself become a mode of excess, as dangerous in its way as the licentiousness of Lucio, and much more damaging to personal development than the sin of impregnation for which Claudio lies under sentence of death. Isabella, too, is under sentence – a self-imposed one – for she is denying the very process of growth and life. The scene (I. iv.) in which Lucio tells her of her brother's sentence adroitly juxtaposes her uncompromising view with its polar opposite. For Isabella has chosen the order of St Clare, a sisterhood noted for its strictness – and she would prefer a yet 'more strict restraint' (4). Here again her attitude toward the virgin life is one of almost self-indulgent excess. Only because she is as yet unsworn is she permitted to speak to Lucio and receive his message – a message couched in lyrical and sensuous terms sharply at odds with the spare diction of the rest of the scene, and indeed the rest of the play. This is one of those passages in which the poet Shakespeare seems to speak through (instead of in) his character, for the language is not really appropriate to Lucio; rather, its presence in the scene seems a clear controversion of the 'strict restraint' Isabella would impose upon life and speech:
Your brother and his lover have embraced;
As those that feed grow full, as blossoming time
That from the seedness the bare fallow brings
To teeming foison, even so her plenteous womb
Expresseth his full tilth and husbandry.
(40–4)
The prolific agricultural metaphor, the richness of descriptive detail, even the double meaning of 'husbandry' here emphasize the fruitful and productive value of sexuality and child-bearing. We may recall Theseus' contrasting language of fruitlessness in discussing the life of a 'barren sister' – as well as Isabella's own call for restraint. When, shortly thereafter, Lucio characterizes Lord Angelo as 'a man whose blood / Is very snow-broth' (57–8), the contrast of seasons and temperaments is even more clearly drawn.
As we have seen, Isabella's metaphorical identification of Juliet as her 'cousin' serves to emphasize the contrast between the two young women. Where once they were virtually interchangeable, another set of Shakespearean twins, one 'cousin' is now entering a convent, the other bearing a child. Later in the play, the appearance of Mariana as a medial figure will help to fill out the continuum of women's roles. Isabella refuses sexuality and thus denies life both to herself and to her brother; Mariana, a virgin when the play begins, sleeps with Angelo and consummates their marriage, postponed when her own brother died and lost her dowry at sea; Juliet fulfills the promise of marriage in her pregnancy, and asserts to the duke that the act of love was 'mutually committed' (II. iii. 27), the responsibility of both lovers equally. She thus associates herself with those other Shakespearean women (like her namesake Juliet and like Desdemona) who actively declare their own sexual identities and desires.
It may be well at this point to emphasize that the representation of virginity in Shakespeare's plays is by no means entirely negative. Prospero's concern that Ferdinand not 'break [Miranda's] virgin-knot before / All sanctimonious ceremonies' (IV. i. 15–16) is represented as both natural and appropriate, the king in _All's Well That Ends Well_ promises Diana a husband 'If thou be'st yet a fresh uncroppèd flower' (V. iii. 326), and Marina is able to transform the clients of a brothel into men who prefer to hear the vestals sing. All three of these women are virgins – but all will also shortly be brides. It is when the condition of virginity becomes a stasis rather than a stage that the plays invite us to regard it with a disapproving eye. Spenser's Britomart is a militant virgin, whose power derives in part from her virginity, although she too progresses toward marriage. In Shakespeare's plays the only militant virgins are Isabella, in whom the desire for lifelong celibacy is represented as almost pathological, and Joan La Pucelle, who as she approaches the stake declares that she is pregnant – whether by the Dauphin, or the King of Naples, or the Duke of Alençon. Marina comes as close as any Shakespearean woman to the ideal of the virgin endowed by her condition with special powers, and indeed I think we never quite find her betrothal to Lysimachus believable. However, the romance genre of _Pericles_ , and in particular the play's stress on a virtuous love between father and daughter contrasting with the incestuous passion of Antiochus, help to set her aside as a special case outside the general pattern.
In general, then, those Shakespearean characters who adopt a rule of celibacy in adulthood do so in defiance – or ignorance – of their own natures. The lords in _Love's Labor's Lost_ proudly swear to 'war against [their] own affections / And the huge army of the world's desires' (I. i. 9–10) – and at once fall most inconveniently in love. Their 'little academe' is a secularized version of the monastery, even less admirable because it is dedicated not to the worship of God but to their own vain quest for fame. The stylized courtship and covert sonneteering to which these lords are reduced is neatly counterpointed by Costard's overtly sexual interest in the wench Jaquenetta and his artless defense of natural sexuality: 'Such is the simplicity of man to hearken after the flesh' (I. i. 216–17). In this respect, the character of Costard, though much more attractive, looks forward to the plain-spoken advocates of sexual freedom in the dark comedies: Pompey the bawd in _Measure for Measure_ , who advises Escalus that young men 'will to't' unless 'your worship mean[sl to geld and splay all the youth of the city' (II. i. 228–31), and Parolles in _All's Well That Ends Well_.
In fact, the most extended argument against virginity in the plays is offered by the frankly unamiable figure of Parolles, who is rightly described by Helena as a liar, a fool and a coward. But in his own way Parolles is one of Shakespeare's realists, a figure akin to Emilia in _Othello_ and Enobarbus in _Antony and Cleopatra_ ; as he says, simply the thing he is shall make him live. His voice provides a necessary counterpoint to the romantic idealism of both Helena and Bertram, as for example when, having inquired whether Helena is 'meditating on virginity', he offers a meditation of his own:
Loss of virginity is rational increase, and there was never virgin got till virginity was first lost.... 'Tis too cold a companion.... There's little can be said in't; 'tis against the rule of nature. To speak on the part of virginity, is to accuse your mothers.... Besides, virginity is peevish, proud, idle, made of self-love.... Off with 't while 'tis vendible... your old virginity is like one of our French withered pears: it looks ill, it eats drily; marry, 'tis a withered pear.
(I. i. 130–65)
What is missing from this dispassionate summary is, of course, any sense that sexual relationships are founded on idealism and love, and Helena quite properly responds with a spirited defense of her particular love for Bertram, to whom she wishes to be 'a mother, and a mistress, and a friend... a guide, a goddess, and a sovereign' (169–71).
While Parolles is advocating license, his appraisal of virginity has striking affinities with other, more sympathetically expressed sentiments on the subject elsewhere in Shakespeare's plays. For example, he shares with Theseus the view that virginity is 'cold' and 'withered' – a life-denying state – though he omits the balancing praise of marriage essential to Theseus' speech. His materialistic injunction, 'Off with't while 'tis vendible', which reduces love to a commodity, at the same time calls to mind Rosalind's much more appealing – but equally unromantic-admonition to the love-struck Phebe: 'Sell when you can, you are not for all markets' ( _AYLI_ III __. v. 60). And his association of virginity with pride and self-love is exemplified in _Twelfth Night_ by both the self-cloistered Olivia and the Puritan Malvolio. Parolles' speech confirms the audience's sense that he, like Pompey in _Measure for Measure_ , is a severely limited human being, but his pronouncement that virginity is 'against the rule of nature' is nowhere contradicted in Shakespeare's works. Even the churlish hero of _Venus and Adonis_ , who disdains 'sweating lust' and the determined advances of the goddess of love herself, is held up in comic contrast to his more amorous and self-knowledgeable – and in this way more human – horse.
Adonis may be assumed to be a virgin in the same sense as Isabella; indeed, his protestations are amusing in part because, in defiance of the usual sexual stereotype, he seems to be defending his virtue, while Venus offers the habitual _carpe diem_ arguments of the male seducer (ll. 745–68). As a rule, however, refusals of sexuality (and consequently of adulthood) in Shakespeare are divided, as we should expect, along lines of gender, women (like Isabella) protesting against the loss of literal virginity, men (like the Navarrese lords) imposing upon themselves an unnatural abstinence. In _A Midsummer Night's Dream_ Hermia resists Lysander's invitation to lie beside him in the wood, though he protests that his intentions are honorable:
gentle friend, for love and courtesy
Lie further off, in human modesty.
Such separation as may well be said
Becomes a virtuous bachelor and a maid,
So far be distant.
(II. ii. 56–60)
This decision has important dramatic consequences: Lysander's eyes are anointed by Puck, who reads the separation of the pair, not unnaturally, as a sign of his indifference to her: 'She durst not lie / Near this lack-love, this kill-courtesy' (76–7). As a result, he wakes to declare his allegiance to the first woman he sees, who happens to be Helena. Hermia then awakens alone, remembering with terror a dream in which she is attacked by a snake, while Lysander sits by and smiles – a dream which seems very like a metaphor for her sexual fears. Hermia's prudery is in striking contrast to the active and energetic quest for love by Helena, whom Demetrius upbraids for her boldness:
You do impeach your modesty too much,
To leave the city, and commit yourself
Into the hands of one that loves you not,
To trust the opportunity of night
And the ill counsel of a desert place
With the rich worth of your virginity.
(II. i. 214–19)
Helena's instant reply, 'Your virtue is my privilege' (220), is a direct inversion of Hermia's response to Lysander, and suggests a distinction between the two women which is borne out by the development of the plot. From this point Helena's fortunes will rise and Hermia's fall, until Hermia too realizes something of the pain and risk which are intrinsic to love. The elopement into the wood is not enough; only through solitude is Hermia forced to confront her emerging identity as a lover – and as a woman. In a play which begins and ends with reminders of sexual eagerness – 'how slow / This old moon wanes! She lingers my desires' (I. i. 3–4); 'to wear away this long age of three hours / Between our aftersupper and bedtime' (V. i. 33–4) – acceptance of the sexual aspects of love is an essential prerequisite for successful adulthood and marriage.
A timidity similar to Hermia's appears to afflict Hero in _Much Ado about Nothing_. Hero's submissiveness to her father is made clear early in the play, when he tells her of Don Pedro's supposed suit for her hand and apparently receives her consent; after the error is discovered and corrected, she is equally willing to wed Claudio. Yet on the eve of her wedding she displays a real reluctance even to talk about sex and lovemaking. Margaret's jests about being 'heavier soon by the weight of a man' (III. iv. 26) are met only by 'Fie upon thee! Art not ashamed?' (27), and the audience must feel some sympathy for Margaret's ensuing defense of marriage – sex and all – as an 'honorable' estate. We may think that Hero pays an excessively great price for the small vices of prudery and passivity, but the pattern she follows here is a familiar one, differentiating her in crucial ways from those bolder female spirits who defy their fathers' wishes and express a positive wish for sexual fulfillment.
For male characters facing similar problems of sexual self-knowledge the consequences can be even more acute, since they typically respond not with passivity but with precipitous and ill-conceived action. In the case of Othello, marriage comes before the confrontation with sexual desire, with disastrous results. Like Coriolanus, Othello has come of age in war without pausing to learn the nature of love; his explanation of how he came to care for Desdemona is ominously expressed in terms of hero worship:
She loved me for the dangers I had passed,
And I loved her that she did pity them.
(I. iii. 166–7)
This is not at all how Desdemona sees their relationship; she 'saw Othello's visage in his mind,' she says, and she 'love[s] the Moor to live with him' (247, 243), as an equal and a sexual partner, not an admiring audience: 'if I be left behind, / A moth of peace, and he go to the war, / The rites for why I love him are bereft me' (250–2). Yet the consummation of the marriage is repeatedly deferred. There is a bitter irony in Iago's spate of sexual images – 'an old black ram / Is tupping your white ewe' (I. i. 85–6); 'your daughter and the Moor are making the beast with two backs' (112–14); gross clasps of a lascivious Moor' (123) – for twice we see Othello roused from his nuptial bed to attend upon state business; once in Venice, in the council chamber, and a second time at Cyprus. Even there, though Iago informs us that 'he hath not yet made wanton the night with her' (II. iii. 15–16), he leaves Desdemona's bed to silence the brawling troops: "tis the soldiers' life', he tells her, 'To have their balmy slumbers waked with strife' (255–6). Moreover, he goes out of his way to insist that his feelings for her are not carnal, assuring the duke that he wants her company in Cyprus
not
To please the palate of my appetite,
Nor to comply with heat – the young affects
In me defunct – and proper satisfaction;
But to be free and bounteous to her mind.
(I. iii. 256–60)
The general, we may think, protests too much. In his attempt to be more civilized even than the native Venetians, Othello denies his own sexual nature: 'The tyrant Custom, most grave senators, / Hath made the flinty and steel couch of war / My thrice-driven bed of down' (226–8). Once again we may compare this to Desdemona's frank acknowledgment of 'the rites for why I love him'. Othello's fall, when it comes, is a direct consequence of his denial of the primacy of love, both emotionally and sexually. That he can believe Desdemona unfaithful to him on the slightest of hints from Iago – indeed, that he trusts his ancient more than his wife – derives in large part from his resolute rejection of the claims of private life. Convinced at last of his wife's infidelity, he laments that 'Othello's _occupation's_ gone!' (III. iii. 354) – his _occupation_ , not his marriage. Everything is referred to the world of war, until the violence of his repressed sexual feelings takes the displaced form of murder. Significantly, the supposed 'proof' of Desdemona's guilt is the handkerchief spotted with strawberries, which becomes in Othello's mind an unconscious but powerful metaphor for the wedding sheets stained with hymeneal blood. Cassio possesses the handkerchief – therefore, Cassio must have possessed his wife. The wedding sheets themselves, placed on the bed at Desdemona's request, are finally stained not by love but by death, as Othello vows his revenge: Thy bed, lust-stained, shall with lust's blood be spotted' (V. i. 36). The confusion of sexual and martial impulses which has characterized him from the beginning is nowhere more tragically evident than in this final scene, when, the 'cold' and 'chaste' Desdemona lying dead before him, Othello can declare, with bitter bravado, 'Behold, I have a weapon; / A better never did itself sustain / Upon a soldier's thigh' (V. ii. 259–61). His refusal to accept his own sexual feelings and to acknowledge the place of sexuality in human life lies at the root of his tragedy.
When a similar situation occurs in a romantic comedy, the outcome is predictably less serious, but tragic possibilities are never far away. Count Claudio in _Much Ado about Nothing_ , though described by a jealous rival as – like Cassio – a 'most exquisite' Florentine, also exhibits, oddly enough, certain resemblances to Othello. He has distinguished himself in war 'beyond the promise of his age' (I. i. 13), and, partly in consequence, he has no experience in love. Before the recent war, he says, he 'looked upon [Hero] with a soldier's eye, / That liked, but had a rougher task in hand / Than to drive liking to the name of love' (I. i. 291–3). When he turns his mind to courtship, he is at first uncertain of his own success, seeking an intermediary to plead his suit. Most ominously, he shows a willingness to part from his wife immediately after the wedding. When his commander, Don Pedro, declares his intention to stay only 'until the marriage be consummate', Claudio immediately offers to accompany him to Aragon, and is reproved: 'Nay, that would be as great a soil in the new gloss of your marriage as to show a child his new coat and forbid him to wear it' (III. ii. 5–7). The simile echoes Juliet's affirmation of sexual longing:
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.
( _R &J_ III. ii. 28–31)
But where Juliet breaks the bounds of modesty to acknowledge her desires, Claudio, like Othello, represses them in a show of civility, subjugating personal to public motives. It is not entirely surprising, then, that like Othello he is easily persuaded of his bride's guilt. Again, the situation in the two plays is structurally similar: where Iago had led Othello to a place from which he could see – and misinterpret – a meeting between Cassio and Desdemona, the Iago-like Don John leads Claudio to the orchard to observe what appears to be a clandestine meeting between Hero and another man. The device of a waiting woman dressed in Hero's clothes is successfully deceptive, and Claudio publicly denounces Hero at the altar:
Would you not swear,
All you that see her, that she were a maid,
By these exterior shows? But she is none.
She knows the heat of a luxurious bed;
Her blush is guiltiness, not modesty.
(IV. i. 37–41)
Hero is a 'rotten orange' (31), fair to look upon, but diseased within. Her subsequent swoon and apparent death, like the death of Desdemona – and the later swoon and 'death' of Hermione – symbolically replace and displace the sexual 'death' which should have consummated her marriage. Accused of 'dying' falsely with a lover she must, in the Friar's words, 'die to live' (252), or else face the familiar alternative of banishment to 'some reclusive and religious life' (241). Claudio's education in the nature of love, to the extent that it takes place, is a result of serendipity (the watch has overheard the conspirators) and belated contrition (having killed Hero, he consents to wed her 'cousin', whom he has never seen), rather than a real growth in character; but his willingness to undertake a marriage on faith ('I'll hold my mind, were she an Ethiope' – V. iv. 38) is at least the outward sign of an intimated change. Within the play's comic framework his accusation of Hero has indeed been much ado about nothing, and is easily undone; but the play's title might serve with equal appropriateness as a subtitle for _Othello_ , where a failure to accept and understand sexuality converts 'trifles light as air' into proofs of sin and a rationale for murder.
As we have begun to see, for Shakespeare's characters a rejection of sexuality or a denial of its importance can often signal the presence of other serious flaws or failures in self-knowledge. There are, however, occasions in which such behavior is part of a fundamentally sound convention – when it is acknowledged as a stage in human development, rather than asserted as the ultimate ideal of conduct. Romantic lovers in the plays, for example, often include a declaration of their chaste desires as a necessary prelude to marriage. Thus Florizel compares himself favorably to those gods who have transformed themselves for love: 'since my desires / Run not before mine honor, nor my lusts / Burn hotter than my faith' ( _WT_ IV. iv. 33–5). Similarly, Ferdinand assures Prospero that
the strong'st suggestion
Our worser genius can, shall never melt
Mine honor into lust, to take away
The edge of that day's celebration
When I shall think or Phoebus' steeds are foundered
Or Night kept chained below.
( _Tmp_. IV. i. 26–31)
The masque presented to the lovers, while it includes both Juno, the goddess of marriage, and Ceres, the patroness of fertility, contains only a scathing reference to Venus and Cupid, who are described as intending 'some wanton charm upon this man and maid' (95) to make them break their chaste vows. This propriety of behavior is certainly approved, rather than condemned, in the plays, but there is evidence that Shakespeare wished to balance the picture. The masque of Juno and Ceres is interrupted by Prospero's remembrance of Caliban and his plot – and Caliban is, of course, the play's one unmistakable figure of lust, who (like Ferdinand) desires Miranda, and 'didst seek to violate / The honor of [Prospero's] child' (I. ii. 349–50). In the same way, Florizel's respectful disavowal of lust is complemented almost immediately by the arrival of Autolycus and his bawdy ballads. In _The Winter's Tale_ the pre-nuptial event is a sheepshearing feast rather than a pageant, but in both ceremonies – as in both plays – the effect is the same: the young suitor, virtuously praising restraint, is reminded at the moment of his betrothal of the power and importance of sexual energy. Passing from bachelorhood to marriage, he is made to recognize the complexity of an adult relationship between man and woman. In these two plays, interestingly, the emblem of sexuality is a fantastic and symbolic figure – Caliban, Autolycus – who differs in kind from the more realistically drawn lovers; as a result, emphasis is placed upon the human dilemma of the initiate, the youth on the threshold of maturity.
When similar figures appear in other plays, providing an emblematic infusion of sexual energy, they tend likewise to be privileged, if not by nature then by class or occupation, and thus to offer a counterpoint to the human drama of choice. Costard and Pompey are both lower-class figures, who may speak with freedom and frankness of hearkening after the flesh. The fairy queen Titania and the ass-headed Bottom (whose elongated ears and nose suggest corresponding endowments of a sexual nature) each come from a world apart from that of the Athenian court. Theirs is the only amorous relationship in the play that does not lead to marriage, and it clearly represents lust. In this case reason and love keep no company at all, for as Puck points out, 'My mistress with a monster is in love' ( _MND_ III. ii. 6).
In As _You Like It_ , another play in which pairs of lovers contrast vividly with one another in their attitudes toward love, the irruptive element of sexual energy is provided by Touchstone, who 'press[es] in... among the rest of the country copulatives, to swear and forswear, according as marriage binds and blood breaks' (V. iv. 56–8). Without Touchstone and his Audrey – whose name, as he reminds us, rhymes so easily with bawdry – the dialogue of love in the play would tend, despite Rosalind's realism, toward the merely literary and the overromantic. One reason Rosalind retains her disguise in the wood once she has found Orlando is surely to educate Orlando in the complexities of love, and guide him away from the hackneyed Petrarchan practice of hanging poems on trees. But if Orlando is too literary, Silvius and Phebe are too romantic – comic star-crossed shepherd lovers whose rhetoric is as hyperbolic as their self-knowledge is limited. Touchstone, with his insistence that shepherds earn their livelihood not by writing poems but by the copulation of cattle, 'betray [ing] a she-lamb of a twelve-month to a crookèd-pated old cuckoldly ram, out of all reasonable match' (III. ii. 79–82), is a constant and necessary corrective to the prevailing tone. 'Will you be married, motley?' asks the solitary Jaques, and Touchstone's reply is once again a reminder of Costard:
As the ox hath his bow, sir, the horse his curb, and the falcon her bells, so man hath his desires; and as pigeons bill, so wedlock would be nibbling.
(III. iii. 77–81)
'We must be married, or we must live in bawdry' (95). Once again a privileged speaker asserts the importance of sexuality in human love. Touchstone's exaggerated insistence on the centrality of sex (like the similar extremes represented by Auto-lycus and Caliban) helps to balance the romanticism of the other lovers, and provides both for them, and for the audience in the theater, a more mature and self-knowledgeable view of marriage.
Moreover, the situation of Phebe in the same play offers yet another kind of corrective, for Phebe's infatuation with Ganymede-Rosalind is not only blind but also by definition fruitless. This misdirection of sexual desire, doting on a disguised member of one's own sex, is often used by Shakespeare as an indication of self-indulgence and consequent immaturity in love. Rosalind instructs Phebe in no uncertain terms, 'mistress, know yourself. Down on your knees, / And thank heaven, fasting, for a good man's love' (III. v. 57–8). Yet Phebe's transfer of affections from the illusory 'Ganymede' to the importunate Silvius is stylized at best, occurring only as a result of Rosalind's last-minute self-revelation: 'If sight and shape be true, / Why then, my love adieu!' (V. iv. 120–1). Her error of judgment is a metaphorical commentary on Orlando's partial blindness, rather than a focal point of actual growth and change.
In _Twelfth Night_ , however, a greater emphasis is placed upon the substitution of an appropriate love object for an impossible one. When we first hear of Olivia we are told that she has sequestered herself away from the world for a period of seven years:
like a cloistress she will veilèd walk,
And water once a day her chamber round
With eye-offending brine: all this to season
A brother's dead love.
(I. i. 29–32)
The words 'season' and 'brine' here suggest that Olivia wishes to preserve and prolong, rather than to pass through, her feeling of grief. Characteristically, Orsino admires rather than deplores this self-annihilating behavior, intending to build upon her filial affection and fashion out of it a love for himself. But it quickly becomes clear that both are principally enamored of themselves. Olivia's subsequent infatuation with the supposed 'Cesario' thus represents a considerable step in the right direction – that is, away from the safe and childlike identification with a sibling and an equally childlike narcissism. Yet her choice of a woman in disguise suggests that this first stage, of personal risk and unaccustomed openness, must for her be only transitional. In essence she progresses from the self-love and self-pity of an Isabella to the sisterly love of Rosalind and Celia; like Celia accompanying Rosalind into the forest, she will learn first to risk, and then to love. The substitution of Sebastian for Viola, which is often criticized as unacceptable dramatic opportunism, is prepared for by the sequence of Olivia's development, and may perhaps be usefully compared to the lightning transformations in some fairy tales. Just as learning to love a tame bear prepares Snow-White (in 'Snow-White and Rose-Red') to love the Prince who has been imprisoned in that form, so learning to love the energetic but indubitably feminine Viola allows Olivia to develop as a woman, until she is ready to meet her husband in Sebastian. Both Phebe and Olivia take refuge, initially, in traditional female postures of sexual avoidance: Phebe as an unattainable (though slightly déclassé) Petrarchan beloved, Olivia as a kind of secular nun. Their choice of false or intermediary objects of desire represents the middle stage in a progression from autoerotic to homoerotic and thence to fully adult, heterosexual, erotic identity. It may be useful here to call to mind Freud's observations on the sexual theories of children, in which he cites the first false (but suggestive) theory commonly held by them as a 'neglect of the differences between the sexes'.23 In an Elizabethan theater in which all women's parts were played by men, this gender distinction would be even more complex, since Olivia's task is to single out the man-playing-a-woman-playing-a-man from the men-playing-men. Sebastian neatly summarizes the result of her experiences when at last the truth is disclosed:
So comes it, lady, you have been mistook.
But nature to her bias drew in that.
You would have been contracted to a maid;
Nor are you therein, by my life, deceived:
You are betrothed both to a maid and man.
(V. i. 258–62)
Not only Nature, the goddess, but human nature as well has led to Olivia's maturation. She will never be as self-knowledgeable as Viola – but then Orsino will never reach the human wisdom of Sebastian. Shakespeare's concern is not to indicate a single plateau of perfection – neither Phebe nor Audrey will ever rival Rosalind – but rather to suggest a pattern of progress toward maturity.
III
When we shift the focus of our attention from sexual awareness and acceptance to actual sexual behavior, or, in other words, from 'rights' to 'rites', we can see that the sexual rites undergone by women in the plays span the entire sequence of marriage acts : from initiation and defloration, through pregnancy, childbearing and nursing. The act of defloration itself is not often commented upon, for reasons which may relate as much to dramatic feasibility and to delicacy as to the playwright's degree of interest. We do have the two aubade scenes, one in _Romeo and Juliet_ , the other in _Troilus and Cressida_ ; in both the lovers are seen together immediately after a night of love-making, having been aided in the secrecy of their arrangements (and teased for their eagerness) by the very similar figures of the Nurse and Pandarus. In each case the song of the morning lark is heard and noted by the man, the end of night rejected or wished away by the woman, and the encounter ends with what will prove to be a final parting from the place of love. But if the two women rise from their beds in a similar mood, they approach them very differently, in accordance with the very different tones of the plays. Juliet abandons 'compliment', or conventional decorum, as early as the orchard scene, and she is already in that scene able to address Romeo with a mixture of flirtatiousness and naiveté. The question she flings to him from the unreachable height of the balcony, 'What satisfaction canst thou have tonight?' (II. ii. 126) is not wholly innocent of sexual implications, nor, I think, does she intend it to be. On the day of her marriage, as we have seen, Juliet impatiently sues for the coming of night, when she and Romeo will 'lose a winning match, / Played for a pair of stainless maidenhoods' (III. ii. 12–13). Even on her deathbed in the tomb, she converts suicide into an allusively sexual act: failing to find poison left in Romeo's cup – a conventional female symbol – she instead stabs herself with his dagger: 'This is thy sheath,' she says to it, 'there rust, and let me die' (V. iii. 171).
For Cressida, of course, the situation is very different. She is not married to Troilus, and does not seem to expect to be. Her position in Troy is extremely tenuous, and she accepts it at first with a cool realism. Certainly she is from the first aware of the bargaining power inherent in her virginity, and she articulates a sexual mercantilism rather uncharacteristic of Shakespeare's women, though entirely consonant with the dark inequities of the play:
Women are angels, wooing;
Things won are done, joy's soul lies in the doing.
That she beloved knows nought that knows not this:
Men prize the thing ungained more than it is;
That she was never yet, that ever knew
Love got so sweet as when desire did sue.
(I. ii. 293–8)
Yet significantly, Cressida violates her own prudent maxim, and yields to her love and desire for Troilus. She, too, abandons compliment, knowing the risks as she does so:
Prince Troilus, I have loved you night and day
For many weary months....
But though I love you well, I wooed you not;
And yet, good faith, I wished myself a man,
Or that we women had men's privilege
Of speaking first.
(III. ii. 113–28)
In the somber world of _Troilus and Cressida_ women do not have 'men's privilege', either in speaking or in a choice of life; Cressida's hopeful entry into the world of sexuality leads not to fruitful marriage but to her branding as a 'daughter of the game'. But the act of sexual initiation itself is a moment of affirmation which not even her later faithlessness will entirely obscure.
Other instances of defloration or references to it in the plays frequently include a reminder of the physical evidence of that act. We have already noted the multiple significances of the spotted handkerchief in _Othello_ , which comes by a series of transferences to seem a symbol of Desdemona's defloration, whether by Othello or (as he fears) by Cassio. An actual bloody garment appears in the Pyramus and Thisby play of A _Midsummer Night's Dream_ , where Pyramus interprets the 'mantle good, / What, stained with blood!' as evidence that 'lion vile hath here deflow'red my dear' (V. i. 280–1, 290). It is difficult, as always, to know where we are with Pyramus' choice of words; 'deflow'red' may well be a metaphor of sorts, but in view of the play's earlier images of animal sexuality in the woods, the choice by Shakespeare (if not by Bottom-Pyramus) is significant. Once again, the contiguity – even interchangeability – of defloration and dying carries with it not only the force of the usual Renaissance pun, but also a somewhat different meaning, increasingly familiar to the Shakespearean audience, in which death becomes an alternative or substitute for love. A third instance, not unrelated to the theme of the bloody garment, is that of the beheading of Cloten, who has disguised himself in Posthumus' clothing and set out to 'enforce', that is, to rape, Imogen ( _Cymb_. IV. i. 17). His subsequent decapitation at the hands of Guiderius, once again a symbolic castration, substitutes one 'bloody' act for another. Significantly Imogen, awakening, describes the dead trunk as an unwelcome 'bedfellow' (IV. ii. 295), and comes quite naturally to the conclusion that it is her husband Posthumus who lies beside her.
The most obscure, and for that reason perhaps the most arresting, appearance of the bloodstained token in the plays takes place in _As You Like It_ , when Orlando sends a 'bloody napkin' to 'the shepherd youth / That he in sport doth call his Rosalind' (IV. iii. 154–5) – that is, of course, to Rosalind herself. Receiving it she swoons, agrees with Oliver that she lacks 'a man's heart', (163), and confesses, accurately enough, 'I should have been a woman by right' (173–4). The entire scenario is curious. Oliver, the tyrannous older brother, tells a tale of lying asleep in the forest, a 'green and gilded snake' wreathed about his neck, who 'with her head, nimble in threats, approached / The opening of his mouth' (108–9). The snake is frightened away by the approach of Orlando, only to provoke 'a sucked and hungry lioness' (125) with 'udders all drawn dry' (113) to launch her own attack. Orlando, first inclined to abandon his brother to a well-deserved fate, instead gives battle to the lioness and kills her, but not before she can inflict a wound. The blood-stained handkerchief is offered as an explanation for his absence and a sign that he had not forgotten his appointment with 'Rosalind'.
When we compare this account to that in Lodge's _Rosalynde_ , we will at once be struck by the nature of Shakespeare's innovations. Lodge describes the sleeping man, but omits any reference to a snake, and the lion of his story is clearly male: it is described with masculine pronouns, and there is certainly no mention of suckling. Nor does the episode of the 'bloody napkin' have its counterpart in the source.24 The enrichment of detail in Shakespeare's version adds in general to the fairy-tale tone of the work, to the Edenic echoes and to the wonderfully various fauna and flora who inhabit the literary forest of Arden. But it is also clear that the modifications have to do with gender, with sexuality and with initiation. Oliver, an unnatural brother and the unworthy son of a noble father, is menaced by two female animals, one of them a nurturant mother, the other a female (but at the same time unmistakably phallic) snake. Orlando, the male lover, participates in a symbolic ritual exclusively associated with women, offering a cloth spotted with his own blood as a sign of his purity and fidelity in love.
What are we to make of this striking confluence of sexual initiation symbols? Why, indeed, are so many female symbols associated with the two brothers? It seems clear that we are not (seriously) being asked to question the masculinity of either Oliver or Orlando – although we would do well to keep in mind that Orlando is 'wooing' a person he believes to be a man. But the phallic snake, and the supine, vulnerable and classically 'feminine' posture of Oliver, evoke the central symbols of what must be seen as an identifiable and explicit rite – the deflowering of a young woman. So resonant are the symbols of this particular rite that they are at hand to be used to signal less explicit transformations – Oliver's self-described 'conversion' (iv. iii. 135) from unnatural to natural brother, Orlando's change from vengeance to forgiveness and brotherly love. The displaced presence of these sexual symbols in this play is perhaps less jarring than would be the case in almost any other, since _As You Like It_ deals so centrally and consistently with the alternation of male and female roles: the heroine spends most of the play dressed as a man, and the hero courts her in this disguise.
What we have in the incident of the 'bloody napkin' and the elements that surround it is, then, another version of the sexual rite of passage from childhood to maturity. Immediately following his rescue and 'conversion', Oliver falls in love with 'Aliena' – so quickly that even Orlando is surprised. Orlando, for his part, tires of the courtship games he is playing with 'Rosalind', and declares, 'I can live no longer by thinking' (V. ii. 50). He now seeks a real woman, and a real marriage, to parallel the love his brother has found, and which is so deftly described by Rosalind: 'they [have] made a pair of stairs to marriage, which they will climb incontinent, or else be incontinent before marriage: they are in the very wrath of love, and they will together; clubs cannot part them' (37–41). The theme of sexual fulfillment, previously represented only by Touchstone and Rosalind, now attaches itself to Orlando. Through Rosalind's teaching, but also through the act of rescuing his brother, he too has come of age, abandoning the play courtship of a supposed 'youth' for the adult roles of husband and householder. His love for the androgynous Ganymede has made possible the renewal of his love for Oliver, as well as a deeper and less self-indulgent love for Rosalind. In a complementary way, by attaining the condition of filial love previously lacking in his education, Oliver too gains the capacity to love a woman. His transformation is remarkably swift, passing through filial bonding to sexual love in an hour, but it corresponds to a process we have seen before. The symbolically threatening 'rape' of Oliver, and the symbolic 'deflowering' of Orlando, which at first seemed so strangely and inappropriately female, now fit more easily into the play's larger pattern of education in love. The two brothers have been liberated into a world of mature sexuality; the lioness, who reminds us not only of Oliver's failed nurturance and the possible results of deflowering, but also of the remnants of childlike behavior in both young men, now lies dead.
*
For a dramatist of his time Shakespeare is unusually interested in the whole cycle of marital behavior, but perhaps particularly in the fruits of marriage. We have noted elsewhere that Shakespearean children are often disturbingly precocious, but it is equally true that they are portrayed as dearly loved. The bearing of children and their nurture is uniformly described in the plays as a fulfillment of life's promise, and the imagery surrounding pregnancy and childbirth is, as we should expect, closely associated with fruitfulness in nature. There is, in fact, a distinctive lyricism in many of Shakespeare's depictions of pregnant women. In addition to the 'teeming foison' and 'blossoming time' ascribed to Juliet in _Measure for Measure_ , we have Titania's evocative portrait of her former votaress, the mother of the Indian changeling boy who is the cause of her dispute with Oberon. 'On Neptune's yellow sands,' she recalls,
we have laughed to see the sails conceive
And grow big-bellied with the wanton wind;
Which she, with pretty and with swimming gait
Following – her womb then rich with my young squire –
Would imitate, and sail upon the land,
To fetch me trifles, and return again,
As from a voyage, rich with merchandise.
( _MND_ II. i. 128–34)
Here, as in the Juliet passage, a metaphor of fecundity in the external world becomes elided with a literal description of human pregnancy, and provides a brief glimpse of a world of mellow fruitfulness. The dispute about the changeling itself suggests once more the vital connection in these plays between progeny and natural fertility, while Titania's eventual surrender of the child may perhaps be viewed as an acknowledgment of his masculine identity: in order that he may fulfill his promise as a man, rather than remain forever a (step-)mother's child, she allows Oberon to make him a 'Knight of his train, to trace the forests wild' (II. i. 25), abandoning her own instinct to 'withhold' him from the world, '[Crown] him with flowers, and [make] him all her joy' (26–7).
The fate of the Indian changeling is usefully contrasted with that of Mamillius in _The Winter's Tale_ , whose mother, Hermione, is likewise described in highly 'natural' terms. We hear that Hermione 'rounds apace' (II. i. 16), like the moon or the seasons of the year – though Leontes can only sneer that Polixenes has made her 'swell thus' (62), choosing his metaphor from the language of disease rather than healthful growth. Mamillius' name, substituted by Shakespeare for Greene's 'Garinter', suggests a connection with Latin 'mamilla', the nipple of the female breast, though it is interesting that Leontes explicitly states that his son was not suckled by his mother. 'Give me the boy,' he demands of Hermione,
I am glad you did not nurse him;
Though he does bear some signs of me, yet you
Have too much blood in him....
Bear the boy hence, he shall not come about her.
(II. i. 56–9)
As he does so often, Leontes here misinterprets the evidence at hand; we have already seen that although Hermione did not literally nurse her son he was not denied her nurturance, the primal bond between mother and child. Indeed, separated from her he at once begins to sicken and die, behavior Leontes obtusely construes as a sign of 'nobleness'; 'Conceiving the dishonor of his mother, / He straight declined, drooped, took it deeply' (II. iii. 13–14). 'Conceiving', which of course here carries the primary meaning of 'comprehending', also suggests pregnancy, and is ironically juxtaposed to declining, drooping and languishing. While thus falsely envisaging his son as a kind of Hamlet, responding to his mother's dishonor, Leontes also imagines himself prospectively as a Lady Macbeth, as he vows 'The bastard brains [of Perdita] with these my proper hands / Shall I dash out' (139–40). The odd circumstance of a boy called 'Mamillius' who is _not_ nursed by his mother is, in fact, entirely consonant with the major themes of the play, reminding the audience of claims of love which transcend the merely biological, and thus preparing the way for the adoption of Perdita by the shepherd and the clown, and the transformation of those worthies into 'gentlemen born':
The king's son took me by the hand and called me brother; and then the two kings called my father brother; and then the prince (my brother) and the princess (my sister) called my father father; and so we wept; and there was the first gentlemanlike tears that ever we shed.
(V. ii. 143–8)
Even when not expressly lyrical, the depiction of pregnancy in the plays is associated with larger patterns of fertility. When we learn of the wench Jaquenetta in _Love's Labor's Lost_ that 'she's quick; the child brags in her belly already' (V. ii. 674–5), the news interjects a renewed element of fertile energy into a play otherwise dominated by coy flirtatiousness and entirely verbal encounters between the sexes. Moreover, the juxtaposition of Jaquenetta's 'quick-ness' to the death of the King of France, which is announced a few lines later in the same scene, offers a striking actualization of the thematic conflicts with which the play has all along been concerned, and leads directly to the final fruitful songs of winter and spring. A more dramatically energized aspect of the same motif is developed in the character of Cleopatra, whose children seem virtually numberless, if we are to believe the fastidious (and fascinated) Octavius: 'Caesarion, whom they call my father's son, / And all the unlawful issue that their lust / Since then hath made between them' ( _A &C_ III. vi. 6–8). Agrippa's less psychologically perturbed account ('He plowed her, and she cropped' – II. ii. 230) and the continued association of Cleopatra with the teeming Nile ('the seedsman / Upon the slime and ooze scatters his grain, / And shortly comes to harvest' – II. vii. 22–4) again draws a close connection between the childbearing woman and the fertile landscape. And when, on her deathbed, Cleopatra herself perverts the rituals of nurture by placing an asp at her breast, the effect is not to deny her fruitfulness or her maternal role, but rather to demystify death itself:
Peace, peace!
Dost thou not see my baby at my breast,
That sucks the nurse asleep?
(V. ii. 308–10)
In essence, this is the feminine version, superbly dramatized, of a simile Shakespeare frequently uses for _men_ in the plays of this same period: that of the dying man who runs to death as the bridegroom to his bed.25 For Cleopatra the action is not one of capitulation, but rather of triumph:
she looks like sleep,
As she would catch another Antony
In her strong toil of grace.
(345–7)
Just as pregnancy is associated with fulfillment in the plays, barrenness becomes, as we should expect, a sign of spiritual deprivation. It has frequently been noted that lost children in the romances are equated with a loss of fertility in the land, and even with the spiritual death of the parent/king. But the most striking instances of infertility occur in the tragedies. The first words we hear from Julius Caesar are his reminder to Calphurnia that she should stand in Antonius' way on the feast of the Lupercal, in order for him to touch her in the chase and thus help 'shake off [her] sterile curse' ( _JC_ I. ii. 9). Plutarch mentions this superstition in his _Life of Caesar_ , but not Caesar's interest in it, or Calphurnia's barrenness; in his account the Lupercal is merely an excuse for Antony to offer Caesar a crown.26 Shakespeare's modification of the source and, in particular, the fact that he places this detail at the very start of the play invite the audience to speculate about how the childlessness of the ruler (whether a Caesar or an Elizabeth) may leave the land open to threats of civil war. Caesar does not, of course, die entirely without heirs. He leaves his gardens and parks to the general populace, as Antony shrewdly announces in his funeral oration; his political position is soon to be filled by his nephew Octavius, who will himself ultimately claim the title of Caesar. Yet neither nephew nor citizens can wholly replace the longed-for son, and Calphurnia's barrenness, so prominently highlighted by its dramatic placement, casts over the entire play an initial aura of loss and doom.
By the time of _King Lear_ , barrenness has become a vivid metaphor for the quintessence of the unnatural. Lear's curse on Goneril is explicit:
Into her womb convey sterility,
Dry up in her the organs of increase,
And from her derogate body never spring
A babe to honor her.
( _Lr_ I. iv. 280–3)
'If she must teem', the heir he wishes upon her is a 'child of spleen' who will teach her what it is to have a thankless child. But Goneril shows no sign of teeming, and the play that began with the image of a betrothal between Cordelia and the 'vines of France' or 'milk of Burgundy' (I. i. 84) quickly degenerates into images of cannibalism, the converse of parturition and nurture. Within a hundred lines of her first appearance Cordelia becomes as unwelcome to her father as 'he that makes his generation messes / To gorge his appetite' (I. i. 117–18). Later Lear will excoriate his children as 'pelican daughters' who feed upon their parent's blood (III. iv. 74), while Albany peers darkly into the future:
It will come,
Humanity must perforce prey on itself,
Like monsters of the deep.
(IV. ii. 49–51)
These cannibalistic images, involving as they do the feeding of parent upon child or child upon parent, imply not only the disorder concomitant upon such role reversal, but also a more specifically sexual dysfunction. The parent, who should give life, devours; the womb becomes transformed into a consuming mouth, the _vagina dentata_ of psychology and anthropology.
In _Titus Andronicus_ , of course, the depiction of cannibalism extends beyond the bounds of metaphor. Titus, dressed 'like a cook', presides over a banquet at which Tamora's sons are served up to their mother:
Why there they are, both bakèd in this pie,
Whereof their mother daintily hath fed,
Eating the flesh that she herself hath bred.
(V. iii. 60–2)
In a sense, this pathological inversion of childbirth, in which the parent takes the child back into her body, is prepared for by an earlier moment in the play, when Lavinia, soon to be ravished by those same sons, pleads with them for mercy:
O, do not learn her wrath; she taught it thee.
The milk thou suck'st from her did turn to marble;
Even at thy teat thou hadst thy tyranny.
(II. iii. 143–5)
That human nature is derived from human nurture, and character is transmitted through the act of suckling, is a common figure of the period; thus Juliet's nurse crows to her charge, 'Were not I thine only nurse, / I would say thou hadst sucked wisdom from thy teat' _(R &J_ I. iii. 67–8). But Tamora's sons suck tyranny, not wisdom, and when they are horridly reingested by their mother, they complete the pattern of inversion that her malign nurturance began.
One of the most psychologically peculiar uses of the language of suckling and nursing occurs in _Coriolanus_ , a play whose protagonist is consistently described as a man who was denied sustenance and love at his mother's breast – and who will in turn deny sustenance in the form of corn to the citizens of Rome. His mother Volumnia defends her actions in sending Coriolanus to war 'When yet he was but tender-bodied... when for a day of kings' entreaties, a mother should not sell him an hour from her beholding,' because she 'was pleased to let him seek danger where he was like to find fame' (I. iii. 6–13). She hopes that he will return from combat against the Volscians with a bloody brow, since – as she tells his fearful wife – 'the breasts of Hecuba, / When she did suckle Hector, looked not lovelier / Than Hector's forehead when it spit forth blood / At Grecian sword, contemning' (I. iii. 40–4). Later she will remind her son that 'thy valiantness was mine, thou suck'st it from me' (III. ii. 129). Significantly Coriolanus borrows his mother's metaphor when he defects to the Volscian camp, proclaiming himself to Aufidius as one who has 'Drawn tuns of blood out of thy country's breast' (IV.v. 103). But the perverse substitution of blood for nourishing milk does not, as Volumnia hopes, produce an invulnerable hero. Indeed the final discomfiture of Coriolanus comes at the moment when Aufidius sneers to the Volscian troops that 'at his nurse's tears / He whined and roared away your victory' (V. vi. 96–7). Here the socially derogatory 'nurse' instead of 'mother' adds insult to injury, while the allusion to suckling (and the half-implied suggestion that Coriolanus is not yet weaned) links with the foregoing imagery to complete the portrait of a man-child still helplessly dependent upon his mother.
Volumnia is one version of the destructive nursing mother; another, even more malignant, is Lady Macbeth, who petitions the spirits of murder to 'Come to my woman's breasts, / And take my milk for gall' (I. v. 47–8). Her exhortation to her wavering husband to be steadfast is memorably couched in terms of motherhood:
I have given suck, and know
How tender 'tis to love the babe that milks me:
I would, while it was smiling in my face,
Have plucked my nipple from his boneless gums,
And dashed the brains out, had I so sworn as you
Have done to this.
(I. vii. 54–9)
Ironically, we have just heard her muse that Macbeth's nature is 'too full o' th' milk of human kindness' (I. v. 17) to contemplate murder, and shortly, with equal irony, we will hear his praise of her: 'Bring forth men-children only; / For thy undaunted mettle should compose / Nothing but males' (I. vii. 72–4). Macbeth, who will later protest that he is not a female child, 'the baby of a girl' (III. iv. 106), becomes in fact the man-child his wife will bring to birth – and dash to shards.
The proverbial question, 'How many children had Lady Macbeth?', has perhaps been unfairly maligned: the play is as urgently concerned with dynasty, offspring and succession as any in Shakespeare, and against that background Lady Macbeth's relationship to maternity stands out in sharp relief. Duncan's two sons, Banquo's Fleance, Macduff's 'pretty chickens' (IV. iii. 218) all exemplify the leading characteristics of their parents; in fact, Macduff's young son, of whom his mother remarks 'Fathered he is, and yet he's fatherless' (IV. ii. 27) resembles his father even in this paradoxical parenthood, since Macduff, 'from his mother's womb / Untimely ripped' (V. viii. 15–16), was thus 'none of woman born' (IV. i. 80). Moreover, Lady Macduff herself, a fruitful wife and the mother of numerous children, provides the most vivid possible contrast to Lady Macbeth's own barrenness and faulty nurture. Even the 'temple-haunting martlet' that nests in the crenelations of Macbeth's castle contributes to this sense of contrast, for 'the pendent bed and procreant cradle' of the breeding birds offers an ironic antithesis to the destructive energies of the human occupants within. The irony is heightened by both the dramatic situation and the placement of these lines, since Banquo speaks them to Duncan, unwarily supporting the view that one can find the mind's construction in the face, and the scene in which they are spoken (I. vi.) is immediately followed by that which contains not only the 'I have given suck' speech, but also Macbeth's references to 'men-children only' and 'pity, like a naked newborn babe'.
The puzzle of Lady Macbeth's maternity is never solved in the play, since no child – save Macbeth himself – is ever seen or mentioned. But the active malignity of a mother who would nurse her infants with gall and pledge to dash their brains out is, perceptually, much greater than the merely passive picture of a barren Calphurnia or a determinedly virginal Rosaline. The opposite of Cleopatra, who poetically transmutes the poison of snakes into mother's milk, Lady Macbeth in her animadversions on motherhood provides the play with one of its most striking continuing images, an image which will resound anew in Malcolm's fictive pledge of iniquity:
Nay, had I pow'r, I should
Pour the sweet milk of concord into hell.
(IV. iii. 97–8)
IV
The representations of sexual behavior in the plays are not, of course, limited to those acts explicitly shown or mentioned. At the same time that Shakespeare's characters are explicitly concerned with problems of virginity, marriage, child-bearing and the like, the symbolic language of imagery and action reinterprets and enriches these concerns. In some cases these dramatic symbols seem to be the hidden psychological counterparts of visible acts and audible thoughts; in other cases such symbols appear to serve as counterpoint to, or even as ironic commentary upon, developments in the plot.
The specific image of 'deflowering', for example, occurs from time to time in Shakespeare's works in a variety of contexts. Although some poets of the fourteenth century did use 'flower' as a synonym for virginity,27 this metaphorical connotation seems to have been quickly lost. The earliest definition of 'deflower' itself in the OED is 'To deprive (a woman) of her virginity; to violate, ravish (1382)', with no explicit connection to 'flower' at all. Characteristically, Shakespeare renews or reconstructs the floral metaphor, with interesting results. Although he will occasionally use 'deflower' without any allusive sense (e.g. _Titus_ II. iii. 191; _Measure_ IV. iv. 21), as early as _The Rape of Lucrece_ he has Tarquin vow to himself 'I must deflower' (348) and then inform Lucrece, 'I see what crosses my attempt will bring, / I know what thorns the growing rose defends' (491–2). Likewise, Old Capulet, discovering Juliet apparently dead, laments to Paris, 'O son, the night before thy wedding day / Hath Death lain with thy wife. There she lies, / Flower as she was, deflowerèd by him' ( _R &J_ IV. v. 35–7). As we have already noted, the king in _All's Well_ seeks Diana's assurance that she is 'yet a fresh uncroppèd flower' (V. iii. 326). Theseus' view in his charge to Hermia that the 'rose distilled' is 'earthlier happy' than that left 'withering on the virgin thorn' is yet another, slightly more oblique, instance of this same figure. To these merely allusive or verbal references, however, we can add two with more far-reaching dramatic consequences: the flower-giving scenes of Ophelia and Perdita.
One change is already apparent: where we have been speaking of deflowerers or flower-takers, we now have flower-givers, women who 'de-flower' themselves. This is, of course, exactly what Ophelia is repeatedly cautioned not to do. Hamlet's insistent mention of the nunnery is the third such warning she has received. Polonius, who will shortly aver that 'drabbing' is no disgrace for his son, commands his daughter to 'Be something scanter of [her] maiden presence' (I. iii. 121), and, in fact to avoid Hamlet altogether, while Laertes' icily practical (and at the same time oddly prurient) advice includes an inverted echo of Theseus on the fate of a 'barren sister': 'The chariest maid is prodigal enough / If she unmask her beauty to the moon' (I. iii. 36–7). In this same speech Laertes alludes to infected flowers, 'the infants of the spring' galled by the cankerworm 'before their buttons [i.e. buds] be disclosed' (39–40), and Ophelia counters, with uncharacteristic spirit, by warning him to avoid 'the primrose path of dalliance' (50). Both images obliquely equate virgins with flowers, and predatory males with flower-pickers, in much that same way that Milton will later describe Proserpina as a flower 'gathered' by gloomy Dis.28
In the mad scene, however, it is Ophelia who plucks the flowers and gives them away. As with Hermia's dream of the snake, this gesture is a displacement; in Freudian terms it might be considered an action undertaken by the unconscious to express what has been repressed by the conscious mind. Ophelia's song is, of course, a ballad of lost virginity, couched in a language most untypical of her usual chaste persona:
Then up he rose and donned his clothes
And dupped the chamber door,
Let in the maid, that out a maid
Never departed more....
Young men will do't if they come to't,
By Cock, they are to blame.
Quoth she, 'Before you tumbled me,
You promised me to wed.'
He answers:
'So would I'a' done, by yonder sun,
And thou hadst not come to my bed.'
(IV. v. 52–67)
Excluded from the normal pattern of sexual initiation by her own filial submissiveness as well as by Hamlet's action, she becomes instead a symbolic self-deflowerer, whose death is perforce both a consummation and a source of renewed fertility: 'from her fair and unpolluted flesh / May violets spring!' (V. i. 239–40). The violet, a traditional emblem of faithfulness, is associated with Ophelia's affections from Laertes' first cautionary speech (Hamlet's favor is 'A violet in the youth of primy nature' – I. iii. 7) to Polonius' death ('they withered all when my father died' – IV. v. 184–5) and beyond that to her gravesite; but in her dying moments violets are replaced by garlands of another purple flower, significantly described by Gertrude: 'long purples, / That liberal shepherds give a grosser name, / But our cold maids do dead men's fingers call them' (IV. vii. 169–71). The demure violet becomes the phallic early purple orchid,29 a sign at once of sex and death.
The flower-giving ceremony in _The Winter's Tale_ seems at first glance very different from Ophelia's, yet formally they have much in common: a young virgin distributes floral emblems to appropriate recipients according to one or another language of flowers. ('Rosemary, that's for remembrance. Pray you, love, remember.' – _Ham_. IV. v. 175–6; 'flow'rs / Of middle summer, and I think they are given / To men of middle age' – _WT_ IV. iv. 106–8).30 And once again, one kind of flower is missing. Ophelia's sheaf lacked violets, Perdita's lacks 'flow'rs o' th' spring' (113) to bestow upon her suitor, Florizel, and the shepherdesses 'That wear upon your virgin branches yet / Your maidenheads growing' (115–16). This may be an oblique reference to the incipient presence of fall (and fallenness) in the apparently paradisal landscape, but it also seems an apt reminder of Perdita's own liminal state. She is easily able to gratify old and middle-aged men who represent neither a sexual threat nor an analogy to her own sexual condition: she _wishes_ she could give flowers to Florizel, but cannot. Indeed, her expressed desire 'To strew him o'er and o'er' (129) not unnaturally leads Florizel to ask 'What, like a corse?' once again implying a substitution of death for sexual love. Moreover, some of the metaphors in which Perdita describes flowers, both those she has and those she lacks, are oddly preoccupied with the very subject of deflowering. 'The marigold that goes to bed wi' th' sun, / And with him rises, weeping' (105–6) is an image of fearful and unhappy sexual initiation, and 'pale primroses, / That die unmarried ere they can behold / Bright Phoebus in his strength (a malady / Most incident to maids)' (122–5) offers a picture of the unhappy alternative, spinsterhood and death. We might perhaps view Perdita's flower-giving as a therapeutic version of Ophelia's, since it does result in fulfilled love and marriage. But Perdita's maiden fearfulness emerges in the metaphors she chooses, as well as in her gesture itself – and, as we have already seen, it is not until the arrival of Autolycus that sexual energies are fully acknowledged or accepted in the world of the sheepshearing feast.
Just as the fragility and beauty of the virginal condition is emblematized as a flower, so its preciousness is connoted by another frequent emblem, that of the treasure. Thus Laertes warns Ophelia not to 'lose your heart, or your chaste treasure open / To his unmastered importunity' _(Ham_. I. iii.31–2). As this example suggests, the treasure is an apt metaphor not only because it represents value, but also because it is enclosed: the treasure chest becomes a womb, the deflowerer becomes a thief.31 In _Cymbeline_ this image comes dramatically to life, as Iachimo persuades Imogen to store in her bedchamber a trunk ostensibly containing plate and jewels. In fact, the trunk contains Iachimo himself, who by this strategem is able to violate Imogen's bedchamber and obtain false evidence that he has made love to her.32 In a variant of this same figure, the virgin beloved is seen as a miser, hoarding up unspent riches. Romeo rails against Rosaline's 'strong proof of chastity' (I. i. 213), complaining that
she is rich in beauty; only poor
That, when she dies, with beauty dies her store.
(218–19)
The so-called 'procreation sonnets' (1–17) argue essentially the same point, especially sonnet 4, in which the beloved is addressed as 'unthrifty loveliness' (1), 'beauteous niggard' (5) and 'profitless usurer' (7). Sexuality becomes an investment, which brings returns not only in the form of pleasure, but also of children.
The fullest application of this metaphor, of course, occurs in _The Merchant of Venice_ , which rings the changes on many of these themes. Shylock, who early on speaks of money as something to 'breed' (I. iii. 93), locks in his house both his virgin daughter and his hoarded ducats, but both escape and are ultimately given to Lorenzo.33 He laments the loss of daughter and ducats with indiscriminate grief, showing perhaps a slight preference to the ducats, and visualizes both as re-enclosed under his power: 'I would my daughter were dead at my foot, and the jewels in her ear! Would she were hearsed at my foot, and the ducats in her coffin!' (III. i. 84–6). Once again, death is imagined as a substitute for marriage, while the coffin symbolically preserves the virginity which will in fact be lost. Manifestly, Portia's three caskets are also in this sense womb or virginity emblems. Throwing the treasure down from her father's window, Jessica had enjoined Lorenzo to 'catch this casket; it is worth the pains' (II. vi. 33). Likewise Portia, whose fate in marriage depends upon her father's test, invites Bassanio to try his luck with the caskets of gold, silver, and lead: 'I am locked in one of them; / If you do love me, you will find me out' (III. ii. 40–1). Once he selects the right casket and finds her portrait within (an inversion of the physical reality, that the casket is inside her body), the marriage is solemnized by the exchange of rings. The casket having been opened, there is no longer need for a functional symbol of virginity: the ring now comes to represent married chastity, an unbroken circlet penetrated only by the chosen spouse.
This image of the ring placed upon the outstretched finger as a symbol of intercourse is familiar from folkloric and mythic sources as well as from popular and vulgar tradition.34 In _The Merchant of Venice_ the substitution of the open ring for the closed casket as the emblem of the female sexual organs marks an important turning point. The treasure, once locked away, is now put to use as a medium of exchange. Rings are repeatedly associated throughout the play with women of marriageable age. Shylock's ring, a turquoise (a stone thought to 'take away all enmity, and to reconcile husband and wife')35 was given to him 'when [he] was a bachelor' (III. i. 117–18) by the woman who would become his wife. Jessica, the rightful inheritor of the ring in both a legal and a sexual sense, takes it away with her and is reported to have traded it for a monkey, proverbially one of the most promiscuous of animals. In Shylock's view, this is exactly what she has done: traded her virginity, which should remain locked up, for a licentious relationship with Lorenzo. What we actually see of Jessica seems not to accord with this flighty behavior. The episode, which is described to Shylock by a fellow Jew, instead serves the play symbolically in a dual fashion, emphasizing Jessica's repudiation of her father's values and offering a psychological insight into Shylock's mind. (We may perhaps compare this association of Lorenzo with a monkey to Hermia's conflation of Lysander with an equally sexual, equally distasteful snake – with, of course, the crucial difference that the immature or warped sexual imagination here belongs to the father and not the young girl herself.)
The central 'ring trick' in the play, however, is played by Portia and Nerissa, who bestow rings upon their husbands at the time of betrothal, exacting a promise that they never be removed. Disguised as the learned 'doctor' and his 'clerk', they then mischievously obtain the rings from their reluctant spouses, as the only acceptable payment for the confounding of Shylock. Back home, in their own persons, the ladies proceed to accuse their husbands of unfaithfulness, equating ring and sexual fidelity in straightforward terms:
Portia Since he hath got the jewel that I loved,
And that which you did swear to keep for me,
I will become as liberal as you;
I'll not deny him anything I have,
No, not my body nor my husband's bed...
I'll have that doctor for mine bedfellow.
_Nerissa_ And I his clerk.
(V. i. 224–34)
Since Portia and Nerissa _are_ the doctor and the clerk, this promise can easily be kept, without the breaking of the marriage vow.
Variations of the 'ring trick' appear in several other plays, and whereas in _The Merchant of Venice_ the link between ring and cervix is elaborated in a somewhat expository fashion, elsewhere the identification seems virtually taken for granted. Olivia, smitten with the boy 'Cesario' who is Viola in disguise, sends him a ring, claiming that he left it behind him. Viola, while asserting to Malvolio that 'She took the ring of me. I'll none of it' (II. ii. 12), privately muses 'I left no ring with her. What means this lady?' (17) and comes instantly to the correct conclusion: 'She loves me sure' (22). The ring is not Viola's offer of sexuality, much less Orsino's, but rather Olivia's gift of herself. Recalled to her house, Viola once again refuses Olivia's affections and is, significantly, presented with a new token: 'here, wear this jewel for me; 'tis my picture' (III. iv. 213). The pattern reverses that in _The Merchant of Venice_ : the open ring is succeeded by the closed locket or pendant, in which the maiden Olivia remains sealed. Only when she meets and marries Sebastian does she once again acquire a ring, as is made clear by the priest who performs the ceremony:
A contract of eternal bond of love,
Confirmed by mutual joinder of your hands,
Attested by the holy close of lips,
Strength'ned by interchangement of your rings.
(V. i. 155–8)
For Helena in _All's Well That Ends Well_ , the problem is somewhat different: not how to give a ring, but how to get one. Her husband, the unlovable Bertram, who prefers 'Wars... To the dark house and the detested wife' (II. iii. 294–5), flatly declares 'I will not bed her,' and sends instead an ultimatum:
When thou canst get the ring upon my finger, which never shall come off, and show me a child begotten of thy body that I am father to, then call me husband; but to such a 'then' I write a 'never'.
(III. ii. 58–61)
The sequence of 'ring' and 'child' is self-explanatory in view of the other ring references we have noted; moreover, the play, as if to underscore the point, uses 'ring-carrier' as a synonym for 'bawd' (III. v. 90) – the only instance of that term in all of Shakespeare. Helena's stratagem, by which a virgin aptly named Diana will pretend to surrender to Bertram in exchange for his ring, prompts a conversation which once again makes the implicit explicit:
Diana Give me that ring.
_Bertram_ I'll lend it thee, my dear, but have no power
To give it from me....
It is an honor 'longing to our house,
Bequeathed down from many ancestors,
Which were the greatest obloquy i' th' world
In me to lose.
_Diana_ Mine honor's such a ring.
(IV. ii. 39–45)
And when Helena, in substitute for Diana, obtains Bertram's ring, she gives him hers, assuring the denouement before the king. The double proof of ring and pregnancy finally resolves the case, fulfilling the seemingly impossible conditions of Bertram's initial demand.
Moreover, not only rings but also other jeweled circlets play this role in Shakespeare's plays. In _The Comedy of Errors_ Anti-pholus of Ephesus, annoyed at his wife's conduct, promises to give a gold chain designed for her to a courtesan instead. On the strength of this promise, the courtesan herself bestows a diamond ring upon Antipholus of Syracuse, whom she mistakes for his twin. In _Cymbeline_ , Imogen and Posthumus exchange tokens as he embarks upon his exile. She gives him a diamond ring, he offers a bracelet, a 'manacle of love' (I. i. 122). In the course of his nocturnal espionage, Iachimo steals the bracelet, and by its evidence convinces Posthumus that he has enjoyed Imogen's sexual favors. In both of these cases the sexual symbolism is muted, but in neither is it absent. The 'golden gifts' ( _Err_. III. ii. 184) accompany and emblematize a pledge of fidelity, but they are also expressly related to actual physical love.
Of all the symbols Shakespeare uses to denote sexual activity and sexual rites of passage in the plays, the most traditional of all is the walled garden. Significantly, such a garden unites the image of the flower with that of the treasure, casket or ring, since it is an enclosure which contains flowers. An entire – and familiar – medieval heritage lies behind this figure, from the _Romance of the Rose_ to Domenico Veneziano's painting of _The Annunciation_ , a work in which all the iconography of the trope is present. In it the Virgin stands, head bowed, in a porticoed room which opens on to a walled garden, visible only as a corridor framed by vines and foliage. At the further end of the corridor is a double wooden door, bolted shut. The Virgin's blue robe is draped over what at first appears to be part of a bench, but which on closer examination proves to be an enclosed chest. Across the room, the angel Gabriel kneels and, holding out a cluster of lilies in one hand, reverently raises the index finger of the other. This is the Annunciation; it is also the act of conception, taking place before our eyes. Room, chest, garden, all signify the womb; the passageway is at the same time anatomical and geographic, the bolted doors (and the lilies) suggest the virgin state, the raised finger is unmistakably, though subtly, phallic.
Such symbolism, while familiar, is more frequently found in poetry and painting than it is in drama; yet Shakespeare makes full and intriguing use of its possibilities, grafting them onto a secular context. The traditional biblical description of the bride as a _hortus conclusus_ , a 'garden inclosed' (Song of Songs 4:12), becomes in his plays a geographical emblem of virginity and a locus for sexual initiation. The terms 'garden' and 'orchard' at this period both refer to an enclosed plot of land devoted to horticulture; 'orchard' derives etymologically from Latin _hortus_ and Anglo-Saxon _yard_. It is in such settings in the plays, almost inevitably, that love is sworn and affections given. Thus Troilus walks in the orchard waiting for Cressida's approach, and is then invited into her house. Olivia, who has sequestered herself like a 'cloistress' in her chambers, emerges twice into the garden, the first time to swear her love for Viola-Cesario, the next to be married to Sebastian. In _Much Ado_ , both Beatrice and Benedick are gulled into hearing supposed tidings of the other's love, and each revelation takes place in the orchard. And with ironic appropriateness, the same orchard becomes the scene of Don John's revelation to Claudio of Hero's 'infidelity'.
Walled enclosures play an important role in _Measure for Measure_ , from the cloisters of St Clare and the duke's adoptive monastery to the 'moated grange' which walls up Mariana, Angelo's jilted fiancée, and Angelo's own establishment, so tellingly described by Isabella:
He hath a garden circummured with brick,
Whose western side is with a vineyard backed;
And to that vineyard is a planchèd gate,
That makes his opening with this bigger key.
This other doth command a little door
Which from the vineyard to the garden leads.
There have I made my promise
Upon the heavy middle of the night
To call upon him.
(IV. i. 28–36)
Just as Mariana's grange is the emblem of her enclosed virginity, so Angelo's garden is the counterpart of his. In a startling – but not inappropriate – reversal of roles, Isabella is entrusted with the phallic key; Angelo himself exhibits a double perversity, first by insisting on denying his sensual nature (more unusual and unnatural perhaps in a man than a woman), then by veiling his lust under the continued guise of the reluctant virgin. The entire dramatic action of the play becomes, at least in one sense, the freeing of the individual from the walled enclosure, no matter how defined or how enforced. Moreover, if we call to mind Freud's association of beheading with symbolic castration, we may observe that the severed head of the prisoner Ragozine, produced in counterfeit for that of the expectant father Claudio, once again suggests how close Viennese events have come to answering Pompey's blunt inquiry : 'Does your worship mean to geld and splay all the youth of the city?' (II. i. 228–9).
But perhaps the best known of all walled garden encounters in Shakespeare is that dramatic moment in _Romeo and Juliet_ more usually described as the 'balcony scene' (II. ii). 'The orchard walls are high and hard to climb,' as Juliet points out (63), and Romeo, though he stands in the posture of a Petrarchan suitor gazing up at his unattainable lady, has already crossed the first barrier by entering the garden at all. The orchard as a dramatic locale appears three times more in the play, each time in direct connection with the courtship, marriage and consummation of the lovers. In II. v. Juliet impatiently awaits the Nurse's message, announcing the time and place of the marriage. The Nurse, who has early expressed her eagerness to see Juliet 'married once' (I. iii. 61) – and perhaps more – hastens to fetch a ladder, 'by the which your love / Must climb a bird's nest soon when it is dark' (II. v. 74–5). In III. ii. Juliet appears alone on the balcony overlooking the orchard, and speaks her moving lines of sexual longing to the 'love-performing night':
Come, civil night,
Thou sober-suited matron all in black,
And learn me how to lose a winning match,
Played for a pair of stainless maidenhoods....
O, I have bought the mansion of a love,
But not possessed it; and though I am sold,
Not yet enjoyed.
(10–13, 26–8)
Significantly, there are _two_ maidenhoods to be lost; in her view Romeo is as virginal as she. The image of the 'mansion' provides yet another interior space which must be entered and 'possessed'. The implicit reversal of Freudian categories – Juliet is the possessor, Romeo associated with the mansion – emphasizes their interchangeability, and calls attention to Juliet's remarkable forthrightness and self-knowledgeability in sexual desire.36 The final orchard scene (III.v.) shows us Romeo 'aloft' on the balcony with Juliet. The sundering of the sexual barrier between the lovers finds its counterpart in the conquest of the physical barriers which have kept them apart.
Both balcony and orchard now disappear as dramatic loci, and are replaced by another kind of enclosure, the tomb. The womb-tomb symbolism of the play, articulated by Friar Lawrence but present throughout, is too well known to need further documentation. Capulet's lament, 'Death is my son-in-law, Death is my heir; / My daughter he hath wedded' (IV.v. 38–9) particularizes and personifies the image, as does Romeo's more elegant and lyrical version of the same fantasy:
Shall I believe
That unsubstantial Death is amorous,
And that the lean abhorrèd monster keeps
Thee here in dark to be his paramour?
(V. iii. 102–5)
We have noticed other instances of this figure, in which death replaces or displaces marriage, but the situation in _Romeo and Juliet_ is in some respects unique, suggesting yet another dimension of Shakespeare's treatment of sexual rites of passage. To understand why this is so, it will be helpful to return to the balcony scene (II. ii.) and in particular to Romeo's explanation of his presence in the garden.
When Juliet expresses surprise at his presence, he replies that 'with love's light wings' he was able to mount the wall, for 'what love can do, that dares love attempt. ' This is not the first time in the play that Romeo has been directly linked with the persona of 'love'. It is he who proposes a prologue to the intended masque at the Capulet ball, only to be told by Benvolio that such a practice is out of date: 'We'll have no Cupid hoodwinked with a scarf, / Bearing a Tartar's painted bow of lath' (I. iv. 4–5). He declines to dance in the mask, saying that his 'soul of lead' keeps him to the ground. 'You are a lover,' Mercutio replies. 'Borrow Cupid's wings / And soar with them above a common bound.' (I. iv. 17–18). As so often happens in this play, a verbal cliché applied to Rosaline becomes a vivid and literal metaphor when Romeo meets Juliet.
The association of Romeo with 'love', Cupid or Eros, the god of desire, is augmented by other details of the balcony scene. Repeatedly we are reminded that the scene is played in darkness and that Juliet cannot see the man who stands below her window. Her very appearance and her unguarded words poured out to the receptive night suggest that she is sure she is alone. The speech is both soliloquy and apostrophe, summoning in fancy one who must in reality be far away.
Romeo, doff thy name;
And for thy name, which is no part of thee,
Take all myself.
Suddenly, shockingly, out of the darkness comes a reply:
I take thee at thy word.
Call me but love, and I'll be new baptized;
Henceforth I never will be Romeo.
(II. ii. 47–51)
Juliet's response is telling: 'What man art thou, that, thus be-screened in night, / So stumblest on my counsel?' (52–3). He has just said his name – and offered to replace it with the name of 'love'. But Juliet, stunned and taken aback, can register at first only an alien presence in the darkness. Recognition, when it comes, occurs by stages and emphasizes not his hidden figure but his revealed voice. 'I know the sound. / Art thou not Romeo, and a Montague?' (59–60). Her surprise is natural and persuasive; in effect her incantation has come true. Yet repeatedly the scene draws attention to the darkness. Twice she warns that if her kinsmen 'do see thee, they will murder thee', and he rejoins that 'I have night's cloak to hide me from their eyes' (75). Love, the blind, has led him there. 'He lent me counsel, and I lent him eyes' (81). Can she see him? Or does 'night's cloak' hide him from her sight as well? The language she uses is suggestively ambiguous. 'Thou knowst the mask of night is on my face' – 'knowst', not 'seest'. And the business transacted between the lovers in this scene is entirely aural and verbal: Juliet's reverie, and Romeo's interruption of it; his attempt to swear by 'yonder' moon (which both of them can see) ; her suggestion that he swear by himself, 'Which is the god of my idolatry' (114); the exchange of vows; her repeated summonings, and his replies: 'Romeo! – My sweet?' (168), and, again, 'Hist! Romeo, hist! O for a falc'ner's voice / To lure this tassel gentle back again!' (159–60). Moreover, Romeo's reply to this last call is itself significant, in line with the Cupid figures we have already noticed.
It is my soul that calls upon my name.
How silver-sweet sound lovers' tongues by night,
Like softest music to attending ears !
(165–7)
Once again we may notice the emphasis upon hearing and speaking, rather than beholding, the beloved. But the identification of Juliet with 'my soul' not only recalls the contrasting 'soul of lead' produced by love for Rosaline, but also brings to mind a myth which seems structurally related to this scene and to the play as a whole: the myth of Cupid and Psyche.
The myth is briefly recounted: Psyche, the youngest of three daughters, was so beautiful that she was compared to Venus herself, arousing Venus' jealousy and enmity. She therefore instructs Cupid, or Eros, to cause Psyche to fall in love with the ugliest of men. Psyche is led to a cliff top, following the instructions of an oracle, which predicts that she will be taken by a snake-like monster. The procession which leads her to the peak thus resembles that of a funeral. But she is rescued by the West Wind and taken to a palace by Cupid, who, against his mother's orders, has fallen in love with her. He takes Psyche for his wife, but will not let her look at him, coming to her only at night and in darkness. Persuaded by her two jealous sisters (who have been permitted to visit her), Psyche fears that her husband may be a monster, and one night when he is sleeping she lifts a lamp to look at him. She sees, of course, a remarkably beautiful youth. But a drop of oil falls on his shoulder, waking him, and he leaves her in anger. The rest of the tale involves the three seemingly impossible tasks set her by Venus, the last of which is to visit Hades and bring back a casket of beauty from Persephone. She achieves this last task, but (again prompted by curiosity toward the forbidden) she opens the casket, which contains not beauty but a deathly sleep. Now Cupid, convinced of her sincere repentance, persuades Jupiter to make her immortal, and she reawakens and is married to him.
The story of Cupid and Psyche is told by Apuleius in _The Golden Ass_ , which had been published in London in 1566 in the English translation of William Adlington. Shakespeare would therefore have had access to it in his own language, as well as – probably – in the Latin original. Apuleius, a neo-Platonist, may indeed have been offering an allegory of what his modern translator, Robert Graves, calls 'the progress of the rational soul toward intellectual love',37 but psychologists have found other aspects of the myth equally fascinating and suggestive. Freud points out that Psyche is a kind of love- and death-goddess: 'Her wedding is celebrated like a funeral, she has to descend into the underworld, and afterwards sinks into a death-like sleep.'38 A Jungian interpretation offered by Erich Neumann sees the myth as essentially 'a rite of initiation'39 in which Psyche is awakened from 'the darkness of unconscious and the harshness of her matriarchal captivity and, in individual encounter with the masculine, loves, that is recognizes, Eros'.40 According to Neumann the casket of beauty that Psyche must steal is 'the beauty of the glass coffin, to which Psyche is expected to regress, the barren frigidity of mere maidenhood, without love for a man (as exacted by the matriarchate)';41 in just this way Friar Lawrence offers to 'dispose of' Juliet 'among a sisterhood of holy nuns'. The happy ending of the story Neumann describes as
The feminine mystery of rebirth through love. In no goddess can Eros experience and know the miracle that befalls him through the human Psyche, the phenomenon of a love which is conscious, which, stronger than death, anointed with divine beauty, is willing to die, to receive the beloved as the bridegroom of death.42
Here again there are congruences with _Romeo and Juliet_ , in the semi-divine Rosaline, the conscious love stronger than death, the image of love as a bridegroom.
Bruno Bettelheim, associating the story with what he called the 'animal-groom' cycle of fairy tales, sees the funeral procession as an emblem of the death of maidenhood, and Psyche's curiosity about her mysterious husband as a reaching out toward mature knowledge, putting aside mere narcissistic pleasure. He singles out for special attention the fact that 'the groom is absent during the day and present only in the darkness of night... in short, he keeps his day and night experiences separate from one another.'43 In Bettelheim's view, the myth describes a movement toward maturity on the part of Cupid as well as Psyche. The objective, which each must come to accept, is 'to wed the aspects of sex, love, and life into a unity'.44 He remarks, as well, on the 'timely' message of the tale: 'Notwithstanding all the hardships woman has to suffer to be reborn in full consciousness and humanity... this is what she must do. '45 Psyche, as the mortal partner and the one forced to undergo privation and hardship, is properly viewed as the protagonist, with whose thoughts and feelings the reader will associate his own.
I would like to suggest that when viewed in this context the resemblances between _Romeo and Juliet_ and the myth of Cupid and Psyche are both striking and fundamental. In both there are an unseen lover and a love relationship which is possible only in darkness. Both describe the passage of a woman from paternal domination to sensual submission and thence to individuation through pain and sacrifice. Both offer a vivid image of the marriage with Death, and in each the entire pattern is capable of being viewed as one of initiation for the woman. I do not – and would not – contend that Shakespeare consciously borrowed from the legend, either from Apuleius or through folkloric sources. But what I do suggest is that certain congruences are arresting and persuasive, that the myth of Cupid and Psyche represents a basic, underlying pattern of human maturation and, specifically, of sexual growth, and that, however derived, this pattern is clearly present and significant in many of Shakespeare's plays.
Notes
1 Keith Thomas, 'The changing family', _The Times Literary Supplement_ (21 October 1977), 1226–7.
2 Gellert Spencer Alleman, _Matrimonial Law and the Materials of Restoration Comedy_ (Philadelphia: University of Pennsylvania Press, 1942), pp. 1–12.
3 Lawrence Stone, _The Family, Sex and Marriage in England 1500–1800_ (London: Weidenfeld & Nicolson, 1977), pp. 40, 519.
4 James Boswell, _Life of Samuel Johnson, LLD_ (London: Everyman, 1906), 1, p. 627.
5 Stone, p. 180.
6 Stone, p. 87.
7 Stone, pp. 282–7.
8 Stone, pp. 99–100.
9 Stone, pp. 108, 376–7.
10 Some nuns did in fact bring dowries to their religious houses, in defiance of Church law but at the behest of the convents. Nonetheless, the expenses would not have compared to those of an important marriage. Cf. Eileen Power, _Medieval English Nunneries_ (Cambridge: Cambridge University Press, 1922), pp. 14–24.
11 Power, pp. 42–95.
12 Lytton Strachey, _Elizabeth and Essex_ (London: Chatto & Windus, 1928), p. 141.
13 J. Oliphant (ed.), _Educational Writings of Richard Mulcaster_ (Glasgow, 1903) pp. 51, 52.
14 _Certain Sermons or Homilies appointed to be read in Churches (Oxford, 1844), pp. 46–58. Stone, p. 198_.
15 Stone, p. 196.
16 Thomas Sargrove, quoted in Lacey Baldwin Smith, _Elizabeth Tudor, Portrait of a Queen_ (Boston: Little, Brown, 1922), p. 119.
17 Smith, p. 120.
18 J. E. Neale, _Queen Elizabeth: A Biography_ (London: Jonathan Cape, 1934; rpt. Doubleday, 1957), p. 142; Smith, pp. 118–33.
19 Erasmus, _The Comparation of a Virgin and a Martyr_ , Thomas Paynell (trans.), 1537; facsimile rpt. of Berthelet edition, intro. William James Hirten (Gainesville, Florida: Scholars' Facsimiles and Reprints, 1970), p. 50.
20 Stone, p. 135.
21 William Perkins, 'Of Christian oeconomie, or household government', in _Works_ (London, 1626), III, p. 689.
22 John Halkett, _Milton and the Idea of Matrimony_ (New Haven: Yale University Press, 1970), pp. 50–5. Stone, pp. 137–8.
23 Sigmund Freud, 'On the sexual theories of children' (1908) in James Strachey (ed. and trans.), _The Standard Edition of the Complete Psychological Works of Sigmund Freud_ , IX (London: Hogarth Press and the Institute of Psycho-Analysis, 1959, rpt. 1962), p. 215.
24 W. W. Greg (ed.), _Lodge's 'Rosalynde', Being the Original of Shakespeare's 'As You Like It'_ , (New York: Duffield & Company; London: Chatto & Windus, 1907), pp. 93–7.
25 For example, _Measure for Measure_ III. ii. 82–4; _King Lear_ IV. vi. 199; _Antony and Cleopatra_ IV. xiv. 99–101.
26 _T. J. B. Spencer (ed.), Shakespeare's Plutarch: The Lives of Julius Caesar, Brutus, Marcus Antonius and Coriolanus in the Translation of Sir Thomas North (Middlesex, England, and Baltimore, Maryland: Penguin Books, 1964; rpt. 1968), pp. 82–3_.
27 For example, John Gower, _Confessio Amantis_ , II, 334: 'O Pallas noble quene... Help that I lose nought my flour.'
28 _Paradise Lost_ , IV, ll. 269–72, in _John Milton, Complete Poems and Major Prose_ , Merritt Y. Hughes (ed.) (New York: Odyssey Press, 1957).
29 Geoffrey Grigson, _The Englishman's Flora_ (London: Phoenix House, 1955). Ophelia's 'long purples' have been identified as the marsh plant, purple loosestrife ( _Lythrum salicaria L_.) __, but Grigsonargues persuasively that 'Shakespeare meant the bawdier plant, _Orchis mascula'_ , the early purple orchid (p. 194). Because of its appearance, this plant has been regarded as an aphrodisiac since classical times. Grigson's description makes the reason clear: 'Dig up an Early Purple Orchid and you find two rôot-tubers in which food is stored, a new, firm one, which is filling up for next year's growth, an old slack one, which is emptying and supplying the present needs. The symbolism of the kinds of _Orchis_ with undivided tubers could hardly be overlooked' (p. 425). Like the purple loosestrife, the early purple orchid is popularly known as 'long purples', and also as 'dead man's finger', the name Gertrude says is used by 'our cold maids' ( _Ham_. IV. vii. 169–71). It is also called 'cuckoo cock', 'dog stones' and 'priest's pintel', any of which might be the 'grosser name' employed by 'liberal shepherds'. As Grigson remarks, 'in _Hamlet_ Shakespeare knew exactly what he was about' when he included this flower among Ophelia's garlands (p. 427). This identification has been accepted by most modern Shakespeare editors, including W. J. Craig, 1930; J. Dover Wilson, 1936; Hardin Craig, 1951; I. Ribner and G. L. Kittredge, 1971; G. Blakemore Evans, 1974. For another view, identifying the 'long purples' as _Arum maculatum_ , the Wild Arum or Cuckoo-Pint, see Karl P. Wentersdorf, ' _Hamlet_ : Ophelia's long purples', _Shakespeare Quarterly_ , xxix, 3 (Summer 1978), 413–17.
30 Juliet, too, makes 'the prettiest sententious of [Romeo] and rosemary' before her marriage ( _R &J_ II. iv. 215–16), and the friar will then propose that her corpse be strewed with rosemary after her supposed death, proclaiming that 'she's best married that dies married young' (IV. 5. 78).
31 Sigmund Freud, _The Interpretation of Dreams_ , in James Strachey (ed. and trans.), _The Standard Edition of the Complete Psychological Works of Sigmund Freud_ , v (London: Hogarth Press and the Institute of Psycho-Analysis, 1953, rpt. 1958, 1962), p. 354.
32 See Marjorie Garber, _'Cymheline_ and the languages of myth', _Mosaic_ , x, 3 (Spring 1977), 104–15.
33 Money is frequently described by Freud as a symbol of feces, and Shylock's retentiveness in this respect seems intimated by such remarks as his animadversion on bagpipes (IV. i. 49–50) and his command to Launcelot 'Shut up my house's ears – I mean my casements' (II. v. 34), where 'ears' and 'arse' would arguably have been pronounced the same. The connection of feces and sexuality is suggested in Freud's essay 'On the sexual theories of children' (1908) and elsewhere. A tentative theory about Shylock's 'immaturity' in psychological terms might perhaps be advanced, based upon his 'infantile' conflation of daughter and ducats throughout the play. On the other hand, Shylock also significantly bewails the loss of his 'two stones, two rich and precious stones' (II. viii. 20), which have been taken away by Jessica. In Shakespeare's time 'stones' was a common term for testicles (cf. the comic use of the pun in the 'Pyramus and Thisbe' play, _MND_ V. i. 190). Symbolically, Jessica thus gelds Shylock twice by removing his daughter and his ducats, leaving him both without child and without money to 'breed' with (I. iii. 93).
34 Cf. E. A. M. Colman, _The Dramatic Use of Bawdy in Shakespeare_ (London: Longman, 1974), p. 77: 'jokes equating a ring with the female pudendum are fairly numerous in Renaissance literature'. Colman cites as one example an anecdote from Rabelais, _Gargantua and Pantagruel_ , J. M. Cohen (trans.) (New York: Penguin Books, 1955), p. 368. We might also compare here the symbolic act of DeFlores in _The Changeling_ , who severs the ring-bearing finger of Alonzo de Piracquo, Beatrice's murdered suitor, and produces both ring and finger in evidence of his deed. In the same play Alibius, counseling wariness against cuckolding, advises old Lollio, 'I would wear my ring on my own finger' (I. ii. 27).
35 T. Nichols, _Lapidary_ , cited by Steevens in his edition of Shakespeare (1773). See the Arden edition of _The Merchant of Venice_ , John Russell Brown (ed.) (London: Methuen, 1955; rpt. 109)' P. 75.
36 Imogen will speak of 'The innocent mansion of my love, the heart' ( _Cymb_. II. iv. 68).
37 _Apuleius, The Transformations of Lucius, Otherwise Known as The Golden Ass, Robert Graves (trans.) (New York: Farrar, Straus_ & Giroux, 1951), translator's introduction, p. xix.
38 Sigmund Freud, 'The theme of the three caskets' (1913) in James Strachey (ed. and trans.), _The Standard Edition of the Complete Psychological Works of Sigmund Freud_ , XII (London: Hogarth Press and the Institute of Psycho-Analysis, 1958, rpt. 1962), p. 300n. The footnote attributes this observation to Otto Rank.
39 _Erich Neumann, Amor and Psyche: The Psychic Development of the Feminine, A Commentary on the Tale by Apuleius (New York: Bollingen Series, Princeton University Press, 1956), p. 112_.
40 Neumann, p. 78.
41 Neumann, p. 118.
42 Neumann, p. 125.
43 _Bruno Bettelheim, The Uses of Enchantment: The Meaning and Importance of Fairy Tales (New York: Alfred A. Knopf, 1976), p. 294_.
44 Bettelheim, p. 294.
45 Bettelheim, p. 295.
6
Comparison and Distinction
'Counterfeit Presentment'
That 'comparisons are odious' is an opinion that has been both oft thought and oft expressed in English letters. As early as the fifteenth century Henry VI's Chief Justice, Sir John Fortescue, used the phrase in his treatise on English constitutional law (1471). John Donne concluded his Petrarchan / anti-Petrarchan elegy 'The Comparison' by declaring that 'She, and comparisons are odious', and writers as various as Lydgate, Burton, Swift and Hazlitt found room in their works for versions of the same sentiment. On the continent, Berni in Italy and Cervantes in Spain also cited the proverb with approval. The spectacle of Dogberry memorably mangling it into 'comparisons are odorous' suggests that in Shakespeare's time the original was widely known, for otherwise there would be no joke.
But despite the popularity of the maxim, comparisons were no more odious to the poets and playwrights of Elizabethan and Jacobean England than to succeeding generations. In their more elegant guise as similes, metaphors and conceits they were, indeed, such stuff as poetry was made on. For this very reason, they were considered potentially dangerous. Puttenham, discussing figures of speech in _The Arte of English Poesie_ , calls them 'guilefull and abusing', and 'occupied of purpose to deceive the ear and also the mind' – 'for what else is your _Metaphor_ but an inversion of sense by transport, your _allegorie_ but a duplicitie of meaning or dissimulation under covert and darke intendments', and so forth.1 Such abuses were much on the mind of Spenser, whose villains often use language to entrap and delude; even the names of the necromancers Archimago and Busirane suggest image-making, conceit and abuse.
Puttenham goes on to distinguish between poets and judges; the poet is not a judge but a 'pleader', and since 'all his abuses tend but to dispose his hearers to mirth and sollace by pleasant conveyance and efficacy of speach, they are not in truth to be accompted vices but for vertues in the poetical science'.2 Even if absolved of an intention to distort or deceive, however, comparisons could be odious for reasons which were aesthetic rather than moral or ethical. The vogue of Petrarchism had encouraged such forms as the blazon and the catalogue, and extravagant but predictable analogies were the rule rather than the exception in mediocre verse. At the same time the development of what came to be popularly known as 'Euphuism' encouraged a profusion of elaborate similes and antitheses in prose.3 Shakespeare is very sensible of this assault from within the literary ranks, and finds numerous occasions to mock it in his plays. Thus Demetrius, bewitched by Puck's magic love-juice, wakes to declare his passion for Helena in elaborate terms:
O Helen, goddess, nymph, perfect, divine!
To what, my love, shall I compare thine eyne?
Crystal is muddy. O, how ripe in show
Thy lips, those kissing cherries, tempting grow!
( _MND_ III. ii. 137–40)
And so on and on. The jangling internal rhyme in 'thine eyne' shows quite clearly what the playwright thinks of this derivative mode of versifying. Likewise in _Love's Labor's Lost_ Rosaline observes drily that in Berowne's love letter 'I am compared to twenty thousand fairs' (V. ii. 37), while in the same play Don Armado's letter to Jaquenetta draws the stock analogy between his situation and that of King Cophetua:
I am the king, for so stands the comparison, thou the beggar, for so witnesseth thy lowliness.
(IV. i. 80–1)
Whenever this mode of facile and hyperbolic comparison appears in the plays, it carries with it an implicit criticism of the speaker's self-knowledge, and of the quality of the relationship being described. Shakespeare sums up the matter neatly in the final couplet of sonnet 130, 'My mistress' eyes are nothing like the sun':
And yet by heaven, I think my love as rare
As any she belied with false compare.
The concept of 'false compare', as exemplified in the sonnet's mock-Petrarchan catalogue, reflects not only upon the lady but upon the poet who makes the comparison. Perhaps the furthest extension of this dangerous mode can be found in _Troilus and Cressida_ , where the lovers attempt to metamorphose themselves into the very standard of 'true compare', and in so doing signal to the audience the extreme fragility of their position:
Troilus True swains in love shall in the world to come
Approve their truth by Troilus. When their rhymes,
Full of protest, of oath and big compare,
Wants similes, truth tired with iteration,
'As true as steel, as plantage to the moon,
As sun to day, as turtle to her mate,
As iron to adamant, as earth to the center,'
Yet, after all comparisons of truth,
As truth's authentic author to be cited,
'As true as Troilus' shall crown up the verse
And sanctify the numbers.
(III. ii. 171–81)
Troilus' proposal to replace the tired iteration and 'big compare' of love poets with his own example of truth is replete with ironies, since by Shakespeare's time Troilus had himself become one of the biggest clichés of all. No figure is more frequently cited by Shakespearean lovers than Troilus. Lorenzo includes him in his catalogue of sighing lovers on summer nights ( _Merch_. V. i. 4), Rosalind cites him as 'one of the patterns of love' ( _AYLI_ IV. i. 94), and Benedick explicitly associates him with the conventions of love poetry: 'Leander the good swimmer, Troilus the first employer of panders, and a whole book full of these quondam carpetmongers, whose names yet run smoothly in the even road of a blank verse' ( _Ado_ V. ii. 30–4). Even Petruchio has a spaniel named Troilus, who is presumably so called because of his fidelity.4 Moreover, Shakespeare from the first presents Troilus as infatuated with the same language he will later disparage: in Act I scene i, for example, we hear him describe Cressida's 'hand / In whose comparison all whites are ink, / Writing their own reproach' (57–9). His celebrated characterization of the 'monstruosity in love', when 'we vow to weep seas, live in fire, eat rocks, tame tigers', pretends to more anti-Petrarchism than it embodies, since he immediately follows it by yet another claim to perfect love: 'what truth can speak truest [shall be] not truer than Troilus' (III. ii. 76–82, 96–7).
Manifestly, there are qualitative distinctions to be made among the kinds of self-delusion shown by Troilus, Berowne and Demetrius, but their kinship seems clear: whether infatuated by love, sex, or the mere idea of being in love, each chooses a language of comparison which comes perilously close to 'false compare'. Such language is 'abusing', to use Puttenham's term, because it falsifies both the beloved and the sentiment – and it does so in precisely the same way as do the conventional poets criticized in sonnet 130: it denies humanity and particularity to the subject, and thus reveals the shallowness of the speaker.
We know that in the sixteenth century sonnets and satirical epigrams were considered to be versions of the same type of verse, Scaliger's _mel_ and _fel_ , which became in English terms sugar and salt, or honey and gall, or naive and pointed.5 We should not be surprised, therefore, to discover a second kind of 'abusing' comparison in Shakespeare's plays – that offered by skeptics, satirists, scoffers and persons in positions of detached observation. The word 'comparative' itself becomes a substantive noun to denote such persons; thus King Henry IV describes the public conduct of his predecessor Richard II as such that he 'Had his great name profanèd with their scorns / And gave his countenance, against his name, / To laugh at gibing boys and stand the push / Of every beardless vain comparative' ( _1HIV_ III. ii. 64–7). Rosaline, provisionally rejecting Berowne's suit in _Love's Labor's Lost_ , offers him this frank assessment of his character:
the world's large tongue
Proclaims you for a man replete with mocks,
Full of comparisons and wounding flouts,
Which you on all estates will execute
That lie within the mercy of your wit.
(V. ii. 840–4)
In _Troilus and Cressida_ Nestor characterizes Thersites as a slave 'whose gall coins slanders like a mint', who strives 'To match us in comparisons with dirt' ( _T &C_ I. iii. 193–4). And in _King Henry IV Part I_ Falstaff and Prince Hal, both quick with an epithet, trade inventive insults at the same time that they reproach each other with the practice. 'Thou hast the most unsavory similes, and art indeed the most comparative, rascalliest, sweet young prince' ( _1HIV_ I. ii. 80–2), Falstaff complains, while after the Gad's Hill caper Hal successfully engages his companion in a flouting match:
Prince I'll be no longer guilty of this sin; this sanguine coward, this bed-presser, this horseback-breaker, this huge hill of flesh –
_Falstaff_ 'Sblood, you starveling, you eelskin, you dried neat's-tongue, you bull's pizzle, you stockfish – O for breath to utter what is like thee ! – you tailor's yard, you sheath, you bowcase, you vile standing tuck!
_Prince_ Well, breathe awhile, and then to it again; and when thou hast tired thyself in base comparisons, hear me speak but this.
(II. iv. 243–53)
Falstaff's 'base comparisons', like the 'false compare' of conventional sonneteers and doting lovers, obstruct communication and truth, in this case by endlessly delaying the true story of the Gad's Hill robbery; as Hal goes on to observe, 'Mark now how a plain tale shall put you down' (256–7). And just as 'false compare' signifies a failure in self-knowledge and communication on the part of the comparer, so 'base comparisons' are usually self-protective ploys, employed to distance the speaker from the events or persons he is describing. Thus Berowne is found lacking in compassion, Thersites in idealism and heroism, and Falstaff in courage by those who address or characterize them.
But such deliberately negative characterizations of the comparer are in fact the exception rather than the rule in Shakespearean drama. Indeed, it is for that reason that they have been worth our notice. For the most part, however, the capacity to compare, contrast and discriminate is highly valued in the plays, and becomes a further rite of passage for the Shakespearean protagonist. Far from being odious, the act of comparing takes on the status of a trial or test, which marks the initiate as successful – or not – in his relationships with himself, with other persons, and with history. We found in sonnet 130 an object lesson of 'false compare', and we may perhaps look to the sonnets once again for a model of more judicious comparison.
Sonnet 18 sets forth just such a pattern in its opening lines: 'Shall I compare thee to a summer's day? / Thou art more lovely and more temperate.' The speaker's objective here is not a facile identification of lips with cherries and cheeks with rosebuds, but neither is it a programmatic repudiation of such figures. Instead, by setting up the terms of the comparison – you are like a summer's day – and then immediately qualifying them, he preserves both comparison and distinction. The beloved is enough like the summer's day – lovely, temperate, and fair – that the juxtaposition provides a starting point for finding out what he is really like. The sonnet has other purposes and other directions: what we ultimately discover is a truth about the poet-speaker, rather than about the beloved. But the general pattern of analogy conjoined with differentiation is one which Shakespeare puts to valuable use in the plays.
An example from the romances will provide a useful demonstration of how this pattern can be transferred to a dramatic context. In _The Winter's Tale_ Paulina instructs a repentant Leontes never to marry, 'Unless another, / As like Hermione as is her picture, / Affront his eye' (V. i. 73–5). Leontes agrees, citing the impossibility of finding a suitable successor: 'No more such wives, therefore no wife' (56). Paulina, however, has an ulterior motive. She is planning to exhibit the 'statue' of the supposedly dead queen – a work of art which the clown significantly describes, in an unconscious echo of Paulina's own language, as 'the queen's picture' (v. ii. 177–8). Leontes is struck, as he must be, by the resemblance, but the key moment of the recognition scene is his perception of a difference: 'Hermione was not so much wrinkled, nothing so agèd as this seems' (V. iii. 28–9). This sounds like a complaint, but Paulina deftly turns it into an instructive compliment: 'So much the more our carver's excellence' (30). The 'carver' now assumes for the audience the several alternative identities of Time, Nature, God and the playwright Shakespeare himself. As Leontes continues to gaze, he discovers further contrasts. The statue seems to breathe, its veins to bear blood: 'What fine chisel / Could ever yet cut breath?' (78–9). He leans forward to kiss it, and Paulina once more intervenes, but her point is already made: in recognizing the marks of time and the signs of life in the 'statue' of his wife, Leontes has undergone a crucial transition. As he progresses through a sequence of comparisons and contrasts, his faith is awakened.
We shall see shortly how such works of art as the statue and the picture are used to facilitate comparison and contrast on Shakespeare's stage. In a sense, however, these aesthetic objects are variants – though distinct variants – of an even more common metaphor used in literary comparisons: that of the glass or mirror.
The popularity of the mirror metaphor in western literature goes back to classical and even biblical times. Plato uses it disparagingly in the _Republic_ , alleging that the artist is only a reflector of things,6 and a Sophist commentator praises the _Odyssey_ by calling it 'a beautiful mirror of life'. Terence and Cicero both use _speculum_ to describe works of art – to Cicero comedy was _imitatio vitae, speculum consuetudinis, imago veritatis_ 7 – a characterization which bears a striking similarity to Hamlet's advice to the players. The 'glass, darkly' of 1 Corinthians alludes presumably not only to man's fallen condition, but also to the ways he tries to come to terms with his earthly state. Cassiodorus compares the human mind to a mirror.8 As time went on, both 'mirror' and its Latin equivalent _speculum_ came to denote first a mode of instruction, and then a pattern or model. Gower's _Speculum Meditantis_ or _Mirour de l'Omme_ describes a contest for man's soul between vices and virtues, and concludes that all men are corrupt, needing the intercession of the Virgin. Nigel Wireker's _Speculum Stultorum_ , or _Mirror of Fools_ , was a well-known satire on monks, and the extensive medieval encyclopedia of Vincent of Beauvais was titled _Speculum naturale, historiale, doctrinale_. In 1559 there appeared in England the _Mirror for Magistrates_ , collected by Ferrers and Baldwin with a preface by Thomas Sackville, which presented accounts of the rise and fall of famous men, patterned after Lydgate's translation of Boccaccio's _Falls of Princes_ and Chaucer's _Monk's Tale_. Thus by Shakespeare's time 'mirror' as a metaphor had acquired the primary meaning of 'example' or 'model', and it is frequently used in this way in his plays. Talbot calls Salisbury the 'mirror of all martial men' (1 _HVI_. iv. 74), Oxford speaks of 'Henry the Fourth / Whose wisdom was a mirror to the wisest' ( _3HVI_ III. iii. 83–4), Buckingham in _Henry VIII_ is described as 'the mirror of all courtesy' (II. i. 53), and Henry V is celebrated by the Prologue as 'the mirror of all Christian kings' ( _HV_ II. Prol. 6). A more dramatically startling and innovative use of the mirror figure occurs in the great apparition scene in _Macbeth_ , where the witches conjure up _'A show of eight_ Kings _and_ Banquo, _last_ [King] _with a glass in his hand'_ (IV. i. SD). The Arden editor, Kenneth Muir, comments that this glass is 'not an ordinary mirror in which King James would see himself but a prospective, or magic, glass'.9 Yet the two kinds of glass do not seem incompatible. As Banquo was supposedly King James' ancestor, and the present line presumed to derive from him, the use of an actual mirror to reflect the king's face or form would reinforce, rather than war with, the idea of lineality, while at the same time renewing the audience's awareness of the play's pertinence. In any case, the 'glass' is here once again associated with ideal deportment and kingship, offering yet another model of conduct.
We may notice that all of these exemplary figures are aristocrats, either royal or noble. The concept of the individual as a mirror appears, at least in Shakespeare's history plays, to reflect a kind of _noblesse oblige_ , a social responsibility to set an example for one's soldiers, servants, or subjects. Perhaps as a result, the description of such a 'mirror' became something of a topos, an encyclopedic catalogue of noble virtues. This may in part account for the curious similarity between two lengthier 'mirror' passages – the lament of Lady Percy for her slain husband, Hotspur, and Ophelia's equally grief-stricken report of the madness of Hamlet. Lady Percy begins and ends her eulogy with the image of the 'glass':
He was indeed the glass
Wherein the noble youth did dress themselves.
He had no legs that practiced not his gait;
And speaking thick, which nature made his blemish,
Became the accents of the valiant,
For those that could speak low and tardily
Would turn their own perfection to abuse,
To seem like him. So that in speech, in gait,
In diet, in affections of delight,
In military rules, humors of blood,
He was the mark and glass, copy and book,
That fashioned others.
( _2HIV_ II __. iii. 21–32)
Ophelia's account, though it describes a living man, likewise verges on the elegiac:
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 mold of form,
Th' observed of all observers, quite, quite down!
( _Ham_. III. i. 151–5)
We are accustomed to think of Hotspur primarily as a blunt soldier, Hamlet as a thoughtful and articulate scholar. Yet in these speeches the two men sound oddly alike. Their grieving ladies have made use of the mirror topos to generalize a model. In a very similar way Castiglione urged upon the erring 'princes of [his] day', an emulation of the ancients,
who, even though they erred in some things, yet did not flee from the promptings and teachings of anyone who seemed to them able to correct those errors; nay, they made every effort to order their lives on the model of excellent men.10
With this convention in mind, we can appreciate the consternation of the elderly Duchess of York as she perceives in her son Gloucester a warped or distorted mirror, unlike his father or his dead brothers: 'I have bewept', she says, 'a worthy husband's death, / And lived with looking on his images':
But now two mirrors of his princely semblance
Are cracked in pieces by malignant death,
And I for comfort have but one false glass
That grieves me when I see my shame in him.
( _RIII_ II. ii. 49–54)
Like the 'noble youth' who follow Hotspur, the duchess peers into the mirror, not to see her own image, but in quest of the 'model' of her husband and sons. Characteristically, however, Richard uses the mirror, not to improve but purely to reflect himself. Despite his playful denials, he is aware of and occasionally obsessed by mirrors from the moment he takes the stage in _Richard III_. In the opening soliloquy he alleges that he is 'not shaped for sportive tricks / Nor made to court an amorous looking glass' (I. i. 14–15). Yet the wooing of Anne brings out an ironic reappraisal of his charms:
I'll be at charges for a looking glass
And entertain a score or two of tailors
To study fashions to adorn my body... .
Shine out, fair sun; till I have bought a glass
That I may see my shadow as I pass.
(I. ii. 255–63)
In Olivier's remarkable film version of the play, the shadow plays a recurrent and important role. The initial confrontation between Gloucester and King Edward is presented entirely as a meeting of shadows, until we are finally afforded a glimpse of Edward's white and terrified face. After the scene with Anne, Richard's dark shadow looms in her bedroom, this time again counterbalanced by a fragile glimpse of white in Anne's dress as she turns toward him. During Clarence's soliloquy, the malignant shadow of his brother looms yet again larger than life over the spy-hole of his prison cell.11 In cinematic terms, the dark shadow, grotesquely misshapen, has replaced the clear image in the looking glass – as Richard had foretold, and as his mother implied in her metaphor of the 'false glass'.
When we turn to another Richard, and another looking glass, we see a different variation on this same theme. Richard II requests a mirror in the deposition scene 'That it may show me what a face I have, / Since it is bankrout of his majesty' (IV. i. 265–6). When the glass is brought, the king is astonished to see no change: 'O flatt'ring glass! / Like to my followers in prosperity, / Thou dost beguile me' (278–80). Hurling it theatrically to the ground, he turns to address the impassive Boling-broke:
Mark, silent king, the moral of this sport:
How soon my sorrow has destroyed my face.
(289–90)
But Bolingbroke's reply makes clear that he has understood both symbol and self-deception: 'The shadow of your sorrow hath destroyed / The shadow of your face' (291–2). In one sense Richard's tragedy is summed up in his failure to distinguish, even albeit rhetorically, between the shadow of his face and that face itself. The changes are within, as is the case – to compare small things with great – with the picture of Dorian Gray. The literal looking glass has not altered, but 'the glass wherein the noble youth did dress themselves', the model and ideal of kingship, had been shattered long before, by Richard's own venal conduct and by his self-absorption – of which his penchant for ritual is only a part. We have already mentioned Bolingbroke's later comment about Richard's behavior in office, when he had to 'stand the push / Of every beardless vain comparative' ( _1HIV_ III. ii. 66–7). In the deposition scene, as throughout the play, Richard is not enough of a comparative. He does not distinguish the shadow from the substance, the human face of kingship from its authority and merit. When finally in Pomfret Castle he comes to study 'how I may compare / This prison where I live unto the world' (V. v. 1–2) he is already imprisoned, not only by Bolingbroke, but also by solipsism and soliloquy. Had he hammered out his analogy much earlier, both kingdom and kingship would have benefited.
In a rather roundabout way, then, we have come to the central pitfall of the mirror metaphor, which is, most simply stated, that of narcissism. If the image given back by the mirror is principally for the delectation of the self, then judgment, discrimination, and comparison are all denied. Venus cautions Adonis, with some justification, against such a fate:
Is thine own heart to thine own face affected?
Can thy right hand seize love upon thy left?
Then woo thyself, be of thyself rejected;
Steal thine own freedom, and complain on theft.
Narcissus so himself himself forsook,
And died to kiss his shadow in the brook.
( _Ven_. 157–62)
Both Richards in their different ways are thus infatuated and themselves themselves forsake. But this is hardly an exclusive prerogative of the history plays; indeed, it is in the comedies that we see it most often, with results which are appropriately less dire. In _As You Like It_ , for example, the Ovidian story of Narcissus, suitably cited in Shakespeare's Ovidian poem, undergoes a Circean transformation to become the folkloric story of the fool in the brook.
Jaques By my troth, I was seeking for a fool when I found you.
_Orlando_ He is drowned in the brook. Look but in and you shall see him.
_Jaques_ There I shall see mine own figure.
_Orlando_ Which I take to be either a fool or a cipher.
(III. ii. 285–91)
Not a particularly subtle or edifying exchange, but one which reveals something of a home truth about Jaques. Elsewhere in the play we have seen him compare himself to an injured stag, and 'moralize this spectacle... into a thousand similes' (II. i. 44–5). Shortly thereafter he will encounter a fool in the forest, and delightedly report on how he 'moralls] on the time' (II. vii. 29). Yet as David Young has observed, not only the fool Touchstone but the forest of Arden and much that it contains are in fact reflectors, showing to the visitors from the city either ironic portraits of themselves or subjective reflections of their own preconceived ideas.12 That Jaques elects to stay in the forest at the play's end is a further commentary on his character. He is more at home within the mirror than outside it.
Other versions of the fool in the brook, equally 'low' and folkloric in origin, appear in _Twelfth Night_ and _The Merchant of Venice_. In _Twelfth Night_ Feste alludes drily to the 'picture of We Three', a picture of two asses so titled, in which the spectator was invited to recognize himself as the third. The implication, genially accepted by Sir Toby, is that those who address Feste as 'fool' may well deserve the label themselves. The _Merchant of Venice_ offers a graphic example of such a fool in the Prince of Aragon. Aragon elects to open the silver (mirror-like?) casket, emblazoned with the motto 'Who chooseth me shall get as much as he deserves' (II. ix. 35), and finds inside 'the portrait of a blinking idiot / Presenting me a schedule' (53–4). It is possible to imagine a production in which the point would be underscored by changing the portrait literally into a mirror, but the 'schedule', or enclosed scroll, and the response of Aragon himself make the identification sufficiently plain. 'Take what wife you will to bed, / I will ever be your head,' proclaims the scroll (69–70), and Aragon supplies a further gloss:
Still more fool I shall appear
By the time I linger here.
With one fool's head I came to woo,
But I go away with two.
(72–5)
Not only pictures of fools, but the fools themselves, often serve this mirroring function. We have noted Touchstone's parody of Jaques as a fool in the forest. We might also cite the behavior of Feste toward Olivia, and that of Lear's Fool toward both the king and Kent. In each case the incident has a comparative structure: the Fool, addressed or labelled as such by his employer or another person ostensibly his 'better', contrives in reply a witty comparison which neatly turns the tables (and the labels). Olivia bids her servants to take away the fool; Feste retorts by demonstrating that it is she who is the fool, since she continues to mourn for her brother, although he is safely in heaven ( _TN_ I. v. 38–72). Lear observes that his companion is a 'bitter fool', and is answered with a rhyming riddle:
That lord that counseled thee
To give away thy land,
Come place him here by me,
Do thou for him stand.
The sweet and bitter fool
Will presently appear;
The one in motley here,
The other found out there.
( _Lr_ I. iv. 142–9)
Kent, shamed and shackled at Cornwall's order, is offered similarly pithy advice when he receives a visit from the Fool, and asks him a question which deserves – and gets – a neat reply:
Kent Where learned you this, Fool?
_Fool_ Not i' th' stocks, Fool.
(II. iv. 84–5)
All three of these incidents suggest a basic truth about the characters who take part in them. Olivia is indeed in bondage to her brother's memory, and uses it as an excuse to turn away from life. Lear is only beginning to realize the depths of his own folly. As for Kent, he has been put in the stocks for his conduct toward Goneril's servant, Oswald; he follows Lear out of loyalty and love, but also out of a sense of hierarchy and natural authority. For a moment, in the Fool's not-unsympathetic jest, he is offered a more complex view of social and class distinctions and their relationship to individual merit.
The method of comparison used by the Fool in these confrontations is what was known to the Renaissance – and to the Augustan age – as 'wit', the perception of similarities between things which at first appear unlike. A lively discourse on the shifting meaning of 'wit' took place throughout the period, with 'wit' being allied to such terms as 'fancy' and 'imagination', and identified with the essential element of poetry. From Aristotle's _Rhetoric_ on, however, wit denoted the ability to make apt comparisons. Wimsatt and Brooks define it as 'the faculty of seeing difficult resemblances between largely unlike objects', and 'in practice... the enforcement of such resemblances by all the verbal resources available'.13 Such a concept of wit gave rise, in turn, to the definition of its opposite – the capacity, not to find similarities, but to discern differences, or what Wimsatt and Brookes call 'an emphasis on analysis rather than synthesis'. This faculty, rather more scientific and philosophic than the very literary (and oratorical) 'wit', came to be known as 'judgment'.14
Seventeenth-century theorists were quick to point out the synecdochic relationship between wit and such figures of speech as metaphor, which performed the same activity (finding similarities in things unlike) on the verbal as wit did on the intellectual plane.15 Extending the analogy one further step, we may find it useful to see in the relationship of wit to judgment a model of the pattern we have already observed in the growth of a dramatic character: a progression from the perceiving of similarities between oneself and another to the discerning of significant differences. Dryden compared wit without judgment to the movement of a 'high-ranging spaniel', which 'must have clogs tied to it, lest it outrun the judgment'.16 In our investigations thus far, we have begun to discern a similar pattern, whereby distinction, or judgment, is a necessary qualification for comparison, or wit. For the men and women of Shakespeare's plays, the ability to use these faculties and to discipline them is a crucial aspect of maturation. The progress from ignorance to wit to judgment is a sign of increased self-knowledge. However, even wit must be well used to be effective. When witty comparisons come too close to identification or tautology there is danger of misperception.
Once again, the mirror metaphor will provide a useful example of how this comes about, for those Shakespearean characters who are not licensed fools frequently discover that to make oneself a mirror, or to perceive another in that guise, is potentially both dangerous and misleading. This is demonstrably the case with twins, who bring the 'mirror' metaphor to life on the stage. At the close of _The Comedy of Errors_ , for instance, we hear one Dromio remark to another, 'methinks you are my glass, and not my brother' (V. i. 418). The physical similarity between the two servants and the parallel likeness of their masters have been the source of comic confusion throughout, but it is the fact that they are _not_ interchangeable that causes the difficulty. When Dromio of Syracuse is claimed by Nell the kitchen maid, or his master by Adriana, the necessity for differentiation becomes clear. The plot, in fact, depends both on wit and on judgment; the scrambling of the brothers leads initially to revelation and fruitful reordering, but a restoration of individual identities is necessary to provide a harmonious social resolution. A similar situation obtains in _Twelfth Night_ when Viola, dressed in the clothing of a brother she believes to be dead, contemplates her image in a mirror and exclaims, 'I my brother know / Yet living in my glass' (III. iv. 383–4). As was the case with _Errors_ , confusing the twins is essential to the working out of the play, and mistaking the one for the other makes possible the growth and change of those around them. Yet as Viola herself is shortly to learn, differentiation is again as important as similarity, contrast as crucial as comparison, if she, Olivia and Orsino are each to be matched with a suitable partner.
Twins constitute what might be described as 'natural' or 'physical' mirrors. When one twin reflects the other in Shakespearean drama the distortion involved is usually unintentional, and remains for most of the play undetected by any of the play's characters. Much more complex and disturbing is the situation in which one character deliberately sets himself up to be a mirror for another, for all too often in these cases there enters a certain resemblance to the Duchess of Gloucester's 'false glass'. This is the accusation Rosalind levels at the doting shepherd Silvius in _As You Like It_. His lovesick pursuit of Phebe has made her proud and disdainful, with little justification:
'Tis not her glass, but you, that flatters her,
And out of you she sees herself more proper
Than any of her lineaments can show her.
But mistress, know yourself.
(III. v. 54–7)
The injunction to 'know yourself', as always a Shakespearean invitation to maturity, is here expressed by Rosalind in the most straightforward way. Phebe will ignore this excellent advice, as will Silvius, but the play's comic structure makes possible an eleventh-hour solution. To the last, however, Phebe appears infatuated with the fool in the brook: her acceptance of Silvius is based upon the same false glass of his devotion, suddenly converted to an asset: 'Thy faith my fancy to thee doth combine' (V. iv. 150).
A more ominous version of the friend-as-glass can be found in the famous exchange between Brutus and Cassius, in which the seduction is both more calculating and more difficult.
Cassius Tell me, good Brutus, can you see your face?
_Brutus_ No, Cassius; for the eye sees not itself
But by reflection, by some other things.
_Cassius_ 'Tis just:
And it is very much lamented, Brutus,
That you have no such mirrors as will turn
Your hidden worthiness into your eye,
That you might see your shadow. I have heard
Where many of the best respect in Rome
(Except immortal Caesar), speaking of Brutus,
And groaning underneath this age's yoke,
Have wished that noble Brutus had his eyes.
_Brutus_ Into what dangers would you lead me, Cassius,
That you would have me seek into myself
For that which is not in me?
_Cassius_ Therefore, good Brutus, be prepared to hear;
And since you know you cannot see yourself
So well as by reflection, I, your glass,
Will modestly discover to yourself
That of yourself which you yet know not of.
(JC I. ii. 51–70)
'I, your glass' – the phrase is sufficient warning to the audience familiar with Shakespeare's way with mirrors. What Cassius shows Brutus is not a lie, but it is a colored truth. The real danger lies, not in Brutus' credulity, but in Cassius' pretense that he is a disinterested observer, reflecting nothing but fact. The obligation placed upon the listener, or spectator, is to determine the point at which resemblance ceases between himself and the portrait drawn of him.
The problem is complicated further by the necessity Brutus acknowledges in his first reply to Cassius. Without some mode of reflection, the eye cannot see itself, the individual cannot know or recognize himself.17 But for that very reason the un-cautious gazer is vulnerable to deception by his 'glass', as Cassius himself is quick to acknowledge, once alone:
Well, Brutus, thou art noble; yet I see
Thy honorable mettle may be wrought
From that it is disposed; therefore it is meet
That noble minds keep ever with their likes;
For who so firm that cannot be seduced?
(I. ii. 306–10)
The seduction of Brutus follows the same forked path we have been observing: he is first persuaded of a likeness, and then of a difference, between himself and Caesar. 'Brutus and Caesar,' argues Cassius, / 'What should be in that "Caesar"? / Why should that name be sounded more than yours? / Write them together, yours is as fair a name; / Sound them, it does become the mouth as well' (142–5). In the same way, although without the same calculation, the plebians will hail Brutus after the murder: 'Let him be Caesar.' 'Caesar's better parts / Shall be crowned in Brutus' (III. ii. 51–2). Shakespeare seems to urge this parallel upon us: in Act 11 scene i Portia kneels to Brutus, imploring him to unburden his soul; in the scene that follows, with Portia's action still vivid in the audience's mind, Calphurnia will kneel to Caesar, and plead with him not to go to the Capitol. Yet ultimately it is a distinction, as much as a resemblance, that works on Brutus. Cassius has cleverly invoked the name of that other Brutus, Lucius Junius, 'that would have brooked / Th' eternal devil to keep his state in Rome / As easily as a king' (I. ii. 159–61). And throughout the play Brutus is convinced that he is acting with a disinterestedness and a loyalty to the state which no longer characterize Caesar. The rhetoric of eyesight which begins the mirror passage is suggestive of his dilemma within the play as a whole. 'Brutus, I do observe you now of late,' Cassius remarks, T have not from your eyes that gentleness / And show of love as I was wont to have' (I. ii. 32–4) – and Brutus replies, If I have veiled my look, / I turn the trouble of my countenance / Merely upon myself' (37–9). For neither the self-absorption of these early moments nor the resolution imparted to him by his 'glass' shows Brutus the truth as history will show it, until he reasserts the resemblance, and slays himself as he slew Caesar.
Such is the situation when Hamlet confronts his mother in her closet, determined to persuade her of her errors. 'You shall not budge,' he tells her,
You go not till I set you up a glass
Where you may see the inmost part of you !
(III. iv. 19–21)
Hamlet, with his 'antic disposition' and his feigned – or real – madness, is another version of the fool, with the fool's capacity and predisposition to make himself a glass. The mirror he holds up to Gertrude's nature is not only verbal but visual, a distant cousin to the portrait of the blinking idiot and the picture of We Three: 'Look here upon this picture, and on this, / The counterfeit presentment of two brothers' (54–5). 'Counterfeit' is a telling word here; the portraits are only artists' renderings, hence to some degree false, yet one of the brothers is doubly counterfeit, having presented himself to her in a dissembling guise. What Hamlet argues is that his mother has unaccountably failed to distinguish between the godlike Old Hamlet and the despicable Claudius (65). She has invented a likeness where none exists; she has failed to exercise judgment. 'Have you eyes?' he twice demands of her (66, 68), and again, 'What devil was't / That thus hath cozened you at hoodman-blind?' (77–8). We may perhaps expect there to be some family resemblance of a physical kind between the two men; it is moral discrimination within that superficial similarity which is chiefly called for – and apparently wholly absent. Gertrude for her part not only accepts Hamlet as her mirror, but borrows his metaphor: 'Thou turn'st mine eyes into my very soul' (90). Yet the appearance of the Ghost, immediately following this exchange, adds an ironic dimension to the scene: once more Hamlet sees what Gertrude does not; once more she is convinced that 'all that is I see' (133). Is the Ghost, too, a 'counterfeit presentment'? The question vexes Hamlet from the first. Is he himself only a 'counterfeit presentment' of hi? father? But for Hamlet, a reflective reflector, his mother's failure to make a simple discrimination is a reminder of his own constant necessity to tell a hawk from a handsaw, a weasel from a whale, in a world of shifting perceptions and shadowy truths.
To compare and contrast – to exercise both wit and judgment. The 'mirrors' represented by historical collections and anthologies of the fall of princes have their counterpart in a more generalized use of history as a module. In _Richard II_ , York's nostalgic praise of the Black Prince – his brother and Richard's father – bears a stylistic resemblance to the encomia for Hotspur and Hamlet. Instead of holding the Black Prince up as a generalized model, however, York chooses to compare him directly with his son. Richard looks like his father,
But when he frowned it was against the French,
And not against his friends; his noble hand
Did win what he did spend, and spent not that
Which his triumphant father's hand had won;
His hands were guilty of no kindred blood,
But bloody with the enemies of his kin.
The elegant and apposite use of chiasmus in the last four lines shows clearly how York is balancing the one man against the other, and also gives an indication of his rising emotion. At this point in the speech he himself becomes aware of the force of his own rhetoric, and hastily interrupts the flow of words:
O, Richard, York is too far gone with grief,
Or else he never would compare between –
(II. i. 178–85)
But Richard has not really been listening, and the apology (like the analogy) is both unnecessary and unheeded.
Shakespeare uses the inverse of this comparative structure to comic purpose in _Henry V_ when he has Fluellen attempt to develop the parallels between King Henry and Alexander the Great. Here we, like the skeptical Captain Gower, should expect a certain degree of contrast – but Fluellen is implacable. Macadon and Monmouth, after all, are both located on rivers – and if Henry did not exactly kill his best friend, as did Alexander, he did turn away Sir John Falstaff. As Fluellen explains, 'I speak but in the figures and comparisons of it' – 'If you mark Alexander's life well, Harry of Monmouth's life is come after it indifferent well, for there is figures in all things' (IV. vi. 43, 31–3). Like so many of Fluellen's remarks, this one rings true. In effect, his analogy is a 'low' counterpart for the Prologue's earlier identification of Henry V as 'the mirror of all Christian kings'. At the same time it is an unconscious but apt application of Castiglione's advice, to find classical models for virtuous conduct. Moreover, the total seriousness of Fluellen's tone presents this 'witty' comparison in an effectively naive light. To Gower he may appear to be talking nonsense, but the audience, in the midst of its laughter, will recognize a time-honored and appropriate use of comparison to interpret contemporary history.
When the comparison is offered by one of the parties compared, this device takes on a new vitality, becoming at once a mode of learning and an aspect of self-knowledge. In the much discussed third scene of the fourth act of _Macbeth_ , Malcolm makes use of just such a method to test out the loyalty of a befuddled Macduff. 'I am not treacherous,' Macduff asserts, and Malcolm replies pointedly, 'But Macbeth is. / A good and virtuous nature may recoil / In an imperial charge' (18–20). His father, Duncan, had made a fatal mistake in finding the mind's construction in the face; moreover, he had done it twice, and been betrayed by two successive Thanes of Cawdor. Malcolm will take another path, one which assumes a disjunction between appearance and fact. Thus, seeming to accept Macduff's protestation, he embarks upon the lengthy description of a man who threatens Scotland more even than its present king. 'What shall he be?' asks Macduff, and Malcolm replies
It is myself I mean, in whom I know
All the particulars of vice so grafted
That, when they shall be opened, black Macbeth
Will seem as pure as snow, and the poor state
Esteem him as a lamb, being compared
With my confineless harms.
(50–5)
Malcolm goes on, then, to detail his iniquities: there is 'no bottom ... in [his] voluptuousness' (60–1), he is afflicted with 'stanchless avarice' (78), he lacks all 'king-becoming graces, / As justice, verity, temp'rance, stableness, / Bounty, perseverance, mercy, lowliness, / Devotion, patience, courage, fortitude' (91–4). As he has hoped, Macduff is scandalized and horrified; the test has succeeded, and he now may 'unspeak [his] own detraction' (123), abjuring all the faults he has claimed. Here comparison has become a doubly valuable tool for the revelation of character. By employing the false formula, 'I am like Macbeth, only worse,' Malcolm can gauge the truth of Macduff's disinterested patriotism. More subtly, by the very act of making this fictive comparison, he also establishes for the audience a crucial distinction between himself and his father, Duncan. He is not, as he pretends, like Macbeth; he _is_ like Duncan, in that he is upright and virtuous. But he is also unlike him in a vital way, unwilling to trust the untested appearance of fidelity on the part of his subjects. It is this combination of likeness and unlikeness that makes Malcolm a fit ruler for the new Scotland which is emerging, and which safeguards both the land and the play from the dangers of a merely cyclical repetition.
The overt act of transformation Malcolm accomplishes in his final speech, when he commands that Scottish thanes shall 'henceforth be earls' (V. viii. 63), is an outward sign of this essential distinction. The conferring of a new name, and a name which links Scotland more closely with England, corresponds directly to the growth and change in Malcolm himself – a change itself made manifest in his assertion of his father's title and power, without his father's fatal flaw. This fundamental pattern, which progresses from a perceived dissimilarity, to an acknowledgment of resemblance, and then to a distinction within that resemblance, is the dominant pattern of analogy as it applies to the individual in Shakespeare's plays. The pattern closely parallels, and indeed is a crucial element in, the hero's growth to self-knowledge – a growth we have identified with 'maturity'.
Malcolm's brief pretense of venality calls to mind the larger and more complicated situation of Prince Hal, whose youthful associations with thieves, topers and prostitutes are of such urgent concern to his father, the king. Despite the famous 'I know you all' speech (1 _HIV_ I. ii. 192–214), with its assertion of a calculated plan for 'redeeming time', Hal's taste for 'small beer', the friendship of Ned Poins and his fellows, is genuine, and his rejection of Falstaff is not the less painful for its prediction as early as 11. iv. of _Part I_ ( _Falstaff_ : 'banish plump Jack, and banish all the world!' _Prince_ : 'I do, I will' – (485–6). This extraordinarily well-balanced and finely structured play offers a series of complex interrelationships, in which its several characters are deliberately placed in juxtaposition to one another. The king and Hotspur are both rebels and potential usurpers, but the king comes to stand for authority, Hotspur for rebellion. The king and Falstaff are each in their way subversive, and each is an example and a mentor to Prince Hal, but they also demarcate the opposite poles of rule and misrule. Hotspur and Falstaff both exemplify rebellious anarchy, yet one is an idealist, one a cynical realist, one a young athlete only at home on a horse, the other an old reprobate forever on foot, though he longs for a charge of horse. Falstaff and Hal are companions and fellow scoffers at the righteousness of court life, but one is young and shrewd, the other old and inclined to folly, Hal ever conscious of time, Falstaff heedless of it. Hotspur and Hal bear the same name, and are alike in youth and valor, though they are very different in their reputations, and in their attitudes toward history, the common people and – once again – time. The king and his son are opposed and allied at once, Henry certain from the closing moments of _Richard II_ that Hal is a wastrel yet discerning in him even then 'some sparks of better hope' (V. iii. 21), both men essentially pragmatists, astute politicians, apt dissemblers, Plantagenets.
The three stages of development we have posited are present in Hal's story in a highly visible way. The king, Hotspur and the tavern world itself all regard him as behaving in a manner essentially the converse of what is suitable for the heir apparent. Early in _Part I_ the king, hearing of Hotspur's latest exploit, envies Northumberland his son, and expresses the wish
That some night-tripping fairy had exchanged
In cradle clothes our children where they lay,
And called mine Percy, his Plantagenet!
Then would I have his Harry, and he mine.
(I. i. 86–9)
As has often been noted, Shakespeare's alteration of historical fact, in making the two Harrys parallel in age, reinforces the inevitable comparison, which is again pointed by Hal's assurance to the king in III. ii. ('the time will come / That I shall make this northern youth exchange / His glorious deeds for my indignities' – 144–6), and by Hotspur's typically fiery rhetoric ('Harry to Harry shall, hot horse to horse, / Meet, and ne'er part till one drop down a corse' – IV. i. 121–2). The one who does drop down a corse is Hotspur himself, who appears as much astonished as chagrined by this development, and who seems indeed to cede to Hal his 'glorious deeds', and even his rhetoric itself, as Hal completes the sentence spoken by his dying rival. As was the case with Priamond, Diamond and Triamond, the three brothers in Spenser's Book of Friendship, the life seems to flow out of one Harry and into the other, making Hal a 'double man' (V. iv. 136) in yet another way.
Much the same can be said of Hal's actions at his father's deathbed in _Part II_. The king's interpretation of his taking the crown – that the son wishes his father dead – provides an opportunity for both a comparison and a contrast between the two men. Hal does seize the crown, symbolically repeating his father's act of usurpation, but there is no doubt that he considers himself a 'true inheritor' (IV. v. 168), legitimately succeeding to the throne, and this, as much as his cultivation of the common people, marks a vital distinction between father and son. In confronting first another Harry, and then another Henry, Hal engrosses up good deeds and plain titles to which, as Henry V, he will give a distinctive color of his own. We have noted elsewhere that Falstaff errs fatally in thinking that the new monarch is 'King Hal'; unlike Hal himself, Falstaff is unable to perceive the distinctions within similarities which set the young king apart, both from his riotous past and from his father's burden of usurpation and guilt.
In _Henry V_ the same pattern is repeated in a condensed form. The Dauphin, a fellow prince and age-mate of the king, taunts him with the gift of tennis balls, as ocular proof that one 'cannot revel into dukedoms' in France (I. ii. 253). Henry's reply disposes eloquently of the charge of revelry, but within the play the comparison goes further than the Dauphin's insult; subsequent scenes show clearly that it is the Dauphin, and not the King of England, who is a reveller, a braggart and a rake. The king's descent to the battlefield disguised in the cloak of Sir Thomas Erpingham makes him for a moment the anonymous equal of the common soldiers Bates, Court and Williams. He himself seeks the analogy, and speaks with meanings which are likewise cloaked: 'I think the king is but a man, as I am; the violet smells to him, as it doth to me.... His ceremonies laid by, in his nakedness he appears but a man' (IV. i. 100–5). But when the soldiers leave the stage, Henry V's apostrophe to ceremony firmly outlines those responsibilities which fall to a king alone. He is a mortal man, subject to the fear of battle and of death, like his subjects – yet he is also, of necessity, different from them. The joke he plays on the soldier Williams accentuates this dual identity, as Williams ably defends himself from the charge of planning to strike the king:
Your majesty came not like yourself: you appeared to me but as a common man; witness the night, your garments, your lowliness. And what your highness suffered under that shape, I beseech you take it for your own fault, and not mine; for had you been as I took you for, I made no offense.
(IV. viii. 50–5)
Had the king been a common man, Williams would indeed have made no offense. Because he is not, he offers Williams a reward for his honesty and bravery – a reward which is paid in 'crowns'. From the aloofness of Richard II, and even of Henry IV, King Henry V has deliberately moved toward an acknowledgment of what he holds in common with his subjects. Yet once this is established, it remains for him to acknowledge and assert, as well, his inescapable and crucial differences from them, his unique identity as their king.
The progress of Prince Hal from riotous adolescent to mature man and king may be thought of as an example of successful integration. Hal borrows freely from the personalities of others, acquiring and reflecting Falstaff's appetitiveness, Hotspur's aggression and honor, King Henry's sense of duty. He forces upon his two audiences – the populace of England and the spectators in the theater – the realization that he is not only the 'mirror of all Christian kings', but the mirror of all England, from tavern to court. Those he seems at first to resemble, he will later reject; those whom he seems most unlike he will confront, and bear away from that confrontation their crucial strengths.
In _Hamlet_ Shakespeare again approaches this question of integration, and its relationship to a character's dynamic use of comparison and contrast as a vehicle for self-knowledge. For _Hamlet_ is a play in which the principal character spends four of the five acts noting and exploring disjunctions between himself and the models of behavior he sees about him. All around him Hamlet finds contrasting figures who emphasize his own isolation. He is not like Old Hamlet, or Laertes, or Fortinbras, or the First Player, or the Gravedigger; nor is he like Claudius, or his 'schoolfellows', Rosencrantz and Guildenstern. Two of the major soliloquies bear directly upon this sense of disjunction: The 'rogue and peasant slave' speech (II. ii. 555–612) elaborately contrasts the First Player's response to fictive grief with Hamlet's failure to respond to reality; 'How all occasions do inform against me' (IV. iv. 32–66) similarly contrasts Fortinbras' martial defense with Hamlet's inactivity. And dramatic events within the play seem to support his feeling of contrast with those he should resemble. Hamlet, coming upon Claudius kneeling in prayer, will not kill him; Laertes, asked what he would undertake against Hamlet 'To show yourself in deed your father's son / More than in words', replies shortly, 'To cut his throat i' th' church!' (IV. vii. 125–6). Hamlet will not claim his rights to 'Th' election', the kingship; yet both Fortinbras (from without) and Laertes (from within) present themselves forcibly as candidates for the office. Laertes is successful in his suit to return to France; Hamlet is denied permission to go back to Wittenberg. Dutiful and avenging sons, deft courtiers, shrewd politicians, eloquent speakers, pithy truth-tellers – from all of these Hamlet feels himself set apart.
In his valuable study, _Psychoanalysis and Shakespeare_ , Norman Holland remarks upon 'Hamlet's fondness for comparisons', and attributes it to a 'tendency to turn inner life into outward shows'. 'Hamlet', he says, 'either uses outer events to express inner ones, or he compares inner attitudes by means of "counterfeit" outer representations of them.'18 Moreover, Hamlet's mode of personal reflection is not only frequently comparative, but usually comparative to his own detriment. Consider his account, in the first soliloquy, of his mother's hasty marriage. Only a month before, she had followed his father's body 'Like Niobe, all tears' (I. ii. 149). His father, 'so excellent a king', was to Claudius as 'Hyperion to a satyr' (139–40). But the allusions – and the contrast – do not stop there. Inexorably, Hamlet draws himself into the equation. Claudius is
My father's brother, but no more like my father
Than I to Hercules.
(152–3)
Why does he bring in Hercules, and the unflattering reference to himself? His point has already been made by the two previous mythological references, both of which turn inward, pointing through the parent to the child. Niobe wept not at the death of her husband, but at the deaths of her children, who died through her vanity. She had boasted that she was superior to Leto because she had seven sons and seven daughters, while Leto had only two children, Apollo and Artemis. Hearing of the boast and the insult to their mother, Apollo slew Niobe's sons, and Artemis her daughters. Renaissance mythographers allegorized this story into a justification of the Second Commandment, which speaks of visiting the sins of the fathers upon the children.
Niobe sinned, but her children are killed; by this we see that it is no injustice in God to visit the iniquity of the parents upon the children, seeing they are a part of their parents, and in their punishment the parents suffer oftentimes more than in their own.19
So Gertrude's sins are visited upon the son, and she will be made to suffer by his suffering. Hyperion the sun-god was the father of Phaethon, whose mother was a mortal woman. The son, taunted with having no father, obtained permission to drive the chariot of the sun through the sky, but lacking his father's strength, fell to his death and scorched the earth beneath him. Hamlet, as the Phaethon-figure, feels likewise unworthy to take his father's place – and feels, as well, that he appears fatherless, by reason both of his father's murder and of his own unheroic posture. But why Hercules? The allusion seems again a reference to Old Hamlet, who smote the sledded Polacks (or pole-ax) on the ice and slew Old Fortinbras in single combat. To this titanic figure young Hamlet, the Wittenberg scholar, an indifferent rapier duellist, and at age thirty 'fat and scant of breath', bears small resemblance. Is he, then, associating himself with Claudius, as a diminished or corrupted version of the dead king? When we bear in mind the numerous critics who, following Freud and Jones, have argued for Hamlet's oedipal impulses, and thus for his subliminal identification with the man who has married his mother, the link seems a possible one. Certainly, as Ernst Kris, among others, has shown, Hamlet appears to have a 'dangerously submissive attachment to his idealized father'.20 But the deprecatory self-reference is, as we have seen, characteristic. Moreover, as shrewd as Hamlet is in applying mythological archetypes, there is an aspect of the Hercules story which does fit him: not the Hercules of the twelve labors, but the allegorical Hercules of the famous choice between pleasure and virtue. Hamlet, too, stands at a crossroads, and ultimately will commit himself to the harsh path of action, rather than the seductive path of introspection and 'words, words, words'.
Whatever complexities and nuances lie beneath his rhetorical flourish, Hamlet as we encounter him at the beginning of the play is, as we have said, pre-eminently concerned with his own isolation, his difference from other people. The degree of personal integration he achieves by the time he returns from England is manifested by a discovery, on his part, of analogies between himself and others. On the eve of that journey, he is still preoccupied with differences:
Examples gross as earth exhort me.
Witness this army of such mass and charge,
Led by a delicate and tender prince
* * * * *
How stand I then,
That have a father killed, a mother stained,
Excitements of my reason and my blood,
And let all sleep
(IV. iv. 46–8, 56–9)
But by Act V he has turned the tables on Rosencrantz and Guildenstern, in effect making a mirror exchange between their fates and his. It is at this point that he is ready to come to terms with the terrible leveling process of the graveyard, where the skulls of unknown lawyers, courtiers and politicians mingle indifferently with that of the king's beloved jester, and the specter of Alexander's 'noble dust' stopping a bunghole gives way to the spectacle of Ophelia's maimèd rites. In death all differences are resolved in sameness : 'let her paint an inch thick, to this favor she must come' (V. i. 193–4). But for Hamlet this is more than an existential truth. He now seeks and finds analogies not only with the dead but with the living; in effect he has acknowledged his own identity as a player, a trier-on of roles, and taken his own advice, to hold the mirror up to nature.
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.
(V. ii. 75–8)
The final duel pits two avenging sons against one another, and the exchange of rapiers underscores their resemblance. As Horatio observes, 'they bleed on both sides' (306). Moreover, the arrival of Fortinbras adds another dimension to the analogy: one 'delicate and tender prince' confers his dying voice upon another as successor to the kingdom for which their fathers fought. And on his part, Fortinbras ordains for Hamlet a soldier's funeral, and a king's:
Let four captains
Bear Hamlet like a soldier to the stage,
For he was likely, had he been put on,
To have proved most royal; and for his passage
The soldiers' music and the rite of war
Speak loudly for him.
(V. ii. 397–402)
These are the terms in which Hamlet has spoken of Fortinbras; now they are used of him. The audience, like Hamlet himself, has gradually come to realize the degree to which he is like those around him. Like Laertes he can be gallant and impetuous; like Horatio, prudent and studious; like Fortinbras, princely and courageous; like the First Player, expressive and emphatic; like Old Hamlet, resolute and royal; even, like Claudius, unscrupulous and sly.
Many critics have remarked upon the technique of character splitting in the play: the three father-figures (Old Hamlet, Claudius, Polonius), the five young age-mates, sons and schoolfellows (Horatio, Laertes, Fortinbras, Rosencrantz and Guildenstern). Each of these stands in a special relationship to Hamlet, and many reflect aspects of his persona. Even non-psycho-analytic critics, as Holland observes, agree that in Hamlet 'inner impulses are given outer expression', and Holland himself goes on to rephrase this insight in psychoanalytic terms: 'the defensive maneuver that permeates the language, events, and characters of the play is _projection.'_ 21 By 'defensive maneuvers', Holland (and Freud) mean the ways in which the mind protects itself against unwelcome knowledge, by such devices as condensation and displacement.22 In condensation two or more persons, images, words or events are combined into one; the most readily discerned example in _Hamlet_ is his penchant for wordplay, including both ambiguity and punning or wit. Displacement, on the other hand, involves a diffusion or spreading out of characteristics. It may entail projection, as Holland suggests (Hamlet's oedipal desire for his mother is transformed into Claudius' marriage with her), splitting (also called decomposition), reversal, or symbolization.
All four of these modes of displacement are present in the structure of _Hamlet_ , and all, interestingly, bear directly or indirectly on the matter of comparison and contrast. We have already noticed splitting as a major technique of the plot. Reversal is evidenced by the figure of Fortinbras, who is the son of Old Fortinbras as Hamlet is the son of Old Hamlet, but who is as well a successful, martial, active crown prince. But in Hamlet's eyes, as we have seen, his other age-mates also appear to be reversals, or opposites, of his own character: this is the preliminary stage of development with which the hero begins his journey toward maturity and self-knowledge, and Freud's word 'defensive' is useful as a way of reminding us that such mental disguises must be penetrated for the self to be known and accepted. Finally, the kind of displacement called symbolization involves the transfer of an association from one thing to another based upon a resemblance, whether physical or psychic, between the two. The manner of Old Hamlet's death, by poison poured into the ear, is perhaps the most notable of many such devices in the play. Hamlet, told of this event by the Ghost, accepts it as a literal fact (and remembers a similar scene in _The Mousetrap)_ , but he also begins to speak of 'cleav[ing] the general ear with horrid speech' (II. ii. 568), of a knavish speech sleeping in a foolish ear (IV. ii. 24), of Claudius as a 'mildewed ear [of corn] / Blasting his wholesome brother' (III. iv. 65–6), and of words, words, words. Moreover, not only Hamlet, but Horatio, the First Player and even Claudius all refer repeatedly to knowing ears, ears that infect, or ears that will make the listener dumb. The 'mildewed ear' is one kind of symbol, seemingly provoked by an unconscious pun (condensation) – Claudius _has_ blasted his brother through the ear; the repeated mention of ears by characters other than Hamlet combines symbolization with splitting. In Freudian terms, then, Hamlet's progress from disjunction to comparison represents in a fictional way something like the progress made by a patient in analysis, recognizing by slow degrees certain crucial latent patterns in his life.
It may be argued, and persuasively so, that such a conclusion is unsound because it treats Hamlet as a real person, rather than as a literary character. But to this objection it may be replied that this would be the case only if we confined our scrutiny to what Hamlet learns, rather than what the audience learns – or the playwright invents. Many of the congruences to be found in _Hamlet_ are congruences of which Hamlet himself remains unaware. Fortinbras' final speech about his soldiery, for example, is spoken after Hamlet's death, and many of the 'ear' speeches occur out of his own hearing. The discerning of such congruences, in fact, is very close to the most traditional kinds of literary criticism, which, like psychology and psychoanalysis, speak of patterns of imagery, and of symbolism, as providing a fundamental unity to the text. Whether Hamlet the character achieves such a unity – as I have argued for Prince Hal – is a more vexed question, and one directly related to the final stage of the rite of passage we have been describing: discrimination within analogy, a sense of healthful and vital difference.
Erik Erikson, in a 'psychosocial' examination of Hamlet, describes him as essentially a delayed adolescent, experiencing belatedly in his thirtieth year the fundamental crisis of youth, which Erikson takes to be a search for fidelity – something to believe in and be loyal to. Because of the rottenness in Denmark, he argues, Hamlet is unable to benefit from the example of his age-mates, who are 'all sure (or even overdefined) in their identities as dutiful sons, courtiers, and future leaders'.23 But since all of them are 'drawn into the moral swamp of infidelity', Hamlet suffers an 'identity confusion', which leads to the establishment of a 'negative identity', the assumption of those impulses and character traits which he has so long tried to avoid: the mad revenger, the warlike soldier-prince. Erikson thus concludes that Hamlet's failure to find a model of fidelity prevents his achievement of a positive, integrated personality; in fact, he generalizes this conclusion to apply to all heroes of tragedy: 'Thus do inner reality and historical actuality conspire to deny tragic man the positive identity for which he seems exquisitely chosen.'24 In other words, Erikson sees Hamlet's development as culminating in capitulation.
A somewhat similar argument by K. R. Eissler, subtitled 'A Psychoanalytic Inquiry', contends that the central issue in the play is Hamlet's initial childishness.25 Eissler takes a dynamic or developmental view of Hamlet's character, discerning a pattern of growth in the soliloquies, from excessive adulation of his father (and an equation of incest with sexuality) toward a criticism and even rejection of his father in the fourth soliloquy, and a final union with Gertrude in death, thus fulfilling the oedipal wish in a symbolic act of 'dying together'. Essentially, Eissler finds that Hamlet grows up in the course of the play, and replaces a childish and ineffectual way of dealing with his problems with a mature and functional one. He does integrate his personality and accomplish his objectives – but he does so at the cost of his own life, and is symbolically 'reborn' in the person of Fortinbras, who is both his mirror opposite and his twin. Like Erikson's, Eissler's is an argument which examines Hamlet as a real person, not a fictional construct. On the other hand, in suggesting a developmental pattern, both of these psychological approaches touch squarely upon a problem which does fall within the province of the literary critic: the degree to which Hamlet understands himself, and the events in which he is the central actor. And in order to suggest a plausible solution to this fundamental problem, we must, fittingly, return to the text.
A close examination of Hamlet's remark about Laertes, 'by the image of my cause I see / The portraiture of his,' suggests one additional factor of importance. For the analogy in effect reverses Hamlet's earlier injunction to Gertrude, 'Look here upon this picture, and on this, / The counterfeit presentment of two brothers. ' In both cases, the verbal figure is of two paintings or simulacra, the first pair (Claudius and Old Hamlet) in violent contrast to one another, the second (Laertes and Hamlet) very similar. But it is useful to notice the obliquity of the second comparison. Hamlet does not merely say, as he might, 'By my cause I see [i.e. understand] his.' The crucial words 'image' and 'portraiture' remind us of the play's thematic emphasis on painting and disguise, but they also emphasize the fictive, created nature of comparison itself. Once again we are dealing with simile, not metaphor. Notice the rhetorical stress on the closely linked pronouns 'my' and 'his' surrounding the inquiring and analyzing 'I'. Hamlet's cause is not the same as Laertes', though they have something in common; nor is Hamlet himself Laertes, any more than he is Fortinbras, or Horatio, or any of the other men on whom he models his own conduct. As was the case with _Macbeth_ , and indeed with _Richard II_ and the _Henry IV_ plays, the possibility of identity (and therefore of repetition) is first suggested, and then adroitly avoided. Hamlet learns in the course of the play that he cannot be his father; this is what Eissler calls his achievement of independence. But Hamlet – along with his audience – also learns that he is different from those around him, not in the absolute, negative ways he has feared, but instead in the uniqueness of his individual persona. Polonius' tired advice, 'to thine own self be true', finds a new and vital referent in the need for individuation. Mythologically, Hamlet may be 'reborn' in Fortinbras, but in more strictly literary terms he will gain new life through the retelling of his 'story' – which is the play itself. At the close, the audience is brought to a realization of Hamlet's place in the world of _Hamlet_ , a realization achieved through the judicious detection of comparisons and contrasts within the context of the play.
Comparison is a particularly useful criterion by which to judge Hal and Hamlet because of their social roles as sons, heirs and successors. For them, as for such other developing figures as the two Richards, there exists a generation of 'fathers' and a generation of age-mates, against which the protagonist can – and must – measure his own progress. It is not surprising, therefore, that we are able to find a similar pattern of likeness and differentiation in the career of yet another successor, Octavius Caesar. Like Hal and Hamlet, the young Caesar of _Antony and Cleopatra_ appears at first to be the direct opposite of his symbolic 'fathers', in this case the martial triad of Julius Caesar, Gneius Pompey, and in particular Antony himself. Caesar is an administrator and a politician; the generation of the fathers was heroic in war, striving with one another in single combat (III. vii. 31–2) – like Old Hamlet and Old Fortinbras, or Bolingbroke and Mowbray. Moreover, they were also heroic in love. Apollodorus Sicilian carried Cleopatra to Caesar in a mattress; she is Antony's mistress, but she has also been as 'a morsel cold upon / Dead Caesar's trencher', and 'a fragment of Gneius Pompey's' (III. xiii. 116–18). Caesar is described by Cleopatra as 'scarce-bearded' (I. i. 21), an epithet which she intends as a commentary on his youth, but also an oblique reflection on his manhood; Antony by contrast has a 'goodly thick beard', according to Plutarch26 and Enobarbus (II. ii. 7). In addition to Cleopatra, Antony has two wives; Caesar appears to have none, and lavishes his affection instead upon his sister and virtual namesake, Octavia. When, as he believes, Antony treats her shabbily, he is roused to an unaccustomed fury, almost as if he himself has been spurned. According to his rival, Antony 'fishes, drinks, and wastes / The lamps of night in revel' (I. iv. 4–5), preoccupying himself with 'lascivious wassails' (56); Caesar is abstemious, even puritanical. For political purposes, he consents to drink at the banquet, but deplores both the excess and the tipsy result, declaring with a characteristic excess of his own that he would 'rather fast from all, four days, / Than drink so much in one' (II. vii. 103–4). It is not clear whether or not he participates in Enobarbus' version of the 'Egyptian bacchanals' (105), in which the drinkers dance hand in hand, but it is perfectly clear that he is uncomfortable throughout the proceedings: 'our graver business / Frowns at this levity' (121–2). In short, in almost every way Octavius is the opposite of Antony, and also of his other heroic forebears.
The presence in the plot of young Sextus Pompey, the son of Gneius, helps to emphasize this generational conflict and the sense of diminishment which is felt by the younger men and their lieutenants. Young Pompey has a legitimate grievance against Antony, who acquired his father's house and then refused to pay for it; nonetheless, he is willing to make peace, and to accept the loss. As Menas, one of his friends, points out in an aside, Thy father, Pompey, would ne'er have made this treaty' (II. vi. 82–3). The world of the fathers seems a lost world of warlike grandeur, very different from the manipulative Rome of the present.
In a way, it might be argued that _Antony and Cleopatra_ is one of the most oedipal of Shakespeare's plays, full of complex emotions directed by the 'sons' (Octavius, Pompey) toward the 'fathers' (Caesar, Pompey, Antony) and the 'mother' (Cleopatra). Describing the public enthronement of Antony and Cleopatra in the Alexandrian marketplace, Caesar speaks bitterly of the presence at their feet of 'Caesarion, whom they call my father's son' (III. vi. 6). He himself is only an adopted son, born the nephew of Julius Caesar. His disgust at 'all the unlawful issue that their lust / Since then hath made between them' (7–8) reflects his prudishness, but seems at the same time particular and personal. Caesarion and the sons of Antony, Egyptian princes all, appear to displace the youthful Caesar of Rome.
But Octavius' jealousy is directed as much at the father as at the sons. Antony's continual references to his rival as 'the young man' (III. xi. 62) 'the young Roman boy' (IV. xii. 48), and 'the boy Caesar' (III. xiii. 17) obviously nettle him. 'He calls me boy, and chides as he had power / To beat me out of Egypt. My messenger / He hath whipped with rods' (IV. i. 1–3). Whipping with rods was a punishment for wayward children, and the word 'chides', too, suggests condescension to a youthful inferior. Though the two men are in many ways sharply different, Octavius in this may remind us of Coriolanus, who is also shamed by the label of 'boy' – a man in thrall to a powerful mother. For Octavius, it would appear, Cleopatra is a figure at once sexual and maternal, his father's mistress and his rival's. In his conciliatory message to her, as delivered by Thidias, there is, again, a personal note, as well as a political ploy: Caesar 'partly begs / To be desired to give'. He wishes to be 'a staff / To lean upon' for her. In particular, says Thidias, 'it would warm his spirits / To hear from me you had left Antony, / And put yourself under his shroud' (III. xiii. 66–71). A shroud is a shelter, but it is also a garment. Caesar's offer is to become her protector, and in so doing, to take the place of Antony. Cleopatra, for her part, is not unaware of this ambiguity. After Antony's death, she kneels in mock submissiveness to Caesar, and twice in their short audience she addresses him as 'my master and my lord' (V. ii. 116, 190). But in her own suicide (which is itself both sexual and maternal in its symbolism), she eludes him at last, and is laid at his command by Antony's side.
This brief excursion into the play's psychological undercurrents has not taken us far from our main point, which is that Octavius Caesar, like Hal and Hamlet, undergoes a process of growth and change, from the perception of unlikeness to others, to the recognition of similarities, and thence to differentiation – and that a parallel series of changes in perception is offered to the audience. Opposite to Antony in so many ways, Caesar oddly resembles him in others, and the resemblance is reinforced by the dramatic action. We have seen that, whatever his motivations, he himself becomes one of Cleopatra's suitors, hoping to possess and rule her. He thus follows the path of the heroic forebears from whom he has seemed to set himself apart. We also learn in the course of the play that Antony wept at the deaths of Julius Caesar and Brutus, his political predecessors (III. ii. 55–7). Addressing his servitors after the loss at Actium, he speaks so movingly that Enobarbus suggests he means 'To make his followers weep' (IV. ii. 24), and another follower, Eros, later does weep at his words (IV. xiv. 21). When the death of Antony is announced to Caesar, we see him weep too, and hear him declare that 'it is tidings / To wash the eyes of kings'(V. i. 27–8). He has become one of Antony's 'followers', both a servant and a successor.
Significantly Maecenas, observing him weep, employs a familiar metaphor: 'When such a spacious mirror's set before him, / He needs must see himself' (34–5). The 'spacious mirror' that is Antony inevitably reflects, and refracts, Caesar's own identity. Even in what seems to be a minor incident in the play's last act, Caesar unwittingly follows Antony's path. With characteristic generosity Antony, having heard of Enobarbus' defection, gave orders for all his treasure to be sent after him to Caesar's camp. Inv. ii. Caesar, learning from Cleopatra's treasurer that she has falsified her account of money, plate, and jewels, acts with a similar (apparent) magnanimity: 'Not what you have reserved, nor what acknowledged, / Put we i' th' roll of conquest: still be 't yours' (V. ii. 180–1). Both of these incidents are mentioned by Plutarch, so that the resemblance between them in _Antony and Cleopatra_ might be thought to be due to the source rather than the playwright. But North's Plutarch calls Domitius' (i.e. Enobarbus') goods 'his carriage, train, and men', and Cleopatra's, 'ready money and treasure'.27 In this form, there seems small parallel between them. By slightly changing the terms, Shakespeare makes possible the analogy, as Antony returns a 'treasure' to Enobarbus (IV. v. 12), anticipating Cleopatra's echoing call for her 'treasurer' (V. ii. 142).
The final stage of differentiation for Caesar is appropriately brief, for the similarities between him and Antony have not been so pronounced that their difference ever entirely fades from our awareness – or from his. In his eulogy over the dead Cleopatra, Caesar himself draws the crucial distinction, when he speaks of 'their story' as 'No less in pity, than his glory which / Brought them to be lamented' (V. ii. 361–2). The 'story' of Antony and Cleopatra is 'pity', a tragedy; that of Caesar is 'glory', a history and a chronicle. Antony's desperate attempt to encompass simultaneously the spheres of love and politics has come, inevitably, to a tragic end, while Caesar's much diminished – and fleeting – gesture at courtship is likewise crowned by failure. Rome demands a politician, and in Octavius Caesar it has one. But in his coming of age Caesar at last takes note – as he must – of the qualities as well as the defects of his predecessor. The process by which he recognizes and to some degree absorbs aspects of Antony's persona is not as definitive as it was for Hal, who could speak of Hotspur as his 'factor', laboring 'To engross up glorious deeds on my behalf' ( _1HIV_ III. ii. 147–8). Yet the struggle between these mighty opposites is far more interesting than it would have been were it entirely one of opposition. The complex character of each man and the complexity of their relationship challenge the discrimination of the audience, and offer to us, as well as to them, an intriguing opportunity for the exercise of wit and judgment.
Notes
1 George Puttenham, _The Arte of English Poesie_ , Bk. III, Ch. vii, p. 166, in _English Reprints_ , iv (New York: AMS Press, 1966).
2 Puttenham, p. 167.
3 'Euphuism' derives its name, of course, from John Lyly's prose romance, of which the first part, _Euphues the Anatomy of Wit_ , was published in 1578, and the second part, _Euphues and his England_ , in 1580. The name 'Euphues', which means to produce or to grow, was suggested by a passage in Ascham's _Scholemaster_ (1570) in which he asserts that ''Eυφυη'ς is he that is apte by goodness of witte, and appliable by readines of will, to learning, hauing all other qualities of the minde and partes of the bodie that must another day serue learning.' The _Oxford English Dictionary_ defines the chief features of 'euphuism' as
the continual recurrence of antithetic clauses in which the anthithesis is emphasized by means of alliteration; the frequent introduction of a long string of similes all relating to the same subject, often drawn from the fabulous qualities ascribed to plants, minerals, and animals and the constant endeavour after subtle refinement of expression.
4 _Shr_. IV. i. 139. Cf. _MND_ II __. i. 203–7:
I am your spaniel; and Demetrius,
The more you beat me, I will fawn on you.
Use me but as your spaniel, spurn me, strike me,
Neglect me, lose me; only give me leave,
Unworthy as I am, to follow you.
5 J. C. Scaliger, _Poetices Libri Septem_ (Lyons, 1561), p. 171, Appendix pro Epigrammate; also cf. Ben Jonson, _Epigrams_ (1616), 2, 49; John Peter, _Complaint and Satire in Early English Literature_ (Oxford, 1956), p. 297; and Geoffrey Hartman, _Beyond Formalism: Literary Essays 1958–1970_ (New Haven: Yale University Press, 1970) pp. 45–7.
6 _Republic_ , 1.596 D-E., cited in E. R. Curtius, _European Literature and the Latin Middle Ages_ , Willard R. Trask (trans.) (New York: Bollingen Foundation, 1953; rpt. New York: Harper & Row, 1963), p. 336.
7 Aelius Donatus, _Commentum Terenti_ , Paul Wessner (ed.) (Leipzig, 1902–08), 1, 22.
8 Jacques Paul Migne, _Patrologiae cursus completus: Series latina_ (1844–55), LIX' 502C.
9 _Macbeth_ , Kenneth Muir (ed.), Arden edition (London: Methuen, 1951; rpt. 1972), p. ii4n.
10 Baldessare Castiglione, _The Book of the Courtier_ , Charles S. Singleton (trans.) (Garden City, N. J.: Doubleday, 1959), pp. 292–3 (IV, 8).
11 Roger Manvell, _Shakespeare and the Film_ (New York: Prager Publishers, 1971), pp. 48–50.
12 David Young, _The Heart's Forest: A Study of Shakespeare's Pastoral Plays_ (New Haven: Yale University Press, 1972), pp. 50–8.
13 William K. Wimsatt and Cleanth Brooks, _Literary Criticism: A Short History_ (New York: Vintage Books, 1957), p. 229.
14 ibid.
15 As Wimsatt and Brooks point out, Francis Bacon in the _Novum Organum_ (I __, 55) describes these 'two powers – that of perceiving resemblances and that of perceiving differences... without recourse to either of the terms "wit" or "judgment" ' ( _Literary Criticism_ , p. 229). For the widespread acceptance of wit and judgment as linked opposites, see, for example, Emanuele Tesauro, _The Aristotelian Prospective Glass_ (1654), Richard Flecknoe, _A Short Discourse on the English Stage_ (1664), John Dryden, _An Essay on Dramatic Poesy_ (1668), Alexander Pope, _Essay on Criticism_ (1711), Samuel Johnson, _Life of Cowley, Life of Pope_ (1779–81).
16 'To the Right Honorable Roger, Earl of Orrery', Epistle dedicatory of _The Rival Ladies_ (1664), in W. P. Ker (ed.), _Essays of ]ohn Dryden_ (Oxford: Clarendon Press, 1900), 1,8.
17 This is a point of view upon which Achilles elaborates in _Troilus and Cressida_ , in his discussion with Ulysses on the subject of time and fame:
The beauty that is borne here in the face
The bearer knows not, but commends itself
To others' eyes; nor doth the eye itself,
That most pure spirit of sense, behold itself,
Not going from itself; but eye to eye opposed
Salutes each other with each other's form;
For speculation turns not to itself
Till it hath traveled and is married there
Where it may see itself.
(III. iii. 103–11)
G. B. Evans in _The Riverside Shakespeare_ chooses the reading 'is mirrored there' for line 110, following the Singer and Collier manuscripts ('married' is given in both the Quarto and the First Folio). It is an attractive choice, both for the imagistic consistency of the speech and because of the marked similarity between this passage and that quoted above from _]ulius Caesar_.
18 Norman N. Holland, _Psychoanalysis and Shakespeare_ (New York: McGraw-Hill, 1964; rpt. Octagon Books, 1976), pp. 203–4.
19 Alexander Ross, _Mystogogus Poeticus_ (London, 1647), p. 317.
20 Ernst Kris, _Psychoanalytic Explorations in Art_ (New York: International Universities Press, 1952), pp. 17–18. See also Ernest Jones, 'The death of Hamlet's father', _The International Journal of Psycho-Analysis and Bulletin of the International Psycho-Analytical Association_ (London), XXIX (1948), 174–6.
21 Holland, p. 203.
22 Sigmund Freud, _The Interpretation of Dreams_ , in James Strachey (ed. and trans.), _The Standard Edition of the Complete Psychological Works of Sigmund Freud_ , v (London: Hogarth Press and the Institute of Psycho-Analysis, 1953, rpt. 1958, 1962), pp. 279–309; Holland, pp. 14–15, 29–30.
23 Erik Erikson, _Identity: Youth and Crisis_ (New York: W. W. Norton, 1968), p. 238.
24 Erikson, p. 241.
25 K. R. Eissler, _Discourse on Hamlet and Hamlet: A Psychoanalytic Inquiry_ (New York: International Universities Press 1971).
26 T. J. B. Spencer (ed.), _Shakespeare's Plutarch: The Lives of Julius Caesar, Brutus, Marcus Antonius and Coriolanus in the Translation of Sir Thomas North_ (Middlesex, England, and Baltimore, Maryland: Penguin Books, 1964; rpt. 1968), p. 177.
27 Spencer, pp. 253, 287.
7
Death and Dying
'This thing of Darkness I Acknowledge Mine'
As the most mysterious and most traumatic of the life crises, death has traditionally been accorded society's most extensive ritual attention, and ceremonies connected with death and dying are among the most complex and elaborate of rites of passage. Manifestly, death differs from most other such crises in that it can only be seen from one side. We are all novices to dying; except for spiritualists, or those who have medically 'died' and returned to life, none of us can claim to have conversed with the initiates, who by the very fact of their initiation are silent. This is perhaps one reason for the recurring interest evinced by many cultures in the phenomenon of those who claim to have come back from the dead, through intervention either medical or divine. These journeys to the 'other side', and the experiences and sensations encountered there, are of perpetual fascination not only to doctors of thanatology or to the popular press, but to many ordinary persons as well.1 The underworld journeys of Odysseus and Aeneas and the experiences of the soldier Er in Book X of Plato's _Republic_ – however complex and symbolic they are as literary events – are on one level at least classical explorations of this kind, and they speak to an enduring human curiosity.
When we bear in mind the universality of this preoccupation with death and dying, we should not be surprised to find rites of passage concerned with death among the other maturation patterns in Shakespeare's plays. Yet once again the uniqueness of the event sets it apart. In our previous examinations of rites of passage in the plays, it became clear that Shakespeare was interested in these rites as they affected both the individual and his society before and after, as well as during, the period of transition itself. And this is just what we cannot know about dying. The playwright's dilemma is thus closely analogous to that of every human being: how to envisage and describe experiences of which neither he nor his audience can have any real knowledge. As we shall see, Shakespeare evolved a number of dramatic strategies to cope with this problem. In doing so he was responding to the profound and pandemic need to imagine the unimaginable: to come face to face with the fact that each of us will die. But at the same time, by the very nature of the dramatic solutions he proposes, he does more. As in the sonnets, he suggests ways in which art – the act of writing and playing – can confront and transcend the limits of mortality. He explores and makes use of the common myths of return handed down in western culture: myths of ghosts and spirits, of death and rebirth. Most importantly, however, he crosses the boundary between the actor and the spectator, the Globe Theater and the great globe itself, to create for the audience in the theater a role peculiarly its own, as the repository of memory and the instrument of transmission and transcendence.
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It is a curious fact that whether in highly developed or less sophisticated societies, eastern or western, primitive or modern, the rites of separation for the dead, which we should expect to be pre-eminent among funerary rites of passage, are usually of a simple and fairly brief nature: the closing of the coffin or tomb, the disposal of implements (and sometimes persons and animals) involved in the interment, the ritual expulsion of spirits. More central, and much more extensive, are the rites of transition and incorporation.
Traditionally, transition rites include a journey by the deceased to the land of the dead, whether visualized as a Christian heaven or a country of shades. The ancient Greek rite of the 'coin for Charon' to pay the ferryman for passage to the underworld has its counterpart in many religions. In a literary variant of this rite, Aeneas takes the golden bough into the land of the dead, as a talisman assuring him the right to return to earth; and Hamlet might be said to make a similar use of his father's signet ring, which protects him from the death intended for him in England and allows him to return safely to Denmark. Typically, persons who have failed to undergo other rites of passage may be doomed to a lengthy or even eternal period of wandering, rather than permitted incorporation with the dead. Catholic doctrine holds that infants who have not been baptized are destined to wander in a transitional zone or limbo, and in a number of tribal societies this is also the fate of those who have not been named, initiated or accorded funeral rites. In Shakespeare's time unquiet spirits, those that had been murdered (like Old Hamlet) or 'damnèd spirits... That in crossways and floods have burial' ( _MND_ iii. ii. 382–3), were believed to be unable to rest, condemned instead to roam the nights aimlessly in search of vengeance, expiation or suitable obsequies. The Catholic concept of purgatory, an intermediary state in which the souls of those who have died in a condition of grace must expiate their sins, is another familiar type of transition rite that has its counterpart among many primitive groups.2
Rites of incorporation for the dead are often thought of as congruent with hospitality rites among the living: the new arrival is supposedly offered food or other gifts by those who have gone before him, or by the divine inhabitants of the other world.3 Such rites are by their nature taboo for the living if they wish to return to earth after their sojourn among the dead. Thus Proserpina, eating the seeds of a pomegranate, unwittingly accepted Pluto's hospitality and was incorporated for six months a year into his kingdom. To be welcomed by St Peter at the gates of heaven, or into Abraham's bosom, is to undergo a similar incorporation in Christian terms. (Falstaff, we may notice, is welcomed not into Abraham's bosom but into Arthur's – or at least so Mistress Quickly tells us. His is a specifically English heaven, tailor-made for his quintessentially English spirit.)
For the survivors a separate series of rituals is ordained. The period of mourning signals a cessation of normal activities, marked by such external signs as changes in clothing or appearance (e.g. Hamlet's 'inky cloak', Pericles' unshorn hair, or Olivia's veil – all of which have counterparts in popular practice). The length and intensity of the mourning period usually varies with the importance of the deceased, and the death of a reigning monarch, for example, will often be observed by a public restriction on all social activities. The coronation of his successor puts an end to the period of mourning, and may be marked by public festivals, fireworks or other celebrations.
In his first soliloquy Hamlet dwells bitterly on the violation of this mourning period, interrupted by his mother's untimely marriage. Four times in sixteen lines he specifically mentions the brief space that has intervened between the two events: 'But two months dead, nay, not so much, not two' (1. ii. 138); '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' (145–8); 'Within a month... She married' (153–6). The 'maimèd rites' (v. i. 219) that accompany the interment of Ophelia at the play's close form a pendant to this truncated observance, as Laertes asks repeatedly, 'What ceremony else?' (v. i. 223, 225), and 'Must there no more be done?' (235). In both cases, although for different reasons, the mourners are deprived of comfort, and there is no unifying rite of incorporation.
Among such unifying rites, one of the most characteristic and universal is the shared meal, which may take place immediately after the funeral, on commemorative occasions or at the time of the lifting of mourning. Such practices as the traditional Irish wake and the custom in many faiths of bringing food to the house of mourning are contemporary versions of this rite. Once again, Hamlet records such a ceremony in broken form: 'The funeral baked meats / Did coldly furnish forth the marriage tables' of his mother and uncle (1. ii. 180–1).
The emphasis upon the survivor as one who needs to undergo rites of passage as much as do the dead is, I think, central to Shakespeare's dramatic approach to death and dying. In fact, rites of passage concerned with death in the plays are almost always related to a change in perception of those who survive, whether the survivor be an individual, a city or a state. We do not follow Hamlet or Othello or Cordelia beyond the grave, but we are vouchsafed a glimpse of how their deaths affect others, as well as an insight into the ways ceremonies and rites of mourning may work therapeutically, to restore equilibrium to the society. As van Gennep remarks about such rites of incorporation,
their purpose is to reunite all the surviving members of the group with each other, and sometimes also with the deceased, in the same way that a chain which has been broken by the disappearance of one of its links must be rejoined.4
In the simplest terms, this is one way by which the playwright can transcend the limitations of knowledge implicit in his subject; by showing the effect of a death upon the living, he can in some measure compensate for the impossibility of showing the 'other side'. In effect, both the onstage and the offstage audience are constituted as a society of mourners, who must be reunited with one another, and reintegrated into the world of normal activities – which for the offstage audience means the world beyond the theater. We might go so far as to imagine that in the act of walking out of the playhouse – crossing its threshold – the audience experiences the lifting of the rites of mourning. No more than for the members of a group of literal mourners, however, does this mean that they forget.
When we look more closely at several scenes from the plays, we will see that over and over again the emphasis falls upon the survivors, the mourners, the spectators. Furthermore, we will see that Shakespeare continuously creates an interplay between rites ordinarily associated with death and those we have already seen in life's earlier stages: marriage, sexual maturity, naming, self-knowledge. And, as we have seen in our examination of other rites, the central figures responding to these events are measured by the degree to which they learn and mature through their experiences.
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There is one device used in the plays that does purport to show something of the 'other side', the world beyond the grave, and that is the appearance of a ghost, whether Old Hamlet, Banquo, Julius Caesar or the several victims of Richard III. True to the revenge tradition from which they derive, these spectral figures come to admonish, accuse and affright, and we may notice that in most cases those to whom they appear will shortly die. These ghosts are profoundly disturbing not only to their chosen spectators or auditors on the stage, but also to the audience in the theater. As harbingers of death, they elicit a moment of particular self-knowledge for their murderers (Macbeth, Brutus, Richard) or avengers (Hamlet, Richmond). In a more generalized sense, however, they are harbingers of death for the larger audience as well. By their very presence the audience is invited to learn what Hamlet learns: that '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' (v. ii. 222–4). Like the skull of Yorick, the Ghost is a _memento mori_ , and the 'readiness' for death that Hamlet achieves in the last act remains a challenge for those who survive him.
A particularly effective version of the harbinger of death is provided by a figure who is not a ghost at all: the messenger Marcade who enters in the final scene of _Love's Labor's Lost_. Marcade's news, that the princess's father – the King of France – is dead, metaphorically casts a pall over the entire previous action of the play, and effects a transition between the wooing games of the previous acts and the ladies' banishment of their suitors for a twelvemonth of mourning. Berowne, commanded by Rosaline to 'visit the speechless sick' and entertain them with his wit, replies in terms which indicate a lesson abruptly learned: 'To move wild laughter in the throat of death? / It cannot be; it is impossible; / Mirth cannot move a soul in agony' (v. ii. 853–5). Here in a comic context where ghostly figures of revenge would be incongruous, a black-garbed figure from another world again intrudes, instructs and falls silent, his message delivered. Marcade is a pivotal presence, although he is hardly developed as a character at all; he speaks only three lines, and the princess guesses his message before he can give it. But his unexpected appearance –no doubt made more startling on the stage by the contrast of his black mourning clothes with the gay raiments of the lovers and the costumes of the 'Worthies' – is a _memento mori_ of the most direct kind: an intimation of mortality.
Significantly, Shakespeare very rarely depicts a funeral ceremony, or even a funerary procession, despite the opportunity for pageantry such spectacles might have afforded. The body of Henry VI is borne onstage in the opening moments of _Richard III_ , and the 'maimèd rites' of the self-slain Ophelia are observed in the closing moments of _Hamlet_. In the midst of a storm at sea Pericles must cast the body of his queen Thaisa 'scarcely coffined, in the ooze' ( _Per_. iii. i. 61), and the young boys in _Cymbeline_ hold a touching funeral ceremony, with songs and traditional floral strewings, over the body of their beloved 'Fidele', who is Imogen in disguise.
These last two instances, however, have unusual sequels, for in neither case is the mourned one really dead. Both Thaisa and Imogen will awaken from their death-like sleeps, ultimately to participate in a literal reunion with their families that replaces (at the same time that it acknowledges and depends upon) the symbolic reunion of the funeral rite. Several versions of this reawakening or rebirth occur in Shakespeare's plays, and unlike actual funeral ceremonies they offer an opportunity for both the one who has 'died' and the onlookers to examine the experience and its meaning in retrospect. Thus, for example, Friar Lawrence administers to Juliet a sleeping potion that he says will produce the 'borrowed likeness of shrunk death' ( _R &J_ iv. i. 104) for a period of forty-two hours, after which she will 'awake as from a pleasant sleep' (106). To an alert audience this plan will seem dangerously close to sacrilege: a resurrection designed and brought about by the agency of man. The biblical paradigm is that of Jairus' daughter, as described in the Gospels according to Matthew, Mark, and Luke:
And when Jesus came into the ruler's house, and saw the minstrels and the people making a noise, He said unto them, Give place: for the maid is not dead, but sleepeth. And they laughed him to scorn. But when the people were put forth he went in, and took her by the hand, and the maid arose.5
(Matt. 9:23–5)
This is the part the friar has chosen for himself. We should not be surprised, therefore, when his plan miscarries. At the same time it is worth noting that Juliet has imaginatively experienced her own death in iv. iii., as she prepares to take the potion. She speculates first that the friar may 'Subtly hath minist'red to have [her] dead' (25) to conceal the fact that he performed the secret marriage, and then, rejecting this idea, she goes on to dwell in highly realistic terms upon the smells, sounds and bones within the tomb.
Juliet's resolve to conquer these fears marks a turning point in her growth to personal maturity; from this point she will no leading need. Her brave toast, 'Romeo, Romeo, Romeo, I drink to thee' (58), is answered in the tomb itself by Romeo as he drinks the poison: 'Here's to my love!' (v. iii. 119). By dying in imagination before she does so in fact, Juliet not only comes to terms with her own mortality, but in effect reverses the very conditions of life and death. She kisses Romeo's lips, hoping to find there 'some poison [that] yet doth hang on them / To make me die with a restorative' (165–6). Restoration now is union with Romeo; 'cordial and not poison', in Romeo's words (v. i. 85). The flawed and hubristic rebirth stage-managed by the Friar is thus superseded by a 'restoration' of another kind, made possible by the power of love.
Some happier restorations from apparent death, each similarly supervised by a person of spiritual authority, take place in the comedies and romances. In _Measure for Measure_ the Duke of Vienna, disguised as a friar, undertakes to conceal and restore Claudio, who has been condemned to death for the crime of impregnating his fiancée. Like Juliet, Claudio experiences an imaginative confrontation with death, pleading with his sister Isabella to ransom him at the cost of her virginity. In fact, the process of education and self-discovery Claudio undergoes in the course of Act iii scene i is strikingly similar to that which Elisabeth Kübler-Ross has observed in her studies of terminally ill patients.6 Such patients (like Claudio) must come to terms with the unimaginable fact of their own death, and according to Kübler-Ross they pass through five stages of response: denial and isolation, anger, bargaining, depression and finally acceptance. All patients may not complete the full progression, but this is a characteristic pattern – and it compares very closely to the conflicting emotions felt by Claudio. Advised by 'Friar Lodo-wick' to 'be absolute for death' (5) in much the same way that a patient learns the seriousness of his condition from a doctor, Claudio responds at first by hoping for a 'pardon from Lord Angelo' (1) – a denial of the reality of his sentence. He is imprisoned, and thus physically as well as emotionally isolated, visited only by the 'friar' and the Provost – again, close counterparts of the visiting teams of doctor and chaplain in Kübler-Ross's study. From denial Claudio passes to anger at Angelo (the person who sentenced him) and then to bargaining – if not with Angelo or with God, then with Isabella: 'Sweet sister, let me live' (132). His ruminations on the physical deprivations of death – 'ay, but to die, and go we know not where, / To lie in cold obstruction and to rot, / This sensible warm motion to become / A kneaded clod' (117–20) – give voice to what is clinically known as depression: what Kübler-Ross describes as 'taking into account impending losses'.7 'Tis too horrible!' he exclaims, 'The weariest and most loathèd worldly life / That age, ache, penury, and imprisonment / Can lay on nature is a paradise / To what we fear of death' (127–31). At last the 'friar' intervenes once more, to dispel all hope: 'Tomorrow you must die' (168), and at this point Claudio indicates what Kübler-Ross calls acceptance: 'Let me ask my sister pardon. I am so out of love with life that I will sue to be rid of it' (170–1). Significantly, these are the last words we hear him speak; in a sense he _does_ die to the world of the play, reappearing only once more, in the final scene, when the duke unmuffles him and restores him to life. And even in that scene he remains mute, more an emblem than a dramatic character, a liminal figure suspended between life and death.
There are two elements of this final scene that merit our particular attention. First we should notice that although the audience is aware of the ruse to save his life, Isabella is not. The duke has been accused of cruelty and callousness for this omission, despite his explanation that 'I will keep her ignorant of her good, / To make her heavenly comforts of despair / When it is least expected' (iv. iii. 110–12). But in fact Isabella is being tested as Claudio had been tested. Her self-righteous obstinacy – 'more than our brother is our chastity' (ii. iv. 184) – will itself undergo a transformation, as she participates in the 'friar's' plot, and falsely claims that she has been violated by Angelo. Claudio's 'death' becomes the instrument of Isabella's conversion from justice to mercy, as she now pleads for Angelo's life: 'My brother had but justice, / In that he did the thing for which he died. / For Angelo, / His act did not o'ertake his bad intent' (v. i. 450–3). It is at this point that Claudio is revealed.
Tellingly, it is to his sister and not to his fiancée that the Duke restores him. The rite of passage Claudio has undergone has made possible a parallel transformation for the 'survivor', Isabella. She, too, has passed from a kind of emotional 'death' to a new life, in which earthly love has its place, and the selfishness of 'Isabel, live chaste, and brother, die' (ii. iv. 183) is replaced by a wish for the married happiness of Mariana and Angelo despite her own (supposed) bereavement. As Claudio had observed earlier, in the characteristically riddling language which is so often associated with rebirth in Shakespeare's plays, 'To sue to live, I find I seek to die, / And seeking death, find life' (iii. i. 42–3). In a metaphorical sense this is true of Isabella as well, and represents a truth she has had to learn.
The second element of particular significance in the last scene of _Measure for Measure_ is Claudio's appearance. 'What muffled fellow's that?' asks the duke (v. i. 488), and from his question we can infer that Claudio is concealed from the audience by a blanket, shawl or scarf that hides his features. In other words, his costume closely resembles a shroud. Viewing this spectacle, an audience familiar with the more popular Bible stories might well think of the story of Lazarus, whom Christ restored to life at the behest of his sisters, Mary and Martha. When the sisters declared their faith in Him, Jesus led them to the tomb, where he called out the name of Lazarus: 'And he that was dead came forth, bound hand and foot with graveclothes: and his face was bound about with a napkin. Jesus saith unto them, Loose him, and let him go' (John 11: 44). Not only the shrouded man and the faithful sisters, but also the motifs of loosing and binding, restraint and liberty, link this episode closely to Shakespeare's play.
From another perspective, it is useful to recall that in initiatory rituals pertaining to puberty and sexual coming of age the novice is often covered with a blanket or rug, and that this act of covering is a symbol of death, as the later uncovering signifies rebirth. The connection between the two customs – shrouding the dead and initiating the adolescent – is a suggestive one here, since Claudio has experienced a double transition. He has 'died' and been reborn, but he has also 'died' sexually, consummating his marriage and begetting a child. By extension we might even say that some similar changes have occurred for Isabella, who in turning away from the nunnery and actively participating in the marital reconciliations of others has begun to recognize and acknowledge her own sexual nature. Whether or not we expect her to accept the duke's proposal, the possibility of such a match is surely greater at the close of the play than it was in its opening scenes.
The two symbolic attributes that link Claudio with death – muffling and silence – are explicitly described early in the play as part of the condition of religious sisterhood. Once she has taken her vows, a nun reminds Isabella, she may only speak to men in the presence of the prioress, and even then, 'if you speak, you must not show your face, / Or, if you show your face, you must not speak' (i. iv. 12–13). Instead of taking the veil, however, Isabella learns a new way of speaking and a new way of revealing herself – as she explains to Mariana:
To speak so indirectly I am loath:
I would say the truth; but to accuse him so,
That is your part. Yet I am advised to do it,
He says, to veil full purpose.
(iv. vi. 1–4)
One kind of veiling replaces another, as the desire to sequester oneself away from the world is replaced by an accommodation to the needs and vicissitudes of that world. In the next scene we will hear Isabella's public appeal to the duke, which contains what is for the audience a striking homophonie echo. 'Speak loud,' urges Friar Peter, and Isabella complies: 'Justice, O royal duke!' she calls out. _'Vail_ your regard / Upon a wronged – I would fain have said, a maid' (v. i. 20–1). Oddly, in a play so much concerned with veiling, these are the only instances of either word to occur, and they do so within thirty lines of one another. Although the two words – 'veil' and 'vail' – are not etymologically related, they play against one another in an interesting way. A veil is a covering that conceals, but the friar's instruction, 'to veil full purpose', is a stratagem that is designed to reveal a hidden truth. 'Vail' as a verb means to lower, doff, cast down or throw down, all emblematic acts of submission, but the duke is asked to vail his regard in order to bring himself down to the level of his subjects, to condescend to them. Each kind of veiling (or vailing) thus produces an effect directly opposite to its most evident meaning, and contributes to the sense of paradox that infuses the entire last scene of the play. Moreover, to 'vail' one's regard is in this context the opposite of 'veiling' or concealing it, making it inaccessible. The audience hears both words in one, and a further paradox is achieved.
Isabella's petition to the duke and her complicity in the 'friar's' plot demonstrate an important change in her behavior; now she is willing to temporize with the letter of the law, in order to pursue its spirit. This distinction between letter and spirit, so crucial to Angelo's governance and indeed to all of _Measure for Measure_ , is, interestingly enough, propounded by St Paul in a chapter of 2 Corinthians that is also much concerned with veils and veiling. Paul reminds his listeners that Moses covered his face when he brought down the tablets of the law, and alleges that the children of Israel have since been symbolically veiled, prevented from seeing the truth of Christ. Christians, he says, 'use great plainness of speech' (3 : 12), 'with open face beholding as in a glass the glory of the Lord' (18); when the heart of Israel is turned to Christ, 'the veil shall be taken away' (16).
The gesture of taking away the veil is repeated several times, literally as well as metaphorically, in the climactic scene of _Measure for Measure_. Mariana is veiled, and will not show her face 'until my husband bid me' (v. i. 170); Lucio challenges the disguised duke to 'show your knave's visage... your sheep-biting face' (355–6) and himself pulls off the friar's hood; Claudio is unmuffled, Angelo is exposed, and Isabella will (perhaps) not take the veil. The appearance of the muffled Claudio thus functions not only as a visual emblem of the rite of passage he has undergone, but also as an iconic representation of the transformations undergone by others. In a sense, he concretizes the more metaphorical kinds of dying and restoration with which the play has dealt. His presence is very like that of Marcade, a living _memento mori_ who speaks (by his silence) to onstage and offstage audience alike.
As we have begun to see, shrouds, veils and masks are almost always part of the ritual of symbolic death and rebirth in Shakespeare's plays, and this is perhaps to be expected, since the veil in many cultures is a traditional symbol of separation from one world and entrance into another. By religious law, Moslem women once they come of age must always be veiled in public, and when in public must be separated from men; much the same is true among the women of certain Orthodox Jewish groups. Not only in the Catholic Church, but also among those who practiced the ancient Greek mysteries, the ceremony of 'taking the veil' was part of the process of initiation. And the widow's veil, in western culture usually a temporary sign of mourning, is in some others worn permanently after bereavement.8
The veil worn by Olivia in _Twelfth Night_ seems to combine a number of these functions, since it is a sign at once of mourning for another and of the death-like condition of the wearer. Obsessively grieving for her dead brother (or, in Valentine's suggestive phrase, for 'a brother's dead love' – i. i. 32), Olivia paces her chamber 'like a cloistress... veilèd' (29) until she falls in love with Viola–Cesario and consents to unveil herself. Unveiling for her is a rite of transition marking the passage from self-love to love for another, which in this play, as elsewhere in Shakespeare, is also a passage from spiritual death to life. (In this it is akin to Isabella's _not_ taking the veil of the votarists of St Clare.) The metaphor Olivia chooses to describe her emergence from behind the veil is an interesting one: 'We will draw the curtain and show you the picture' (i.v. 231–2). Just as Elizabethan paintings were protected by curtains, so Olivia has protected herself from intercourse with the world. Her image here prefigures the more complex unveiling of the statue of Hermione in _The Winter's Tale_ , another emergence from 'death' to life, from stasis to action. Equally significant, the eventual marriage between Olivia and Sebastian takes place in a 'chantry' located in, or near, Olivia's garden. The outdoor setting of the wedding is in sharp contrast to the closed chamber of her earlier grief, a chamber that was in many ways the equivalent of a living tomb. Moreover, a chantry is a chapel (or part of a church) specifically endowed for the maintenance of priests to sing daily mass for the souls of the founders. The daily ritual of mourning with which the play began now sustains its final transformation, as the chantry becomes a place of beginning as well as of ending, of marriage as well as memorial.
Olivia's veil and the muffling of Claudio have their counterparts in the mask of Hero in _Much Ado about Nothing_ , another comedy with undertones of tragic possibility. The pattern of 'death' and 'rebirth' in _Much Ado_ is in fact quite similar to that in _Measure for Measure_. Hero is accused of infidelity by her fiancé, Count Claudio; she swoons and is thought dead. Friar Francis – yet another of these transforming friars – who was to perform the marriage between them, now suggests that her family and friends 'Publish it that she is dead indeed; / Maintain a mourning ostentation... and do all rites / That appertain unto a burial' (iv. i. 203–7). The friar's hope is that Claudio will come to realize his mistake; if not, he intends to place Hero 'in some reclusive and religious life' (241) out of the sight and hearing of society. Like Friar Lawrence, then, Friar Francis threatens to 'dispose of' the bride 'among a sisterhood of holy nuns' ( _R &J_ v. iii. 156–7). His words as he leads her off are significant, and may serve as the apothegm for this entire dramatic trope: 'Come, lady,' he invites her, 'die to live' (iv. i. 252). To die to live is to die into life, to counterfeit death as a transitional rite which will lead to a new incorporation with a husband and a society – once again the opposite of the nunnery, which is 'out of all eyes, tongues, minds' (iv. i. 242).
Some time after Hero's departure Claudio learns the truth – that she has been impersonated and slandered – and we might imagine that his subsequent repentance would be sufficient to restore her to him at once. Instead there is a delay analogous to that in _Measure for Measure_ , when Isabella was not told that her brother was alive. Hero's father Leonato tells him that he 'cannot bid you bid my daughter live; / That were impossible' (v. i. 278), but instructs him to do obsequies at her tomb, and offers him the hand of her 'cousin' – who will turn out to be Hero herself. Although the 'cousin' is declared to be joint heiress to Leonato's fortune and his brother's, Claudio apparently undertakes the marriage at least in part as a form of penance and an act of faith. We see him performing funeral rites at the monument, and hear him swear that 'Yearly will I do this rite' (v. iii. 23); we then hear Don Pedro, his companion in both the accusation and the act of repentance, urge him to 'put on other weeds' (30) – exchange his mourning clothes for a wedding suit – and proceed to Leonato's for the ceremony. When Claudio arrives, Leonato asks if he is still determined to marry the unknown 'cousin', and he replies, 'I'll hold my mind, were she an Ethiope' (v. iv. 38). The acceptance of a bride sight unseen reverses the dangerous and misleading demand for ocular proof ('If I _see_ anything tonight why I should not marry her tomorrow, in the congregation where I should wed, there will I shame her' – iii. ii. 118–20), and Claudio, although tempted ('Sweet, let me see your face' – 55) adheres to his vow and takes the masked lady by the hand. The incident suggests a submerged analogy with the story of Orpheus and Eurydice, another situation in which the dead bride can be retrieved from the underworld only by her husband's faith. Orpheus in looking back lost Eurydice forever, Claudio by not looking gains back the bride he lost. When Hero unmasks herself the play's language becomes, for a moment, translated into redemptive terms:
Hero And when I lived I was your other wife; [ _unmasking_ ]
And when you lived you were my other husband.
_Claudio_ Another Hero!
_Hero_ Nothing certainer.
One Hero died defiled; but I do live,
And surely as I live, I am a maid.
_Don_ Pedro The former Hero! Hero that is dead!
_Leonato_ She died, my lord, but whiles her slander lived.
_Friar_ All this amazement can I qualify,
When, after that the holy rites are ended,
I'll tell you largely of fair Hero's death.
(v. iv. 60–9)
What is of special interest here is the rhetorical insistence on the actuality of Hero's death. She is not called 'Hero that _was thought_ dead', but 'Hero that _is_ dead'. More than a mere pretense or masquerade has taken place.
We noted earlier in this study that a pattern of death and resurrection was part of all pubertal initiation ceremonies among primitive peoples, as well as among some sects and tribes of ancient Greece, and even in the Europe of the medieval period.9 But in this case, as in the case of many similar rites in Shakespeare, the initiatory experience is indirect or transferred: a change takes place in Claudio as well as – and more centrally than – in Hero. This is part of the reason for the length of time Claudio remains unenlightened. The stages of ritual through which he passes – the mourning at Hero's tomb, the promise to renew the rite yearly, the change of clothing, and finally the marriage – are clearly analogous to the basic pattern of separation, transition and incorporation. At the same time there remains an evident reminder of the Pauline doctrine 'that Christ died for our sins... that he was buried, and that he rose again the third day' (1 Cor. 15 : 3–4). Hero is no Christ, but she is an innocent victim of others' perfidy, and her symbolic death is the instrument of Claudio's own rebirth.
We have already seen certain instances in which Claudio clearly needs to change, to come to terms with his own sexual nature and with the nature of love. In Act ii scene i, the dance at Leonato's house, it is Claudio who is masked, as are the other men. (In v. iv. the pattern will be reversed, and the masks will be worn by the women.) He is persuaded by Don John that Don Pedro is wooing Hero on his own account, not, as he has promised, as Claudio's proxy. In a bitter soliloquy Claudio bids goodbye to her with a rhetorical flourish: 'Farewell therefore Hero!' (ii. i. 176). His eyes have deceived him; he has misinterpreted the scene. Notice that this is precisely the same mistake he will make, with more serious consequences, in the church scene, again deceived by the troublemaker Don John, again too quickly and mistakenly rejecting Hero, only to be once more reunited with her and promised her hand in marriage. Even his language is the same – 'fare thee well, most foul, most fair, farewell' (iv.i.102) – so that the audience is given an aural clue to the congruence between the two scenes. Hero does 'die' for Claudio's errors here – indeed she does so twice. Her apparent death and resurrection provide the initiatory experience which enables him to come to know himself.
A close parallel to the Hero–Claudio situation occurs in _The Winter's Tale_ , where Hermione is suspected of infidelity, Leontes accuses her, and she is concealed by Paulina. In this case the 'yearly rite' promised by Claudio becomes a penance performed by Leontes 'once a day' (iii. ii. 236) for a period of sixteen years. Like Leonato, who took charge of Claudio's marital prospects and matched him with Hero's 'cousin', Pauline extracts a promise from Leontes that he will be guided by her in a future marriage choice – and then in riddling terms adds, 'That / Shall be when your first queen's again in breath; / Never till then' (v. i. 82–4). After this act of faith comes another, in the chapel, and the unmasking of Hero is transmuted into the more elaborate and more richly reasonant 'awakening' of the supposed statue of Hermione. A curtain replaces the mask, but the language of rebirth is fully as strong. Where the two situations differ is in the degree of previous knowledge given the audience; we knew that Hero was still alive, but Paulina conceals from us, as from Leontes, the truth about Hermione. Her invitation, 'It is required / You do awake your faith' (v. iii. 94–5), is extended to those off the stage as well as to those upon it, and the wonder of the moment of awakening – or rebirth – is shared by every spectator.
As we have seen, this fundamental pattern of 'death' and 'rebirth' can have a strong effect upon the survivors – or the audience – as well as upon those who undergo the literal experience of transition. Indeed it might well be argued that the transferred effect is far stronger – that Leontes and Claudio are more psychologically and emotionally altered by the 'deaths' and restorations of their ladies than are the ladies themselves. Like tragedy itself, which happens _for_ us on the stage so that it need not have to happen _to_ us in our lives, these apparent losses and reversals are cathartic events that transform those who observe them. This is perhaps most vividly the case when the restoration or rebirth is fleeting, as it is for Desdemona, or even wholly illusory, as with Cordelia.
Desdemona anticipates the possibility of her death in iv. iii., and requests that Emilia shroud her in her wedding sheets. The audience, which has already seen ample evidence of Othello's obsession, receives explicit notice of his intention to kill her as v. ii. opens, and hears her plead with him in vain. We thus expect her death, and our expectations are apparently confirmed by Othello's own words after he smothers her: 'She's dead' (91), and '[she's] Still as the grave' (94). At this point he performs a gesture which is both a natural attempt at concealment and a familiar symbolic indication of death: he closes the curtains around the bed. The bed curtains are in this case a kind of veil or shroud, but they are also analogous to the curtains of a theater; the play appears to be over. Thus, when the voice of Desdemona speaks through the curtains, the audience is likely to be as startled as Othello. There is nothing supernatural about Des-demona's 'rebirth', any more than in the other instances we have seen. Othello's certainty that she is dead is yet another error of perception and judgment on his part. But the dramatic effect here is so shocking that we seem almost to be hearing a voice from another world.
J. L. Styan appropriately notes the resemblance of this scene to that of a church: 'The taper makes of her death-bed a sacrificial altar, one upon which man's love of life and hope of heaven are annihilated.'10 Yet there is no language of Christian mystery here. Instead of the riddling phrases of _Much Ado_ and _The Winter's Tale_ we have a riddle posed in purely human terms: the riddle of a woman's self-destructive goodness. Desdemona's reply to the question, 'who hath done this deed?' – the magnificently generous 'Nobody – I myself. Farewell' (124) – may offer us, in its very generosity, something of tragic truth.
In terms of staging, the difference between Desdemona's first 'death' and her second is the presence of Emilia. She, like the audience in the theater, hears those final poignant lines of disclaimer and forgiveness, and her anger and grief are forerunners and counterparts of our own. Emilia is a consummately ordinary woman, whose ordinariness is repeatedly contrasted with the extraordinary qualities of Desdemona. In her mediocrity, her moral frailty and her instinct for survival the audience may find a reflection of its own quotidian self. But in the almost literally disembodied voice of Desdemona we hear, as well, the language of grace and human possibility, of that which lives on after death.
With the death of Cordelia the transference of effect from victim to survivor becomes even more direct. The stage direction, _'Enter_ Lear, _with_ Cordelia _in his arms_ ', describes a posture that has been compared to that of a Pietà. Yet Lear refuses to believe that she is dead, asking for a looking glass to mist with her breath, holding a feather before her and fancying that it stirs. His dying words repeat this wish, replacing the agonizing realism of 'Thou'lt come no more, / Never, never, never, never, never' (v. iii. 309–10) with a last burst of hope: 'Look on her. Look, her lips, / Look there, look there' (312–13). What does he see? In all but remotest possibility, nothing. Her revival, the rebirth that would in his phrase 'redeem all sorrows / That ever I have felt' (268–9) occurs only in his mind, while around him the young men, Edgar and Albany, strive to reassert the world of government, to lift the burden of mourning and begin the act of reintegration with society. It is left to Kent to point out not only Lear's wish for death but his own; reintegration for them will happen only once they have departed 'this tough world' (316). 'I have a journey, sir, shortly to go; / My master calls me, I must not say no' (323–4).
Twice before in the play we have encountered the dramatic metaphor of resurrection, once staged by Edgar, a second time imagined by Lear. Edgar persuades the blinded Gloucester that he has fallen from an immense height, and tells him that 'Thy life's a miracle' (iv. vi. 55). The 'child-changèd' Lear awakes from sleep and madness to find himself dressed in fresh garments, soothed with music, and welcomed by a Cordelia whom he identifies as 'a soul in bliss' (iv. vii.46). 'You are a spirit, I know,' he tells her, 'Where did you die ?' (49). In both scenes the fathers are 'child-changed', changed not only into children but by their children, and brought to a new understanding of patience, love and the radical condition of humanity. As the doctor says of Lear, 'the great rage, / You see, is killed in him' (78–9).
It may be useful here to recall the observations of Elisabeth Kübler-Ross on the dying patient's progression from denial and isolation to anger, bargaining, depression and finally acceptance of death. For Lear, although he will not acknowledge it, is a dying man. His denial, isolation and anger are all too visible in the first three acts. As Freud points out, the silence of Cordelia may be seen as a reminder of the silence of death, the thing Lear refuses to see that he has to choose – and of which his division of the kingdom is an unmistakable sign.11 Denying her, he passes through rage to bargaining, first with his elder daughters about the size of his retinue, then, turning to matters more desperate and fundamental, with the heavens and his neglected subjects: 'O, I have ta'en / Too little care of this! Take physic, pomp; / Expose thyself to feel what wretches feel' (iii. iv. 32–4). The scheme he proposes to Cordelia as they are taken prisoner is yet another version of the bargain for life: 'Come, let's away to prison; / We two alone will sing like birds i' th' cage... and we'll wear out, / In a walled prison, packs and sects of great ones / That ebb and flow by th' moon' (v. iii. 8–9, 17–19). but it is with the death of Cordelia that there comes upon him the final stages of preparatory depression and ultimate acceptance. Freud's comment on the stage direction I have already mentioned is worth citing here, because it bears directly on this subject of acceptance:
Let us now recall that most moving last scene, one of the culminating points reached in modern tragic drama: 'Enter Lear with Cordelia dead in his arms.' Cordelia is death. Reverse the situation and it becomes intelligible and familiar to us – the Death-goddess bearing away the dead hero from the place of battle, like the Valkyr in German mythology. Eternal wisdom, in the garb of the primitive myth, bids the old man renounce love, choose death, and make friends with the necessity of dying.12
Cordelia becomes, if not his Valkryie, then his psychopomp, his guide of souls, who leads him willingly from one world to the next. Kent's compassionate injunction explicitly touches on this theme of acceptance: 'Vex not his ghost: O let him pass! He hates him / That would upon the rack of this tough world / Stretch him out longer' (v. iii. 315–17). Edgar earlier touched upon the same theme as he led the blind Gloucester from the field of battle, and cautioned him that 'Men must endure their going hence, even as their coming hither: / Ripeness is all' (v. ii. 9–11).
Cordelia's death is unlike the previous 'deaths' we have considered, because her restoration is entirely illusory. She is 'dead as earth' (v. iii. 263); she will 'come no more' (309). And yet it is hardly accurate to say that Cordelia's death is 'real'. It is real within the confines of the play – it is real to Lear – but for the audience of Shakespeare's plays, necessarily, there is more than one kind of 'reality'.
In his short poem 'On the Life of Man', Walter Ralegh develops an elaborate conceit comparing theater and life, to conclude with a crucial distinction: 'Only we die in earnest, that's no jest. 'A literal-minded observer might wish to point out the same kind of truth about Cordelia's death that Bottom is so eager to declare about Pyramus': 'That Pyramus is not killed indeed' ( _MND_ iii. i. 18). 'The most lamentable comedy, and most cruel death of Pyramus and Thisby' is no sooner over, and the stage littered with corpses, than Bottom and the others leap to their feet to offer the duke his choice of an epilogue or a Bergomask dance. So too with the players in Shakespeare's company, or any company : the play over, its actors do not die in earnest, but rather return the next day to perform it again. And in this common fact of theatrical life we find the central truth about death as a rite of passage in Shakespearean drama.
We have seen the ways in which Shakespeare uses a fictive experience of 'death' to bring about a change in the survivors, the mourning spectators on the stage, as well as in the person who 'dies' and is 'reborn'. But there are, after all, many major characters who face the final crisis and do not come back. Most obviously this is true of the protagonists of tragedy, for whom, as for Lear, the experience of the play is also the experience of learning to die. By expanding our perspective we can see that these deaths, too, bring about a change, a new access of understanding. But in the tragedies the final act of transition and incorporation is performed, not by the players, but by the audience. To solve the dilemma of finitude and mortality, the silence of the grave, Shakespeare has created for his audience a crucial role that transcends the limitations imposed by the death of the hero – as well as the limitations implicit in 'the two hours' traffic of our stage'. It is therefore to the tragedies that we should turn, to find the most inclusive of all rites of passage concerned with death and dying: the injunction to retell the tale, or to replay the play. This is the task, and the role, that the playwright assigns to the survivors: at once an act of mourning and a first step toward social reintegration.
The general pattern of this rite is set forth very clearly in a passage that is not in fact from a tragedy, but does concern itself with a potentially tragic subject: the fear of death in battle. The passage is the great 'Saint Crispin's Day' speech in _Henry V_ , in which the king attempts to rally his forces and to enable them to face the possibility of their own deaths. The scene is the English camp, and the onstage audience includes not only the nobles specifically named but also Sir Thomas Erpingham 'with all his host'.
This day is called the Feast of Crispian:
He that outlives this day, and comes safe home,
Will stand a-tiptoe when this day is named,
And rouse him at the name of Crispian.
He that shall see this day, and live old age,
Will yearly on the vigil feast his neighbors
And say, 'Tomorrow is Saint Crispian.'
Then will he strip his sleeve and show his scars,
And say, 'These wounds I had on Crispin's day.'
Old men forget; yet all shall be forgot,
But he'll remember, with advantages,
What feats he did that day. Then shall our names,
Familiar in his mouth as household words –
Harry the King, Bedford and Exeter,
Warwick and Talbot, Salisbury and Gloucester –
Be in their flowing cups freshly rememb'red.
This story shall the good man teach his son;
And Crispin Crispian shall ne'er go by,
From this day to the ending of the world,
But we in it shall be rememberèd.
(IV. iii. 40–59)
This is a description of what we today call 'oral history', a process of education through retelling that is a familiar tradition in many cultures, but especially in those that do not employ the written word. Whether it is historical, mythic or explicitly fictive, an event is remembered and passed on from one generation to another by just such a process of transmission. But we may notice that the king fully expects the old soldier to remember his own contributions 'with advantages' – embellishing them in the course of the telling. If this is the case, what is the true story of what happened on Saint Crispin's day? If the soldier adds and changes, and his son does the same, how can we remember 'to the ending of the world' the events and names King Harry bids us celebrate? The answer implied here, and made more explicit in the tragedies, is: by recalling and reenacting the play we have just seen. If the old soldier is a spectator–participant, so too is the audience that watches and endures. And, as we shall see, the audience in effect becomes an actor, performing the rite begun by the injunction to retell.
Just as Henry V addresses himself to his troops and spectators, so Hamlet as he lies mortally wounded addresses himself to 'You that look pale and tremble at this chance, / That are but mutes or audience to this act' (v. ii. 336–7). His description includes those both on the stage and off it, a community whose human bond transcends the limitations of the stage itself. They are an audience – which is to say, they hear; but they are also spectators, who see; and, as Hamlet tellingly points out, they are also 'mutes', who cannot – or will not – speak. At once active – in emotional response, in pity and terror, in sympathy or identification – and passive – in its entrapment in seats or boxes, and its inability to intervene – the audience occupies a dichotomous position which is both difficult to maintain, and essential to the workings of the play.
But the muteness of the spectators is a temporary rather than a permanent state. In his next words Hamlet enjoins Horatio,
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.
(V. ii. 348–51)
Horatio's task – and by extension that of Hamlet's other 'audience' – is to make history into story, fact into fable – to replay the play, and bring it back to life. Very much the same thing happens at the end of _Othello_ , when Othello enjoins the Venetians,
When you shall these unlucky deeds relate,
Speak of me as I am. Nothing extenuate,
Nor set down aught in malice. Then must you speak
Of one that loved not wisely, but too well.
(V. ii. 340–43)
The play does not end with the closing of the bed curtains, but rather with Lodovico's final words of resolve:
Myself will straight aboard, and to the state
This heavy act with heavy heart relate.
(369–70)
To 'relate' becomes, in fact, the crucial action afforded to the spectator of tragedy, both on and off the stage. He is invited to 'relate' in two senses – to retell the tale, and in retelling it to reconstitute the human bonds that have been severed, to remake a community and a society by placing the hero and his downfall in the instructive context of history, and by 'giv[ing] sorrow words', as Malcolm urges the grieving Macduff ( _Mac_. iv. iii. 209), in order to come to terms with loss. Lodovico will return to Venice and 'relate' the story of Othello, which is to say, the events of the play itself.
As we have seen in other contexts, it is the survivors who often bear the responsibility for responding to the implications of death and dying. Thus at the close of _Romeo and Juliet_ the Prince of Verona instructs his mourning subjects to 'Go hence, to have more talk of these sad things' (v. iii. 208) – to 'relate' to one another the play's tragic events and their own feelings of guilt and loss. In similar terms Edgar, a survivor of the storm and a friend and kinsman of its victims, addresses the remaining English forces in _King Lear_ :
The weight of this sad time we must obey,
Speak what we feel, not what we ought to say.
The oldest hath borne most; we that are young
Shall never see so much, nor live so long.
(v. iii. 325–8)
Here, in accordance with the changed circumstances, explicit retelling – 'Speak what we feel' – entails, as well, implicit remembering and recording. 'We that are young' refers not only to those of Edgar's own generation, but to those who will follow – the newly young of each succeeding generation, audiences as well as actors, who are asked to remember and to learn from the tragic past.
Moreover, even those who have caused the deaths of tragic heroes invite us, in fact command us, to remember them. Aufidius says of Coriolanus, 'Yet he shall have a noble memory' (v. vi. 152); Macduff says of Macbeth, 'live to be the show and gaze o' th' time' (v. viii. 24); Octavius says of Antony and Cleopatra, 'No grave upon the earth shall clip in it / A pair so famous' (v. ii. 358–9). Thus, at the close of every tragedy, our attention is drawn to the necessary act of retrospection without which the tragic experience would be incomplete.
Yet in each of these cases the relationship of onstage to offstage audience is carefully measured, to suggest not only a conjunction but also a disjunction between them. Horatio is asked 'to tell my story', and he complies immediately by requesting those who remain – among whom we may properly number ourselves – to see 'that these bodies / High on a stage be placèd to the view' (v. ii. 379–80). The stage from which they are to be regarded, of course, is simultaneously playhouse and platform. But then Horatio goes on, in effect, to summarize his story to the 'yet unknowing world':
So shall you hear
Of carnal, bloody, and unnatural acts,
Of accidental judgments, casual slaughters,
Of deaths put on by cunning and forced cause,
And, in this upshot, purposes mistook
Fall'n on th'inventors' heads. All this can I
Truly deliver.
( _Ham_. v. ii. 382–8)
He can 'truly deliver' so far as he comprehends what he has seen. But do we recognize _The Tragedy of Hamlet, Prince of Denmark_ , in this catalogue of catastrophes? Horatio, who cautions against considering too curiously, is himself a curious figure for the role of amanuensis ; there are parts of Hamlet – and therefore of _Hamlet –_ which he has never understood. Most obviously, he has not heard the soliloquies, without which the play of _Hamlet_ as we know it is unimaginable. It is therefore to us as well as to Horatio that Hamlet – and Shakespeare – speak, in the command to 'tell my story'. We, mutes and audience, are the only ones who 'truly' know it.
These final speeches of summation have sometimes been accused of a certain patness – of attempting to make all right with the world, when in fact that world has been destroyed. But this patness, when it exists, seems to me to be a part of the play's central design, and of the design it has upon its audience. Lodo-vico is even less qualified than Horatio to 'relate' the tragedy of which he is a part. He does not arrive at Cyprus until the beginning of Act iv, and has therefore missed, not only Iago's soliloquies, but the whole story of Othello's downfall. His account, were he to give it, would begin with the striking of Desdemona, omitting the delicate psychological interplay which lies at the heart of the tragedy. Edgar, who speaks of 'we that are young', counts himself among them, though he has been part of the tragedy of Gloucester and Lear. But to say that we 'shall never see so much, nor live so long', is to overlook, for a moment, the radical role of the spectator, who has seen it all – and through whose eyes and ears the personae of _King Lear_ continue to live long after the actors have left the stage. The Montagues and Capulets, though united by mutual tragedy, remain blindly competitive, each pledging to rear a more appropriate monument to the other's child; the golden statues they intend to raise are mockingly lifeless counterparts of the flesh and blood children they have lost, and bear no relation to the 'story of more woe... of Juliet and her Romeo' (v. ii. 310–11). As for Octavius, his belated generosity is, as always, mitigated by self-interest:
No grave upon the earth shall clip in it
A pair so famous. High events as these
Strike those that make them; and their story is
No less in pity, than his glory which
Brought them to be lamented.
( _A &C_ v. ii. 358–62)
The easy rhyme of 'story' and 'glory', which seems to balance two types of fame, in fact suggests a false analogy. The play is not evenly divided in its emphasis between the lovers and the aspiring emperor; its conclusion is not greeted by the audience impartially, with an auspicious and a dropping eye – our sympathies and commitment are reserved for the dead, though we may recognize the political sagacity of those who survive. Octavius, in fact, does not understand his play, and would almost surely have staged in Rome the 'squeaking', 'drunken' parody Cleopatra imagines. The limited vision of the final speaker once again emphasizes the radical disjunction between his view and that of the work of art. Only in his intuition that the play must be replayed does he anticipate the response of the offstage audience; for just as Cleopatra herself declares, i am again for Cydnus, / To meet Mark Antony' (v. ii. 228–9), so Octavius senses in her death a paradoxical sign of continuity:
she looks like sleep,
As she would catch another Antony
In her strong toil of grace.
(v. ii. 345–7)
The dramatic character of Cleopatra inhabits a self-renewing world which will outlast any single spectator, and any single performance.
In short, Horatio might conceivably write a _Horatio_ , and Octavius an _Octavius Caesar_ , but neither would accord completely with the plays as we have experienced them. As participants in the tragic drama they can speak only what they know; we, who know more, have, in exchange for that privilege, forfeited our right to speak. And as we have already seen, in Shakespeare's tragedies the abdication of speech, whether by Iago, Cordelia, Coriolanus or Banquo's ghost, is fraught with danger; the character who refuses speech is vulnerable to the accusation that he is concurrently refusing the human bond. Manifestly, for Cordelia and Coriolanus, this is not wholly the case: 'love and be silent,' and _'Holds her by the hand, silent'_ demarcate two of the most moving instances of human interaction in the Shakespearean canon. But as moving as they are, these moments are also tragic. Not to speak is to make oneself a victim, by dissociating oneself from the world of human communication. Iago does this explicitly at the close of _Othello_ , but essentially he has been in this condition throughout the play, never speaking with an intent to communicate, but always to deceive. The audience, by accepting, as it must, the role of 'mutes', accepts as well the danger and responsibility of this failed communication – and also something more. Our hearing, our seeing – that is, our identity as audience and spectators – has been our suffering, our participating in the tragic experience. This experience has been deepened, made more private and perhaps more painful, by the very passivity forced upon us. We cannot act to affect the play's outcome, any more than the tragic hero can act to save himself. Such is the decorum of our stage that we cannot even cry out and expect to be heard. We are thus as surely victims of the play, as the play's protagonists are victims of its actions.
But if we are its victims, we are also its survivors, and its celebrants. Old Hamlet, having told his tale of murder, exits on a line which seems addressed to the audience as well as to his son: 'Adieu, adieu, adieu. Remember me' (1. v. 91), and the words linger in the air after their speaker has departed the stage. Hamlet, mulling them as a text, seems likewise to speak for both audiences, for all audiences, in his reply.
Remember thee?
Ay, thou poor ghost, whiles memory holds a seat
In this distracted globe.
(95–7)
The triple pun on 'globe' – head, world, theater – is underscored by the ambiguity of 'seat'. 'Sitting at a play', the audience of tragedy is precisely what Hamlet says it is – the memory of the play's world, the record of its action. When Aufidius promises that Coriolanus 'shall have a noble memory', it is only the audience which can keep his promise, and the nobility of this role is insisted upon:
Let us haste to hear it,
And call the noblest to the audience.
( _Ham_. v. ii. 388–9)
In the comedies, this recognition of reciprocity between the worlds on and off the stage is often accomplished through the use of an epilogue, a device which, like the soliloquy, allows for a direct confrontation between actor and audience. Thus Rosalind 'conjures' her hearers 'that the play may please', and requests them to bid her farewell with their applause.
Prospero, having drowned his book, declares himself powerless, and asks for the help of our 'good hands' and 'gentle breath' to release him and sail him back to Milan. Puck, likewise, seeks our 'hands', in friendship and applause. In each case the speaker of the epilogue acknowledges his own fictionality at the same time that he, like Puck, teases us with the dramatist's favorite conundrum, that perhaps only the fictive is true.
But in the world of Shakespearean tragedy there is no such moment, suspended between 'fiction' and 'reality', in which the protagonist may reveal himself, and the charm dissolve apace – nor, significantly, is there an explicit clarification and release, as manifested in the welcome activity of applause. Hamlet and Lear are dead, and in a more than literal sense their fame lies in our hands – and in our gentle breath. The injunction to replay the play, 'to tell my story', to bear the bodies to the stage, suggests the ultimate role of the audience, no longer mute, and the ultimate reconstitution of the society disrupted by the tragic action. For each member of the tragic audience is asked to see himself as a survivor. Denied the easier mode of participation offered by comedy – a revels moment of song, dance or solicited applause which assures the communal bond – the spectator of tragedy is at once isolated and chosen, privileged and obligated by what he has seen and heard. The play itself becomes a rite of mourning, at once the ultimate and the quintessential Shakespearean rite of passage.
Note
1 The enormous success of _Life After Life_ , by Raymond A. Moody, Jr, M.D. (New York: Bantam Books, 1975) attests to a continuing interest in such questions. Dr Moody, a former professor of philosophy who is currently training to be a psychiatrist, takes a balanced and sensitive view of the question of the afterlife, based on interviews with some 150 persons who have reported such experiences.
2 For some specific practices of tribal groups see Arnold van Gennep, _The Rites of Passage_ , Monika B. Vizedom and Gabrielle L. Caffee (trans.) (Chicago: University of Chicago Press, 1960) Chapter 5; and Edward Norbeck, _Religion in Primitive Society_ (New York: Harper & Row, 1961), Chapters 9 and 10.
3 Moody writes that many persons who have 'died' and returned to life report being welcomed by relatives or friends on the 'other side' (pp. 55–8); one woman described the experience as a 'home-coming' (p. 97).
4 Van Gennep, pp. 164–5.
5 Cf. also Mark 5 :38–42, Luke 8 :51–4.
6 Elisabeth Kübler-Ross, M.D., _On Death and Dying_ (New York: Macmillan, London: Tavistock, 1969).
7 Kübler-Ross, p. 86.
8 Van Gennep, p. 168.
9 Mircea Eliade, _Rites and Symbols of Initiation: The Mysteries of Death and Rebirth_ , Willard R. Trask (trans.) (originally published as _Birth and Rebirth_ ) (New York: Harper & Brothers, 1958; rpt. Harper & Row, 1975) pp. xii ff.
10 J. L. Styan, _Shakespeare's Stagecraft_ (Cambridge: Cambridge University Press, 1967; rpt. 1971), p. 33.
11 Sigmund Freud, 'The theme of the three caskets' (1913) in James Strachey (ed. and trans.), _The Standard Edition of the Complete Psychological Works of Sigmund Freud_ , xii (London: Hogarth Press and the Institute of Psycho-Analysis, 1958, rpt. 1962), pp. 294–301.
12 Freud, p. 301.
L'Envoy
Come, thy l'envoy – begin.
_LLL_ III. i. 71
This way to the egress.
P. T. Barnum
As Rosalind tells us, it is not the fashion to see the lady the epilogue – but it is never a surprise to find Prospero in that position, and it seems fitting that he should have the last word here. For it is Prospero, Shakespeare's last great dramatic character, who most clearly and memorably gives voice to the acceptance of death. In the tragedies we have heard other claims of acceptance – Hamlet's quiet declaration that the readiness is all, Edgar's caution that men must endure their going hence even as their coming hither – but at the close of _The Tempest_ we hear that claim put forth in a new key, without regret, fear or reluctance. When Prospero solicits our applause and praise in order to fill his sails, he is enlisting our help in his passage to death – a journey over water that will take him first to Naples to see the marriage of his daughter (and thus to see himself superseded), then to Milan, 'where / Every third thought shall be my grave' (V. i. 311–12).
But it may be possible to localize this acceptance of death in a more dramatic moment earlier in the final scene – when Caliban, Stephano and Trinculo are brought before the company, their plot exposed. 'Two of these fellows you / Must know and own,' Prospero then says to the assembled onlookers, 'this thing of darkness I / Acknowledge mine' (274–6). What is 'this thing of darkness'? Literally, of course, it is the bestial Caliban – and by extension the beast in man, the boar chained beneath the rock in Spenser's Garden of Adonis, the Minotaur confined in his maze. But may we not extend this meaning even further, to find in 'this thing of darkness' not only bestial man but mortal man, man doomed to darkness because of his fallen nature? Shakespeare frequently uses darkness as a metaphor for death, as in Claudio's brave (and temporary) pledge in _Measure for Measure_ : 'If I must die, / I will encounter darkness as a bride, / And hug it in mine arms' (III. i. 82–4). To acknowledge 'this thing of darkness' is to look death in the face, and to see that his face is our own. In this sense the acknowledgment of Caliban is an act analogous to the other gestures by which Prospero signifies his acceptance of death: the drowning of his book and the releasing of Ariel. Through these actions he reclaims his mortality.
Nothing in Prospero's life becomes him like the leaving of it, for in the act of leave-taking he transcends dramatic occasion. His farewell to his greatness becomes in its own way a reinterpretation of that greatness, an affirmation of the human limits as well as the godlike capabilities of man. The last words he speaks are at once a reminder of the Golden Rule and a version of the last rites of the Church, a request for absolution – but with one characteristically Shakespearean addition: the rites Prospero proposes are reciprocal, absolving speaker and audience in the same act. 'As you from crimes would pardoned be, / Let your indulgence set me free' (Epil. 19–20). Prospero the character is poised on the threshold between life and death, the actor who plays him is poised between fiction and reality – and the audience participates crucially in both moments of transition.
It is entirely appropriate that this moment of frame-breaking should occur in the epilogue, which in _The Tempest_ , as in many of Shakespeare's plays, is the most liminal element in the dramatic structure. In essence, the epilogue confirms the role of the play itself in educating and altering its audience, by acting simultaneously as a rite of separation and a rite of incorporation. The speaker addresses his hearers in a way at once intimate and direct; his remarks are part of a threshold ceremony of divestiture, revealing himself as an actor, the events of the play as a fiction, or both. 'If I were a woman,' says Rosalind – and the Elizabethan audience knows that she is not. 'You have but slumber'd here, / While these visions did appear,' says Puck – and the audience perceives that he is ringing one more change on the metaphor of dream and reality. Feste sings his melancholy song about mortality – 'the rain it raineth every day' – and then abruptly alters the refrain to remind us that he is really a player, his song an artifice like the play that contains it. Pandarus addresses himself to his 'Brethren and sisters of the hold-door trade' – that is, to other panders – but the door he holds open is also the threshold between the world of the play and the other world beyond it.
Jaques observed that men and women are merely players, but Shakespeare continually reminds us of the converse: that players are merely men and women. His characters live for us above all in their humanity and their consciousness of the nature and finitude of the common human condition. That is why it is not only possible but instructive to speak of maturation patterns in the plays, of characters coming of age and undergoing rites of passage. That is also why Shakespeare's plays have been translated into so many languages, and are read with such pleasure and understanding by people of widely divergent societies and cultures around the globe.
Index
'addition', , , –, , , , –; _see also_ name
Adlington, William,
adolescents, ; male, –, ; female, , ; _see also_ age-mates
age-mates, , –, , ; in _Hamlet_ , , ; in _Henry IV_ , ; in _Henry V_ ,
ages of man, –, , ; seven ages ( _As You Like It_ ), –, , ,
anthropology, –, –, –, –, –, ,
Apuleius, _The Golden Ass_ , ,
Arthurian romance, , , ,
'Asiatic' style,
'Attic' style,
audience, –
Aylmer, Bishop John, ,
Barber, C. L., ,
barrenness, –, ; threat in _A Midsummer Night's Dream_ , , ,
Bettelheim, Bruno, , , , ,
Bible, , ; books of: Corinthians, , , , ; Corinthians, ; Ephesians, , ; Exodus, ; Genesis, , –; John, ; Luke, , ; Mark, , ; Matthew, , , ; Revelation, ; Song of Songs,
blood, hymeneal, , –; as symbol, –; _see also_ defloration, virginity
Brooks, Cleanth, ,
cannibalism and childbirth, –
castration: fear in _Othello_ , ; in _Measure for Measure_ , ; symbolic in _Cymbeline_ ,
celibacy, –, ; in _Love's Labor's Lost_ , ; in _Measure for Measure_ , –; _see also_ monasteries, nunneries, virginity
Cervantes, Miguel de Saavedra,
changeling boy ( _A Midsummer Night's Dream_ ), –
Chaucer, Geoffrey, ,
child: and fairy tales, ; in Shakespeare's plays, –, –
childbearing, , , –; _see also_ pregnancy
Chomsky, Noam,
cognomen, , , , , ; _see also_ 'addition', name
Colie, Rosalie, , 113n
'communitas',
comparison as rite of passage, , –
Cornford, F. M.,
Cupid and Psyche, –; in _Romeo and Juliet_ , , –; _see also_ Eros
Curtius, E. R.,
cyclic group rites (rites of intensification), , ,
'death' and 'rebirth', ritual, ; in _Cymbeline_ , ; in _King Lear_ , –; in _Measure for Measure_ , –; in _Much Ado About Nothing_ , –; in _Othello_ , –; in _Pericles_ , ; in _Romeo and Juliet_ , –
defloration, ; in _Cymbeline_ , ; in _Hamlet_ , –; as image, –; in _A Midsummer Night's Dream_ , ; in _Othello_ , , ; symbolic in _As You Like It_ , –; in _The Winter's Tale_ , –
disguise: 'antic disposition' as, ; of costume, , ; of name, –
Donne, John, ,
Douglas, Mary, –,
drama and ritual, , , , ; _see also_ tragedy
'dramaturgical approach', –
Echo, ,
Eissler, K. R., on _Hamlet_ ,
election, –
Eliade, Mircea, , ,
Elizabeth I, –
epilogue, , –
Erikson, Erik, –, ; 'identity crisis', ; 'identity formation', , ; on Hamlet, –
Eros, ; _see also_ Cupid
Euphuism, , 210n
fairy tales, –; 'animal-groom cycle', ; 'Hansel and Gretel', ; 'Snow White', ; 'Snow-White and Rose-Red', ; 'The Three Languages', –
fathers and father figures, –; in _Antony and Cleopatra_ , –; in _Hamlet_ , , , ; in the _Henry IV_ plays, –, ; in _King Lear_ , ; in _Macbeth_ , –; in _Measure for Measure_ , –; in _The Merchant of Venice_ ,
Fergusson, Francis,
Ferrers, George, and William Baldwin, _A Mirror for Magistrates_ ,
flowers as image of virginity, –; _see also_ defloration
fool, –,
'fostering out', –
Frazer, Sir James, ,
Freud, Sigmund, , , , , 172n; on Cupid and Psyche myth, –; on _King Lear_ , –
Frye, Northrop, ,
garden (walled) as sexual symbol, –
gate as threshold, –
Gennep, Arnold van, –, , ,
ghosts, , –
Goffman, Erving,
Gower, John, 171n,
Greene, Robert,
Grimm, Jacob and Wilhelm: 'Snow White', ; 'Snow-White and Rose-Red', ; 'The Three Languages', –
'Hansel and Gretel',
Hardwicke, Philip, st Earl of,
Harrison, Jane Ellen,
Hazlitt, William,
Hercules, –
history and comparison, –
Holland, Norman, 50n, –,
'holy matrimony',
Homer, _Odyssey_ , ,
Homily on Marriage,
_hortus conclusus_ , ; _see also_ garden
humors, comedy of, , 79n
'idioglossia' (twin speech),
incest: in _All's Well That Ends Well_ , , 50n; in _Coriolanus_ , 51n; in _Hamlet_ , 50n ; in _Measure for Measure_ , , 50n
incorporation, rites of, , , , , , , ; for the audience, –; for the dead, ; epilogue as, ; for survivors and mourners, –
individuation, –; and sexual maturity, ; _see also_ separation
infant, –; in _Macbeth_ , ; in _Richard III_ , –; in _The Winter's Tale_ , –
initiation, rites of, –, , , ; _see also_ sexual initiation; _for specific initiation rites in Shakespeare, see chapter headings_
integration, rites of, _see_ incorporation
integration of personality: in Prince Hal, –; in Hamlet, –
Jahoda, Marie, –
James I,
Johnson, Samuel,
judgment and wit, –
Kennedy, Grace and Virginia (twin speech),
Kernan, Alvin,
Knox, Bernard,
Koko (gorilla), –
Kübler-Ross, Elisabeth, –,
language: changes in, –; fragmented, –; ornate, –; 'plain', –, , , –, ; and rites of passage, , , –
Laslett, Peter,
liminal rites, _see_ transition, rites of 'liminality', –
Lodge, Thomas, _Rosalynde_ , , ,
looking glass: in _As You Like It_ , –, –; in _The Comedy of Errors_ , ; in _Hamlet_ , –, –; in _Julius Caesar_ , –; in _King Lear_ , –; in _The Merchant of Venice_ , –; in _Twelfth Night_ , , ; _see also_ mirror
Luther, Martin,
Lydgate, John, ,
Machiavel,
male-bonding, , ; _see also_ age-mates
Malory, Sir Thomas,
'marginal state', –
Marriage Act (1753),
marriage, rite of, , , , ; and maturation, –; pre-1754, –
marriages, arranged, –,
Marlowe, Christopher, –
mask in _Much Ado About Nothing_ , –; _see also_ shroud, veil
'matrimonial chastity',
maturity, , –, –, ; and naming, –
Mead, Margaret, vii
_mel_ and _fel_ ,
_memento mori_ , ; in _Love's Labor's Lost_ , ; in _Measure for Measure_ ,
Milton, John, –,
mirror (looking glass), , ; as metaphor, , –, ,
monasteries, , ; _see also_ nunneries
mothers and mother figures: in _All's Well That Ends Well_ , ; in _Antony and Cleopatra_ , –, ; in _The Comedy of Errors_ , , –; in _Coriolanus_ , , ; in _Hamlet_ , –, ; in _Macbeth_ , –; in A _Midsummer Night's Dream_ , ; in _The Winter's Tale_ , ; _see also_ childbearing, nursing, pregnancy
mourners, –, – _passim_ ; audience as, –; _see also_ tragedy, as rite of mourning
Muir, Kenneth,
Mulcaster, Richard, ,
_Mundus et infans_ ,
Murray, Gilbert,
myths, classical: Actaeon, ; Cupid and Psyche, –; Echo, , ; Hercules, –; Io, ; Kallisto, ; Niobe, ; Orpheus and Eurydice, ; Phaethon,
name, , –, –; in Arthurian romance, ; in classical drama, –; comic, 79n; disguised or hidden, –; in Judaeo-Christian tradition, –; loss or abdication of, –, , –; new, , , , –; in primitive religion, –; regained, , –, –, –; secret, –, –; wrong, , , –
Neumann, Erich,
_nomen-omen_ , –,
nomination, _see_ name
novice, –, ' , , –; _see also_ initiation
nunneries and nuns, –, –, –, 170n; in _The Comedy of Errors_ , , –, ; in _Hamlet_ , ; in _Measure for Measure_ , –, , –, –; _in A_ _Midsummer Night's Dream_ , , , ; in _Much Ado About Nothing_ , ; in _Pericles_ , , ; in _Twelfth Night_ , ; _see also_ monasteries, virginity
nurse and nursing, , ; in _Antony and Cleopatra_ , ; in _Coriolanus_ , ; in _Macbeth_ , –; in _Romeo and Juliet_ , ; in _Titus Andronicus_ , –; in _The Winter's Tale_ , –
oedipal conflicts, ; in _Antony and Cleopatra_ , ; in _Hamlet_ ,
Oedipus, –
Olivier, Laurence, ,
orchard, _see_ garden
Orpheus and Eurydice,
Ovid, , , –, –
Paul, St, , , , , , , ; _see also_ Bible, books of
Petrarch, _Trionfi_ ,
Petrarchism, –
'plainness', _see_ language
Plato, _Republic_ , ,
Plutarch: _Life of Julius Caesar_ , , ; _Life of_ Marcus _Antonius_ , ; _Life of Martius Coriolanus_ , -in,
post-liminal rites, _see_ incorporation, rites of
pregnancy, , , , –, ; _see also_ barrenness, childbearing, nursing
preliminal rites, _see_ separation, rites of
psychoanalysis, , 50n, 51n, –, –; _see_ _also_ Bettelheim, Freud
Puttenham, George, _The Arte of English Poesie_ , –,
Rank, Otto, 50n, 51n
reintegration, rites of, _see_ incorporation
retelling, –; in _Antony and Cleopatra_ , ; in _Coriolanus_ , ; in _Hamlet_ , –, –; in _Henry V_ , –; in _king Lear_ , ; in _Othello_ , ; in _Romeo and Juliet_ , , –
revenge tradition,
riddle, ; in _Much Ado About Nothing_ , ; in _Pericles_ , ; in _The Winter's Tale_ , ; of the Sphinx,
ring as symbol: in _All's Welt That Ends Well_ , –; in _The Merchant of Venice_ , , , –; in _Twelfth Night_ , –
rites of intensification (cyclic group rites), , ,
rites of incorporation, _see_ incorporation
rites of passage, –; _see also individual rites_
rites of reintegration, _see_ incorporation
rites of separation, _see_ separation
rites of transition, _see_ transition
_Romance of the Rose_ ,
Schaufelein, Hans,
seasonal rites, _see_ rites of intensification
Sebeok, Thomas, and Donna Jean Umiker-Sebeok,
'self',
separation: epilogue as, –; failure of, –; from a parent, –; from a 'twin', –; rites of, , , , , , –; death and, –, –,
sexual initiation, – _passim_ , ; in _Romeo and Juliet_ , –; symbols in As _You Like It_ , –; in _Troilus and Cressida_ , –; _see also_ celibacy, defloration, virginity
sexual maturity, _see_ initiation, rites of, _and_ sexual initiation
sexual feelings, denial or repression of: in _Measure for Measure_ , –; in _Much Ado About Nothing_ , –; in _Othello_ , –; _see also_ celibacy, virginity
Shakespeare, William: _All's Well That Ends Well_ , , , father figures, , incest, , 50n, language, , mother figures, , pregnancy, , ring, –, separation from parent, –, virginity, , –; _Antony and Cleopatra_ , , , , , , m, , comparison and distinction, –, father figures, –, language, –, mirror metaphor, , mother figures, –, , name, –, nursing, , retelling, ; _As You Like It_ , , , , and marriage rites, –, mirror metaphor, –, –, separation from 'twin', –, seven ages of man, –, , , , sexual initiation symbols, –, sexuality, –, , ; _The Comedy of Errors_ , , Abbess, , , , , mirror metaphor, , ring and chain, –, twins, , , ; _Coriolanus_ , , , -m, , language, , mother-son relationship, , , names, , –, , –, retelling, ; _Cymbeline_ , –, , 'death' and 'rebirth', , exchange of tokens, –, choice, , name, , symbolic castration, , treasure metaphor, ; _Hamlet_ , , , , , , age-mates, –, comparison and contrast, –, father, , , , Ghost, , –, incest, 50n, , language, –, maturation, , , mirror metaphor, , –, mother, –, , mourning period, , name, , –, , Ophelia, –, , –, m, retelling, –, treasure metaphor, –; _Henry IV_ , , , , , , , , age-mates, , comparison and contrast, –, , , father figures, –, , language, –, –, mirror metaphor, –, names, –; _Henry IV_ , , , , , father and son, , language, , mirror metaphor, –, name, ; _Henry V_ , , , , age-mates, , comparison, –, kingship and maturity, –, language, , –, mirror metaphor, , , name, , retelling, –; _Henry VI_ , , ; _Henry VI_ , , , ; _Henry VIII_ , ; _Julius Caesar_ , , , language, –, mirror metaphor, –, name, –, 79n, sterility, ; _King Lear_ , , m, acknowledgment of death, –, Cordelia, –, , , Fool, –, Goneril and Regan, –, –, language, , , –, , and marriage rites, –, name, –, –, , retelling, , sterility, –; _Love's Labor's Lost_ , , , , , , , , , celibacy, , comparison, , death, , , Jaquenetta's pregnancy, , language, , , , , , 113n; _Macbeth_ , , , , Lady Macbeth, , –, language, , –, Malcolm's self-comparisons, –, mirror metaphor, , retelling, , , threshold, –; _Measure for Measure_ , , , , , , , , , , m, castration, symbolic, , celibacy, , –, 'death' and 'rebirth', –, duke, , , incest, , 50n, Isabella, –, –, –, and marriage rites, , monastery, , , nunnery, , pregnancy, , , , walled enclosures, –; _The Merchant of Venice_ , , , –, death, , father figures, , mirror metaphor, –, ring, , –, Shylock's repression, 172n, 'stones', 172n, treasure, –; _The Merry_ Wines _of Windsor_ , ; _A Midsummer Night's Dream_ , , , , , –, , , , , , bloody mantle, , changeling boy, –, comparison, , father, , language, , nunnery threat, , , , sexuality, –, , 'twins', –, virginity, ; _Much Ado About Nothing_ , , , , Hero's 'death' and 'rebirth', , –, language, , –, and marriage rites, , riddle, , sexual repression and sexual jealousy, –; _Othello_ , , , , , , Desdemona, –, –, –, handkerchief, , , language, , –, psychoanalytic readings of, , retelling, –, sexual repression and sexual jealousy, –, _Pericles_ , , , , , 'death' and 'rebirth', , fathers and daughters, –, incest, , language, –, 'twins', –; 'The Phoenix and the Turtle', ; _The Rape of Lucrece_ , , ; _Richard II_ , , , , comparison and contrast, , deposition scene, , –, language, , , mirror, –, name, , , –, –; _Richard III_ , , , , , ghosts, , language, –, –, mirror, –; _Romeo and Juliet_ , , , , , balcony scene, –, and Cupid and Psyche myth, , –, death, , , , –, Friar Lawrence, , , –, Juliet and sexual maturation, –, –, language, –, and marriage rites, –, name, –, –, Nurse, , , , , Susan as 'twin', ; Sonnet , ; Sonnet , ; Sonnet , ; Sonnet , , , ; Sonnet , ; Sonnet , ; _The Taming of the Shrew_ , , , , , ; _The Tempest_ , , . , –, death, –, epilogue, –, filial choice, , Gonzalo's commonwealth, , language, –, and marriage rites, , sexuality, –; _Titus Andronicus_ , –, , Lavinia's 'language', , ; _Trotius and Cressida_ , , , comparison, –, epilogue, , filial choice, , , language, –, mirror, m, name, –, and sexual initiation, –, 'Troilus' as cliché, ; _Twelfth Night_ , , , , death, , epilogue, , Fool, , , , language, , and marriage rites, , Olivia and sexual maturation, , –, , twins, , , –, ; _Venus and Adonis_ , –, ; _The Winter's Tale_ , , , , , , filial choice, , flower giving, –, Hermione's 'death' and 'rebirth', –, , –, language, –, Mamillius, , , –, and marriage rites, , riddle, , sexuality, –, 'twins', –
shroud; in _Measure for Measure_ , ; in _Othello_ , ; _see also_ veil, mask
silence, –, , , –, ; _see also_ infant, language
'Snow White',
'Snow-White and Rose-Red',
Sophocles, _Oedipus Tyrannos_ ,
_The Spanish Tragedy_ (Kyd), ,
_sparagmos_ ,
spectators, –
Spenser, Edmund, , , ,
spousals (marriage rite), –; _per verba de futuro_ , , ; _per verba de praesenti_ , ,
Stone, Lawrence, , –,
Styan, J. L., –
taboo, , 50n, 78n; _see also_ threshold
Terrace, Herbert,
theatrical terminology as used by social scientists, –
threshold, –, , , , –
tragedy, , ; audience of, –; as rite of mourning,
transition, rites of, –, , ; and audience, –; for the dead, –
transitional states, –; _see also_ threshold
treasure: as metaphor, –; in _Antony and Cleopatra_ , –
Turner, Victor, –,
twins and individuation, –, , , ; in _Hamlet_ , ,
_vagina dentata_ ,
veil: in _Measure for Measure_ , –; in _Othello_ , ; in _Twelfth Night_ , ; _see also_ mask, shroud
Veneziano, Domenico, _The Annunciation_ ,
Vice,
Virgil, _Aeneid_ , ,
virginity: Queen Elizabeth and, –; in Shakespeare's plays, , , –
Wales, –
wet-nurse, ; _see also_ nurse
Wimsatt, W. K.,
Winters, Yvor, –
Wirecker, Nigel, _Speculum Stultorum_ ,
wit and judgment, –
Young, David,
'youth' as stage in maturation, ; _see also_ age-mates
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Books3
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On April 15, Many New Yorkers Spell Relief “EITC”
At a time when some programs benefitting lower-income working New Yorkers are on the wane, there’s one program that continues to grow: the earned income tax credit, also known as the EITC. As April 15 approaches these credits are on the minds of many because the EITC is a significant boon to the hundreds of thousands of city tax filers who benefit from the tax credit. In 2006 (the most recent year for which comprehensive data is available), low-income New Yorkers received well over $2 billion in earned income tax credits through the city, state, and federal governments, with refund checks for some or all of the credit sent to over 80 percent of recipients.
The EITC is also a boon to the city because New Yorkers who receive the credits tend to spend nearly all of their income, and they spend it locally. This provides a boost to neighborhood economies.
Given the benefits, the city’s Department of Consumer Affairs has run promotions encouraging New Yorkers to apply for the credits and the Department of Finance has mailed amended returns to filers who might qualify. The cost to the city of these efforts is relatively modest, since the credit largely comes at the expense of the federal and state governments, and administrative costs are low with much of the assistance to filers applying for the credit provided by volunteers.
The earned income tax credit, which has become the nation’s largest antipoverty program, is a form of tax relief for low-income, working Americans. For filers with very low incomes, the amount of the credit increases as income from work increases and is adjusted each year for inflation. For example, a single mother with two children can receive an EITC against her 2009 federal income tax liability of 40 cents for every dollar earned up to $12,570, at which point her maximum credit of $5,036 is reached. The EITC for such filers remains at the maximum for income levels up to $16,420 and then declines gradually for higher incomes and is phased out entirely for incomes above $40,295. Filers with one or no children receive smaller credits, and the federal stimulus package enacted last year temporarily provides larger credits for households with more than two children and for many married couples filing joint returns for 2009 and 2010.
New York State also offers an EITC against state income tax liability, equal to 30 percent of the federal credit and residents of New York City—one of only three localities in the country to offer an EITC—can get a local credit against city personal income tax liability, equal to 5 percent of the federal credit. Thus, if the New York mother cited above is eligible for the maximum federal EITC, she would also receive credits of $1,511 from the state and $252 from the city, an additional $1,763. All three EITCs are fully refundable, meaning that filers receive the full benefit of the credit even if they owe little or no tax prior to taking the credit, with the unused portion paid out like a tax refund.
While it is difficult to quantify how many eligible families and individuals fail to claim the EITC, evidence suggests that many are unaware of the credits. Others miss out because their earnings are so low that they are not legally required to file tax returns.
The city has taken a number of steps to encourage all eligible New Yorkers to claim the credits. Starting in 2002, the Department of Consumer Affairs organized efforts to publicize and increase the number of volunteer income tax assistance sites, commonly known as VITA centers, where people can get help preparing tax returns and file for the EITC. The volunteer centers also serve as an alternative to some private preparers who attract cash-needy clients by loaning them the amount of their refund upfront. These loans also enable customers to pay for the tax preparation services, but often come at the cost of substantial interest payments. Although the percentage of EITC filers using tax preparers who provide loans in anticipation of customers’ refund checks is down and the number of returns prepared by volunteers has increased, in 2006, five times as many city filers used preparers who offered refund anticipation loans to obtain their federal EITC than used volunteer sites.
In addition to encouraging New Yorkers to claim the credit for the current tax year, in 2007 the Department of Finance started mailing amended prior-year federal and New York tax returns to tens of thousands of low-income filers who had not claimed the credit. In order to claim the federal, state, and or city credit retroactively, filers needed only to review the forms, enter social security numbers and dependents’ information, and sign and mail in the forms. The department estimates its mailing of tax year 2005 amended returns led to city filers receiving 3,600 federal, 3,300 state, and 3,200 city credits totaling nearly $3.6 million. Similarly, amended returns for 2003 and 2004 resulted in EITC refunds totaling $10 million for the two years combined.
The extent to which the city’s campaign for earned income tax credit participation is responsible for recent increases in EITC claims is hard to measure, but it is clear there has been an increase in the number of returns claiming the city and state EITC. For 2007, 857,000 city tax filers claimed the city EITC, up from 731,000 for 2004, the first year for which the city credit was available. Similarly, claims of the state credit by city residents grew from 741,000 for 2004 to 846,000 for 2007. For 2007, about 24 percent of all city filers claimed the city and state EITCs, with considerable variation among the boroughs—from a low of 12 percent in Staten Island to a high of 35 percent in the Bronx.
The EITCs increase the disposable (after-tax) income of many working New Yorkers who are most likely to spend their income locally and generate economic activity and tax revenue in the city. In 2006 city tax filers claimed $1.7 billion in federal, $435 million in state, and $76 million in city EITCs, making the combined average value of the credits worth roughly $2,600 per recipient. For families struggling to make ends meet, the EITC is a significant and dependable source of tax relief.
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tomekkorbak/pile-curse-small
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Pile-CC
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Q:
Basic question about Markov Localization, probability and belief distribution shift
I am starting in robotics, and reading about Markov Localization, I have one doubt, probably very stupid, but, well, I want to solve it.
Let's take the CMU Website example: https://www.cs.cmu.edu/afs/cs/project/jair/pub/volume11/fox99a-html/node3.html
Basically and very summarized:
The robot does not know its location (uniform probability of being
at any point), but knows there are 3 doors.
It senses a door, and since that door could be any one out of the 3, the belief distribution spikes at those 3 doors.
It moves to the right, and the belief distribution shifts to the right also, let's say "following the robot movement", and then the convolution is done when finding the 2nd door... This gets described in the next graphic, from the CMU:
But why does the belief distribution get shifted to the right, and not to the left, as the door is left behind?
Shouldn't the robot sense that there's no door between door 1 and 2 (starting from the left)?
Is there something about probability theory I've forgotten (I studied it like 14 years ago)?
A:
The robot has sensed a door, so the initial belief distribution matches the three possible door positions. i.e. the only three places that it is possible for the robot to be in that scenario.
The robot moves to the right so, since the belief distribution matches the possible positions of the robot, the belief distribution must also move to the right. As the robot moves, so the belief distribution must move with it.
Notice that the three peaks are no longer quite as well defined at this point because of that motion. Movement is inherently noisy, which introduces uncertainty. The more the robot moves, the less certain it becomes about its position, and the belief distribution thus tends to flatten or smooth out.
Finally, the robot senses the second door. Given the (previously known) possible door positions, the belief distribution now also centres on the second door in the diagram.
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tomekkorbak/pile-curse-small
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StackExchange
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Can you believe Adaline is in Kindergarten now? Today she had Crazy Hair Day at school and I thought I’d share her silly, wacky, crazy hairdo with you! I can’t take credit for the awesome hair…my mom did it. I’m hair-challenged and can barely put hair in a ponytail. SILLY WACKY CRAZY SEUSS HAIR *Put […]
To make leprechaun footprints:
-Put green Crayola washable fingerpaint on a plate, piece of paper, or thick paper towel
-Make a fist and dip your hand into the paint (dab off the excess)
-Press your fist onto your surface of choice
-Use your pinky finger to make toes
-Repeat using other hand
More details:
-It takes me about 45 minutes to make the mess.
-I do ALL of the prints for one foot/fist at the same time so that I don’t have to keep switching hands.
-It takes about 5 minutes to clean up the footprints.
-The footprints wipe off easily with water. You may want to use some soap if the paint was on long enough to dry.
-My daughter enjoyed cleaning up the footprints.
Has a leprechaun ever visited your house? What kind of things have your kids thrown in the toilet? Let me know in the comments!
In 2011 we had a leprechaun visit our house for the first time. We woke up to find that he had left green leprechaun footprints all over our kitchen and laundry room, he’d turned the toilet water green, and made our milk turn green in the glass! The following year on St. Patrick’s Day I had a one month old baby and I’d ask Santa Claus (head of all legendary figures) to please keep the leprechauns away. Last year the leprechaun was back to his old tricks again!
The leprechaun entered magically through the back door and then made his way into the laundry room where he hopped from the floor, to the washer, to the dryer, to the toilet, to the floor again, to the sink, and back out into the kitchen. Did you know that leprechauns hop? Well, they do. In fact they can jump really high straight up into the air making it easier for them to get into mischief.
While hopping around the laundry room the leprechaun left his green footprints everywhere…including the toilet seat…and grabbed onto the toilet paper to tp the house!
The leprechaun had unrolled the toilet paper all over the kitchen!
When he left the laundry room the leprechaun hopped onto the highchair and over to the table where he must’ve dropped some gold coins out of his pockets while running in circles. Next he hopped down to the floor and onto the wall!
The leprechaun’s next stop was the playroom.
We have tables lined up along the walls where the kids can sit and read books, build with blocks, or play with play sets. The leprechaun ran across the play tables to the art table.
The leprechaun unraveled paper onto the floor and scribbled a picture.
Next the leprechaun slid down the roll of paper and hopped onto a table in the middle of the room before going back to the kitchen where he left through the back door.
The kids were excited to see that the leprechaun had visited, especially since he had dropped some chocolate coins. Jon didn’t even bother to take off the wrapper before shoving them in his mouth! ;)
When the leprechaun visited 2 years ago I was stuck cleaning up the mess. The good thing about a 3.5 year old is that they think cleaning leprechaun footprints is fun, so I gladly let Adaline do all of the scrubbing :) It wipes up as easy as Crayola washable fingerpaint! ;)
(**Click the image below or watch the video for details on how to make leprechaun footprints!**)
You can see the mess that the leprechaun made in 2011 and all of the mischief he got into by clicking the photo below.
Has a Leprechaun ever visited your house?
Let me know in the comments!
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April 1st, is April Fools Day! Here are some fun, safe, quick, easy, harmless pranks to play on your kids. *Please remember to use your own discretion regarding pranking your child. Each child is different. Please do not prank a child that is overly sensitive, easily embarrassed, or one that simply can’t take a joke. Keep in mind the age of the child. Some pranks are more appropriate for tweens and teenagers as younger kids may get upset or simply not “get it”.*
PRANKS WHILE THEY’RE SLEEPING*Draw on them with washable markers:Sneak into your kids’ rooms at night and draw on their faces with washable markers. Draw pink hearts on the boys or the classic mustache on the girls, or sign a message like “Gotcha!” or “April Fools” (bonus points for writing it backwards on their forehead so that it’s readable when they look in the mirror!)*Move them into a different bed:While your kids are sleeping gently move them to a different room/bed in the house.*Change and hide the alarm clock:Change the time on the alarm clock and hide it in the room (under the bed?) so that when it goes off your child will have to search for it to turn it off.
PRANKS FOR GETTING READY IN THE MORNING*Model Parent:Make a fake parent and set them up at the breakfast table. Even funnier if the real parent comes into the room later before the kids discover the fake one!*Put salt on their toothbrush:Wet the toothbrush and then dab it into salt. Be sure to shake off the extra salt before putting it back.*Latherless soap:Paint a bar of soap with clear nail polish and put in the shower/bathtub. This makes the soap appear normal, but it won’t lather at all!
Put one at the kitchen sink too!*Stuff their shoes with tissue paper:Put tissue paper in the toe so they can’t get their shoes on all the way. This is the perfect complement to the small-clothes trick below.*Replace your child’s clothes with smaller ones:This would work best if you were able to duplicate the same outfit in a smaller size, otherwise the kids might notice that their old clothes are back in the drawer.*Sew all of their underwear together:This requires only a few stitches at the side seams, then fold neatly and place back in the drawer.*Early Wake Up!:Change all of the clocks and wake the kids up for school (at 3 a.m.) and serve them breakfast. Mom and dad should be already dressed for the day however they normally would be. Feed them breakfast and start out the door…once they’re outside they’ll notice it’s dark…April Fools! It would be great to have an April Fools sign outside…maybe even something made with glow sticks that shine in the dark ;)!*Don’t be late!: Set all of the clocks in your house an hour early and hurry everyone as if you will all be late.*School on a Weekend:If April Fool’s day is on a Saturday wake up the kids like a normal school day. Go through your regular school day routine and even drive them to school! When they’re about to get out of the car (or they notice the parking lot is empty!) say “April Fools!”.*Scroll down to the “Around the House” pranks section for tips on coloring your bath water.
*If you do have somewhere to go, you may want to keep an outfit the correct size, pair of underwear, good bar of soap, and unsalted toothbrush set aside to keep you on schedule ;).
PRANKS FOR BREAKFAST*Cereal Box Mix Up:Take all of the cereal out of their original boxes and put it back into a different box.*String the Cheerios:String an entire box of Cheerios or other “o” shaped cereal on one long string and put it back in the box.*That’s not cereal!:Remove the cereal from the box and replace it with packing peanuts or some other type of non-food that pours.*Freeze the cereal:Freeze a bowl of cereal and milk with the spoon inside.*Magic Milk Bowl:This trick makes milk change color when it’s poured on top of cereal.
PRANKS WITH DRINKS*Gelled Juice:A thirsty family member is the perfect target for this glassful of trickery that’s impossible to drink. And since the undrinkable beverage is made by the batch, you’ll be able to fool more than one person.*Vinegar Juice:Replace apple juice with vinegar. Yuck!*Colorful Milk:Put food coloring into the milk container, it will pour a different color and surprise the kids. This obviously won’t work with the see-through jugs as you’ll be able to see it before pouring.*Frozen Milk/Juice:Freeze your drinks while still in the container so they won’t pour
*PRANKS FOR A GAG LUNCHCan’t Un-Ziplock:To set up the prank, zip the bag closed and place a length of double-sided scrapbook tape on one of the flaps just above the closure. Firmly press the flaps together to make them stick. Your kids won’t be able to unzip their sandwich!Wormy Apple:Use a plastic ballpoint pen, washed and with the ink cartridge removed, to bore a hole in the fruit, then insert a gummy worm. (Don’t make it the night before, or the worm may get mushy.)Snack Switcheroo:Make the switch by carefully opening a snack bag along the top seam. Empty out the original contents and fill the bag with another edible item such as baby carrots. Add a playful message such as “April Fools!,” then use a strip of double-sided tape to reseal the bag along the seam.This sneaky mom opened the snack bags from the bottom.Slice a banana without peeling it:When your kids peel the banana, they’ll find the fruit inside is already cut into bite-size pieces.
PRANKS FOR DINNER AND DESSERT*Backwards dinner!:Serve breakfast for dinner or serve dessert first. That would work well with the next prank below!*Dinner/Dessert Disguise:Here are some great recipes for making your dinner look like dessert or making cupcakes that look like other food. Announce “dessert first!” and then serve the kids this ice cream sundae that’s actually mashed potatoes and gravy!*Fly in the Ice:Freeze a plastic fly inside an ice cube.*Salt/Sugar Switch:Replace sugar with salt. Only do this if one of these is used every day (like in coffee or tea) otherwise you may forget and end up cooking with it!
FUN WITH UTENSILS AND DINNERWARE*Mixed up place settings: Set the dinner table with all of the plates, cups and utensils upside down or put all of the silverware at one place all of the plates at another, etc.*Use giant utensils, tiny plate:Set the table with giant serving spoons and tiny plates (like saucers or dessert plates) to eat with.*Serve food in a glass and drinks in a bowlor on a plate?! Messy!*Declare all utensils forbidden…eat with your hands!
PRANKS to set up WHILE THEY’RE AT SCHOOL*Switch the drawers:Either move around the contents of the drawers (underwear where the pants go, etc.) or switch siblings drawers*Rearrange the Room:This one takes some time and effort. You could just move around the furniture or turn everything backwards and upside down. You can go as far as turning pictures, posters, and shelves on the walls upside down or backwards.*Short sheet the bed:And oldie, but a goodie. Instructions found here.
PRANKS AROUND THE HOUSE*Take the batteries out of the remotes:This is sure to frustrate older children and husbands alike!*Make your water change color:Add Crayola Color Dotz Bath Tub Tints inside the faucet by unscrewing the cap on the faucet, and setting a couple of tablets inside.
Not just for the kitchen sink…use these in the bathtub or shower, or simply run a bath for the kids and add food coloring!*Tape the hose open:Wrap a rubber band around the kitchen sink sprayer so whoever turns on the faucet gets a big, wet surprise.*Toilet paper messages:Unroll a roll of toilet paper and write messages or jokes on some of the sheets inside, roll it back up and place it on the holder (I personally like “Help, I’ve been kidnapped and forced to work in a toilet paper factory!”).
You can also write a note (or a joke) to your kid on toilet paper with a Sharpie and then place it in the toilet bowl right before they go to the bathroom.
(The classic “I C U P” is always a winner ;) )After giving a clue of what’s to come using the Joke on the Water prank above, send your target laughing all the way to her piggy bank. Conceal a dollar bill inside your toilet paper roll by unwinding it several turns, then wrapping it back up with the bill inside. Rehang the roll flap-side down as shown. When your target tugs at the tissue, the money will spill out.
NOTE: If your house is visited by tricky Leprechauns , Christmas Elves (Elf on the Shelf), or Dr. Seuss’ Thing 1 and Thing 2 throughout the year, you may want to skip certain “magical” tricks and leave them for the legendary figures ;). Recycle some of their pranks and tricks to use on April Fools Day when the kids are older and stop believing :(
*Please click on photos for source credits*
Do you play pranks on your kids on April Fools Day? Let me know in the comments!
On 2/21/2014 an old unwatermarked photo from this post had been pinned and shared unsourced on a Facebook page with over 11 million followers and I received no credit. I would appreciate you sharing this post, particularly on Facebook and Pinterest, in an effort to get a credited/sourced version of the photo out :)Read more.
On St. Patrick’s Day I set up a small Leprechaun breakfast for Adaline. I set out teeny-tiny pancakes on small plates and a box of Lucky Charms. I used Adaline’s Leprechaun hat from last year as a centerpiece (it was too small for her this year :( ) and set out the green tablecloth and green plates. Once the table was set I went upstairs to get Adaline and Cool Daddy for breakfast. I wasn’t upstairs for very long so imagine my surprise when we all found this mess in the kitchen.
In the short amount of time that we were upstairs we must’ve been visited by a tricky little Leprechaun! He/she left his little green footprints all over the kitchen and laundry room.
We didn’t find the leprechaun, but by looking at the footprints here’s what I think happened…
The leprechaun came inside from the back door then he/she walked into our laundry room, hopped up on the toilet and turned the water green!
Next the leprechaun left the laundry room, went back into the kitchen and hopped up on top of the table (I hear that Leprechauns are excellent hoppers!). Once on the table the Leprechaun took the stacks of mini pancakes and shaped them like clovers. He/she left some chocolate gold coins for us, but not before taking a bite out of one of Adaline’s pancakes! He/she then got inside of the box of Lucky Charms (making a big mess!) and came back out with some to eat.
The Leprechaun then hopped down from the table and walked up our refrigerator! He/she must’ve gotten inside of the fridge and then walked back down the side of the fridge and out the back door. The Leprechaun must’ve been eating Lucky Charms this whole time because we found them on the floor, in the fridge, and on the way out of the back door…they managed to eat all of the marshmallows, though!
At first glance I really wasn’t sure why the Leprechaun went into the fridge since everything seemed okay in there. Our milk appeared normal but when I poured our milk it turned green in the glass…that tricky Leprechaun!
Cool Daddy made me try the green milk first. It tasted normal to me, it was just…green. Cool Daddy did finally drink the milk, but he wasn’t happy about it being green.
You should always use caution when inviting a leprechaun into your home since some children may be frightened by the idea. Adaline really wasn’t sure what to think about the Leprechaun invasion, but she wasn’t scared and she enjoyed following the footprints around. She doesn’t look too happy in the photos because the poor little thing wasn’t feeling well :(
…she was happy about the chocolate coins, though!
Even at a young age Adaline had a gift for remembering obscure things, so every year since the original photos were taken she’s asked about “Leprechaun Day”. In 2012 the leprechauns didn’t come because I wasn’t up to having messy visitors with a newborn in the house, but they came in 2013 and Adaline couldn’t have been more thrilled! :)
After everyone enjoyed breakfast, Mama had to clean up the Leprechaun’s mess. I can’t say that I was too happy about it…I hate cleaning! Luckily it did wipe right up with a little soapy water, I’d say that it was just as easy to clean as Crayola washable fingerpaint ;)
(It took about 45 minutes to make the mess…but only 5 to clean it up! In 2013 my daughter insisted on cleaning it up herself (see photo below)! ;) I used the side of my fist and my pinky finger to make the footprints.)
(**Click the image below or watch the video for details on how to make leprechaun footprints!**)
Later that afternoon we all got dressed in our St. Patrick’s Day green so as not to get pinched!
Below you will find links to over 50 great St. Patrick’s Day FREE printables and downloads including prints, subway art, cupcake toppers, party printables, coloring sheets, and more!
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When my sister and I were young our mother used to make us green eggs and ham and we thought it was the coolest thing ever. It wasn’t for Dr. Seuss’ birthday…I’m pretty sure no one thought to celebrate it back then since he was still alive at the time. It was just a random green eggs and ham breakfast…and we loved it!
Dr. Seuss’s Birthday was on Wednesday March 02 and we celebrated with a splendiferous Green Eggs and Ham breakfast.
We had green scrambled eggs and green vegetarian bacon (which we call “facon”) colored with food coloring. We had our bread butterside up and drank Moose Juice (orange juice) all foods that I mentioned here.
I set out place cards that read “Here”, “There”, and “Anywhere” that I printed out on cardstock using the Grinched font.
I put down a red tablecloth and polka dot birthday hats that I got at Target. I found the white and blue plates at Target in their Easter dinnerware section (available in store only). The lines are sort of squiggly and right away they reminded me of Thing 1 and Thing 2, so I thought they’d be perfect for our Seuss breakfast. I got the cute little Cat In The Hat cup for Adaline on Amazon using my Swagbucks so it was free :)
Adaline seemed to really enjoy her Seuss breakfast. She kept calling the eggs “broccoli-dot”, which is how she says “broccoli”…I’m not sure why she adds the “dot” to the end. Dot or not, she ate her green eggs :) During breakfast she kept pointing to the book and saying “Ham!” and “Sammy-Sam” (Sam I Am). She seemed pretty excited about it.
The hats were actually left over from Adaline’s birthday party. I had bought them for the adults to wear, but nobody did…partypoopers :( Adaline didn’t leave her hat on for too long, but definitely longer than I expected!
Have you ever had Green Eggs and Ham?
Let me know in the comments!
*Links to Amazon products are Associate links and I may receive a very small payment if you purchase certain items through my link.
Coolest Family on the Block is committed to helping you find creative ways to have fun and make memories with your family all year-long. Don’t miss an idea, tip, or trick…subscribe and have updates sent directly to your email!
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Here are ten quick and easy snacks that you likely already eat all of the time. Now you can make mealtime more fun by giving your foods Seuss names and linking them to different Dr. Seuss books. Making these snacks and reading the books is sure to be a hit with your kids!
10 EASY DR. SEUSS SNACKS
(Click on book images to enlarge them.)
Book: Green Eggs and Ham1. Snack – Green Eggs and Ham: This popular dish is easy to make. Just add green food coloring to your eggs and ham (you can brush it onto the ham but best results come from soaking it in green colored water). There are so many options with the eggs, scrambled would be the easiest but you can also try fried, deviled eggs, or egg salad. For healthier green options try adding green foods like spinach or pesto to the eggs instead of food coloring.
Book: Oh Say Can You Say and
The Butter Battle Book2. Snack – Bread and Butter: Oh Say Can You Say has a tongue-twister about Bed Spreaders and Bread Spreaders while the The Butter Battle Book is all about whether you like your bread butter side up or butter side down. Eat your bread/toast and butter with your green eggs and ham!
Book: Ten Apples Up On Top!3. Snack – Red Apples: Yep, that’s it ;)
Book: Yertle the Turtle4. Snack – Blueberries: Yertle the Turtle says, “I’m king of a blueberry bush and a cat!”…so try some of Yertle’s blueberries :)
Book: Hop on Pop5. Snack – Eat a snack with Brown and Black: The snack that Brown in Black are pictured eating is sandwiches, green apples, bananas, and glasses of milk or water, there also appears to be a bowl of sausage links or hot dogs.
Book: Fox in Socks6. Snack – Cheese Trees: Cheese sticks will work as cheese trees. You could put cheese cubes on toothpicks and stick them in Styrofoam to make a “forest” of cheese trees.7. Snack – Blue Goo: Blue jello can be Blue Goo. You could also color other gooey foods blue such as yogurt, pudding, or even mashed potatoes.8. Snack – Poodles eating noodles: Any noodles will do…macaroni and cheese, spaghetti, etc. Bonus points if you have a stuffed poodle that can sit on the table as you eat or print pictures of poodles to color while eating.
Book: Oh the Thinks You Can Think9. Snack – Schlopp (with a cherry on top): I’ve seen some more “complicated” recipes for Schlopp online, but the easiest way to make Schlopp is simply to stick a cherry on top of ice cream, pudding, or yogurt.
Book: One Fish, Two Fish, Red Fish, Blue Fish10. Snack – Fish shaped snacks:
Gummy fish or Goldfish crackers
Make red and blue jello and use a fish-shaped cookie cutter. Or make blue jello and add different colored gummy fish to it before it sets…now you have fish in water!
Cut up different colored fruits and veggies and then display them in the shape of a fish.
And as a bonus…
SEUSS BEVERAGES
Book: One Fish, Two Fish, Red Fish, Blue Fish11. Yink’s Pink Ink Drink: Any pink drink will do from something simple like pink lemonade or strawberry milk to more involved things like strawberry milkshakes or smoothies. Milk would have the most ink-like consistency while the lemonade would look more like the illustration in the book.
Book: Sleep Book12. Moose Juice (Orange) and Goose Juice (Green): Moose Juice is orange and Goose Juice is green, so any orange/green beverage will do (Kool-Aid, soda, tinted drinks), or you could simply serve orange juice with your green eggs and ham and call it Moose Juice!
SEUSS DINNERS
Book: The Grinch Who Stole Christmas13. Who Roast Beast: Having roast for dinner? Call it Who Roast Beast. Maybe serve it with some blue “Blue Goo” mashed potatoes ;)
Book: Oh Say Can You Say14. Potato chips and pork chops: If you’re having pork chops for dinner, add some chips just they way they serve them at Skipper Zipp’s Clipper Ship Chip Chop Shop.
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If you’ve been looking for a FREE Dr. Seuss font to celebrate Dr. Seuss’ birthday (Read Across America Day)…look no further! The following FREE fonts are perfect for any Dr. Seuss project, craft, printable, birthday party, baby shower, or school classroom.
Below are the links to 10 free Dr. Seuss-like fonts :)
The top line of each sample contains the name of the font in caps and lower case, the second line is all lower case, the last line is all upper case.
I did not create these fonts I only linked to them. To download the fonts you must click the links to go the various font websites. I have downloaded all of these fonts myself with no issues, but please be cautious when downloading anything on the internet. I am not responsible if you accidentally download a computer virus, download at your own risk. Many of the sites linked to below have several “download” buttons, but only one of them is for the actual font. Please read carefully before downloading.
NOTE: You can not download the fonts here on my blog (I did not create the fonts, I only linked to them). You must click through the links to download the fonts and then install them on your computer. Read my comment below about how I installed these fonts to my Windows 7 computer. Please do an internet search for “how to install fonts” if this isn’t helpful to you. I have downloaded all of these fonts myself with no issues, but please be cautious when downloading anything on the internet. I am not responsible if you accidentally download a computer virus, download at your own risk. Many of the sites linked to above have several “download” buttons, but only one of them is for the actual font. Please read carefully before downloading.
How do you plan on using these free Dr. Seuss fonts?
Let me know in the comments!
I’d love for you to join me and a group of other ladies at The Mom Con in Pittsburgh. Introduce yourself, tell us your goals and your dreams. Just be you, whoever that is. Hey, I’m an awkward weirdo, but that’s okay, and I’d love the opportunity to be awkward and weird around you!
To read more about The Mom ConClick here or on the image below or just go ahead and enter the giveaway by clicking the link at the bottom of this post! :)
Because a shared experience is a powerful thing. It creates community, which allows for sparking ideas and learning from each other. Social media can take us a long way toward building relationships with each other, but it will never replace the power of face-to-face contact. The Mom Con is a day to get inspired by our speakers, empowered with new ideas, and connect with each other in real life. It’s a place for creative + motivated moms to be who they really are.
Enter to win a free pass to The Mom Con on Saturday November 15, 2014 at the Pittsburgh Marriott North
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This year the Cool Family opted for some extremely cheap, simple, and easy no-sew Halloween costumes.
Thankfully Adaline insisted on being a Black Cat this year. I was going to go the leotard route but figured it was pointless to spend the extra money, especially if she would end up being too cold. She wore a black long sleeved shirt and black pants that she already had. We got a cat kit for $5 at Target which included the ears, tail, and bowtie (it also came with a weird nose, but it looked awkward). A little eyeliner nose and whiskers and we’re done!
Jon wanted to be a scarecrow. The costume was simple: overalls and flannel shirt. Jeans would work as well especially if the shirt is a little longer and you could cinch the waist with some rope. For the straw “cuffs” I just tied some yard into a circle and then tied yarn around it and put it on his wrists and shoes. For the hat/hair I stuck pieces of yarn to duct tap and then safety pinned the strip of duct tape to the hat. Simple! I was going to put a scarecrow nose and stitched mouth on him, but he wouldn’t let me :(
When I was 2 years old I was also a scarecrow for Halloween. That’s me on the left. Do you think Jon and I look alike at all?
I decided to go as a nerd because I only needed a few accessories to complete the costume: nerd glasses, suspenders, and a bowtie. I will tell you that I’m not happy with my accessories at all. We went to Party City because it was closer and these were the only options. I think the glasses are too “trendy”, the bowtie is too “cocktail waitress”, and it was all pricier than I would’ve liked. After I’d already bought the stuff I found cheaper and more appropriate accessories at a Halloween store at the mall. So I’m disappointed.
Because I wasn’t entirely thrilled with my nerd costume (I hated the bowtie in particular), I decided to change it up and go specifically as a Harry Potter Nerd or a Potterhead, if you will. I already had the awesome Gryffindor t-shirt and scarf, and the round Harry Potter glasses. Yes, I already had those, just for every day use. Because, shut up.
It ended up being chilly so I wore a gold cardigan that I already had that matched perfectly and in the end I decided to wear the nerd glasses instead of the Harry Pottery glasses. Fascinating stuff, right?
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We were in charge of bringing classroom snacks for the Kindergarten Halloween party. Homemade treats were not allowed (which is just as well since I don’t cook or bake). I really get tired of all of the junk my kids accumulate from October to January during the holidays, so I really didn’t want to give the kids loads of sugar. Instead I prepared healthy snacks (fruit and cheese) with a fun “Halloween” twist…and they got organic lollipops as well. Yep, I’m one of those super fun parents :P.
(Don’t worry, they also got store bought cookies filled with sugar and artificial junk and bags of artificially colored Cheetos :( That was my husband’s doing. He’s everyone’s favorite.)
These healthy Halloween snacks were ridiculously easy to make. Seriously, I can’t express to you enough how quick and simple this was! I made 16 of each and it only took about half an hour to complete. I know, right?! All you need is a black Sharpie Marker!
These String Cheese Ghosts were the easiest to do. I just drew little ghostly faces on the back of a cheesestick and was finished in only minutes! Effortless!
Using a Sharpie marker I drew Jack-O-Lantern faces onto oranges. Okay, okay…so they were Halos or Cuties which are technically Mandarin Clementines. But I’m still going to call them “oranges” anyway because this is my blog and I’m a rebel that laughs in the face of accurately classifying fruits by their proper species and binomial name. Suck it, science!
I’ve seen these Banana Pirates around cyber space for years now. They’re not particularly “Halloween-y” but I still thought they were cute and fun. Halloween is a time you can dress up and be whatever you want…so can your banana! Maybe if I wasn’t so lazy I could’ve come up with a different more appropriately themed “character”, but this will have to do.
What are your kids’ favorite healthy Halloween themed treats?
What other creative character can you turn a banana into?
Do you call Clementines “oranges” too?
Let me know in the comments!
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(Video here)Click through to my other blog to read more about the Ultimate Healthy Living Bundle and to access the purchase links.
Full Disclosure: There are no affiliate links contained in this post on coolestfamilyontheblock.com because they are against WordPress.com terms of service. If you click through to JennRian.com or my YouTube channel there are affiliate links that will take you to the product purchase page.
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1. Field of the Invention
The present invention generally relates to stored value cards, and more particularly to stored value cards such as prepaid or gift cards which provide a user or recipient of the card with benefits, from at least some of the merchants in the relevant financial network, beyond what is purchased with the card.
2. Related Art
Smart cards, which are portable transaction cards providing cash equivalent value for use within an existing transaction infrastructure, are becoming more and more prevalent in the U.S. and throughout the world. Such cards are typically the size of conventional plastic credit cards, and include an embedded computer chip having processing power and memory to enable the card to be associated with a transaction account for use by a consumer. Smart card-enhanced systems are in wide use in several fields, including healthcare, banking, and transportation.
One typical smart card application is a “stored value card,” which is a pre-paid card that acts like an electronic purse, such as a gift card. In stored value cards, a prepaid amount of currency value is stored in the smart card memory for use as conventional cash, enabling the card to be used. For example, once a customer deposits fifty dollars of value into the account associated with the stored value card, the card may be used, upon activation, for payments of up to fifty dollars.
In operation, a user inserts the card into a terminal device which communicates with the card through contacts. The terminal device may be part of a cash register, a vending machine, or another type of point-of-sale device. Upon being inserted, the value amount of the purchase is transferred from the card to the merchant terminal or to a central clearing and authorization system such that the merchant may be credited with the requisite amount of value. Consequently, the value amount of the consumer's card is reduced correspondingly.
Stored value cards can be desirable for a number of reasons. For example, they provide a safe and convenient way to avoid carrying or handling cash and loose change. Also, they have found good use as gifts. Furthermore, if the card holder desires cash, many transaction cards allow access to funds through an automated teller machine (ATM). Moreover, some cards are re-loadable, meaning that the consumer can add funds to the associated account, which provides an extra measure of convenience.
Stored value card systems can be operated both as “closed” or “open” systems. Closed systems are limited to specific participating merchants (e.g., a particular store or chain of stores), or at various point of sale locations in a setting such as a college campus. Such cards would not be compatible with point of sale terminals outside the closed system. One example of a closed card is a pre-paid gift card that may only be purchased at, and only be used at, a clothing retailer, such as The Gape store. Open systems allow use of the card at any merchant having a compatible point of sale card reader or device, and therefore open cards are financial transaction cards that are generally accepted at different merchants.
The International Standards Organization (ISO) has established a number of specifications for such electronic cards under the ISO/IEC Standards Series 7810, 7811, 7816, and 10536. Typical smart cards include a plurality of electrical contracts on one surface which provide input and output interfaces with a microprocessor in the card. The cards can be “contact” cards, meaning that their contacts interface with a terminal via ohmic contact, or “contactless” cards, meaning that they rely on close-coupling with a terminal, employing radio frequency (RFID) communication between card and reader without physical insertion of the card. Some smart cards now include both types of contact schemes, in that they are compatible with terminals having either contact interfaces or contactless interfaces.
The microprocessor in a smart card is able to store an operating program and other information in volatile memory alterable by a Central Processing Unit (CPU), which possesses hard-wired control circuitry. A single Integrated Circuit (IC) chip can contain the CPU and the various types of memory, including volatile and non-volatile memory, which make up the microprocessor.
Smart card readers read the data stored on the smart chard chips. They can be plugged into computers, or can be built directly into computers, keyboards, cell phones, or other electronic devices. Software communicates with the reader and sends commands to manage the reader such as power up and transfer commands. Further, smart cards employ various forms of security for safety and protection.
Conventional stored value card systems are limited to providing cash equivalent value in accordance with the pre-paid amount of currency value stored in the smart card memory in advance, for use in a “closed” or “open” system, as described above. However, there is a need for providing to a user or receiver of the card benefits from certain merchants in a financial network beyond what is purchased with the card. There is also a need for providing to a user or receiver of the card a selection of benefits from which he or she would like to choose. There is also a need for a stored value card, usable within a financial network, that is directed to a specific theme or themes to which benefits are related, the benefits being provided by at least some of the merchants in the network.
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tomekkorbak/pile-curse-small
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USPTO Backgrounds
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1. Introduction {#sec1}
===============
Rheumatoid arthritis (RA) is a chronic systemic autoimmune disease and characterized by joint synovitis and multiple symmetric small and large joint lesions. It is the most commonly observed type of inflammatory arthritis. The incidence of RA in the world and China is about 0.02% and 0.017%, respectively, and the prevalence is about 0.5--1% and 0.35--0.42%, respectively \[[@B1]--[@B5]\]. However, in some specific groups, such as the Pima Indians in North America, the incidence can be as high as 2-2.1% \[[@B6]\]. The proportion of women in RA patients is about 60--75%, which is 2-3 times of men, and the disease occurs between fourth and sixth decades of life \[[@B6], [@B7]\]. In general, the prevalence of RA goes on increasing with age; however, there is no sufficient evidence to suggest that the incidence changes with age. The severity of RA with age, disease activity, and extra-articular manifestations has decreased, which may be related to new treatments, drugs, and other factors \[[@B8]--[@B10]\]. In addition, the mortality of RA tends to decline over time \[[@B11]\] but still is higher compared with the general population \[[@B8]\].
RA is mainly considered as a joint disease, but it has the capacity to inflict multiple organs because of the abnormal systemic immune response. About 17.8--47.5% of patients present the extra-articular manifestations \[[@B12], [@B13]\], among which the ocular surface manifestation is the most common \[[@B14], [@B15]\], which seriously affects the quality of life \[[@B16]\]. Earlier studies have shown that synovitis is the pathological basis for joint injury in RA \[[@B5]\]. Due to the complex interactions between the genes and environment, the immune tolerance is destroyed and synovitis gets presented in a typical symmetrical pattern \[[@B17]\]. In some cases, the rheumatoid factor (RF)---a group of autoantibodies that activate the complement pathways---can cause the extra-articular damage \[[@B18]\]. Most of these complications are pathologically based on pannus \[[@B5]\] and may occur in the skin, eyes, lungs, heart, kidneys, blood vessels, salivary glands, central and peripheral nervous systems, and bone marrow. The high mortality in RA is mainly associated with the extra-articular complications \[[@B12], [@B13], [@B18]\].
It has been reported that the incidence of dry eye in the general population is about 5--17% \[[@B19]--[@B22]\], while in the patients with RA, it is as high as 19--31% \[[@B23]--[@B28]\]. Recent studies show that the pathogenesis of dry eyes is similar to the other extra-articular complications of RA, which may be a mucosal autoimmune disease \[[@B29], [@B30]\]. It is speculated that the degree of dry eye may also change with the systemic conditions, due to the influence of systemic immune response. Therefore, this study intended to explore the following questions through the detection indicators of dry eyes in RA patients: (1) the relationship between dry eye and disease activity in patients with RA; (2) the difference in the extent of dry eye in RA patients with and without dry eye symptoms; (3) to find the correlation between the degree of dry eye and the course of disease.
2. Methods {#sec2}
==========
2.1. Patients {#sec2.1}
-------------
A total of 30 adult RA patients (including 6 males and 24 females) were recruited from the Xiamen Eye Center, affiliated to the Xiamen University, between October 2016 and December 2018, which were selected on the following basis: (1) patients who came to the hospital for medical treatment; (2) community screening for cataract; (3) social recruitment using the Internet. All of the patients were previously diagnosed with positive or typical RA, thereby fulfilling at least 4 of 7 criteria as required by the American College of Rheumatology in 1988 \[[@B31]\].
Patients with previously known allergic conjunctivitis, any corneal lesions, chronic dacryocystitis, trachoma, blepharitis and other ocular surface diseases or primary or secondary Sjögren\'s syndrome, hyperthyroidism, diabetes, and other systemic diseases that can affect the tear secretion and tear film stability, were excluded. Also, the patients who had undergone an ocular surgery or who used worn contact lenses or any eye drops or visual display terminal for more than 4 hours per day were excluded.
Twenty healthy adults (including 4 males and 16 females) with matched sex and age were selected as the control group that included the cataract patients before surgery and the hospital staff.
2.2. Questionnaire {#sec2.2}
------------------
All the RA patients were graded by the Ocular Surface Disease Index (OSDI) questionnaire, a reliable and commonly used survey in the assessment of symptoms of ocular surface disease \[[@B32]\]. It consisted of 12 items that assessed the symptoms, functional limitation, and environmental factors related to dry eye \[[@B33]\], with an overall score of 0--100. The severity of ocular surface diseases assessed by OSDI was graded as follows: 0--12: normal; 13--22: mild; 23--32: moderate; 33--100: heavy \[[@B34]\]. Another survey used to assess the rheumatoid arthritis was the disease activity questionnaire (DAS-28) \[[@B35]\], which evaluated the number of tender and swollen joints (28-joints count), self-assessment of disease activity of the patients, and erythrocyte sedimentation rate (ESR) \[[@B36]\]. According to the OSDI, the patients were graded into the symptomatic group (score ≥ 12) and the asymptomatic group (score \< 12). According to the DAS-28 scores, they were graded into the active group (score \> 2.6) and the stable group (score ≤ 2.6).
2.3. Measurement of Tear Film Break Time (TBUT) {#sec2.3}
-----------------------------------------------
The ocular surface analyzer (Oculus keratography: SIRIUS-ANTARES (Italy C. S. O. SRL)) was used in the inspection of TBUT. The procedure involved is as follows: patients who were able to cooperate were asked to blink their eyes twice after the prior adjustment of the focal length, and then keep open, until the eyes automatically blinked or till the sampling procedure ended. Patients who faced difficulty to cooperate were asked to keep their eyes open with silent counting for 10 s at the beginning of the examination. The obtained test results were recorded for all the patients.
2.4. Measurement of Tear Meniscus Height (TMH) {#sec2.4}
----------------------------------------------
The ocular surface analyzer (Oculus keratography: SIRIUS-ANTARES (Italy C. S. O. SRL)) was used in the inspection of TMH. The procedure involved is as follows. The lower tear meniscus was focused and the hand putter was adjusted to make the focus clear. The acquisition button was quickly clicked to take the images. If the lacrimal stream of the patient was narrow and clear images could not be obtained under infrared light, the white light source was selected for collection. The ruler button on the interface was selected and pulled from the upper edge of the tear river to the lower edge for measuring the tear meniscus height. This value gave the height value of the tear river.
2.5. Meibomian Scan (MS) {#sec2.5}
------------------------
The ocular surface analyzer (Oculus keratography: SIRIUS-ANTARES (Italy C. S. O. SRL)) was used in this inspection. The procedure involved is as follows. The upper and lower palpebral conjunctiva was, respectively, exposed to the infrared meibomian gland imaging system to get a clear image of the morphology. The image of white stripes showed the meibomian gland, and the degree of lack of glands was scored as follows \[[@B37]\]: 0 = no loss (normal) 1 = gland deletion \<1/3 of total area (mild) 2 = loss 1/3 to 2/3 (moderate) 3 = more than 2/3 loss (severe); the scores of upper and lower eyelids were added and scaled in the range 0--6
2.6. Corneal Fluorescein Staining (CFS) {#sec2.6}
---------------------------------------
The slit-lamp microscope (SL990N (Italy C. S. O. SRL)) was employed in this inspection. A fluorescein paper was moistened with normal saline and subjected at the lower fornix of the patient. Patients were asked to close and open eyes for the proper distribution around the cornea. The number of dot stains obtained were observed under the cobalt blue light, and scores were assigned as follows: 0 = no stain; 1 point = 1∼10 dot staining; 2 points = 10∼30 dot staining; 3 points = point stain fusion, filaments, and ulcers.
2.7. Measurement of Meibomian Gland Secretion Score (MSS) {#sec2.7}
---------------------------------------------------------
After hot compression for 10 minutes, a digital pressure was applied to the tarsal plate by two cotton buds to squeeze the meibomian secretions, and the quality of the expressed lipid was observed and graded as follows \[[@B38]\]: 0 = clear fluid; 1 = cloudy fluid; 2 = cloudy particulate fluid; 3 = inspissated (like toothpaste).
2.8. Measurement of Eyelid Margin Assessment (EMS) {#sec2.8}
--------------------------------------------------
A Slit-lamp microscope (SL990N (Italy C. S. O. SRL)) was used for this study. The upper and lower eyelids were gently turned to expose the eyelid margin, and the following conditions were observed for their presence or absence: (1) the eyelid margin was hyperemic and round; (2) irregular eyelid margin; (3) blocked meibomian gland openings; (4) the skin mucosal boundary (Marx line) moved forward or backward. Scoring rules were as follows: 1 point or presence of each condition, 4 points in total; 0 for absence of all.
2.9. Statistical Analysis {#sec2.9}
-------------------------
Statistical analysis was performed using the SPSS 23.0 software; descriptive statistics methods were used for baseline characteristics (Mean ± SD). The Mann--Whitney *U* test was used to compare the discrete variables, and Spearman correlation test was computed to assess the dry eye and RA duration. The statistical significance was considered to be *P* \< 0.05, and results were given with their 95% CIs.
3. Results {#sec3}
==========
The control group (Con) and RA patients (RA): there were no significant differences in the age and sex between the two groups. TBUT of both the groups was significantly different and was significantly lower for the RA group (*P* = 0.001). The scores of MS, CFS, MSS, and EMS were significantly higher in the RA group than those of the normal (*P* ≤ 0.001), while there was no significant difference between both the groups for TMH (*P* = 0.331) ([Figure 1](#fig1){ref-type="fig"}; [Table 1](#tab1){ref-type="table"}).
Symptomatic group (Sy) and asymptomatic group (Asy): according to the OSDI, there were 8 patients in the asymptomatic group and 22 patients in the symptomatic group, with no significant differences in the age and gender. Furthermore, there were no significant differences between the two groups in the TMH, MS, MSS, and EMS parameters (*P* \> 0.05). The TBUT of the two groups was significantly different, and for the symptomatic group, it was significantly lower (*P*=0.002). The CFS score was higher in the symptomatic RA group than in the asymptomatic RA group, and the difference was statistically significant (*P*=0.001) ([Figure 1](#fig1){ref-type="fig"}).
Active group (Act) and stable group (Sta): A total of 18 patients in the active RA group and 12 patients in the stable RA group were found after evaluation using the DAS-28 questionnaire. There were no significant differences in the age and gender between the two groups. The CFS scoring showed a significant difference between the two groups, and for active group, it was significantly higher (*P*=0.040) ([Figure 1](#fig1){ref-type="fig"}).
Duration (Dur) and dry eye (DE): the Spearman correlation test showed there was no correlation between the duration of the disease and the dry eye test items (*P* \< 0.05) ([Figure 2](#fig2){ref-type="fig"}).
4. Discussion {#sec4}
=============
The present study was aimed to explore the relationship between dry eye and the disease activity in patients with RA. The results of our study suggest that the patients with RA exhibited a shorter tear film breakup time, severe meibomian gland loss, degenerated blepharon lipids, severe corneal epithelial injury, and obvious changes in the blepharon morphology compared with the control group. Interestingly, there was no significant difference in the tear meniscus height between the two groups. The tear meniscus is an integral part of the tear film and the "repository" of tears. The amount of tears in the tear meniscus is about 75--90% of the total \[[@B39]\]. Although the measurement of tear meniscus height is one of the important indicators of the dry eye examination, it can merely reflect the level of tear secretion at that time. The mandatory open pattern required by the commonly used noninvasive ocular surface comprehensive analyzer may affect the measurement of lacrimal height due to the secretion of reflex tearing. Studies have found this condition even in the patients with aqueous tear deficiency \[[@B40]\]. Furthermore, in the patients with subjective dry eye symptoms, the reflex tear secretion was close to normal. The possible reasons for such results are speculated as follows: (1) RA patients are in the state of reflex tear secretion for a long time; hence, the tear secretion is maintained in the normal range; (2) RA patients may not have a reduced tear secretion, and the discomfort of subjective dry eye may be caused by other reasons.
The RA group exhibited higher CFS scores than those of the control group, and the dry eye symptoms group showed higher CFS scores than those of the asymptomatic group, with statistically significant differences. Lam et al. \[[@B41]\] reported that the level of cytokine interleukin---17 (IL---17) in tear was associated with the severity of the CFS. Lee et al. \[[@B42]\] showed that the corneal damage was caused by the excessive expression of proinflammatory cytokines of tear, and the epithelial damage due to the presence of cytokines of cell damage was severe than that due to the lack of water. In the RA patients with dry eye, the more heavily stained cornea indicated a more severe condition of the dry eye. Inflammatory cytokines may play an important role in the development of dry eye. Some scholars believe that, as the cornea is close to the palpebral conjunctiva and easily exposed to inflammatory cytokines expressed in the vessels, there is an increased chance of injury. However, the relationship between the tear components, including cytokines and dry eye, needs to be further explored.
There were significant differences between the RA group and the control group for TBUT and the meibomian gland examination. This suggests that the patients with RA may have varying degrees of meibomian gland dysfunction (MGD). The meibomian gland is the largest sebaceous gland in human body, and its main function is to secrete sebum and to form the outermost structure of tear film. The meibomian gland plays an important role in maintaining the stability of tear film. TBUT is currently a reliable indicator for assessing the tear film stability. Our results suggest that the TBUT of RA patients was shorter than that of the normal group and was shorter in the symptomatic RA group than that of the asymptomatic RA group. Thus, it can be concluded that the tear film stability is worse in RA patients, especially those with dry eye symptoms. It is speculated that the reason for poor tear film stability in RA patients may be caused by the abnormalities in the meibomian gland. There are many causes of MGD \[[@B43]\], which may be due to the attack of the immune system on one of the target organs, as in the case of Sjögren\'s syndrome \[[@B44]\].
The quality of tear film is closely related to the lipid layer formed by the sebum secreted by meibomian gland. Poor quality of the lipid layer not only affects the formation of tear film but also causes excessive evaporation of tears. Cornea protected by the tear film can be affected indirectly. Our results suggest that patients in the symptomatic group exhibited higher CFS scores, which means more spots were evident on the corneal epithelium. It was speculated that patients in the symptomatic group showed a more severe corneal damage.
The disease assessment of RA can not only compare the effects of treatment at different stages of individuals but also help to assess the progress of disease. According to the clinical observations, we expected that the disease activity might be positively correlated with dry eye and patients in the disease active stage might have more severe dry eye. However, our results suggested that there was no much significant difference between the active or stable groups, except for the CFS. We assumed that in the beginning of the active stage in RA, the patients may have more serious dry eye condition. However, our experimental results ([Figure 1](#fig1){ref-type="fig"}) suggested that the patients in stable stage of RA showed similar severity of dry eye to those in active group. Detailed dry eye examinations should be paid to all the RA patients, as patients in the stable stage exhibited mild dry eye. In addition, these results were consistent with the study of Miho Fujita et al. on the RA patients with nonsecondary Sjögren\'s syndrome \[[@B45]\]. Schargus et al. \[[@B46]\] found that the disease activity and tear osmotic pressure showed a positive correlation.
TBUT and TMH were used to evaluate the quantity and quality of the tears. Our results indicated that the RA disease activity could be possibly related to the secretion of tears and no obvious correlation existed for the tear stability, although the disease activity can still have an influence on the tear composition.
Our analysis of the disease course of RA and dry eye suggested that no significant correlation existed between them, although studies have found that patients with RA disease activity for long duration can influence all aspects of the quality of life \[[@B47]\]. Since the dry eye is a multifactor disease and has certain compensation, the influencing factors of dry eye may not be RA disease itself. Hence, influenced by age, gender, and other factors, even in short duration of disease, the degree of dry eye may be more severe.
To sum up, we found that patients with RA can have a meibomian gland dysfunction (MGD), but the functional and morphological differences with simple MGD need to be verified by further experiments. Besides, most studies showed that the dry eye in RA patients was due to the secondary Sjögren\'s syndrome, but our findings suggest that RA patients (without secondary Sjögren\'s syndrome) did not exhibit poor tear secretion. However, we cannot rule out the influence of the tear reflex, and further evaluation of lacrimal gland function needs to be understood.
Our study proposed the following three aspects. First, the RA disease activity may not necessarily worsen the dry eye symptoms. On the contrary, the patients in the period of the active disease cannot be ignored for the presence of dry eye, since patients with dry eye often lack the signs and symptoms. Hence, irrespective of the progression of the RA disease activity, the possibility of dry eye should be evaluated and clinical intervention can be taken if necessary. Secondly, when patients with RA complain about dry eye symptoms, it may indicate the damage to the corneal epithelium. For such patients, a better attention needs to be paid to the corneal epithelium, which should be carefully examined and dealt with in time. Finally, the duration of RA may exhibit no correlation with the severity of the dry eye. Patients with RA should get checked for the presence of dry eye, regardless of the duration of the disease. The evaluation of the dry eye should be based on the clinical manifestations and symptoms, combined with the objective examination indexes.
The advantages of this study lie in the consistency of the clinical methods and prospective recruitment of the RA patients. Clinical examinations were evaluated by a same physician in a standardized way. There were few shortcomings in this study. (1) This was a small sample study, which may face limitations in reflecting the actual situation. An increased sample size can prevent such shortcomings. (2) The examination and evaluation of dry eye were not comprehensive. For example, the composition changes of tear and the morphological and functional examination of meibomian gland were insufficient. (3) This study failed to consider whether the treatment drugs for RA such as hormones and immune-suppressants exhibited any effects on the dry eye. This deficiency can be minimized by making a comparison between the patients treated with such drugs and those not.
This study was funded by grants from the National Key R&D Program of China (2018YFA0107301), the National Natural Science Foundation of China (81770891, 81970771, 81870627, and 81900822), the Health Research Talent Training Program of Fujian PRC (2016-ZQN-90), the Huaxia Translational Medicine Fund for Young Scholars (2017‐A‐001 and 2017‐A‐002), the Xiamen Key Medical and Health Project (3502Z20191101 (to ND)), and the Zhenjiang Science Technology Planning Project (SH2019033).
Data Availability
=================
The detailed data of individual cases used to support the findings of this study are available from the corresponding author upon request.
Conflicts of Interest
=====================
The authors declare that they have no conflicts of interest.
{#fig1}
{#fig2}
######
Dry eye assessment and statistical results between each groups.
RA Con *P* Ac Sta *P* Sy Asy *P* *R* *P* (Dur and RA)
------------- --------------- ---------------- ------- ----------------- ---------------- ------- ----------------- ---------------- ------- -------- ------------------
Mean age 51.933 ± 9.89 50.150 ± 9.433 0.463 49.400 ± 10.762 57.000 ± 5.249 0.055 50.454 ± 10.220 53.500 ± 7.270 0.730
Male/female 6/24 4/16 0.533 4/14 2/10 0.397 4/18 2/6 0.534
TBUT (s) 5.267 ± 3.478 10.868 ± 1.816 0.001 4.545 ± 2.066 6.710 ± 5.147 0.619 3.918 ± 2.128 8.975 ± 3.886 0.002 −0.119 0.532
TMH (mm) 0.186 ± 0.158 0.150 ± 0.052 0.331 0.211 ± 0.184 0.137 ± 0.069 0.619 0.177 ± 0.175 0.213 ± 0.099 0.097 0.341 0.066
MS 3.733 ± 1.710 1.250 ± 1.118 0.001 3.800 ± 1.814 3.600 ± 1.673 0.746 4.182 ± 1.471 2.500 ± 1.915 0.156 0.251 0.367
MSS 1.867 ± 0.834 0.400 ± 0.598 0.001 2.000 ± 0.943 1.600 ± 0.548 0.307 2.091 ± 0.831 1.250 ± 0.500 0.097 0.104 0.712
EMS 1.333 ± 0.900 0.300 ± 0.470 0.001 1.200 ± 1.033 1.600 ± 0.548 0.267 1.455 ± 0.934 1.250 ± 0.957 1.000 0.127 0.652
CFS 1.733 ± 0.961 0.150 ± 0.366 0.001 2.100 ± 0.876 1.000 ± 0.707 0.04 2.091 ± 0.831 0.750 ± 0.500 0.001 0.074 0.794
Data are shown as mean ± SD; Con: control group, RA: RA group, act: active group, Sta: stable group, Sy: symptomatic group, Asy: asymptomatic group, Dur: duration. The *P* value was calculated by using the Mann--Whitney *U* test or the spearman correlation test. *R*: coefficient of spearman correlation test.
[^1]: Academic Editor: Hong Liang
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tomekkorbak/pile-curse-small
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PubMed Central
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Naturalhealthfoodie.com - Total Health And Medical Articles for You.
Monthly Archives: February 2015
Pile protuberances happen whenever blood vessels round the anal region obtain inflamed, generally because of discomfort or even elevated stress. Lots of elements bring about this problem, however right here all of us discover the very best 5 typical reasons for Piles.
1. Constipation
For those who have an undesirable diet plan and therefore are getting intestinal actions less than 3 times per week, constipation is extremely prone to happen. Bar stools turn out to be difficult, dried out, as well as hard to feed; therefore individuals often stress a great deal. The actual pushing places lots of stress about the blood vessels within the rectal region. With time, this particular continuous stress damage the actual blood vessels as well as leads to these phones enlarge.
Constipation is actually very easily prevented with the addition of plenty of dietary fiber in what you eat, consuming sufficient drinking water, as well as performing activities.
two. Grow older
Many people older than 50 are afflicted by Piles. Since the entire body age range, the actual muscle tissue deteriorate, such as individuals within the anal region. This particular significantly boosts the possibility of obtaining Piles.
Apart from this particular, individuals with grow older more than 50 tend to be more relaxed as well as inactive, that is an additional typical reason for Piles.
Last but not least, blood vessels may also deteriorate along with grow older, leading to an ailment referred to as Venous Deficit, that is #3 within our checklist.
3. Persistent Venous Deficit or Bad Blood flow
Everybody knows how the center sends bloodstream towards the entire body. However are you aware that bloodstream needs to be pumped to one’s heart? Blood vessels include valves which open up in a single method to ensure that bloodstream may circulation as much as one’s heart and never slide back. While you proceed your own braches, parts of your muscles increase as well as agreement whilst squeezing the actual blood vessels as well as moving the actual bloodstream upward. Therefore, you receive blood flow.
Right now, Venous Deficit merely indicates the actual oxygen-poor bloodstream which originated from one’s heart as well as utilized by the actual tissue isn’t becoming pumped to one’s heart. Therefore bloodstream will quickly swimming pool in a single region and also the blood vessels enlarge upward, developing a situation referred to as Varicose Blood vessels.
What exactly will Varicose Blood vessels need to do along with Piles? To put it simply, Piles are in fact Varicose Blood vessels positioned in the actual anal region.
four. Extented Seated or Position
Extented seated, in addition to position, raises stress about the blood vessels. Easy description — you aren’t performing a lot exercise therefore bloodstream moves right down to the actual rectal region quicker compared to this will get pumped to one’s heart.
In case your work demands you to definitely sit down extended hours, getting brief 5 moment breaks or cracks each and every every now and then assists a great deal.
5. Being pregnant
Piles impact around 50 % of women that are pregnant. Throughout being pregnant, the actual uterus grows and much more bloodstream moves with the pelvic region. This particular raises stress towards the blood vessels within the rectal wall space. Much more serious stress happens throughout giving birth. You should lay down in your corner every now and then to alleviate which stress.
What’s thyroid most cancers setting up? Setting up explains how big the actual most cancers as well as regardless of whether it’s distribute or even metastasized in order to additional areas of the body. Setting up as well as kind of thyroid most cancers can help the actual physicians choose exactly what remedy process is going to be utilized. The actual diagnosis from the most cancers could be forecasted through the setting up info.
Exactly how is actually thyroid most cancers setting up outcomes decided?
The initial step along the way is actually using a bodily evaluation and also the getting associated with health background. The actual signs or symptoms someone might existing might be inflammation within the neck of the guitar, the nodule or even group within the neck of the guitar, hoarseness or even modifications within tone of voice. A doctor will even request queries associated with loved ones thyroid background simply because thyroid illness or even most cancers inside your loved ones, locations you’re in a greater danger.
The 2nd action is actually image resolution screening. They are upper body x-rays, ultrasound, CT tests, MRIs, as well as nuclear medication tests. Upper body x-ray tend to be come to observe when the most cancers offers distribute towards the lung area particularly if the actual analysis is actually follicular thyroid most cancers. Ultrasound can be used to look for the dimension from the nodule and when the actual nodule is actually strong or even full of liquid. A good nodule is actually prone to end up being cancer. Ultrasound is going to be accustomed to examine the actual lymph nodes in the region as well as figure out when the most cancers might have distribute. An excellent hook desire, the actual getting of the liquid test in the nodule, can be achieved using the assistance associated with ultrasound. The calculated tomography check out (CT) offers much more fine detail compared to a good x-ray. This produces pictures associated with gentle cells in your body. A glass or two of the different answer or even injecting of the 4 collection having a different coloring is going to be given to supply much better describe buildings from the entire body. The actual CT can help figure out dimension as well as area from the thyroid most cancers and when it’s distribute in order to close by lymph nodes. Occasionally hook biopsies tend to be carried out whenever using a CT check out. Permanent magnetic resonance image resolution check out (MRI) is actually an additional option to locating the most cancers within the thyroid and also to figure out in the event that it’s distribute in order to additional areas of the body. This particular check out, even though it may be an unpleasant as well as loud process, provides really comprehensive picture from the thyroid gland and also the gentle tissue within the neck of the guitar region. Nuclear medication tests, radioiodine as well as positron emission tomography (PET scan), is going to be utilized once the analysis associated with thyroid most cancers is for certain. These types of methods include the actual ingesting or even injecting via 4 type of ingredients how the thyroid tissue may soak up and can appear about the check out. Radioactive iodine can be used within the radioiodine check out along with a radioactive kind of sugar associated sugars material can be used for that DOG check out. Unique digital cameras may identify in which the ingredients will go as well as assist find the actual tissue in your body which are not really acting usually.
The 3rd action is actually going for a biopsy from the nodule. Mentionened above previously within second step, an excellent hook desire is conducted using the assistance associated with associated with ultrasound or perhaps a calculated tomography check out. A little test from the tissue tend to be removed in the dubious nodule or even region as well as these types of tissue tend to be analyzed below the microscope. When the nodule or even cyst is extremely apparent this process might be carried out within the physician’s workplace. When the outcomes in the good hook desire returns because “suspicious”, an additional biopsy might be carried out utilizing a larger hook in order to draw out a bigger quantity of tissue. An additional option is really a medical biopsy or perhaps a lobectomy. The lobectomy is actually removing 1 / 2 of the actual thyroid gland.
Healthcare transcriptionists or even transcribers tend to be individuals operating in neuro-scientific healthcare transcribing as well as usually their own function is actually to hear the actual dictations through healthcare companies or even doctors and also to re-write all of them within phrases. The actual tapes where the determined content material exists may possibly maintain analog or even electronic structure and also the organization that these types of experts will work usually offers important national infrastructure for them so that they’ll listen to in order to dictation and may transform all of them successfully. Usually, the actual dictation consists of healthcare reviews associated with sufferers, medicines recommended for them, bloodstream or even additional check reviews, and so on…
Because the documenting associated with healthcare terminologies within phrases is really a difficult job and really should be achieved very carefully, the actual mother or father companies in order to that the healthcare companies will work would rather outsource the job in order to additional companies providing all of them providers having a look at to obtain high quality result. Actually there are several mother or father businesses which have their very own transcribing division with regard to looking after this nevertheless freelancing will be the smartest choice due to the subsequent factors.
Price advantages: Private hospitals as well as treatment centers may conserve an enormous amount of cash once they outsource the job because they’re not going to possess to setup their very own in-house group and also the price associated with hiring as well as instruction associated with staff could be significantly decreased. Additionally, with regards to the actual establishing associated with in-house a number of costs regarding analog or even electronic report visitors, computer systems, and so on… should be fulfilled as well as these types of costs may also be prevented when it’s chose to outsource the job.
High quality: One of many causes of numerous private hospitals in order to outsource the job is actually that they’ll obtain high quality result. Usually, experts employed by these people businesses tend to be well-trained with regard to making sure high quality result. Most importantly, many of these providers possess their very own group of high quality manage methods with regard to making certain total excellence from the finish item.
Concentrate on primary places: Once the function is actually outsourced, private hospitals as well as their own personnel may concentrate primarily on the primary section of providing correct treatment towards the sufferers, instead of concentrating on transformation associated with healthcare paperwork.
Turn-around period: The majority of the healthcare transcribing providers tend to be making sure fast turn-around period for his or her clients which as well whenever high quality function is actually obtained inside the agreed period, it will likely be associated with excellent make use of in order to private hospitals in order to focus on their own primary expertise.
Therefore, freelancing associated with healthcare transcribing function will be the greatest concept, instead of hiring in-house experts as well as establishing of the individual division.
What’s thyroid most cancers setting up? Setting up explains how big the actual most cancers as well as regardless of whether it’s distribute or even metastasized in order to additional areas of the body. Setting up as well as kind of thyroid most cancers can help the actual physicians choose exactly what remedy process is going to be utilized. The actual diagnosis from the most cancers could be forecasted through the setting up info.
Exactly how is actually thyroid most cancers setting up outcomes decided?
The initial step along the way is actually using a bodily evaluation and also the getting associated with health background. The actual signs or symptoms someone might existing might be inflammation within the neck of the guitar, the nodule or even group within the neck of the guitar, hoarseness or even modifications within tone of voice. A doctor will even request queries associated with loved ones thyroid background simply because thyroid illness or even most cancers inside your loved ones, locations you’re in a greater danger.
The 2nd action is actually image resolution screening. They are upper body x-rays, ultrasound, CT tests, MRIs, as well as nuclear medication tests. Upper body x-ray tend to be come to observe when the most cancers offers distribute towards the lung area particularly if the actual analysis is actually follicular thyroid most cancers. Ultrasound can be used to look for the dimension from the nodule and when the actual nodule is actually strong or even full of liquid. A good nodule is actually prone to end up being cancer. Ultrasound is going to be accustomed to examine the actual lymph nodes in the region as well as figure out when the most cancers might have distribute. An excellent hook desire, the actual getting of the liquid test in the nodule, can be achieved using the assistance associated with ultrasound. The calculated tomography check out (CT) offers much more fine detail compared to a good x-ray. This produces pictures associated with gentle cells in your body. A glass or two of the different answer or even injecting of the 4 collection having a different coloring is going to be given to supply much better describe buildings from the entire body. The actual CT can help figure out dimension as well as area from the thyroid most cancers and when it’s distribute in order to close by lymph nodes. Occasionally hook biopsies tend to be carried out whenever using a CT check out. Permanent magnetic resonance image resolution check out (MRI) is actually an additional option to locating the most cancers within the thyroid and also to figure out in the event that it’s distribute in order to additional areas of the body. This particular check out, even though it may be an unpleasant as well as loud process, provides really comprehensive picture from the thyroid gland and also the gentle tissue within the neck of the guitar region. Nuclear medication tests, radioiodine as well as positron emission tomography (PET scan), is going to be utilized once the analysis associated with thyroid most cancers is for certain. These types of methods include the actual ingesting or even injecting via 4 type of ingredients how the thyroid tissue may soak up and can appear about the check out. Radioactive iodine can be used within the radioiodine check out along with a radioactive kind of sugar associated sugars material can be used for that DOG check out. Unique digital cameras may identify in which the ingredients will go as well as assist find the actual tissue in your body which are not really acting usually.
The 3rd action is actually going for a biopsy from the nodule. Mentionened above previously within second step, an excellent hook desire is conducted using the assistance associated with associated with ultrasound or perhaps a calculated tomography check out. A little test from the tissue tend to be removed in the dubious nodule or even region as well as these types of tissue tend to be analyzed below the microscope. When the nodule or even cyst is extremely apparent this process might be carried out within the physician’s workplace. When the outcomes in the good hook desire returns because “suspicious”, an additional biopsy might be carried out utilizing a larger hook in order to draw out a bigger quantity of tissue. An additional option is really a medical biopsy or perhaps a lobectomy. The lobectomy is actually removing 1 / 2 of the actual thyroid gland.
Something which pops up pretty frequently within conversations or even wayward remarks through health care professionals is actually how to deal with off-duty circumstances exactly where you find somebody within bodily stress looking for assist. Might be severe, not. The actual main queries which come upward tend to be “Should a person do something and also to exactly what level? inch as well as “Since you are educated, have you got a good responsibility to do something? inch
In the beginning, We had been very disrupted to know a lot of associated with the current professionals commenting which on no account might these people actually get involved, citing lawful or even individual endangerment problems. This particular operates the actual range through Nurse’s Helps in order to Physicians! This particular frequently incorporated existence as well as passing away circumstances; Much even worse additionally they frequently proceeded to go as far as to express these people would not actually START a good evaluation. Depending on simply “Nobody understands I am educated and so i do not have to behave, inch they’d actually change their own shells as well as leave. Actually preventing for more information concerning the scenario; to find out if your higher-level associated with treatment had been required may suggest these were investing in really do something. Disasters!
A number of our health care professionals happen to be been trained in some type of First-aid or even an additional. There is a period, also it was not too much time back which which was not.
In the actual 50’s as well as 60’s many individuals had been perishing with regard to absolutely no cause. Everyone was shedding lifeless, obtaining go beyond, chance, choking, blood loss away, appropriating, or even what ever as well as NO ONE HAD BEEN ASSISTING simply because nobody understood exactly how. Exactly what might have been ameliorated through easy surgery grew to become deadly illnesses.
After i is at Sentence structure College, among my personal class mates (coincidentally the only real young man my personal grow older We actually bullied! ) “choked in order to passing away on the poultry bone”. The actual storage of this each haunted me personally as well as went me personally to the occupation associated with EMS inside a strange kind of method simply because when i obtained old We found discover when you’d the best understanding, perhaps which would not possess needed occurred and perhaps, at some point, I possibly could really AVOID something similar to which through occurring.
Within the 50’s, many people met up, compromising time and effort, as well as began to start a few modifications. The concept had been to create this therefore life-saving abilities grew to become open to the general public. Commensurate with this arrived the drive to boost the actual requirements associated with crisis health care in general. The concept had been to create this therefore individuals who with regard to absolutely no cause of the personal (or even though self-inflicted! ) obtained injured, they would obtain assist. These people authored upward guides, started programs as well as setup intensifying amounts of qualifications therefore the individuals who do obtain educated had been qualified. This appeared to be the actual civil move to make at that time and also the United states Nationwide Red-colored Mix brought the actual cost.
Suddenly, there is this particular influx of individuals, spread through the human population, that may really do SOME THING to assist their own troubled neighbours! It was about understanding letting you action away from worries as well as in to motion therefore individuals did not have to pass away unnecessarily.
Numerous that resided in the period which nobody understood exactly how, right now experienced the data to create a distinction. These people experienced enjoy it had been the holy believe in. Strolling through somebody within difficulty was not actually within the formula; specifically for somebody educated as well as employed in health care! Exactly how can it be? It might negate the actual purpose of those individuals that arrived prior to to make certain that this kind of understanding would not end up being withheld through anybody once again! Treatment right now grew to become an experienced citizen’s responsibility.
Some tips about what I am listening to these days: Understanding is sufficient in order to warrant NOT REALLY getting motion.
You realize you will find bloodstream paid for pathogens, which means you do not get involved with something along with bloodstream. You realize which someplace there is a Attorney waiting around to create a dollar which means you do not actually allow your own abilities end up being proven. Exactly what I am listening to is actually that lots of within associated with the current professionals really feel it is alright to make use of their own abilities randomly and it is alright to really keep instruction unless of course the problem is ideal.
It might very easily be considered a “No Proceed! inch simply because there’s a opportunity the troubled individual includes a bloodstream paid for virus. A large the first is the actual possibility of becoming sued; something which is actually voiced associated with as though 20% associated with off-duty healthcare staff getting motion HAD BEEN becoming sued. I will risk you cannot make use of all of the fingertips similarly in order to tally the amount of legal cases countrywide in a single 12 months with regard to this kind of occurrences.
Due to this? Due to which? An additional style which i maintain listening to may be the unavailability associated with gear, converted in order to something similar to “Sorry, Pal, cannot focus on your own center simply because We isn’t obtained the defibrillator as well as everyone knows that is the one thing which functions. inch If you’re educated to take care of an urgent situation from what ever degree as well as cannot make a move without having your own resources, don’t be within the healthcare occupation.
Getting show up through exactly where nobody might perform something as well as We sacrificed and so i might, I can not change my personal forces off and on inside my comfort, that’s a betrayal associated with my personal objective. The abilities exist to make use of as well as I’ve a good responsibility to make use of all of them.
“Not in case your existence is within threat! inch a person announc.
The items all of us assume are often NOT REALLY things that consider the life. You’re because delicate since the individuals you are known as onto assist. What’s the actual substance associated with debility as well as passing away? Things arrives associated with nowhere fast as well as attacks individuals lower. Becoming in existence places a person at risk.
You will find steps you can take in order to insulate your self through (blood, razor-sharp items, smoke cigarettes, the actual psychologically disrupted… COMPLETE THE ACTUAL EMPTY! ) as well as a minimum of make a move. What which enraged me personally probably the most had been those exactly where individuals been trained in crisis treatment, or even who’re within jobs exactly where they frequently handle uncontrollable circumstances, mentioned these people would not actually strategy an individual dropped on the street, however they might phone 9-1-1 on the mobile phones therefore the experts might manage this!
The first step (after the actual ABC’s) would be to get a grip on what is truly occurring. Instant treatment Could make the actual distinction in between existence as well as passing away, or even perform as well as long term deformity. Obviously, individuals tend to be severe good examples. NO ONE actually brings up exactly how, simply by becoming presently there as well as providing give you support instantly location the actual affected individual on the advantageous span of recuperation.
And that is some thing to think about. Possibly your own the majority of solid abilities lay in only becoming presently there with regard to somebody who’s traumatized.
Within gentle of this, will it seem sensible in order to simply stroll through?
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Newsflash! Carl's Jr. Doesn't Use Sex to Sell!
In a shocking development, Carl's Jr., aka, the brand with the "that's the just the way it is" response to people's concern's about it using sex to sell, has launched a new campaign that's devoid of boobs, branded bikinis and famous socialites washing a Bentley while clad in a bikini.
Yes. There is no cleavage, no gratuitous shots of bootylicious gyrating ass and no slow motion slithering of the camera's eye across the curvaceousness of Audrina Patridge. Nope.None whatsoever.
In this David & Goliath-created ad we have the far from bootylicious Harold, a retired ice cream man with a long history in the business of scooping ice cream. One night, Harold suddenly wakes up and realizes there's something very different about the ice cream business. Yes, Carl's Jr. is out with it hand-scooped Oreo Ice Cream Sandwich.
While some say it's the biggest thing to happen to ice cream, we say go to sleep Harold. The hand scooped Oreo Cookie Ice Cream sandwich is just Carl's Jr.'s latest flash in the pan. And you'll soon be shoved aside in favor of some new incredibly curvaceous hottie with cavernous cleavage and an ass that has its own zip code who will ooze with sexuality like none before her. Just wait. We promise. It will happen.
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Other Resources
Videos & Images
Alcohol as a cause
What is alcohol?
Alcohol is the common term for ethanol or ethyl alcohol, a chemical substance found in beer, wine, and liquor, as well as in some medicines, mouthwashes, household products, and essential oils (scented liquids taken from plants). Alcohol is produced by the fermentation of sugars and starches by yeast.
The main types of alcoholic drinks and their alcohol content are as follows:
Beers and hard ciders: 3-7 percent alcohol
Wines, including sake: 9-15 percent alcohol
Wines fortified with liquors, such as port: 16-20 percent alcohol
Liquor, or distilled spirits, such as gin, rum, vodka, and whiskey, which are produced by distilling the alcohol from fermented grains, fruits, or vegetables: usually 35-40 percent alcohol (70-80 proof), but can be higher
According to the National Institute on Alcohol Abuse and Alcoholism, a standard alcoholic drink in the United States contains 14.0 grams (0.6 ounces) of pure alcohol. Generally, this amount of pure alcohol is found in:
12 ounces of beer
8 ounces of malt liquor
5 ounces of wine
1.5 ounces or a "shot" of 80-proof liquor
The federal government’s Dietary Guidelines for Americans 2010 defines moderate alcohol drinking as up to one drink per day for women and up to two drinks per day for men. Heavy alcohol drinking is defined as having more than three drinks on any day or more than seven drinks per week for women and more than four drinks on any day or more than 14 drinks per week for men.
What is the evidence that alcohol drinking is a cause of cancer?
Based on extensive reviews of research studies, there is a strong scientific consensus of an association between alcohol drinking and several types of cancer. In its Report on Carcinogens, the National Toxicology Program of the US Department of Health and Human Services lists consumption of alcoholic beverages as a known human carcinogen. The research evidence indicates that the more alcohol a person drinks—particularly the more alcohol a person drinks regularly over time—the higher his or her risk of developing an alcohol-associated cancer. Based on data from 2009, an estimated 3.5 percent of all cancer deaths in the United States (about 19,500 deaths) were alcohol related.
Clear patterns have emerged between alcohol consumption and the development of the following types of cancer:
Head and neck cancer: Alcohol consumption is a major risk factor for certain head and neck cancers, particularly cancers of the oral cavity (excluding the lips), pharynx (throat), and larynx (voice box). People who consume 50 or more grams of alcohol per day (approximately 3.5 or more drinks per day) have at least a two to three times greater risk of developing these cancers than nondrinkers. Moreover, the risks of these cancers are substantially higher among persons who consume this amount of alcohol and also use tobacco.
Esophageal cancer: Alcohol consumption is a major risk factor for a particular type of esophageal cancer called esophageal squamous cell carcinoma . In addition, people who inherit a deficiency in an enzyme that metabolizes alcohol have been found to have substantially increased risks of alcohol-related esophageal squamous cell carcinoma.
Breast cancer: More than 100 epidemiologic studies have looked at the association between alcohol consumption and the risk of breast cancer in women. These studies have consistently found an increased risk of breast cancer associated with increasing alcohol intake. A meta-analysis of 53 of these studies (which included a total of 58,000 women with breast cancer) showed that women who drank more than 45 grams of alcohol per day (approximately three drinks) had 1.5 times the risk of developing breast cancer as nondrinkers (a modestly increased risk) (7). The risk of breast cancer was higher across all levels of alcohol intake: for every 10 grams of alcohol consumed per day (slightly less than one drink), researchers observed a small (7 percent) increase in the risk of breast cancer.
The Million Women Study in the United Kingdom (which included more than 28,000 women with breast cancer) provided a more recent, and slightly higher, estimate of breast cancer risk at low to moderate levels of alcohol consumption: every 10 grams of alcohol consumed per day was associated with a 12 percent increase in the risk of breast cancer.
Colorectal cancer: Alcohol consumption is associated with a modestly increased risk of cancers of the colon and rectum. A meta-analysis of 57 cohort and case-control studies that examined the association between alcohol consumption and colorectal cancer risk showed that people who regularly drank 50 or more grams of alcohol per day (approximately 3.5 drinks) had 1.5 times the risk of developing colorectal cancer as nondrinkers or occasional drinkers (9). For every 10 grams of alcohol consumed per day, there was a small (7 percent) increase in the risk of colorectal cancer.
Research on alcohol consumption and other cancers:
Numerous studies have examined the association between alcohol consumption and the risk of other cancers, including cancers of the pancreas, ovary, prostate, stomach, uterus, and bladder. For these cancers, either no association with alcohol use has been found or the evidence for an association is inconsistent.
However, for two cancers—renal cell (kidney) cancer and non-Hodgkin lymphoma (NHL)—multiple studies have shown that increased alcohol consumption is associated with a decreased risk of cancer (10, 11). A meta-analysis of the NHL studies (which included 18,759 people with NHL) found a 15 percent lower risk of NHL among alcohol drinkers compared with nondrinkers (11). The mechanisms by which alcohol consumption would decrease the risks of either renal cell cancer or NHL are not understood.
How does alcohol increase the risk of cancer?
Researchers have identified multiple ways that alcohol may increase the risk of cancer, including:
metabolizing (breaking down) ethanol in alcoholic drinks to acetaldehyde, which is a toxic chemical and a probable human carcinogen; acetaldehyde can damage both DNA (the genetic material that makes up genes) and proteins
generating reactive oxygen species (chemically reactive molecules that contain oxygen), which can damage DNA, proteins, and lipids (fats) through a process called oxidation
impairing the body’s ability to break down and absorb a variety of nutrients that may be associated with cancer risk, including vitamin A; nutrients in the vitamin B complex, such as folate; vitamin C; vitamin D; vitamin E; and carotenoids
increasing blood levels of estrogen, a sex hormone linked to the risk of breast cancer
Alcoholic beverages may also contain a variety of carcinogenic contaminants that are introduced during fermentation and production, such as nitrosamines, asbestos fibers, phenols, and hydrocarbons.
How does the combination of alcohol and tobacco affect cancer risk?
Epidemiologic research shows that people who use both alcohol and tobacco have much greater risks of developing cancers of the oral cavity, pharynx (throat), larynx, and esophagus than people who use either alcohol or tobacco alone. In fact, for oral and pharyngeal cancers, the risks associated with using both alcohol and tobacco are multiplicative; that is, they are greater than would be expected from adding the individual risks associated with alcohol and tobacco together.
Can a person’s genes affect their risk of alcohol-related cancers?
A person’s risk of alcohol-related cancers is influenced by their genes, specifically the genes that encode enzymes involved in metabolizing (breaking down) alcohol.
For example, one way the body metabolizes alcohol is through the activity of an enzyme called alcohol dehydrogenase, or ADH. Many individuals of Chinese, Korean, and especially Japanese descent carry a version of the gene for ADH that codes for a "superactive" form of the enzyme. This superactive ADH enzyme speeds the conversion of alcohol (ethanol) to toxic acetaldehyde. As a result, when people who have the superactive enzyme drink alcohol, acetaldehyde builds up. Among people of Japanese descent, those who have this superactive ADH have a higher risk of pancreatic cancer than those with the more common form of ADH.
Another enzyme, called aldehyde dehydrogenase 2 (ALDH2), metabolizes toxic acetaldehyde to non-toxic substances. Some people, particularly those of East Asian descent, carry a variant of the gene for ALDH2 that codes for a defective form of the enzyme. In people who have the defective enzyme, acetaldehyde builds up when they drink alcohol. The accumulation of acetaldehyde has such unpleasant effects (including facial flushing and heart palpitations) that most people who have inherited the ALDH2 variant are unable to consume large amounts of alcohol. Therefore, most people with the defective form of ALDH2 have a low risk of developing alcohol-related cancers.
However, some individuals with the defective form of ALDH2 can become tolerant to the unpleasant effects of acetaldehyde and consume large amounts of alcohol. Epidemiologic studies have shown that such individuals have a higher risk of alcohol-related esophageal cancer, as well as of head and neck cancers, than individuals with the fully active enzyme who drink comparable amounts of alcohol . These increased risks are seen only among people who carry the ALDH2 variant and drink alcohol—they are not observed in people who carry the variant but do not drink alcohol.
Can drinking red wine help prevent cancer?
Researchers conducting studies using purified proteins, human cells, and laboratory animals have found that certain substances in red wine, such as resveratrol, have anticancer properties. Grapes, raspberries, peanuts, and some other plants also contain resveratrol. However, clinical trials in humans have not provided evidence that resveratrol is effective in preventing or treating cancer. Few epidemiologic studies have looked specifically at the association between red wine consumption and cancer risk in humans.
What happens to cancer risk after a person stops drinking alcohol?
Most of the studies that have examined whether cancer risk declines after a person stops drinking alcohol have focused on head and neck cancers and on esophageal cancer. In general, these studies have found that stopping alcohol consumption is not associated with immediate reductions in cancer risk; instead, it may take years for the risks of cancer to return to those of never drinkers.
For example, a pooled analysis of 13 case-control studies of cancer of the oral cavity and pharynx combined found that alcohol-associated cancer risk did not begin to decrease until at least 10 years after stopping alcohol drinking. Even 16 years after they stopped drinking alcohol, the risk of cancer was still higher for ex-drinkers than for never drinkers.
In several studies, the risk of esophageal cancer was also found to decrease slowly with increasing time since stopping alcohol drinking. A pooled analysis of five case–control studies found that the risk of esophageal cancer did not approach that of never drinkers for at least 15 years after stopping alcohol drinking.
Is it safe for someone to drink alcohol while undergoing cancer chemotherapy?
As with most questions related to a specific individual’s cancer treatment, it is best for a patient to check with their health care team about whether or not it is safe to drink alcohol during or immediately following chemotherapy treatment. The doctors and nurses administering the treatment will be able to give specific advice about whether drinking alcohol is safe with particular chemotherapy drugs and/or other medications prescribed along with chemotherapy.
The content of this page was heavily sourced from the National Cancer Institue 2014.
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Q:
Characteristic Property for Products of Smooth Manifolds
Does the characteristic property for products of smooth manifolds hold as well:
$$f\text{ smooth}\iff \pi_i\circ f\text{ smooth ...where }f:M\to\prod_{i\in I} M_i\text{ and }\pi_i:\prod_{i\in I} M_i\to M_i$$
A:
The answer is: YES!!! =D
Before we start off we define charts on finite(!) products of manifolds in the obvious way (obvious!)...
Now, observe that the composition of differentiable functions is differentiable (tricky!). This immediately implies the analogue for manifolds.
Besides, note that projection functions are differentiable (easy!); so its analogue for manifolds.
These two observations imply that the components of differentiable functions are differentiable; mutatis mutandis for manifolds.
Conversely, it follows that differentiable components of finite(!) products give rise to differentiable functions (doable!); this again immediately implies the analogue for manifolds.
Concluding that a function is differentiable iff its components are differentiable; mutatis mutandis for manifolds.
Especially, applying this to the original problem the answer is 'yes':
The product of manifolds satisfyies the characteristic property for smooth manifolds.
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is author of a dozen books (click on covers at right), including the new "THE TUNNELS: Escapes Under the Berlin Wall and the Historic Films the JFK White House Tried to Kill." He was the longtime editor of Editor & Publisher. Email: [email protected]. Twitter: @GregMitch
26 comments:
Steve Benson has issues that distort his vision of America and religion. He is not a credible source of information, as demonstrated in his lack of commitment to his own religion that he has denounced. As a result, he expresses himself as a confused man, who lacks proper judgment. His perspective on Mormonism is about as authoritative as the opinion of a hyena on the winter conditions in Antarctica. Steve is bent on negativity. What is he for? He doesn't have the guts to even mention what he stands for, because he doesn't stand for anything except bashing his heritage.
Deavers, what has Steve said that is incorrect??? I'm Mormon, but Steve didn't falsify anything.
"Bashing his heritage"??? So because he was raised Mormon he's supposed to stand behind it? What kind of logic is that?
I'm wondering why Mitt lied about Jesus and Lucifer not being brothers? We teach that in Primary (children's Sunday School)! If Mitt can so easily lie about something as important as his religion, what makes you think he won't lie as president?
Steve Benson is one of almost 300 million Americans, and is one of millions of Mormons, and E&P never explains why his views on Romney deserve any kind of special attention. He just seems, as the Utah editor said, embittered, for some reason, and his seething hatred for Romney and conservatives apparently appeals to the folks at E&P, because the story seems to have no relevance to journalism other than the fact that Benson is a cartoonist.
Max, no, we were taught from primary that satan = bad and Christ = good...I have never heard of Satan and Christ described as brothers except in anti-mormon manners. It's wrong on the sense that it places an amount of kinship that simply is not there.
And what Benson said and implied is ridiculous. I, too, am LDS and have been all my life. My faith is integral into my life...it is very much important and has an effect in all that I do. I do not have a problem saying I have faith in my God and wish to obey him. But I do have a problem implying that this entails odd moments of creating a theocracy. Rather I wish to live by the principles I've been taught: live cleanly, judge wisely, have mercy and charity, learn, etc. I've been taught to live my faith. I live it in that I take those principles and use them continually.
Steve Benson isn't a fair judge of my faith. His prejudice is clear and it fogs his ability to see a candidate beyond stereotypes of a religion. If I were to believe him, I'd assume that Romney, Reid, and other LDS leaders in high positions are into some near conspiracy to make a mormon-land when in reality the hope is not in that, but to live an exemplorary life in service of our fellow men and subsequently God and Christ...to show the other portion of those primary lessons of the power and necessity of choice instead of coercing all to be the same.
I was a Mormon just like Steve Benson. I went to BYU at the same time that he did. I have Mormon heritage back to its inception on both sides of the family. I am now an atheist. I disagree with many if not most of the official doctrines as well as the unofficial practices of Mormons. However, Steve Benson can’t have it both ways. He can’t claim that Mitt Romney is totally subservient to Mormon officials while also criticizing him for changing positions over a span when the Mormon church has held a single position. In other words, Romney was not excommunicated during the times that he practiced positions in contradiction to Mormonism. Mormon leaders are happy to let high-profile Mormons do their own thing and not be totally subservient. (For instance, a major tenet of Mormonism is not working on Sundays, but they do not ex-communicate their high-profile Mormon professional athletes and coaches.) Romney will not be owned by the Mormon leaders as much as he will own the Mormon church if he were to become president. I hope he is nominated because there is no way he would beat any democrat in the general election.
Could the issue here be that Steve Benson is trying to make people afraid of another group? I ask why would he do that?Is there really anything to fear in having a Mormon be president?If you are afraid of it, then why exactly - where does that fear come from? Is that fear founded or not?
To Max, if you read Chuck McKinnon statements on http://www.mediainfo.com/eandp/news/article_display.jsp?vnu_content_id=1003687107then you will see why what Steve Benson said is distorted.
There really is nothing to fear in having a Mormon be a president, simply because they are Mormon. The bigger problem is when people of any culture or religion utilize negativity and distrust that feeds off of the least favorable aspects of human nature.
I'm much more in favor of a Gandhi approach. He talked about the most important battles we face being not those against each other, but those inside of ourselves: "You must be the change you wish to see in the world"
Steve always has been a pretty funny guy and I half believe he's saying all this tongue-in-cheek.
He got his start and has made a good living out West poking fun at the gap between Mormon ideals and the amusing compromises made on a daily basis to deal with real life.
If the LDS church has such powerful control over its members, why do stores of all kinds do such thriving business throughout Utah on Sundays? Why isn’t every congregation 100 percent in attendance, tithing, fast offerings, home teaching, etc? Why not 70 percent or at least 60 percent?
And Romney interpreted perfectly the way the constitution protects and limits the influence of religion on government in his speech on Faith in America.
Most of all, Steve should remember the way his grandfather was defied by Mitt’s father, George Romney, when Ezra Taft Benson thought he’d try to misuse his high-ranking position in the church to influence public policy.
This cartoonist has grown bitter against the church and has made a hobby of attacking it unfairly for most of the years since he left it.
It sets a bad example for the industry to use him as a source in anything readers are expected to take seriously. He has a great sense of humor, but I’d even question quoting him in something light hearted, he’s become so bigoted. It’s very sad to see.
I'm always mystified by those who claim to be Christian who bash others for their beliefs.
The LDS Church 12th Article of Faith declares:"We believe in being subject to kings, presidents, rulers, and magistrates, in obeying, honoring, and sustaining the law."
As a world church with over 13 million members the church and its members must defer to the authority that governs the land in which the member resides. The New Testament records Christ's teachings on this subject in three of the four gospels. Luke 20: 25 records: "And he (Christ) said unto them, Render therefore unto Caesar the things which be Caesar’s, and unto God the things which be God’s." This isn't just Mormon doctrine, it's Christ's law.
Mr. Romney, as Governor of Massachusetts, displayed an ability to be obedient to this higher law by following the laws of the land, which required him to embrace the will of the people on many social and political issues that would seem to be in conflict with church doctrine and perhaps his own set of beliefs.
This election should not be about religion. It is ridiculous and unfair that Romney has to provide explanation of church doctrine as well as his political platform while running for president. Presidential candidates who have attempted to introduce this into the debate have revealed their true colors while Romney seems to be a person of solid character.
Oh, and as we are all children of God wouldn’t that make all of us brothers and sisters? Can we move on now?
Steve is bitter, it is easy to see his anger in his critical commentary. Look at what he does for a living - criticize a community of people for their beliefs. What a waste of time! Why anyone holds any merit to what he says is beyond me. He is neither a believer nor expert but a mere cartoonist. He is only mad that he did something against the teachings of the LDS church and was excommunicated for it. He lead himself down the path of anger and hatred towards the Mormon church when he could have chosen the path of humility and change. Excommunicated Mormon church members can be rebaptized and I think that is the path he did not choose because pride and anger ruled his heart. His actions speak to this truth clearly and that goes for anyone else in the world that speaks negative of other beliefs or systems. It is a pessimistic approach to life that yields nothing but self gratification for attempting to discredit others. Why can't we discuss the positive in others and desist in drudging through the muck of mediocrity?
Steve is correct in his understanding of the LDS Church's masterful ability to dodge and weave around issues. Having said that I miss being a Mormon. (I left the LDS church 27 years ago.) I miss the sense of certainty that I had then, and the simplcity of not having to derive my own sense of morality. I also miss being young.
Related to that, my concern with Mitt Romney is not that he has changed positions, but that as a Mormon his moral compass is more likely than others' to be underdeveloped. Changing fundamental moral positions in the future will once again depend too much on cold calculation and too little on "that still small voice", whose primary purpose (when I was taught in LDS Sunday School)was to convince us of Mormonism's truth.
The following was posted on the LDS churches' official website prior to the Utah Olympics (before they decided to try and make the church *appear* mainstream and removed some of their statements regarding their bizarre beliefs from their website):
"We needed a Savior to pay for our sins and teach us how to return to our Heavenly Father. Our Father said, ‘Whom shall I send?’ Two of our brothers offered to help. Our oldest brother, Jesus Christ, who was then called Jehovah, said, ‘Here am I, send me’ (Abraham 3:27).
Satan, who was called Lucifer, also came, saying, ‘Behold, here am I, send me, I will be thy son, and I will redeem all mankind, that one soul shall not be lost, and surely I will do it.’ (Moses 4:1)"
As bizarre as that belief may be to some, it is not as bizarre as the one saying we can all become gods ourselves and rule over our own planet someday.
I agree with what some media people have said. I don't care if you want to believe all that crazy (to me now) stuff, but at least BE HONEST ABOUT YOUR BELIEFS. Don't suddenly try to erase everything your church believes in and try to appear to be mainstream. If Mitt can't be honest about his religion, what CAN he be honest about? Why should I trust him as PRESIDENT???
"I agree with what some media people have said. I don't care if you want to believe all that crazy (to me now) stuff, but at least BE HONEST ABOUT YOUR BELIEFS. Don't suddenly try to erase everything your church believes in and try to appear to be mainstream. If Mitt can't be honest about his religion, what CAN he be honest about? Why should I trust him as PRESIDENT???"
So you are not mormon, correct. Or at least no a believing one. As it is, I feel more comfortable saying Christ and Satan are not brothers, but would subsequently feel fine say, once they were. It would be similar to saying Satan is an angel (it sounds like an oxymoron) but to say he was is just fine. In other words, it's past tense.
It's alright to admit your not mormon...you don't need it to validate your claims, especially when LDS come and call you on your own bluff. Besides it does as much good as this article's validation of Benson by mentioning his own credentials.
"Changing fundamental moral positions in the future will once again depend too much on cold calculation and too little on "that still small voice", whose primary purpose (when I was taught in LDS Sunday School)was to convince us of Mormonism's truth."
No, listening to that small voice or your consciencce as a witness of truth is only one of its purpose. To be a guide is yet another (In other words, don't become automaton, and learn to bend a bit...be situational and well as theoretical or practical.
The Truth: I am *technically* still a Mormon. Been waiting a few months for my confirmation letter (which I need in order to stop being harrassed by the church and its minions). Trying to get out of this church is harder than pulling teeth.
We have a new interview with Benson up on our site in which he responds to some of the criticism here. It's at: http://www.editorandpublisher.com/eandp/news/article_display.jsp?vnu_content_id=1003687866
Gov. Romney is what America needs. People around the world need to see a different kind of Leader. Foreign Nations think Most Americans are unfaithful, womanizer, drunk, uses filthy language, unclean etc.
Governor Romney has all the talents, intelligence, business acumen, successful experiences, perseverance, diligence and cleanliness inside that people outside the US will exclaim, "WOW, You never had a cigarette or drink beer or had premarital sex or swear ever in your life?"
As for Steve Benson, I couldn't care less, nothing is positive about him except his last name which is the same as our past great President Benson.
First you totally misquoted the scripture that you ineffectively used to prove a point that Jesus and Satan are brothers. Just paste it directly on the comment. Here it is for you:
And the Lord said: Whom shall I send? And one answered like unto the Son of Man: Here am I, send me. And another answered and said: Here am I, send me. And the Lord said: I will send the first. (Abr. 3:27)
And I, the Lord God, spake unto Moses, saying: That Satan, whom thou hast commanded in the name of mine Only Begotten, is the same which was from the beginning, and he came before me, saying—Behold, here am I, send me, I will be thy son, and I will redeem all mankind, that one soul shall not be lost, and surely I will do it; wherefore give me thine honor. (Mos. 4:1)
As everyone can tell the word "brother" is not in there.
If you are trying to say that Satan and Jesus are brothers just like you and your next door neighbor are brothers, then you would be more correct. Mormon doctrine teaches that we are all brothers and sisters. I think that belief is actually taught by many faiths. If you can't even be honest in one comment (mis quote scripture to try to prove your point) why should Mitt Romney even want your vote!
As a devout Latter-day saint and sister of Steve Benson, I disagree with Steve’s analysis of church leadership during Ezra Taft Benson’s tenure as president of the Church of Jesus Christ of Latter day Saints. I also saw first hand President Benson’s condition during his administration, including personal visits with him during the final weeks of his life as his health failed. Pres. Benson was subject to the natural conditions of aging. However, at no time, did I feel “fooled” as a member of the Church into believing that Pres. Benson was doing more than he was physically or mentally capable of doing. I, along with other members of the Church, knew of his health related limitations. However, we also knew that the Church would continue to move forward with Pres. Benson’s best efforts, that of his counselors, and the Quorum of the Twelve Apostles, along with other church leaders. We were never deceived or led to believe otherwise.Mary Benson Richards
Either way, Steve has issues. He needs to repent. IT's that simple. He needs to repent. His pride is nothing but enmity between himself and God, and then he shares it with the rest of the world. Steve needs to work on the one relationship in his life that matters most. He needs to repent.
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As the floodgates opened to new arrivals the very fabric of our country was transformed. Vast swathes of urban Britain became like a foreign land. Social cohesion collapsed. British workers were thrown on the economic scrapheap. No occupying foreign invader could have done more damage to Britain than the treacherous, unpatriotic governments of Tony Blair and Gordon Brown. There is now growing public fury and despair over what has happened to our once well-ordered nation.
Opinion polls show that immigration has become the most important issue for the electorate, while the dramatic rise of the UK Independence Party has been partly fuelled by anger over the unceasing influx.
In a cynical bid to capitalise on this public backlash Labour leader Ed Miliband now pretends that his party has adopted a new approach to immigration. The old days of supporting open borders have gone, he promises. In comes a supposedly tougher strategy that puts the interests of the British people first. It would be hard to conceive of a more shameless exercise in political deceit than this last farrago of drivel from Miliband. Labour has not changed from the dark days of Brown and Blair.
An ideological attachment to mass immigration and multi-culturalism is written into the party’s DNA. What Miliband is really trying to do is not proclaim a new policy but to mislead the public. A ll his traits of hypocrisy, duplicity and opportunism were on full display in his party political broadcast last night. He said with phoney candour that Labour “got it wrong on immigration”.
What a grotesque understatement.
In truth Labour almost wrecked our nation with their aggressive social revolution, in which the rate of immigration was deliberately cranked up to almost 600,000 new arrivals every year.
Our democracy has been subverted by tribalism at the ballot box, our justice system by sharia law. Vicious misogyny is rampant, reflected in the appalling incidence of honour killings and forced marriages. Incredibly the Home Office estimates that 24,000 girls in this country are at risk every year from the barbaric practice of female genital mutilation. Miliband’s blatherings last night would have been laughable were they not so offensive. He proclaimed in his broadcast that it is “not prejudiced” to worry about immigration yet Labour always painted critics of its open-door policy as xenophobes and racists.
“A bigoted woman,” was Gordon Brown’s notorious description of Rochdale voter Gillian Duffy when she dared to express her concerns about immigration. Only a few months ago Labour-run Rotherham council removed a child from the care of a couple who happened to be Ukip voters and were therefore deemed by the municipal race commissars to be unfit for the role of foster parents.
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Manyikeni
Manyikeni is a Mozambican archaeological site, around 52 km west of the coastal city of Vilanculos. The archaeological site dates from the twelfth to seventeenth century. It is believed to be part of the Great Zimbabwe tradition of architecture, distinguished by mortarless stone walls, and part of the famous Mwenu Mutapa’s Kingdom. The central stone enclosure complex is built in this tradition, and the find of a Zimbabwe-style iron gong at the site also suggests cultural ties.
The site today is covered by the Cenchrus ciliaris grass, commonly found in Zimbabwe but seldom reported in Mozambique. Berger suggests that this may indicate the grass was introduced along with cattle from Zimbabwe. However this grass species is found in all countries along the East coast of Africa (GBIF) and so the low number of records in Mozambique may merely reflect a lack of prior collecting. The site is located 350 km from Great Zimbabwe, the capital of a large, pre-colonial empire active from at least the 11th through the 14th centuries. Barker (1978) has suggested that only the ruling elite at Manyikeni consumed beef, as cattle bones have been found only in the central part of the site. The lower classes who lived at the periphery of the site ate meat from sheep and goats. The presence of a large number of glass beads and seashells at the site have led to speculation that the settlement traded extensively with the ancient coastal settlement of Chibuene.
Manyikeni can be reached from Vilanculos by driving to the EN1 and then travelling south for 30 km. At the small town of Mapinhane, turn right and drive west for 29 km. A small sign shows the entrance to a small track that leads for 3 km before reaching the ruins.
Overview of the site
The site is located on the eastern coastal plains of the Indian Ocean and one of the only Zimbabwean tradition stone enclosures relatively near the coast, emphasizing the site’s role as a coastal trade location. Most importantly, the site appears to have had an important trade relationship with the site located 50 km away, Chibuene, an important Indian Ocean trade network site in the late first millennium AD to the 1700s AD. Occupation of the site begins at about 1200 AD and lasting until 1700 AD. This occupation period is typically broken up into three periods: 1200 AD in which the stone enclosure was being built; 1200-1450 AD in which consists of the height of occupation; and to 1700 AD in which the site was abandoned. The stone enclosure was excavated for the first time in 1975 and 1976, shortly after Mozambique independence by the Eduardo Mondlande University Centre for African Studies and the British Institute in Eastern Africa to 1978. The research in this period determined that the site was a later Iron Age farming community of the Great Zimbabwean tradition, potentially used as a trade outpost with Chibuene.
Stone enclosure
The most distinguishing feature of the site is the stone enclosure reflecting that of the Great Zimbabwe tradition. This enclosure measures 20 meters in diameter with a height of 50 cm, making it much smaller in size than the enclosure of Great Zimbabwe. The stone enclosure was constructed without mortar in a similar fashion to Great Zimbabwe, further emphasizing its association with this tradition. Construction was undertaken with the use of limestone, differing from other Great Zimbabwe associated sites that used granite. This was due to the higher availability of limestone in the surrounding region which follows the pattern of other periphery sites of the Great Zimbabwe tradition that utilized resources from the surrounding region, rather than importation of granite for the construction of the stone enclosures. Great Zimbabwe stone enclosure construction was affected by the given location of the site with the availability of stone determining the size of the stone enclosure of the particular site. Granite was the most malleable construction material used by the Great Zimbabwe tradition, but as for limestone at Manyikeni, this material was much more difficult to shape into building blocks. As a result, the use of limestone was partly responsible for the much smaller size of the stone enclosure at the site.
World Heritage status
This site was added to the UNESCO World Heritage Tentative List on September 15, 1997 in the cultural category.
References
Sources and external links
Manyikeni and Chibuene at UNESCO World Heritage Centre
Symposium
Directions and Photos at Mozaic Travel
Category:Mozambican culture
Category:Archaeological sites in Mozambique
Category:Former populated places in Mozambique
Category:World Heritage Site Tentative list
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The Mancini Marriage Bargain
Alt titles: Aisarenu Tsuma, The Arranged Brides Duo Book 2
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Let's face it, many artists have apparently never seen a human body before and clearly have no idea how to draw one. Gangly arms and huge hands are so common yaoi manga covers, but manhwa covers, quickly spat out Harlequin...
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Founded in 2001 as the first anime & manga recommendation database.
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O’Reilly defended the host at his former network, however, arguing in a tweet that criticizing LeBron’s “political punditry” is fair game:
The anti-Laura Ingraham pile on continues and it’s absurd. If LeBron James wants to use his basketball platform for political punditry then he should expect criticism from analysts like Laura. If LeBron has the stronger argument, let it flow. But spare us the indignation, please.
O’Reilly was dumped from Fox News — where he reigned as the king of primetime cable news for years — after it was revealed that Fox News had settled a number of lawsuits by women who claimed he had sexually harassed them. Since his ousting in April 2017, O’Reilly has hosted an online show, No Spin News, on his website. It’s safe to assume LeBron will not be watching.
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1. Introduction {#sec1}
===============
Red cell distribution width (RDW) indicates the size variability of circulating erythrocytes and often reported as a part of the complete blood count for the differential diagnosis of anemia \[[@B1], [@B2]\]. Recent studies have demonstrated that increased RDW is an independent predictor of overall as well as cardiovascular mortality \[[@B3]--[@B6]\]. However, the mechanism underlying this relationship between RDW and cardiovascular disease (CVD) remains unclear.
Ultrasonographic measurement of carotid intima-media thickness (C-IMT) is a relatively simple, noninvasive way to assess subclinical atherosclerosis in high-risk patients. CVD is the most common cause of death in people with type 2 diabetes, and C-IMT has been widely used to predict CVD risk and related outcomes in these people \[[@B7]--[@B10]\]. There are few studies that have assessed the relationship between RDW and C-IMT in general as well as high-risk populations. Although some conflicting data exist, several studies have verified the association between RDW and C-IMT among people with cardiovascular risks including hypertension, stroke, and chronic kidney disease \[[@B11]--[@B16]\]. However, the association between RDW and C-IMT is not known in people with type 2 diabetes.
In this study, we analyzed the relationship between RDW and subclinical atherosclerosis measured by C-IMT and examined its potential role as a marker carotid atherosclerosis in Koreans with type 2 diabetes without CVD.
2. Materials and Methods {#sec2}
========================
2.1. Subjects {#sec2.1}
-------------
Four hundred sixty-nine people with type 2 diabetes at the Diabetes Center of Gangnam Severance Hospital, Korea, were enrolled in this cross-sectional study. The subjects were retrospectively recruited from Cohort Study for Clinical Research in Gangnam Severance Hospital. This study is an observational study designed to systemically collect clinical and biochemical information of people with impaired glucose metabolism in the Gangnam area in Seoul, Korea, and to establish a cohort to be followed for the incidence of diabetes among those at prediabetic phase and also diabetic complications. Previously diagnosed diabetes patients based on self-reported responses and newly diagnosed diabetes patients according to the American Diabetes Association criteria were all included. People with concurrent acute illnesses including clinically significant infectious diseases, chronic kidney or hepatic diseases, malignancy, and any systemic hematologic disorders that could affect red blood cells were excluded. Those with prior cardiovascular or cerebrovascular diseases were also excluded. Among the 577 type 2 diabetes patients enrolled in Cohort Study for Clinical Research in Gangnam Severance Hospital between 2013 and 2014, 61 subjects with a history of coronary artery disease or cerebrovascular accident, 22 subjects with chronic kidney disease or chronic hepatitis disease, 4 subjects with cancer, and 2 subjects with acute infection were excluded, and 469 subjects were analyzed. The institutional review board of Yonsei University College of Medicine approved this study protocol, and written informed consent was obtained from all subjects.
2.2. Anthropometric Measurements {#sec2.2}
--------------------------------
Body weight and height were measured in the morning, without clothing and shoes, and body mass index (BMI) was calculated by dividing the weight (kg) by the square of the height (m^2^). Systolic and diastolic blood pressures were measured by an experienced technician by placing the left arm at heart level after a five-minute rest using EASY X 800 (Jawon Medical Co. Ltd, Seoul, Korea). Current smoking was defined as having smoked cigarettes regularly over the previous 6 months.
2.3. Biochemical Parameters {#sec2.3}
---------------------------
Blood samples were taken from all subjects after an overnight fast. Standard methods were used for complete blood count and biochemistry. Fasting plasma glucose (FPG), total cholesterol (TC), high-density lipoprotein cholesterol (HDL-C), and triglycerides (TG) levels were determined using enzymatic methods with a Hitachi 7600-120 automated chemistry analyzer (Hitachi, Tokyo, Japan). Low-density lipoprotein cholesterol (LDL-C) was calculated according to the Friedewald formula. Hemoglobin A1c (HbA1c) was determined by high-performance liquid chromatography (Variant II, Bio-Rad, Hercules, CA, USA). RDW, hemoglobin, and white blood cell (WBC) count were measured as part of the automated complete blood count using an ADVIA 2120 (Siemens, Erlangen, Germany). Fasting serum insulin was determined by chemiluminescence (RIA kit, Daiichi, Japan), and insulin resistance was calculated using the homeostasis model assessment of insulin resistance (HOMA-IR) index, using following formula: HOMA-IR = fasting insulin (*μ*U/mL) × fasting plasma glucose (mmol/L)/22.5.
2.4. Carotid Artery Intima-Media Thickness (C-IMT) {#sec2.4}
--------------------------------------------------
C-IMT was measured by high-resolution B-mode ultrasonography on a single machine (Aloka, Tokyo, Japan) with a 7.5 MHz linear array transducer by the same investigator throughout the study. The probe scanned the far wall of the middle and distal common carotid artery by a lateral longitudinal projection. IMT was defined as the distance between the lumen-intima interface and media-adventitia interface. The measurement was made at 20 mm proximal to the origin of the right and left carotid bulb using the computer-assisted analyzing system (M\'ATH, METRIS Co., Argenteuil, France) in conjunction with the ultrasound exam. The mean value of 99 computer-based points in this region was calculated to be the C-IMT \[[@B17]\]. The carotid atherosclerosis was defined to be present when C-IMT was greater than or equal to 1.0 mm at either side of the carotid artery, assessed by B-mode ultrasound \[[@B10], [@B18], [@B19]\]. The C-MT investigator was blinded to the RDW results.
2.5. Statistical Analysis {#sec2.5}
-------------------------
Data were expressed as the mean ± S.D. One way analysis of variance (ANOVA) was used to compare various continuous variables among the groups. Correlation coefficients between C-IMT and various clinical factors were calculated with Pearson\'s test. Triglycerides, insulin, and HOMA-IR were log-transformed for analysis since they showed skewed distributions. Enter method multiple linear regression analysis was used to assess whether the factors shown to be significantly associated with C-IMT remained significant after adjustment. The association of the RDW with carotid atherosclerosis was further explored by categorizing the RDW into tertiles and using the first tertile as the reference. Adjusted odds ratios (ORs) and corresponding 95% confidence intervals were estimated with the use of multivariate logistic regression analysis models. Statistical analyses were carried out using SPSS for Windows 20.0 (SPSS Inc., Chicago, IL, USA). *p* values \<0.05 were considered statistically significant.
3. Results {#sec3}
==========
3.1. Baseline Clinical Characteristics of Subjects {#sec3.1}
--------------------------------------------------
Clinical and biochemical characteristics of the study participants are summarized in [Table 1](#tab1){ref-type="table"}. The participants were stratified into three groups according to RDW. Several parameters showed significant differences among the groups. Participants in the highest tertile RDW were older, more likely to be smokers, obese, and had higher blood pressure and longer duration of diabetes compared to subjects in the lowest tertile.
C-IMT values were 0.740 ± 0.120 mm, 0.772 ± 0.138 mm, and 0.795 ± 0.139 mm, in the order of first, second, and third RDW tertiles, respectively, and ANOVA showed significant differences in C-IMT values between tertiles 1 and 2 and tertiles 2 and 3 ([Figure 1](#fig1){ref-type="fig"}).
3.2. Relationship between RDW and Various Metabolic Parameters {#sec3.2}
--------------------------------------------------------------
Correlation analyses revealed that C-IMT significantly correlated with age, male gender, BMI, SBP, DBP, insulin, HOMA-IR, smoking, and RDW. In multiple linear regression analysis, RDW was associated with C-IMT after control for covariates ([Table 2](#tab2){ref-type="table"}).
The association between RDW and carotid atherosclerosis was further explored by categorizing RDW into three groups and using the first group as the reference. Compared to subjects at the lowest tertile of RDW, those at the 2nd and 3rd tertile of RDW were at a significantly higher risk of having C-IMT ≥ 1.0 mm (OR 1.68 and 2.12, resp.), after adjusting for age and sex. Those at the highest tertile RDW were 1.95 times more likely to have C-IMT ≥ 1.0 mm after adjusting for various factors related to atherosclerosis, including blood pressure, smoking, BMI, use of statin, and lipid and glucose parameters ([Table 3](#tab3){ref-type="table"}).
4. Discussion {#sec4}
=============
In this study, we investigated the relationship between RDW and C-IMT as a marker of subclinical atherosclerosis in people with type 2 diabetes without a history of cardiovascular or cerebrovascular diseases. A positive association was identified between RDW and C-IMT, and it remained significant after adjusting for other cardiovascular risk factors. Participants with highest tertile RDW were over twice more likely to have C-IMT greater than or equal to 1.0 mm compared to those with the lowest tertile. To the best of our knowledge, this is the first study to demonstrate a correlation between RDW and C-IMT in people with type 2 diabetes.
Our results showed that elevated RDW is associated with age, prevalence of hypertension, BMI, SBP, and smoking in people with type 2 diabetes mellitus. These findings are consistent with those of previous studies \[[@B20]--[@B22]\]. On the basis of these studies, we believe that atherosclerotic risk factors might be closely related to RDW.
Recently, several studies have demonstrated the association between RDW and increased cardiovascular events and mortality \[[@B3]--[@B6]\]. However, there are only few reports on the relationship between RDW levels and subclinical atherosclerosis. Moreover, the results have been inconsistent. Some studies failed to show any association between RDW and C-IMT \[[@B11], [@B12]\]. In contrast, Wen et al. reported that high RDW levels were associated with C-IMT and carotid plaque in hypertensive people \[[@B13]\]. Other studies identified significant associations between RDW levels and C-IMT in people with ischemic stroke and high-risk group of angina \[[@B14], [@B15]\]. Recently, Söderholm et al. also reported an association between RDW and C-IMT in the general population \[[@B16]\]. In agreements with several prior studies, the present study showed that RDW is correlated with C-IMT after adjusting other cardiovascular risk factors in people with type 2 diabetes as well.
Although C-IMT measurement can be done without concerns for radiation exposure or radiocontrast dye-induced nephropathy compared with other diagnostic tools for atherosclerosis, such as cardiac computerized tomography or brain magnetic resonance angiography, it is expensive and many clinics are not equipped with the ultrasound. Therefore, along with other well-known risk factors for atherosclerosis, an increased RDW could be considered another marker for atherosclerosis in people with type 2 diabetes without CVD.
Although the exact pathophysiological mechanism has not been clarified, it may be linked to oxidative stress and inflammation. Chronic inflammation and oxidative stress play important roles in arterial atherosclerosis \[[@B23]--[@B27]\]. Oxidative stress directly damages erythrocytes and leads to shortened erythrocyte survival, resulting in elevated RDW \[[@B28]\]. In a study of 786 disabled community-dwelling elderly women, the antioxidant, selenium, is independently associated with RDW, and this study also suggested that oxidative stress may be a potential underlying biological mechanism for increased RDW \[[@B29]\]. In addition, inflammation might contribute to an increased RDW. Recent studies also supported the association of anisocytosis and inflammatory markers \[[@B30]\]. However, we did not investigate oxidative stress and inflammatory markers, and the precise relationship between them could not be evaluated in this study.
Our study had several limitations. First, owing to the cross-sectional design, we were unable to determine whether there was a causal relationship between RDW and C-IMT in people with type 2 diabetes. Second, our study population was relatively small. A prospective, larger population studies are needed to confirm the relationship, and they may also provide an RDW cutoff point for a clinically significant carotid atherosclerosis or a need for further evaluation. Also, carotid plaque volume has been shown to be a better predictor of cardiovascular risk compared with intima-media thickness \[[@B31]\], and it should be assessed in the future study, Finally, participants in the current study were enrolled in a single urban hospital, resulting in the possibility of selection bias. Although our study had limitations in generalizing the results, it is the first study to clarify the association between RDW and C-IMT in people with type 2 diabetes.
5. Conclusions {#sec5}
==============
We found a significant association between RDW and C-IMT in people with type 2 diabetes without a history of cardiovascular or cerebrovascular diseases. Increased RDW might be a risk factor for subclinical atherosclerosis in people with type 2 diabetes.
This study was supported by a grant from the Seoul R&BD Program, Republic of Korea (10526).
Disclosure
==========
These study results have been presented as a poster at the Korean Association of Internal Medicine Spring Conference 2016.
Conflicts of Interest
=====================
The authors declare that there are no conflicts of interest regarding the publication of this article.
{#fig1}
######
Clinical characteristics of subjects according to RDW tertiles.
I (10.9--12.1%) II (12.2--12.6%) III (12.7--16.0%) *p* value
----------------------------- ------------------- ------------------- ------------------- -----------
*N* 158 157 154
Male (%) 105 (66.5) 88 (56.1) 100 (64.9) 0.22
Age (years) 54.29 ± 10.57 56.88 ± 11.96 59.92 ± 12.44 \<0.01
Diabetes duration (years) 6.78 ± 6.81 7.25 ± 7.57 7.61 ± 7.43 \<0.01
BMI (kg/m^2^) 24.15 ± 2.77 24.58 ± 3.41 25.28 ± 3.57 0.01
SBP (mmHg) 124.18 ± 13.31 127.03 ± 14.19 128.07 ± 14.54 0.04
DBP (mmHg) 77.08 ± 9.06 77.66 ± 8.27 77.48 ± 8.85 0.37
FPG (mmol/L) 9.09 ± 3.94 9.16 ± 3.73 9.57 ± 4.09 0.16
HbA1c (%) 8.62 ± 2.24 8.63 ± 2.43 8.69 ± 2.23 0.39
HbA1c (mmol/mol) 70.7 ± 1.0 70.8 ± 3.1 71.5 ± 0.9 0.41
TC (mmol/L) 4.46 ± 1.06 4.37 ± 1.09 4.55 ± 1.11 0.33
TG (mmol/L) 1.55 (1.15--2.19) 1.36 (1.06--1.99) 1.32 (1.01--1.72) 0.07
LDL-C (mmol/L) 2.55 ± 1.03 2.56 ± 0.93 2.57 ± 0.98 0.76
HDL-C (mmol/L) 1.13 ± 0.33 1.14 ± 0.33 1.15 ± 0.31 0.85
Insulin (mIU/dL) 6.0 (3.0--9.2) 6.75 (2.5--9.8) 7.6 (2.8--11.4) 0.31
HOMA-IR 2.50 (1.07--3.87) 2.31 (1.03-4.25) 2.32 (1.04--4.56) 0.23
Hemoglobin (g/dL) 14.28 ± 1.50 13.78 ± 1.61 13.55 ± 1.63 \<0.01
WBC (10^3^/mL) 6.76 ± 1.78 6.84 ± 1.88 6.93 ± 1.63 0.22
Antidiabetic medication (%)
Thiazolidinedione 45 (28.5) 46 (29.3) 41 (26.6) 0.45
Metformin 134 (84.8) 139 (82.5) 128 (83.1) 0.67
Sulfonylurea 80 (50.6) 76 (48.4) 84 (54.5) 0.51
DPP-IV inhibitor 39 (24.7) 37 (23.6) 39 (25.3) 0.20
Insulin 21 (13.3) 25 (15.9) 22(14.3) 0.37
Smoking (%) 50 (31.6) 53 (33.8) 69 (44.8) 0.02
Hypertension (%) 75 (47.4) 83 (52.9) 91 (59.1) \<0.01
Statin use (%) 92 (58.2) 94 (59.9) 99 (64.3) 0.42
Data are represented as the mean ± SD, number (percentage), or median (interquartile range). RDW: red blood cell distribution width; BMI: body mass index; SBP: systolic blood pressure; DBP: diastolic blood pressure; FPG: fasting plasma glucose; HbA1c: hemoglobin A1c; TC: total cholesterol; TG: triglyceride; LDL-C: low-density lipoprotein cholesterol; HDL-C: high-density lipoprotein cholesterol; HOMA-IR: homeostasis model assessment of insulin resistance; WBC: white blood cell.
######
Correlations and multiple regression of risk factors associated with C-IMT.
*γ* *p* value *β* *p* value
------------------------------------- -------- ----------- ------- -----------
Age 0.497 \<0.01 0.228 \<0.001
Sex (M versus F) 0.229 \<0.01 0.191 \<0.001
DM duration (yrs) 0.216 \<0.01 0.087 0.108
BMI (kg/m^2^) 0.089 0.047 0.039 0.459
SBP (mmHg) 0.196 0.031 0.135 0.041
DBP (mmHg) 0.107 0.036 0.057 0.323
FPG (mmol/L) 0.013 0.590 --- ---
HbA1c (%) 0.027 0.565 --- ---
TC (mmol/L) 0.050 0.192 --- ---
TG (mmol/L) 0.105 0.074 --- ---
LDL-C (mmol/L) 0.082 0.322 --- ---
HDL-C (mmol/L) −0.062 0.190 --- ---
Insulin (mIU/dL) 0.092 0.061 --- ---
HOMA-IR 0.125 0.020 0.100 0.042
RDW (%) 0.162 \<0.01 0.112 0.030
Smoking (smokers versus nonsmokers) 0.173 \<0.01 0.131 0.015
C-IMT: carotid intima-media thickness; M: male; F: female; DM: diabetes mellitus; BMI: body mass index; SBP: systolic blood pressure; DBP: diastolic blood pressure; FPG: fasting plasma glucose; HbA1c: hemoglobin A1c; TC: total cholesterol; TG: triglyceride; LDL-C: low-density lipoprotein cholesterol; HDL-C: high-density lipoprotein cholesterol; HOMA-IR: homeostasis model assessment of insulin resistance; RDW: red blood cell distribution width. Continuous variables with skewed distributions (TG, insulin, and HOMA-IR) were log-transformed for analysis.
######
Odds ratios and 95% confidence intervals for increased carotid IMT according to RDW.
RDW tertile
-------------- ------------- ------------------- ------------------- --------
OR (model 1) 1.00 1.89 (1.10--3.25) 2.77 (1.63--4.70) \<0.01
OR (model 2) 1.00 1.68 (1.03--2.80) 2.12 (1.18--4.23) \<0.01
OR (model 3) 1.00 1.28 (0.87--2.01) 1.95 (1.08--3.52) 0.03
RDW: red blood cell distribution width; OR: odds ratio. Carotid atherosclerosis was defined as C-IMT ≥ 1.0 mm. Model 1: unadjusted. Model 2: adjusted for age and sex. Model 3: adjusted for age, sex, DM duration, BMI, SBP, DBP, TG, HDL-C, LDL-C, HOMA-IR, and smoking.
[^1]: Academic Editor: Andrea Flex
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tomekkorbak/pile-curse-small
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PubMed Central
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Pulsing electromagnetic fields (PEMFs) in spinal fusion: preliminary clinical results.
Pulsing electromagnetic fields (PEMFs) were used during the postoperative management of 31 patients submitted to lumbosacral posterolateral fusion (PLF). The fusions were stimulated with PEMFs during the first 2 of the 4 months of postoperative immobilization. Consolidation of PLF was obtained in 20 of the 31 patients after 2 months of stimulation, thus, healing time was cut in half. After 4 months, fusion was observed in 30 out of the 31 cases submitted to stimulation (96%).
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tomekkorbak/pile-curse-small
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PubMed Abstracts
|
A hacking collective known as The Dark Overlord announced on New Year's Eve that it had broken into the computer systems of a law firm and obtained files related to the September 11 attacks - threatening to publicly release a large cache of internal files unless a hefty ransom is paid, according to Motherboard.
Dark Overlord's demands targeted several insurers and legal firms, including Lloyds of London, Silverstein Properties and Hiscox Syndicates. It is unclear what exact files were stolen by the group, however the hacking collective tweeted "We'll be providing many answers about 9.11 conspiracies through our 18.000 secret documents leak from @HiscoxComms and others."
"Hiscox Syndicates Ltd and Lloyds of London are some of the biggest insurers on the planet insuring everything from the smallest policies to some of the largest policies on the planet, and who even insured structures such as the World Trade Centers," the group's announcement reads.
According to a spokesperson for the Hiscox Group, the hackers had breached a law firm which advised the company and had likely stolen files linked to litigation tied to the 9/11 attacks.
"The law firm’s systems are not connected to Hiscox’s IT infrastructure and Hiscox’s own systems were unaffected by this incident. One of the cases the law firm handled for Hiscox and other insurers related to litigation arising from the events of 9/11, and we believe that information relating to this was stolen during that breach," the spokesperson told Motherboard in an email.
"Once Hiscox was informed of the law firm’s data breach, it took action and informed policyholders as required. We will continue to work with law enforcement in both the UK and US on this matter," they added.
The hacking group published a small set of letters, emails and other documents that mention various law firms, as well as the Transport Security Administration (TSA) and Federal Aviation Administration (The TSA could not provide a statement in time for publication, and the FAA told Motherboard in an email it was investigating.) Those documents themselves appear to be fairly innocuous, but the group says it may release more. In its extortion note, The Dark Overlord included a link for a 10GB archive of files it allegedly stole. The group also provided a link to this archive to Motherboard before publishing its announcement. The cache is encrypted, but the hackers are threatening to release the relevant decryption keys, unlocking different sets of files at a time, unless the victims pay the hackers an undisclosed ransom fee in Bitcoin. -Motherboard
"Pay the fuck up, or we're going to bury you with this. If you continue to fail us, we'll escalate these releases by releasing the keys, each time a Layer is opened, a new wave of liability will fall upon you," reads the demand letter.
The hacking collective is also offering to sell the data on the dark web hacking forum, and has reportedly attempted to blackmail individuals mentioned in the documents themselves.
"If you're one of the dozens of solicitor firms who was involved in the litigation, a politician who was involved in the case, a law enforcement agency who was involved in the investigations, a property management firm, an investment bank, a client of a client, a reference of a reference, a global insurer, or whoever else, you're welcome to contact our e-mail below and make a request to formally have your documents and materials withdrawn from any eventual public release of the materials. However, you'll be paying us," reads the post.
The breach was first alluded to by the Hiscox group, which announced in April that they may have been exposed during a hack on an "unnamed US law firm."
"Hiscox recently learned of an information security incident affecting a specialist law firm in the US that provided advice to Hiscox or its policyholders on some of its US commercial liability insurance claims. The incident involved illegal access to information stored on the law firm’s server, which may have included information relating to up to 1,500 of Hiscox’s US-based commercial insurance policyholders," reads the April announcement.
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tomekkorbak/pile-curse-small
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OpenWebText2
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STATE OF MICHIGAN
COURT OF APPEALS
PEOPLE OF THE STATE OF MICHIGAN, UNPUBLISHED
November 9, 2017
Plaintiff-Appellant,
v No. 337954
Wayne Circuit Court
BERNARD YOUNG, LC No. 89-005069-01-FC
Defendant-Appellee.
Before: BECKERING, P.J., and O’BRIEN and CAMERON, JJ.
PER CURIAM.
In 1989, defendant was convicted, following a bench trial, of six counts of criminal
sexual conduct in the first degree (victim under 13 years of age) (CSC-I), MCL 750.520b(1)(a).
Defendant was sentenced to concurrent terms of 60 to 100 years’ imprisonment for each count.
The prosecution now appeals by leave granted the circuit court’s order granting defendant’s
motion for relief from judgment.1 We affirm.
This case arises from the sexual abuse of two boys, AT and TT, who, at the time of the
sexual abuse, were six and five years old respectively. During trial, AT and TT’s mother
(mother) testified that when she was away at work, she entrusted AT, TT, and their younger half-
sister, LC, to the care of her live-in boyfriend, William Clark. Clark is LC’s biological father,
and AT and TT referred to Clark as “dad.” It was mother’s understanding that only Clark
babysat the children when she was away, but she later learned from her children that either
defendant, who lived across the street, or defendant’s brother, who was her next-door neighbor,
would occasionally watch the children.
On one evening in the summer of 1988, mother discovered AT and TT engaging in oral
sex in their bedroom. Mother sought out resources for assistance, and ultimately, AT and TT
were admitted to Aurora Hospital in Detroit for treatment. In April 1989, the boys told their
therapist that defendant had sexually abused them from January 1988 to July 1988. Based on
those disclosures, the assigned assistant prosecuting attorney recommended an arrest warrant on
1
People v Young, unpublished order of the Court of Appeals, entered May 18, 2017 (Docket No.
337954).
-1-
April 16, 1989. The investigator’s report attached to the warrant stated that both boys claimed
defendant “inserted his penis into their anus and mouth.” The boys also claimed that defendant
“forced them to engaged [sic] in . . . sexual activities with each other” and were forced to “put
their penis into each other [sic] mouth and anus.”
Before defendant’s trial, Detroit police began conducting a second investigation, this time
investigating Clark for sexually abusing AT and TT. On May 17, 1989, police investigators
interviewed AT and TT and both boys accused Clark of sexual abuse. TT told investigators that
Clark “sucked” TT’s “private parts” and said Clark “put his penis in my butt.” TT also said
Clark put his penis in TT’s mouth and that Clark did so on TT’s fifth birthday. TT further said
that Clark made AT “put his penis in [TT’s] butt” and TT’s mouth. AT’s answers were similar
to TT’s. However, AT added that defendant was never in the house when Clark sexually abused
them and Clark threatened them to not tell anyone. It is undisputed that the assistant prosecuting
attorney did not initiate criminal proceedings against Clark until after defendant’s sentence.
On August 14, 1989, AT and TT testified at trial about the sexual abuse defendant
committed while babysitting them. AT and TT said that the abuse occurred when mother and
Clark were not present in their home. AT said that defendant “put his penis where I sit at.” AT
also explained that defendant told him to “suck” defendant’s penis, and defendant also “sucked”
AT’s penis. AT testified that defendant made AT “put it where [defendant] sit at.” Defendant
also reportedly forced AT and TT to engage in those same sexual acts on each other. TT
testified that defendant “messed with [TT’s] private parts and made TT “suck[ AT’s and
defendant’s] private.” TT also said that defendant “[p]ut his penis where I sit.”
Defendant’s trial theory was that the children fabricated the sexual abuse allegations to
ensure they would no longer live with Clark, who had physically abused them. In support of this
theory, defendant elicited testimony from several witnesses that Clark used a belt to discipline
the children. Defendant also called his brother, Braxter Young, who testified that he was Clark’s
next-door neighbor and was friends with the family for approximately eight years. Young saw
the family nearly every day and would babysit the children on occasion. He denied ever seeing
defendant babysit the children and asserted that his brother did not visit their house since Clark
accused defendant of stealing something from the home. He also testified that his brother had
moved from their neighborhood before the alleged sexual abuse took place. Defendant provided
similar testimony on his own behalf, denying he sexually abused AT and TT, and claiming he
had not been to the children’s home since 1986 when Clark had accused him of theft.
In 2016, defendant obtained Clark’s police file from a Freedom of Information Act
(FOIA) request. The records showed Clark was under investigation for sexually abusing AT and
TT while defendant’s prosecution was pending. Among the records obtained were AT’s and
TT’s witness statements accusing Clark of almost identical sexual conduct that the children had
accused defendant of committing just a month earlier. Indeed, AT and TT accused Clark of
sexual abuse during the same timeframe during which defendant’s abuse reportedly occurred.
The FOIA records further revealed that the assistant prosecutor and lead officer assigned to
prosecute defendant were the same prosecutor and officer reviewing and investigating Clark for
his sexual abuse of AT and TT. It is also noteworthy that the records show police requested the
assistant prosecutor to charge Clark for sexually assaulting AT and TT several months before
defendant’s trial, but for reasons that are unclear from the record, the assistant prosecutor did not
-2-
issue the charges until November 9, 1989, approximately two months after defendant’s
sentencing. Clark was then charged with multiple counts of CSC-I and later accepted an offer
from the same assistant prosecuting attorney to a reduced charge of second-degree child abuse.
Clark was later sentenced to three years’ probation.
Defendant filed his third motion for relief from judgment in 2016,2 providing affidavits
from AT and TT in which they recanted their 1989 testimony, swore that Clark actually abused
them, and claimed they lied at defendant’s trial because they were afraid of Clark. A few months
later, defendant received the documents from the FOIA request and filed a supplemental brief,
claiming that the prosecution intentionally suppressed the materials from Clark’s police
investigation, which constituted material evidence under Brady v Maryland, 373 US 83; 83 S Ct
1194; 10 L Ed 2d 215 (1963). Following a multi-day evidentiary hearing, the circuit court
concluded that the suppression of the records from the Clark investigation constituted a Brady
violation, and it granted defendant’s motion, vacated defendant’s convictions and sentences, and
granted a new trial.
The prosecution contends that the circuit court erred when it granted defendant’s third
motion for relief from judgment. We disagree.
“We review a trial court’s decision on a motion for relief from judgment for an abuse of
discretion and its findings of facts supporting its decision for clear error. A trial court abuses its
discretion when its decision falls outside the range of reasonable and principled outcomes, or
makes an error of law.” People v Swain, 288 Mich App 609, 628-629; 794 NW2d 92 (2010)
(citations omitted). “[T]he interpretation of a court rule is a question of law and is reviewed de
novo.” People v Hawkins, 468 Mich 488, 497; 668 NW2d 602 (2003) (citations and quotation
marks omitted). “Similarly, [t]his Court reviews due process claims, such as allegations of a
Brady violation, de novo.” People v Dimambro, 318 Mich App 204, 212; 897 NW2d 233 (2016)
(citation and quotation marks omitted).
The prosecution first claims that the circuit court erred when it ruled that defendant’s
third motion for relief from judgment was not barred by MCR 6.508(D)(2). The prosecution’s
contention is without merit.
MCR 6.502(G)(2) provides, in relevant part, that “[a] defendant may file a second or
subsequent motion based on a retroactive change in law that occurred after the first motion for
relief from judgment or a claim of new evidence that was not discovered before the first such
motion.” MCR 6.508(D) states in part:
(D) Entitlement to Relief. The defendant has the burden of establishing
entitlement to the relief requested. The court may not grant relief to the defendant
if the motion
2
In defendant’s second motion for relief from judgment, filed in 2009, he claimed that the
prosecution withheld the fact that Clark was charged with CSC-I. Defendant claimed this
amounted to a Brady violation, but the circuit court denied the motion.
-3-
* * *
(2) alleges grounds for relief which were decided against the defendant in a prior
appeal or proceeding under this subchapter, unless the defendant establishes that a
retroactive change in the law has undermined the prior decision;
(3) alleges grounds for relief, other than jurisdictional defects, which could have
been raised on appeal from the conviction and sentence or in a prior motion under
this subchapter, unless the defendant demonstrates
(a) good cause for failure to raise such grounds on appeal or in the prior
motion, and
(b) actual prejudice from the alleged irregularities that support the claim
for relief. As used in this subrule, “actual prejudice” means that,
(i) in a conviction following a trial, but for the alleged error, the
defendant would have had a reasonably likely chance of
acquittal[.]
Defendant claimed in his second motion for relief from judgment that the prosecution’s
failure to disclose that Clark had been charged with sexually abusing AT, TT, and LC violated
defendant’s right to due process pursuant to Brady, which defendant supported by providing a
copy of Clark’s felony information and documentation relating to parental termination
proceedings that referenced Clark’s alleged sexual abuse of the children. Ultimately, the circuit
court denied defendant’s second motion for relief from judgment without explicitly addressing
defendant’s Brady claim. Defendant claimed in a supplemental brief to his third motion for
relief from judgment that the prosecution had violated his right to due process pursuant to Brady
based on newly discovered evidence, i.e., the police records relating to Clark’s sexual abuse.
Thus, the prosecution contends that this is the second occasion that defendant has raised a Brady
claim concerning Clark’s sexual abuse of AT and TT, and “[t]here is absolutely no meaningful
distinction between the two claims.” However, defendant’s current Brady claim is premised on
newly discovered evidence that was not available to defendant at the time he raised his initial
Brady claim—AT’s and TT’s witness statements from the May 17, 1989 police interview and
other records from Clark’s police investigation.
The prosecution argues that there is nothing “materially different” between the evidence
defendant relied on for his second motion for relief from judgment and Clark’s police records
provided in the third motion, and for that reason, the circuit court erred when it granted
defendant’s motion. However, there is a substantial difference between the two. Defendant’s
second motion was premised on evidence that merely showed Clark was subsequently charged
with CSC-I after defendant’s trial and that documentation from child protective proceedings
indicated Clark may have sexually abused them when mother was not home. There was no
evidence that the government failed to disclose evidence of Clark’s similar sexual abuse before
defendant’s trial. As the circuit court properly concluded, defendant’s third motion was
premised on AT’s and TT’s witness statements taken in May 1989, approximately one month
after defendant had been charged and before defendant’s trial. Thus, defendant’s Brady claim
-4-
concerns the specific pieces of evidence from Clark’s investigation that was not disclosed. AT’s
and TT’s witness statements, which specifically describe when and how Clark sexually abused
them, are entirely different from the general and vague post-trial evidence that defendant
provided in support of his second motion for relief from judgment.
Next, the prosecution contends that People v Cress, 468 Mich 678; 664 NW2d 174
(2003), governs the substance of defendant’s claim. In Cress, the Michigan Supreme Court
reiterated:
For a new trial to be granted on the basis of newly discovered evidence, a
defendant must show that: (1) the evidence itself, not merely its materiality, was
newly discovered; (2) the newly discovered evidence was not cumulative; (3) the
party could not, using reasonable diligence, have discovered and produced the
evidence at trial; and (4) the new evidence makes a different result probable on
retrial. [Id. at 692 (citations and quotation marks omitted).]
The prosecution argues that the circuit court should have denied defendant’s third motion for
relief from judgment because defendant could have obtained Clark’s police records by exercising
reasonable diligence. However, the prosecution has not provided any legal authority in support
of its position that Cress, which concerns whether a defendant is entitled to a new trial based on
newly discovered evidence, governs defendant’s due process claim under Brady. “ ‘An appellant
may not merely announce his position and leave it to this Court to discover and rationalize the
basis for his claims, nor may he give only cursory treatment with little or no citation of
supporting authority.’ ” People v Henry, 315 Mich App 130, 148; 889 NW2d 1 (2016), quoting
People v Kelly, 231 Mich App 627, 640-641; 588 NW2d 480 (1998). Regardless, the Michigan
Supreme Court has previously rejected the adoption of a Brady test that incorporated a diligence
requirement. See People v Chenault, 495 Mich 142, 151-152, 154-155, 159; 845 NW2d 731
(2014) (rejecting a modified Brady test which included a requirement that the defendant “did not
possess the evidence nor could he have obtained it himself with any reasonable diligence,”
because it was not doctrinally supported and because it undermined the purpose of Brady).
Therefore, the prosecution’s contention is also unavailing on its merits.3
The prosecution also claims that the circuit court erred when it concluded defendant had
demonstrated actual prejudice under MCR 6.508(D)(3)(b)(i)4 because defendant established a
Brady violation. We disagree.
3
The prosecution does not challenge the circuit court’s finding that defendant had good cause
under MCR 6.508(D)(3)(a) for failing to raise a Brady claim based on Clark’s police records,
and therefore, we do not address the issue.
4
MCR 6.508(D)(3)(b)(i) defines actual prejudice as “in a conviction following a trial, but for the
alleged error, the defendant would have had a reasonably likely chance of acquittal.”
-5-
“The Supreme Court of the United States held in Brady that ‘the suppression by the
prosecution of evidence favorable to an accused upon request violates due process where the
evidence is material either to guilt or to punishment, irrespective of the good faith or bad faith of
the prosecution.’ ” Chenault, 495 Mich at 149, quoting Brady, 373 US at 87. “The essential
components of a Brady violation are as follows: ‘The evidence at issue must be favorable to the
accused, either because it is exculpatory, or because it is impeaching; that evidence must have
been suppressed by the State, either willfully or inadvertently; and prejudice must have ensued.’
” Dimambro, 318 Mich App at 212-213, quoting Chenault, 495 Mich at 149-150 (citation and
quotation marks omitted). Stated differently, the controlling test for Brady is that: “(1) the
prosecution has suppressed evidence; (2) that is favorable to the accused; and (3) viewed in its
totality, is material.” Chenault, 495 Mich at 155.
As explained by the Michigan Supreme Court:
The contours of these three factors are fairly settled. The government is held
responsible for evidence within its control, even evidence unknown to the
prosecution, Kyles v Whitley, 514 US 419, 437; 115 S Ct 1555; 131 L Ed 2d 490
(1995), without regard to the prosecution’s good or bad faith, United States v
Agurs, 427 US 97, 110; 96 S Ct 2392; 49 L Ed 2d 342 (1976) (“If the suppression
of evidence results in constitutional error, it is because of the character of the
evidence, not the character of the prosecutor.”). Evidence is favorable to the
defense when it is either exculpatory or impeaching. Giglio v United States, 405
US 150, 154; 92 S Ct 763; 31 L Ed 2d 104 (1972) (“When the ‘reliability of a
given witness may well be determinative of guilt or innocence,’ nondisclosure of
evidence affecting credibility falls within this general rule [of Brady].”), quoting
Napue v Illinois, 360 US 264, 269; 79 S Ct 1173; 3 L Ed 2d 1217 (1959). To
establish materiality, a defendant must show that “there is a reasonable probability
that, had the evidence been disclosed to the defense, the result of the proceeding
would have been different. A ‘reasonable probability’ is a probability sufficient
to undermine confidence in the outcome.” United States v Bagley, 473 US 667,
682; 105 S Ct 3375; 87 L Ed 2d 481 (1985). This standard “does not require
demonstration by a preponderance that disclosure of the suppressed evidence
would have resulted ultimately in the defendant’s acquittal . . . .” Kyles, 514 US
at 434; 115 S Ct 1555. The question is whether, in the absence of the suppressed
evidence, the defendant “received a fair trial, understood as a trial resulting in a
verdict worthy of confidence.” Id. In assessing the materiality of the evidence,
courts are to consider the suppressed evidence collectively, rather than piecemeal.
Id. at 436; 115 S Ct 1555. [Chenault, 495 Mich at 150-151 (alteration in
original).]
First, the prosecution argues that the circuit court erred when it found that the prosecution
suppressed the records from the Clark investigation. This argument fails.
A Brady claim requires a finding that the prosecution actually suppressed the evidence in
question. “[T]he individual prosecutor [does have] a duty to learn of any favorable evidence
known to the others acting on the government’s behalf in the case, including the police[.]”
Dimambro, 318 Mich App at 213, quoting Kyles, 514 US at 437 (alteration in original). “The
-6-
prosecution’s failure to disclose exculpatory or material evidence in its possession constitutes a
due process violation regardless of whether a defendant requested the evidence.” People v
Henry (After Remand), 305 Mich App 127, 157; 854 NW2d 114 (2014), citing Brady, 373 US at
87.
There is no dispute that the prosecution was, at some point, in possession of the Clark
file. The assistant prosecutor at the time was assigned to both cases that were ongoing. Even if
this was not the case, she was under a duty to learn of any favorable evidence that the police had
discovered. Dimambro, 318 Mich App at 213. Therefore, the prosecution cannot argue that it
did not know about the evidence. Instead, the prosecution argues that there simply was no proof
that it failed to disclose the witness statements to the defense. This argument fails. Defendant
has adamantly proclaimed in his briefing below and on appeal that he never received the Brady
material, and we detect no clear error in the circuit court’s finding that “the Brady material was
never disclosed to [defendant] before trial because there is no indication that the Brady material
was provided to him before trial.” As the circuit court explained, there was no indication that
defense counsel knew about the witness statements either before or during trial. A review of the
record shows that defense counsel did not file any pre-trial evidentiary motions seeking to admit
the children’s statements, the prosecution removed Clark from the witness list and defense
counsel did not object to the removal, defense counsel’s examination of AT and TT did not
suggest that defense counsel knew about the Clark investigation, and there was no mention of
possible sexual abuse during defense counsel’s opening or closing argument despite the fact that
evidence Clark was physically and sexually abusive was consistent with defendant’s theory of
the case. As the circuit court correctly reasoned, there was no evidence to suggest that defense
counsel received the records from the Clark investigation, and the trial court’s findings were not
clearly erroneous. Therefore, defendant has shown that the prosecution failed to disclose the
evidence, and the circuit court did not abuse its discretion concerning this element when it
granted defendant’s third motion for relief from judgment.
The prosecution argues that even if the evidence was suppressed, the circuit court erred
because the records from the Clark investigation were not material to defendant’s case. This
argument fails.
In Wood v Bartholomew, 516 US 1, 5-6, 8; 116 S Ct 7; 133 L Ed 2d 1 (1995), the United
States Supreme Court held that polygraph examinations of two state witnesses, which were
inadmissible as evidence under state law, were not “material” under Brady because those items
could not be introduced at trial and only supported weak suppositions regarding their potential
impact. Here, to determine materiality, the issue first turns on whether the evidence from Clark’s
police investigation could have been introduced at trial. This necessitates a review of
Michigan’s rape-shield statute.
MCL 750.520j, known as the rape-shield statute, provides, in relevant part:
(1) Evidence of specific instances of the victim’s sexual conduct, opinion
evidence of the victim’s sexual conduct, and reputation evidence of the victim’s
sexual conduct shall not be admitted under sections 520b to 520g unless and only
to the extent that the judge finds that the following proposed evidence is material
-7-
to a fact at issue in the case and that its inflammatory or prejudicial nature does
not outweigh its probative value:
(a) Evidence of the victim’s past sexual conduct with the actor.
(b) Evidence of specific instances of sexual activity showing the source or origin
of semen, pregnancy, or disease. [MCL 750.520j(1)(a) and (1)(b).]
Thus, “[t]he rape-shield statute ‘bars, with two narrow exceptions, evidence of all sexual
activity by the complainant not incident to the alleged rape.’ ” People v Duenaz, 306 Mich App
85, 91; 854 NW2d 531 (2014), quoting People v Adair, 452 Mich 473, 478; 550 NW2d 505
(1996) (citation and quotation marks omitted). The statute will not bar “testimony regarding
sexual subjects involving the complainant if such testimony falls outside the scope of the
statute.” People v Sharpe, 319 Mich App 153, ___; 899 NW2d 787, 793 (2017), quoting People
v Ivers, 459 Mich 320, 328; 587 NW2d 10 (1998) (quotation marks omitted). “Although consent
is not a relevant defense to a CSC charge involving an underage minor, Michigan courts have
applied the rape-shield statute in cases involving child victims.” Duenaz, 306 Mich App at 92
(citations omitted).
We must first determine, as the circuit court did, whether AT’s and TT’s witness
statements made during the Clark investigation fall within the scope of the rape-shield statute.
This Court has held that the rape-shield statute “was enacted to prohibit inquiry into a victim’s
prior sexual encounters” when that evidence is “not incident to the alleged rape.” Duenaz, 306
Mich App at 91-92 (citation and quotation marks omitted). The circuit court correctly concluded
that the evidence from the Clark investigation would not be admissible to inquire into the boys’
prior or concurrent sexual encounters. Instead, the circuit court concluded it would be
admissible to prove Clark, rather than defendant, committed the sexual abuse. Moreover, the
rape-shield statute, while barring “specific instances of sexual conduct,” MCL 750.520j(1), does
not bar specific instances of sexual conduct “incident to the alleged rape.” Duenaz, 306 Mich
App at 91-92. If the statute barred all such instances, then evidence of the sexual abuse
underlying the charges would be inadmissible unless it fell within either of the two delineated
exceptions. The statute does not bar such evidence. The witness statements relating to the Clark
investigation are not only incident to the alleged rape, but arguably direct evidence of the rape at
issue in this case. Importantly, the sexual acts that the boys described concerning defendant and
Clark were, as the circuit court noted, nearly identical. The boys said that each of the two men
“put his penis where I sit at.” They also said that defendant and Clark performed oral sex on the
boys. Additionally, AT and TT said both men forced them to perform sexual acts on each other.
Furthermore, the boys allege the sexual abuse occurred during the exact same narrow timeframe
from January 1988 to July 1988, as referenced in defendant’s and Clark’s felony information.
When taken together, the circuit court concluded the Clark allegations would be admissible to
show that Clark, as opposed to defendant, sexually abused the children, not to inject the
children’s other sexual victimization into the trial. For that reason, the circuit court did not abuse
its discretion when it granted defendant’s motion because the undisclosed evidence was outside
the scope of the rape-shield statute and would have been admissible at trial.
-8-
The prosecution also claims that even if the records from Clark’s investigation were
admissible, they are neither favorable to defendant nor material to his guilt. Again, the
prosecution’s argument is without merit.
“To establish materiality, a defendant must show that ‘there is a reasonable probability
that, had the evidence been disclosed to the defense, the result of the proceeding would have
been different.’ ” Chenault, 495 Mich at 150 (citation omitted). The evidence need not
demonstrate that defendant would have ultimately been acquitted. Kyles, 514 US at 434.
Instead, “[t]he question is whether, in the absence of the suppressed evidence, the defendant
‘received a fair trial, understood as a trial resulting in a verdict worthy of confidence.’ ”
Chenault, 495 Mich at 150-151 (citation omitted).
The witness statements from Clark’s investigation could have been used to show that
Clark, rather than defendant, had sexually abused the children. Therefore, the evidence is
material, and the circuit court did not abuse its discretion when it granted the motion and
concluded defendant was denied a fair trial. The allegations that AT and TT made against Clark
were strikingly similar to their trial testimony against defendant. The boys described the same
sexual acts, claiming they were forced to perform oral sex on their abusers, to perform anal sex
on their abusers, and to engage in sexual acts with each other. AT told the investigator that Clark
threatened them not to say anything about the sexual abuse, and TT said he was abused when he
was five years old—the same age he claimed defendant abused him. Additionally, the boys used
the same terminology to explain the sexual acts against them. For instance, they said that both
men put their penises were they “sit at.” The evidence, when considered collectively, was
material to defendant’s defense.
Of course, this evidence alone does not necessarily prove that Clark, rather than
defendant, was the sole sexual abuser. However, the circuit court acknowledged there was other
evidence at trial that would support a determination that the Clark investigation was material to
defendant’s case. For instance, Clark’s undisputed access to the boys, the mother’s belief that
only Clark babysat the children, and evidence that defendant reportedly moved from the
neighborhood before the abuse occurred, support an argument that Clark, rather than defendant,
sexually abused the children, and thus, was material to defendant’s case. Moreover, the trial
court’s findings of fact suggests the Clark allegations, if known, were material. The trial court
stated it did not make sense that the two boys would fabricate sexual abuse and “pick [defendant]
out of thin air as opposed to let’s say, [Clark].” With evidence that Clark had sexually abused
them and had threatened them to remain quiet, the trial court may very well have determined that
defendant was not guilty. Therefore, the circuit court did not err when it found the statements to
be material.
In all, the documentation from Clark’s investigation was favorable to defendant, and
there is a reasonable probability that a different outcome would result if the evidence was
presented. With that said, we also note that AT and TT have both recanted their testimony,
signed affidavits claiming Clark sexually abused them, and now proclaim that defendant never
sexually abused them. While this new evidence is certainly favorable to defendant and material
to this case, it is not evidence we may consider when determining whether defendant received a
fair trial in 1989. However, even without this evidence, which the circuit court determined was
highly suspect, we conclude that the circuit court’s decision to grant defendant’s third motion for
-9-
relief from judgment, vacate defendant’s conviction and sentence, and grant a new trial was not
outside the range of reasonable outcomes.
Affirmed.
/s/ Jane M. Beckering
/s/ Colleen A. O'Brien
/s/ Thomas C. Cameron
-10-
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FreeLaw
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Archive for the ‘E. coli’ Category
Investigators with the FDA have found evidence of E. Coli in a package of Nestlé Toll House cookie dough at the company’s Danville, Va., plant.
The discovery comes nearly two weeks after Nestlé USA closed the plant following the news the Food and Drug Administration and the Centers for Disease Control had linked a nationwide outbreak of E. coli 0157:H7 with Nestlé’s popular ready-to-bake cookie dough. Nestlé closed its plant the day after it received the information from the government agencies and issued a recall of about 300,000 cases of the product.
“It’s very disappointing,” said Edie Burge, a spokeswoman for Nestlé at its Glendale, Calif., offices.
While obtaining a contaminated sample was key to the investigation, the question of just how E. coli got into the Danville plant has yet to be answered, and investigators will continue their work with further testing, said Burge.
The Danville factory is actually home to production of two Nestlé brands: Toll House cookie dough, and Buitoni, which makes fresh pasta. The Buitoni side of the operations have been unaffected by the contamination and work has continued there. The Toll House plant has been closed for 11 days and its more-than-200 employees are being offered paid time off or shifts in the Buitoni plant as they become available, said Burge.
Sixty-nine people in 29 states have been made ill with E. coli, allegedly as a result of eating raw cookie dough from Nestlé. Forty-six of those ill are confirmed to have the outbreak strain, and 34 persons have been hospitalized. Nine developed hemolytic uremic syndrome, a form of kidney failure; no one has died.
Investigation at Nestlé’s Virginia plant by FDA continues
Speculation about the possible contamination of a popular brand of ready-to-bake cookie dough with E. coli O157:H7 continues, but so far there have been no leads.
It’s been a week since officials at Nestlé USA, based in Solon, Ohio, learned about a possible link to their Toll House cookie dough in a nationwide outbreak of E. coli. So far, at least 70 people have been sickened in 30 states, and 30 of those people have been hospitalized, according to the Centers for Disease Control. Seven of the victims developed hemolytic uremic syndrome, a form of kidney failure. No one has died.
Nestlé, in cooperation with the Food and Drug Administration and the CDC, is investigating whether their product is the source of the contamination, and just how E. coli may have ended up in their product. They issued a full recall of 300,000 cases of the cookie dough immediately after being notified by the FDA of the possible link to their company last week, and have closed their production facility in Virginia while the investigation continues.
“We just don’t know at this point,” said Nestlé spokeswoman Edie Burge early this afternoon. The FDA is looking at “every aspect of production,” she said, from the water the plant uses to operating procedures, and the manufacturing plant’s air control system.
Two lawsuits have been filed against Nestlé by people in California and Colorado, and another family in Oregon has asked for an apology from Nestle for the illness their teenage daughter suffered after eating what they believe was contaminated cookie dough.
“We just learned about this issue last week and reacted as quickly as we could,” Laurie MacDonald, vice president of corporate and brand affairs, told the Portland Oregonian earlier this week. “If it is determined that our product is the source of the girl’s illness, we will certainly apologize to her and her parents.”
If people do become ill, Nestlé encourages them to contact their physician, said Burge.
Lawsuits against Nestlé USA filed in California and Colorado
Two lawsuits have been filed against Nestlé USA after people were sickened with E. coli O157:H7, believed to be linked to the company’s popular Toll House cookie dough.
Jillian Collins, an 18-year-old San Carlos, Calif., resident and Madison Sedbrook, 6, of Highlands Ranch, Colo., were both hospitalized after becoming gravely ill with E. coli contamination. The families of both victims believe their illnesses stem from eating raw Nestlé Toll House cookie dough. In each case, the genetic fingerprint of their tests matched that of the outbreak strain which has infected at least 70 people across the country. Both cases are being handled by Marler Clark law firm of Seattle, which specializes in food-borne illnesses.
Collins, who filed the first lawsuit against Nestlé over the weekend, was hospitalized for a week at Stanford Medical Center after eating raw cookie dough on May 20 and 22. On May 25, she became painfully ill and suffered “abdominal cramps, nausea and bloody diarrhea” according to San Francisco Chronicle.
Sedbrook, who will begin first grade in the fall, suffered an even more dramatic bout with the pathogen.
“Madison was on the verge of kidney failure last month when doctors determined E. coli bacteria were the cause of her bloody diarrhea and vomiting,” Denver Post reported today. “The little girl’s blood had begun to clump, making it nearly impossible for her kidneys to function…”
“Not knowing the source of her illness, she continued to eat Nestlé cookie dough, and by the first week of May, she had abdominal cramps, fever, and bloody diarrhea,” Marler Clark attorney Bill Marler wrote in Marler Blog. “Over the next several weeks, the family sought medical care several times for Madison’s illness, which deepened in severity. She was admitted to the hospital and then released before being rushed back and admitted to pediatric intensive care.”
Both Collins and Sedbrook eventually recovered, and both were able to attend school commencement ceremonies after their release from hospital.
Nestlé, in cooperation with the Food and Drug Administration and the Centers for Disease Control, is investigating whether their product is the source of the contamination, and just how E. coli may have ended up in their product. They issued a full recall of 300,000 cases of the cookie dough immediately after being notified by the FDA of the possible link to their company, and have closed their production facility in Virginia while the investigation continues.
Speculation about the source of the E. coli 0157:H7 is still up in the in air, but it might make for an exciting parlor game. Anyone up for a game of Clue?
“So, how the hell does cow shit (E. coli O157:H7) get into Nestles’ Toll House cookie dough?” wonders Seattle attorney Bill Marler, in his blog.
“For starters, we don’t really know yet whether raw cookie dough is the source of this E. coli outbreak,” replied nutritionist and writer Marion Nestle in Food Politics. “It could be something else, and Nestlé will have recalled 300,000 cases purely out of precaution. The most likely source of bacterial contamination is eggs, but eggs typically carry Salmonella, not E. coli O157:H7. And besides, the eggs in raw cookie dough are undoubtedly pasteurized, which ought to kill any bacteria that happen to be present.”
More than 65 people in 28 states have been made ill since March, according to the Food and Drug Administration, and 25 of those were hospitalized. No one has died, but seven people have suffered hemolytic uremic syndrome, a type of kidney failure, as a result.
For the record, Nestlé does use pasteurized eggs in its cookie dough, according to Edie Burge, a spokesperson for the company in Glendale, Calif.
What’s significant about this particular outbreak is the contamination, itself. E. coli, as Marler so eloquently noted, is typically found in meat. The major ground beef recalls over the past several years have almost all been linked to E. coli contamination after fecal-contaminated muscle tissue is ground in with meat from other animals.
“A single fast food hamburger now contains meat from dozens or even hundreds of different animals,” journalist Eric Schlosser wrote in Fast Food Nation. Of course, we’re not talking about hamburger, here. The ingredients for Nestle Chocolate Chip Toll House cookie dough certainly don’t list any ingredients that could raise suspicion, except for the eggs (Thanks to Fooducate for the ingredients listing).
A Dutch study published in 2002 even suggests that milk fats may inhibit growth of food-borne pathogens, although it noted that E. coli was less vulnerable to milk fat’s bactericidal properties. Vegetable oils, too, can inhibit growth of pathogens. Other ingredients, such as water, are being tested by the FDA.
It’s possible, then, that contaminated eggs somehow made it into the product, or that the contamination came from in house. It’s too early to speculate, as Burge noted, and the investigation at Nestle’s Danville, Va., plant is really just getting underway. Until then, it could very easily have been Col. Mustard in the library – with the candlestick, no doubt.
The Food and Drug Administration is investigating the production plant in Danville, Va., where Nestlé makes its Toll House cookie dough. Nestlé recalled 48 varieties of its Toll House cookie dough after it learned last Wednesday about a possible connection between a 28-state outbreak of E. coli 0157:H and its popular ready-to-bake product.
Nestlé announced the recall Friday morning, telling customers not to consume the dough and encouraging customers to return any product they might have for refunds. More than 65 people have fallen ill since March, according to the FDA, and 25 of those were hospitalized. No one has died, but seven people have suffered hemolytic uremic syndrome, a type of kidney failure, as a result.
Nestlé suspended production last Thursday so the FDA could examine the plant, as well as the equipment and the company’s procedures to pinpoint the source of the contamination, said Edie Burge, a spokesperson for Nestlé. The company’s consumer analysis group has been poring over customer comments and feedback dating back to March looking for any information about the outbreak that might have come to them earlier.
For now, nothing in the plant has been changed since production ended and the FDA started its investigation, said Burge. “We want them to come into our factory and see the conditions as they are,” she said.
Following two years of laissez-faire management, President-elect Barak Obama and the Democratic-dominated Congress are expected to significantly increase the Food and Drug Administration’s role in monitoring food and drug imports.
Seafoodsource.com reported Friday that the beleaguered agency may receive increased authority and oversight through efforts by Senate Democrats. The FDA has faced severe criticism from consumer groups for its lax handling of several food contamination incidents over the past couple of years, including poor responses to salmonella tainted spinach from California two years ago and a completely disorganized effort to track down the source of E.coli contaminated jalapeño peppers earlier this year.
Obama is also being encouraged to appoint a new commissioner to the agency; supposedly, more than half a dozen people are under consideration for the position. To read the full story, click here.
Whole Foods, the upscale national chain of grocery stores specializing in organic and natural foods, announced Friday a voluntary recall of ground beef from its Nebraska-based supplier Coleman Natural Beef because of contamination by E. coli 0157:H7. The problem can, apparently, be traced back to earlier problems with Nebraska Beef Ltd.
The recall comes after the MassachusettsDepartment of Public Health issued a warning to residents of that state not to eat ground beef purchased from Whole Foods between June 2 and Aug. 6, 2008. Seven people in Massachusetts were infected and five were hospitalized with E. coli from the tainted beef, according to the Boston Globe. In a press release, Whole Foods pledged to “continue to work with state and federal authorities as this investigation progresses”.
So far, more than 50 people have been infected in nine states including – most recently – Pennsylvania and Massachusetts. Michigan and Ohio have been particularly hard hit with more than 40 cases between them. The recall follows an earlier recall in July of beef from Nebraska Beef Ltd., from whom Coleman apparently received the beef which was later sent to Whole Foods.
“While Coleman Natural Beef is a relatively small supplier for Whole Foods Market, we are extremely disappointed that we must now question Coleman’s assurances,” said Edmund Lamacchia, global vice president of procurement in the Whole Foods release.
As of Aug. 10, no information about the recall was available on the Coleman Natural web site.
Nebraska Beef Ltd., a privately held company based in Omaha, Neb., has been struggling with repeated recalls of its products since May. The company recalled 5.3 million pounds of beef produced between May 16 and June 26. According to the United States Department of Agriculture Food Safety and Inspection Service, Nebraska Beef utilizes unsanitary production practices.
“FSIS has concluded that the production practices employed by Nebraska Beef, Ltd. are insufficient to effectively control E. coli O157:H7 in their beef products that are intended for grinding,” FSIS said in a press release issued July 3. “The products subject to recall may have been produced under insanitary conditions.“The products subject to recall were further processed into ground beef at other firms, and will likely not bear the establishment number ‘EST 19336’ on products made available for direct consumer purchase.” [Emphasis mine]
It’s this distribution of Nebraska Beef’s product to other companies without any sort of source identification that has caused problems for Whole Foods and Coleman’s.
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Q:
ASP.NET Treeview control and Client side javascript - Highlight selected tree view node
How to do following -
ASP.NET 2.0 TreeView and Selecting the Selected Node using JavaScript
I am trying this by reading this article,but it does not find getTreeNode() property on asp.net 2.0 treeview control.
A:
JQuery Solution - for selecting single node (highlighting) ASP.NET 2.0 Treeview Control on Client Side
$("#TreeView1t5").addClass("TreeView1_5");
Where #TreeView1t5 is id of node and TreeView1_5 is css class for selection.
Enjoy..!
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StackExchange
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Savage claimed the "game is doomed" if criticism is only valid if it comes from former players who won major trophies and in that case 99 per cent of the football industry was unqualified.
"Evidently some people have been expecting me to return fire after being dug out by John Terry for daring to express opinions about football after playing 'at a really bad level' in my career," Savage wrote in his column in the Daily Mirror.
"Apparently I am not entitled to venture opinions about Terry on BT Sport, in the Daily Mirror or the BBC Six-0-Six phone-in because I have not won major trophies like fellow pundits Rio Ferdinand, Jamie Carragher or Gary Neville.
"I only played 346 games in the Premier League, captained four clubs in the top flight and won 39 international caps. So much for playing at a really bad level.
"John is entitled to his opinion. It's just a shame he thinks 99 per cent of the football industry - those of us who have not won the title or Champions League medals - is unqualified to express theirs.
"Journalists and pundits are employed to convey opinions based on what they see. Fans in pubs, schools, factories and offices argue about football on a daily basis.
"If criticism is only valid when it comes from old team-mates who played at the very highest level, the game is doomed."
Savage said that Chelsea manager Jose Mourinho never played the game at a high standard but when they expressed an opinion "the whole world listens" and that England boss Roy Hodgson never played in the Football League.
The former Wales midfielder added: "Perhaps, when I'm finished as a pundit, John will give me a job polishing all those trophies and medals he's won!"
Your Comments
COMMENT RULES: Comments that are judged to be defamatory, abusive or in bad taste are not acceptable and contributors who consistently fall below certain criteria will be permanently blacklisted. The moderator will not enter into debate with individual contributors and the moderator’s decision is final. It is Belfast Telegraph policy to close comments on court cases, tribunals and active legal investigations. We may also close comments on articles which are being targeted for abuse. Problems with commenting? [email protected]
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188 B.R. 416 (1995)
In re Charles Henry JENKINS, Jr., Debtor.
UNITED STATES TRUSTEE, Appellant,
v.
Ralph O. BOLDT, Trustee of the Estate of Charles Henry Jenkins, Jr., Appellee.
BAP No. SC-94-2301 CAsO. Bankruptcy No. 93-01109-A7.
United States Bankruptcy Appellate Panel of the Ninth Circuit.
Argued and Submitted September 21, 1995.
Decided October 18, 1995.
*417 Mary M. Testerman, San Diego, CA, for Appellant U.S. Trustee.
Michael Y. MacKinnon, San Diego, CA, for Appellee Boldt.
Before CARLSON[1], ASHLAND and OLLASON, Bankruptcy Judges.
OPINION
CARLSON, Bankruptcy Judge.
The sole question raised in this appeal is whether a trustee who has been awarded the maximum compensation permissible under 11 U.S.C. § 326(a)[2] may receive additional compensation for services performed by a paraprofessional employed by the trustee. We hold that such additional compensation is barred by section 326(a) and REVERSE the contrary ruling of the bankruptcy court.
FACTS
Appellee Ralph O. Boldt is the trustee in the above-entitled chapter 7 case. In the course of administering the bankruptcy estate, trustee Boldt disbursed $308.00 to Carla Ilfeld for bookkeeping services performed for the estate. Ms. Ilfeld's services totalled 6.1 hours, and consisted primarily of reviewing claims and preparing the trustee's final report. *418 She charged the estate $45.00 per hour for those services. Ms. Ilfeld is not an in-house employee in trustee Boldt's office and Boldt made no profit on her services. Ms. Ilfeld was not appointed by the court under section 327(a).
Upon completing administration of the estate, Boldt filed a Notice of Intent to Distribute Estate. The United States Trustee objected to Boldt's proposal to pay himself the maximum trustee compensation permissible under section 326(a) in light of the prior distribution to Ms. Ilfeld. The United States Trustee argued that section 326(a) limits the total compensation paid to the trustee for both services performed by the trustee personally and for services performed by a paraprofessional person employed by the trustee.
The bankruptcy court overruled the objection of the United States Trustee in a published opinion holding that section 326(a) limits only the compensation paid to a trustee for services performed by the trustee personally. The court held that section 326(a) does not prevent the payment of additional compensation for services performed by a paraprofessional person employed by the trustee, so long as the trustee does not make any profit on those paraprofessional services. In re Jenkins, 171 B.R. 104, 106-07 (Bankr. S.D.Cal.1994). The United States Trustee timely appealed.
JURISDICTION
This court has jurisdiction to review final orders entered by the bankruptcy court. 28 U.S.C. § 158(a) and (b). The order appealed from here is a final one because it resolved all issues regarding the trustee's compensation and the distribution of the assets of the estate. See In re NSB Film Corp., 167 B.R. 176, 180 (Bankr. 9th Cir.1994).
ISSUE ON APPEAL
The sole issue on appeal is whether section 326(a) limits the total compensation that a trustee may receive for both services performed by the trustee personally and for services performed by a paraprofessional person employed by the trustee, or whether it limits only the compensation for services performed by the trustee personally.[3]
STANDARD OF REVIEW
This panel reviews the conclusions of law of the bankruptcy court de novo. In re Nucorp Energy, Inc., 764 F.2d 655, 657 (9th Cir.1985).
DISCUSSION
Section 326(a) limits the compensation that a trustee may receive for "the trustee's services" to a percentage of the money disbursed to creditors.
In a case under chapter 7 or 11, the court may allow reasonable compensation under section 330 of this title of the trustee for the trustee's services, payable after the trustee renders such services, not to exceed fifteen percent on the first $1,000 or less, six percent on any amount in excess of $1,000 but not in excess of $3,000, and three percent on any amount in excess of $3,000, upon all moneys disbursed or turned over in the case by the trustee to parties in interest, excluding the debtor, but including holders of secured claims.
11 U.S.C. § 326(a).[4]
Section 330(a) authorizes the payment of compensation for services performed by a paraprofessional employed by a trustee.
After notice to any parties in interest and to the United States trustee and a hearing, and subject to sections 326, 328, and 329 of this title, the court may award to a trustee, to an examiner, to a professional person employed under section 327 or 1103 of this title, or to the debtor's attorney
(1) reasonable compensation for actual, necessary services rendered by such trustee, examiner, professional person, or attorney, as the case may be, and by any paraprofessional *419 persons employed by such trustee, professional person, or attorney, as the case may be, based on the nature, the extent, and the value of such services, the time spent on such services, and the cost of comparable services other than in a case under this title; and
(2) reimbursement for actual, necessary expenses.
11 U.S.C. § 330(a) (emphasis added).[5]
The central question in the this case is what Congress intended the term "trustee's services" to encompass in enacting the section 326(a) limitation on compensation for such services. Appellant United States Trustee contends that the term includes both services performed by the trustee personally and services performed by any paraprofessional assisting the trustee. Appellee chapter 7 trustee contends that because section 330(a) refers to both services performed by the trustee and services performed by a paraprofessional employed by the trustee, the term "trustee's services" in section 326(a) includes only services performed by the trustee personally.
Neither the statutory language nor the legislative history provides any direct answer. The term "trustee's services" is not defined in either the Code or the legislative history. Furthermore, although section 330(a) states that it is "subject to" section 326, neither the Code nor the legislative history explains the relationship between the section 326(a) limitation on compensation for "trustee's services" and the language in section 330(a) referring to services "rendered by such trustee . . . and by any paraprofessional persons employed by such person."
The courts have split on the issue. A majority of the published decisions hold that section 326(a) limits the compensation that a trustee may receive for both services performed personally and services performed by a paraprofessional. In re Asher, 171 B.R. 690, 691-92 (D.Colo.1994); In re Santangelo and Co., Inc., 156 B.R. 62, 64 (Bankr.D.Colo. 1993); In re Stewart, 151 B.R. 255, 258-60 (Bankr.C.D.Cal.1993); In re Blue, 146 B.R. 856, 858 (Bankr.W.D.Okla.1992); In re Hagan, 145 B.R. 515, 517-18 (Bankr.E.D.Va. 1992); In re Berglund Construction Co., Inc., 142 B.R. 947, 948-49 (Bankr.E.D.Wash.1992) (en banc); In re Lanier Spa, Inc., 99 B.R. 490, 491-92 (Bankr.N.D.Ga.1989); In re Prairie Central Railway Co., 87 B.R. 952, 959 (Bankr.N.D.Ill.1988). The court below followed the minority view that section 326(a) does not apply to services rendered by a paraprofessional employed by a trustee. In re Abraham, 163 B.R. 772, 790 (Bankr. W.D.Tex.1994); In re Orthopaedic Technology, Inc., 97 B.R. 596, 598-99 (Bankr.D.Colo. 1989); Cavazos v. Simmons, 90 B.R. 234, 239-40 (N.D.Tex.1988). See also In re Hance Meyer, Inc., 161 B.R. 839, 840 n. 1 (Bankr.N.D.Cal.1993).
For the reasons stated below, we agree with the majority view and hold that the term "trustee's services" in section 326(a) includes both services performed by the trustee personally and services performed by a paraprofessional employed by the trustee.
First, the language of section 330(a) treats services performed by paraprofessionals employed by the trustee as a part of the trustee's services. Section 330(a) authorizes payment of compensation only to a trustee, an examiner, a professional person employed under section 327 or 1103, or the debtor's attorney. It does not authorize the estate to pay compensation directly to a paraprofessional. The statutory language regarding paraprofessionals merely permits the compensation paid to the trustee, etc., to be calculated in light of both the services performed by the trustee personally and the services performed by any paraprofessional persons working under the trustee. This approach is consistent with the nature of paraprofessional services. A paraprofessional helps a supervising professional perform professional services.[6] Thus, a paraprofessional working for a trustee is a paratrustee, helping the trustee to perform "trustee's services."
*420 Second, to permit trustees to obtain the maximum compensation permitted under section 326(a) and to recover additional funds based on services performed by paraprofessionals would frustrate Congress's intent to limit trustee compensation. Section 326(a) expressly limits a trustee's compensation to a percentage of the funds distributed to creditors. It is well established that a trustee may not evade the limitation imposed by section 326(a) by hiring other people to perform the trustee's duties. A trustee may employ professionals only for those tasks that require special expertise beyond that expected of an ordinary trustee. See In re J.W. Knapp Co., 930 F.2d 386, 388 (4th Cir. 1991); In re McKenna, 93 B.R. 238, 241-42 (Bankr.E.D.Cal.1988). Section 328(b) provides that an attorney or accountant may not receive compensation for the "performance of any of the trustee's duties that are generally performed by a trustee without the assistance of an attorney or accountant."[7] It would be inconsistent to allow compensation in excess of the section 326(a) limitation where a paraprofessional performs duties within the competence of an ordinary trustee, when the same services would not be compensable if performed by an accountant or an attorney. See Santangelo, 156 B.R. at 65; Berglund, 142 B.R. at 949 n. 2; Lanier Spa, 99 B.R. at 491; Prairie Central, 87 B.R. at 959. To allow a trustee to obtain payment in excess of the section 326(a) limitation simply by delegating ordinary trustee duties to a paraprofessional would render section 326(a) meaningless. See Santangelo, 156 B.R. at 65; Stewart, 151 B.R. at 259; Hagan, 145 B.R. at 517-18; Berglund, 142 B.R. at 949.
Third, the approach we adopt is fully consistent with the purpose of the language in section 330(a) regarding paraprofessionals. The legislative history states that this language was intended to reduce costs of administration by encouraging attorneys to use paralegals. Section 330(a) encourages use of paralegals by providing that paralegal services can be billed on the same terms as attorney services.
This subsection provides . . . for compensation of paraprofessionals employed by professional persons employed by the estate of the debtor. The provision is included to reduce the cost of administering bankruptcy cases. In nonbankruptcy areas, attorneys are able to charge for a paraprofessional's time on an hourly basis, and not include it in overhead. If a similar practice does not pertain in bankruptcy cases, then the attorney will be less inclined to use paraprofessionals even where the work involved could easily be handled by an attorney's assistant, at much lower cost to the estate. This provision is designed to encourage attorneys to use paraprofessional assistance where possible, and to insure that the estate, not the attorney, will bear the cost, to the benefit of both the estate and the attorneys involved.
H.R.Rep. No. 595, 95th Cong., 1st Sess. 330 (1977), 1978 U.S.C.C.A.N. 5787, 5963, 6286. Under our interpretation, the trustee has the same incentive as the estate's attorneys to use paraprofessionals, because charges for time expended by the trustee's paraprofessionals may be billed to the estate on the same terms as charges for the trustee's time. Appellee seeks to have services performed by a trustee's paraprofessional treated more favorably *421 than services performed by the trustee personally. Under the interpretation Appellee urges, services would be compensable if performed by a paraprofessional, although the same services would not be compensable if performed by the trustee personally and the trustee had already received maximum compensation. Congress intended to encourage trustees to delegate their duties where such delegation would lower costs of administration. Nothing in section 330(a) or its legislative history suggests that Congress intended section 330(a) to increase costs of administration by creating a loophole in the section 326(a) limitation on trustee compensation. See Stewart, 151 B.R. at 259.
The services performed by the paraprofessional in the present case were of a type ordinarily performed by a trustee without the assistance of a professional. Ms. Ilfeld helped the trustee review claims and prepare his final account. A trustee must be deemed competent to prepare a final account. Similarly, a trustee must be deemed competent to perform at least the initial review of claims. Appellee's counsel acknowledged at oral argument that nothing in the record would support a finding that review of the claims in question required expertise beyond that expected of an ordinary trustee. We therefore determine that the services performed by Ms. Ilfeld constitute "trustee's services" subject to the section 326(a) limitation.
Even if the services performed by Ms. Ilfeld did require expertise beyond that expected of an ordinary trustee, we would deny compensation for such services outside the section 326(a) limitation because Ms. Ilfeld was not appointed under section 327(a). Section 327(a) requires court approval before the trustee may hire a professional. Federal Rule of Bankruptcy Procedure 2014(a) requires that the application for employment of a professional describe the services to be rendered and the need for those services. The purpose of these requirements is to protect the estate against claims by volunteers performing unnecessary services. See In re Haley, 950 F.2d 588, 590 (9th Cir.1991); Hagan, 145 B.R. at 518. Similar considerations lead us to conclude that a trustee may receive compensation in excess of the section 326(a) limitation for the services of a paraprofessional only if the trustee obtains prior court approval for the employment of that paraprofessional. To the extent Ms. Ilfeld, a bookkeeper, performed services requiring expertise beyond that expected of an ordinary trustee, she in substance performed professional accounting services. The trustee should have complied with the requirements of section 327(a) and Rule 2014 in employing Ms. Ilfeld to perform professional services. Santangelo, 156 B.R. at 65; Hagan, 145 B.R. at 519.
CONCLUSION
A trustee may delegate performance of his or her duties to a paraprofessional. A trustee may receive compensation for the services performed by a paraprofessional at the market rate for such services, so long as the total compensation paid the trustee for services performed by the trustee and by the paraprofessional does not exceed the section 326(a) limitation. A trustee may receive total compensation in excess of the section 326(a) limitation only where the paraprofessional has been appointed under section 327(a) and the services performed by the paraprofessional require expertise beyond that expected of an ordinary trustee. The decision of the Bankruptcy Court is REVERSED.
NOTES
[1] Honorable Thomas E. Carlson, Chief Bankruptcy Judge for the Northern District of California, sitting by designation.
[2] All statutory references are to the United States Bankruptcy Code, Title 11 of the United States Code.
[3] The United States Trustee also objected to trustee Boldt's claim to recover $120 for the cost of storing case files. The bankruptcy court sustained the objection, Jenkins, 171 B.R. at 107, and trustee Boldt did not appeal that ruling.
[4] Section 326(a) was amended by the Bankruptcy Reform Act of 1994, Pub.L. No. 103-394, 108 Stat. 4106 §§ 107, 702 (1994). The amendment raises the limit on trustee compensation. The amendment applies only in cases filed on or after October 22, 1994 and is not applicable to the present case.
[5] Section 330(a) was amended by the Bankruptcy Reform Act of 1994, Pub.L. No. 103-394, 108 Stat. 4106 §§ 224, 702 (1994). The amendment applies only in cases filed on or after October 22, 1994 and is not applicable to the present case.
[6] The dictionary defines "paraprofessional" as "a person trained to assist a professional, such as a doctor's assistant or a part-time teaching assistant." Random House College Dictionary 965 (rev. ed. 1980).
The American Bar Association defines a legal assistant as:
a person, qualified through education, training or work experience; who is employed or retained by a lawyer, law office, governmental agency, or other entity in a capacity or function which involves the performance, under the ultimate direction and supervision of an attorney, of specifically delegated substantiative [sic] legal work, which work, for the most part, requires a sufficient knowledge of legal concepts that, absent such assistant, the attorney would perform the task.
"A Legal Assistant As Defined By The American Bar Association," ABA Board of Governors, February, 1986 (cited in In re Busy Beaver Building Centers, Inc., 133 B.R. 753, 756 (Bankr.W.D.Pa. 1991), remanded, 19 F.3d 833 (3rd Cir.1994)).
[7] Section 328(b) provides:
If the court has authorized a trustee to serve as an attorney or accountant for the estate under section 327(d) of this title, the court may allow compensation for the trustee's services as such attorney or accountant only to the extent that the trustee performed services as attorney or accountant for the estate and not for performance of any of the trustee's duties that are generally performed by a trustee without the assistance of an attorney or accountant for the estate.
|
tomekkorbak/pile-curse-small
|
FreeLaw
|
VoIP Router: Improving Communications at Your Branch Offices
It delivers an integrated VoIP router solution for your branch office environment, built on the reliable Cisco integrated services router (ISR) platform. This single, small-footprint VoIP router platform consolidates six separate overlay appliances and streamlines IT administration while reducing power consumption. A VoIP router gives you the advanced technology capabilities you need in your branch offices to serve customers and to gain competitive advantage in the global market.
VoIP Router Solution
A VoIP router can accelerate productivity and enhance collaboration by providing advanced services such as:
Data networking
VoIP router-based unified communications
Firewall security
Physical security (analog and IP security cameras)
Wireless LAN controller
Application acceleration over the WAN
VoIP Router: Single Unit, Multiple Benefits
The VoIP router is at the core of your unified communications strategy, and is designed to be customizable for your branch office needs. A VoIP router solution can offer:
Low Cost: Cisco ISRs and the VoIP router offer cost benefits for the branch office through reduced power consumption, and simplified deployment, administration, and maintenance
|
tomekkorbak/pile-curse-small
|
Pile-CC
|
Bay City Millwork is a family owned and operated millwork manufacturer based out of Erie, Pa. With over 35 years of experienced craftsmanship, we provide superior quality products throughout the Northeast United States.
We are committed to providing custom quality products along with outstanding customer service. Bay City Millwork is known for our personalized and reliable service, superior craftsmanship, and the desire to exceed our clients expectations.
|
tomekkorbak/pile-curse-small
|
Pile-CC
|
Variable pitohui
Variable pitohui may refer to:
Northern variable pitohui, a species of bird found on New Guinea and neighbouring islands
Southern variable pitohui, a species of bird found on New Guinea and neighbouring islands
Category:Birds by common name
|
tomekkorbak/pile-curse-small
|
Wikipedia (en)
|
M.I.A- Bad Girls Video
Published: February 5, 2012 GMT
British rapper and singer M.I.A. is turning on her swagger in the Arabian Gulf in her latest video for Bad Girls. The rubber-burning stunts were inspired by internet viral videos of death-defying car tricks popular in Saudi Arabia and the UAE.
Related Content
Videos
Articles
M.I.A the 'terrorist' rap-artist is accused of new crimes against Arab humanity. But if anything, this 'Bad Girl' who loves to court censorship and controversy, should be applauded for her research into a sub-culture of Arabia that makes an extreme sport of driving. However, she may have inadvertently harmed the women's drive to claim their seat behind the wheel in Saudi Arabia.
Dam this women got me feeling twisted sexy in love .. She could ride on my car door any day or night or what ever i want an Mia for X-mas
|
tomekkorbak/pile-curse-small
|
Pile-CC
|
Show HN: Slouch Stoppah - lnenad
https://slouchstoppah.com
======
Noumenon72
Good habit formation can't hurt, but don't neglect the fundamentals. The thing
that's pulling your shoulders forward is not some mental weakness on your
part, it's an imbalance in muscle tightness and weakness, like a tent pole
with regular guy wires on one side and yarn on the other. You need exercises
to strengthen the lower traps like floor Y's and chest supported dumbbell row,
plus face pulls and scapular wall slide.
[https://1h6wllf3f4qfut1832zlo21e-wpengine.netdna-
ssl.com/wp-...](https://1h6wllf3f4qfut1832zlo21e-wpengine.netdna-ssl.com/wp-
content/uploads/upper-body-cross-syndrome.jpeg) (upper cross syndrome diagram)
[https://www.t-nation.com/training/top-priority-for-lower-
tra...](https://www.t-nation.com/training/top-priority-for-lower-traps) (prone
Y)
[https://www.menshealth.com/fitness/a19521507/chest-
supported...](https://www.menshealth.com/fitness/a19521507/chest-supported-
dumbbell-row/) (chest supported dumbbell row)
[https://www.t-nation.com/training/whats-your-weak-
link](https://www.t-nation.com/training/whats-your-weak-link) (scapular wall
slide)
------
lnenad
I've made this for myself to help me slouch less, so I thought it might be
useful to others. It uses face-api.js to get the user's face, and then tries
to guess when you're slouching by capturing the state when you are sitting
upright, and then using position and face size in relation to the captured
state. All processing is done client side and no data is being sent anywhere.
The code is open sourced and can be seen here
[https://github.com/lnenad/slouch-stoppah](https://github.com/lnenad/slouch-
stoppah)
------
colordrops
Daily Mysore yoga and a standing desk will also completely fix posture without
needing constant reminders or cyborg devices, but require more effort. There
are other great benefits though, such as weight loss, core strength, and pain
reduction.
~~~
greggman2
And foot destruction (or at least that was my experience and I had to give up
the standing desk) YMMV
~~~
tcoff91
One needs to be smart with transitioning to standing while working. Just going
into it blind isn’t smart. Deskbound by Kelly Starett has a good protocol for
transitioning.
~~~
derefr
How about for people with fallen arches? No length "transition period" can be
expected to work out, if standing for hours just isn't in the cards for you,
physiologically.
~~~
friendlybus
My feet are fairly flat and doing basic deadlifts helped move my posture from
knees rolling in, toes gripping the floor to my feet resting along the edges
of the foot, up to the ball of the foot and my knees straightening out. It
helps the lower back and the strain in neck muscles too.
Standing desks are a significant change. I got a small amount of swollen
ankles the first day of standing for hours. But it works now.
~~~
viburnum
This is really interesting. Why dead lifts?
~~~
friendlybus
It was just an idea floating around the circles I used to visit. I knew it
improved posture so I tried it. I was also having lower back issues and
general excessive computer use problems. Works well enough.
Deadlifts miss the muscles in the shoulder that tighten up from too much mouse
+ kb. I haven't found an excersize for that, which is as effective as
deadlifts. Pushing your arms back in a door frame, holding your elbows above
shoulder height, helps roll back each shoulder and stretch a tight muscle that
goes from the top of your shoulder to the front of your chest that gets tight
when hunched over a kb. That works in the short term, but it doesn't give the
effective feeling of strengthening those muscles in such a way that the
problem recurs much more slowly, like deadlifts do for your legs/back/neck.
I've tried hanging from a pullup bar and that certainly helps reset the
shoulders/neck/head tension, but it's not a fix in the same way gaining
strength is a fix.
~~~
pgt
Anecdote: Indoor rock climbing fixed my back & shoulder pain from computer
work completely, as well as keep my wrists strong for typing and guitar.
~~~
friendlybus
Nice!
------
nchelluri
[https://medium.com/@nchelluri/you-deserve-a-pull-up-
bar-84ec...](https://medium.com/@nchelluri/you-deserve-a-pull-up-
bar-84ec9aabdeb3) is my alternative
~~~
Noumenon72
One of the bullpens at my new job pitched in and got a pull-up stand! It
brings people to visit and makes the place feel like we own it a little.
That's a good selling point that it causes you to rotate your shoulder blades
back and up. Hanging leg lifts can also be done and are also a much more
effective ab exercise than situps (since it only takes 10 reps to get tired,
and you can bring your knees closer or farther away to adjust the resistance).
~~~
closeparen
We had one, until a bean counter had it removed over liability risk.
------
pipu
Very nice work! Thanks for sharing.
I can personally recommend Upright Pose, [https://www.uprightpose.com/en-
try/](https://www.uprightpose.com/en-try/)
~~~
kareemm
What benefits did you get from it?
------
viburnum
If your posture is so bad that you literally can’t or don’t know how to stand
up straight, your hamstrings might be super tight. Mine were, anyway.
~~~
knowmad
I too have bad posture and super tight hamstrings. Any tips of improving one
or both of those things?
~~~
danenania
I've found strength training with bodyweight exercises to help immensely with
both. I'm following the "recommended routine" from the /r/bodyweightfitness
subreddit. [1]
On hamstring tightness: often when muscles are tight, it's due to a strength
imbalance. Runners tend to get tight hamstrings because they work their quads
a lot and the hamstrings don't keep up. So while it's a bit of an
oversimplification to say that if certain muscles are chronically tight, you
can fix that just by making them stronger, it's not too far off. For me it was
really that simple: strengthening my hamstrings with hip hinges [2] made them
noticeably less tight within about a month.
For posture it's basically the same idea. I always thought posture was like a
force of will/discipline/habit thing until I finally felt how much easier it
is to have that "discipline" after moderately strengthening my back, chest,
core, and legs. Standing or sitting up straight is actually a lot of work for
our bodies. And if it's basically the hardest thing you regularly subject the
relevant muscles to, it's not too surprising that they will get tired out
quickly. But if you start doing things that are much harder for each muscle
group (like planks, push ups, rows, squats, hinges, etc.), then simply holding
yourself up straight gets much easier.
1 -
[https://www.reddit.com/r/bodyweightfitness/](https://www.reddit.com/r/bodyweightfitness/)
2 -
[https://www.youtube.com/watch?v=11I-ZWWNGDI](https://www.youtube.com/watch?v=11I-ZWWNGDI)
------
raldi
I can't get the initial overlay to close (Chrome on iPhone). Neither the close
button nor the X do anything.
------
uvisgrinfelds
Love it, already started using it. I was thinking of making something similar;
now I don't have to! Thanks.
~~~
lnenad
Thank you, since you wanted to make something similar if you have any
suggestions feel free to let me know :)
------
chrisbennet
"slouching" in the other direction is supposed to be good.
'[http://news.bbc.co.uk/2/hi/health/6187080.stm](http://news.bbc.co.uk/2/hi/health/6187080.stm)
------
Yenrabbit
Started up my own version of this ~10 seconds before I saw this story. It's
amazing how a simple program ("yell at the user if face position < threshold")
is enough to quickly train some better habits.
------
xwowsersx
Very cool. My camera is capturing, but the button for "capture current
position" is never enabled. What am I doing wrong here?
~~~
lnenad
Hmm sorry to hear that, can you maybe open the browser console and see if
there are any errors?
~~~
xwowsersx
Works just fine in FF, but also a bit of a hog on resources? I think it'd be
better if it maybe just started/stopped capturing every N minutes or even just
used photos instead of video? Presumably, you can do the same analysis with
just a photo?
~~~
lnenad
I know it takes a lot you can increase the interval to reduce it. Good idea
though, although starting and stopping of the camera can maybe be
buggy/suspicious behavior. I'll definitely add it as an option.
------
hammerbrostime
Bostonian?
~~~
lnenad
Nope, why?
~~~
mattmar96
"Stoppah"
------
29athrowaway
There are also electronic posture training devices to help with this.
~~~
tinktank
Can you recommend any?
|
tomekkorbak/pile-curse-small
|
HackerNews
|
Frank Densborn, Frank Finkbohner, Jochen Freudenberg, Kim Mathäß, Frank Wagner
# Migrating to SAP S/4HANA®
# Imprint
This e-book is a publication many contributed to, specifically:
Editor Will Jobst
Acquisitions Editor Hareem Shafi
German Edition Editor Janina Karrasch
Translation Lemoine International, Inc., Salt Lake City, UT
Copyeditor Yvette Chin
Cover Design Graham Geary
Photo Credit Shutterstock.com/413666632/© Carlos Caetano
Production E-Book Graham Geary
Typesetting E-Book III-satz, Husby (Germany)
We hope that you liked this e-book. Please share your feedback with us and read the Service Pages to find out how to contact us.
Library of Congress Cataloging-in-Publication Control Number: 2017025848
ISBN 978-1-4932-1448-8 (print)
ISBN 978-1-4932-1449-5 (e-book)
ISBN 978-1-4932-1450-1 (print and e-book)
© 2017 by Rheinwerk Publishing Inc., Boston (MA)
1st edition 2017
1st German edition published 2017 by Rheinwerk Verlag, Bonn, Germany
# Dear Reader,
With a team like this, you know your migration is off to a good start:
Frank Densborn, product manager for SAP S/4HANA Data Migration.
Frank Finkbohner, delivery manager for the SAP S/4HANA Cloud data migration content.
Dr. Jochen Freudenberg, head of the Development Landscape Management Architecture department.
Kim Mathäß, product manager for SAP S/4HANA data management and migration.
Frank Wagner, product expert within SAP S/4HANA product development.
This team has the expertise you need for your SAP S/4HANA migration project. They are passionate about providing you with the know-how you need to ensure a smooth migration process.
What did you think about _Migrating to SAP S/4HANA_? Your comments and suggestions are the most useful tools to help us make our books the best they can be. Please feel free to contact me and share any praise or criticism you may have.
Thank you for purchasing a book from SAP PRESS!
Will Jobst
Editor, SAP PRESS
Rheinwerk Publishing
Boston, MA
[email protected]
www.sap-press.com
# Notes on Usage
This e-book is protected by copyright. By purchasing this e-book, you have agreed to accept and adhere to the copyrights. You are entitled to use this e-book for personal purposes. You may print and copy it, too, but also only for personal use. Sharing an electronic or printed copy with others, however, is not permitted, neither as a whole nor in parts. Of course, making them available on the Internet or in a company network is illegal as well.
For detailed and legally binding usage conditions, please refer to the section Legal Notes.
This e-book copy contains a digital watermark, a signature that indicates which person may use this copy:
# Notes on the Screen Presentation
You are reading this e-book in a file format (EPUB or Mobi) that makes the book content adaptable to the display options of your reading device and to your personal needs. That's a great thing; but unfortunately not every device displays the content in the same way and the rendering of features such as pictures and tables or hyphenation can lead to difficulties. This e-book was optimized for the presentation on as many common reading devices as possible.
If you want to zoom in on a figure (especially in iBooks on the iPad), tap the respective figure once. By tapping once again, you return to the previous screen. You can find more recommendations on the customization of the screen layout on the Service Pages.
# Table of Contents
## Dear Reader
## Notes on Usage
## Table of Contents
## Preface
## Introduction
# Part I Basic Principles
# 1 SAP S/4HANA—Requirements and Benefits
## 1.1 Future Business Challenges
### 1.1.1 Digitization of Business Processes
### 1.1.2 Trends of the Digital Transformation
## 1.2 The Pledge of SAP S/4HANA
### 1.2.1 Simplification of the Functionality
### 1.2.2 Simplification of the Data Structure
### 1.2.3 Simplified User Interfaces
### 1.2.4 Simplified Analyses
## 1.3 Business Functions in SAP S/4HANA
### 1.3.1 Accounting
### 1.3.2 Logistics
### 1.3.3 Human Resources
### 1.3.4 Procurement
### 1.3.5 Marketing
# 2 SAP S/4HANA versus the Traditional SAP Business Suite
## 2.1 Comparing the Available Solutions: SAP S/4HANA and the Digital Core
## 2.2 Simplification
## 2.3 The New Data Model and the SAP HANA Database
### 2.3.1 SAP HANA
### 2.3.2 The Data Model
### 2.3.3 Handling Existing Data
### 2.3.4 Sizing
## 2.4 SAP Fiori User Interfaces
### 2.4.1 Technological Changes
### 2.4.2 Operating Concept
## 2.5 Interfaces
## 2.6 SAP S/4HANA Embedded Analytics
# 3 Cloud, On-Premise, and Hybrid Scenarios
## 3.1 Overview of Operating Models
### 3.1.1 On-Premise Operating Model
### 3.1.2 Cloud Operating Model
### 3.1.3 Hybrid Operating Model
## 3.2 The SAP S/4HANA Product Family
### 3.2.1 SAP S/4HANA, On-Premise
### 3.2.2 SAP S/4HANA Cloud
### 3.2.3 SAP HANA Enterprise Cloud
## 3.3 Comparing the Operating Models
### 3.3.1 Hardware, Software, Operation, and Maintenance
### 3.3.2 User Interfaces
### 3.3.3 Functional Scope and Supported Country Versions
### 3.3.4 Options for Enhancement
### 3.3.5 Payment Model and Runtime
### 3.3.6 Model for Migration to SAP S/4HANA
## 3.4 Extensibility in SAP S/4HANA
### 3.4.1 Side-by-Side Enhancements
### 3.4.2 In-App Enhancements
### 3.4.3 Checking Custom Enhancements When Migrating to SAP S/4HANA
# 4 Preparing the Migration to SAP S/4HANA
## 4.1 Basic Considerations
## 4.2 The Three Migration Scenarios
### 4.2.1 New Implementation of SAP S/4HANA
### 4.2.2 System Conversion to SAP S/4HANA
### 4.2.3 Landscape Transformation with SAP S/4HANA
# 5 SAP Activate
## 5.1 SAP Activate Content
### 5.1.1 SAP Best Practices
### 5.1.2 Guided Configuration
### 5.1.3 SAP Activate Methodology
## 5.2 SAP Activate Phases
# 6 Trial Systems and Model Company
## 6.1 Trial System in the SAP Cloud Appliance Library
## 6.2 SAP S/4HANA Fully-Activated Appliance
## 6.3 Solution Scope of the Model System
## 6.4 Enterprise Structure of the Model Company
# Part II Migrating to SAP S/4HANA in the Cloud
# 7 Migrating to the Public Cloud
## 7.1 Setting Up SAP S/4HANA Cloud
### 7.1.1 Discover Phase: Configuring the SAP S/4HANA Cloud Trial System
### 7.1.2 Explore Phase: Configuring the SAP S/4HANA Cloud Starter System
### 7.1.3 Realize Phase: Configuring the SAP S/4HANA Cloud Quality Assurance System
### 7.1.4 Deploy Phase: Configuring the SAP S/4HANA Cloud Production Systems
## 7.2 Configuring SAP S/4HANA Cloud
## 7.3 Migrating Data to SAP S/4HANA Cloud
### 7.3.1 Available Migration Objects
### 7.3.2 Data Migration Using the SAP S/4HANA Migration Cockpit
# 8 Integrating SAP S/4HANA Cloud into the System Landscape
## 8.1 Integration with SAP Ariba Solutions
### 8.1.1 Integration Scenarios in Procurement and Accounts Payable
### 8.1.2 License Prerequisites and Provision of SAP Ariba System Accesses
### 8.1.3 Executing an Integration Project with SAP Activate
### 8.1.4 Integration Settings in SAP S/4HANA Cloud
### 8.1.5 Configuration in SAP Ariba
### 8.1.6 Testing the Integrated Business Processes and Going Live
### 8.1.7 Outlook
## 8.2 Integration with SAP SuccessFactors
### 8.2.1 Configuration in SAP S/4HANA Cloud
### 8.2.2 Configuration in SAP Cloud Platform Integration
### 8.2.3 Configuration in SAP SuccessFactors Employee Central
## 8.3 Integration with SAP Hybris Marketing Cloud
### 8.3.1 SAP Hybris Marketing Cloud Data Model
### 8.3.2 Integration with SAP ERP Systems
### 8.3.3 Importing Data from External Systems
### 8.3.4 Importing Data from Social Media
### 8.3.5 Integration of SAP Hybris Cloud for Customer Systems
# Part III Migrating to SAP S/4HANA On-Premise
# 9 Installing and Configuring SAP S/4HANA On‐Premise or in the Private Cloud
## 9.1 Installation
## 9.2 System Configuration
## 9.3 Setting Up the Frontend Server for SAP Fiori User Interfaces
### 9.3.1 On-Premise Installation of the Frontend Server
### 9.3.2 SAP Fiori Cloud
# 10 System Conversion
## 10.1 Overview of the System Conversion Project
### 10.1.1 System Conversion Process
### 10.1.2 System Group Conversion
## 10.2 Converting Single Systems
### 10.2.1 System Requirements
### 10.2.2 Simplification List
### 10.2.3 Maintenance Planner
### 10.2.4 Prechecks
### 10.2.5 Adapting Custom Developments
### 10.2.6 Database Sizing for SAP S/4HANA
### 10.2.7 Using Software Update Manager
### 10.2.8 Migrating to SAP Fiori User Interfaces
# 11 New Implementation of Single Systems
## 11.1 Data Migration Phases
### 11.1.1 Data Analysis
### 11.1.2 Mapping
### 11.1.3 Implementation
### 11.1.4 Testing
### 11.1.5 Data Validation
### 11.1.6 Data Cleansing
### 11.1.7 Productive Load and Support
## 11.2 Supported Migration Objects
## 11.3 Rapid Data Migration
### 11.3.1 Tools
### 11.3.2 Architecture
### 11.3.3 Migration Content
### 11.3.4 Connecting to Source Systems
### 11.3.5 Data Profiling
### 11.3.6 Field Mapping
### 11.3.7 Value Mapping and Conversion Tables
### 11.3.8 Data Validation
### 11.3.9 Importing Data
### 11.3.10 Monitoring
### 11.3.11 Optimizing IDoc Performance
## 11.4 SAP S/4HANA Migration Cockpit
## 11.5 SAP S/4HANA Migration Object Modeler
### 11.5.1 Edit Source Structures
### 11.5.2 Display Target Structures
### 11.5.3 Display Structure Mapping
### 11.5.4 Edit Field Mapping
### 11.5.5 Technical Functions
### 11.5.6 Advanced Activities
## 11.6 Comparison of Migration Tools
# 12 Landscape Transformation
## 12.1 The Three Transformation Scenarios
## 12.2 Carrying Out a Transformation Project
### 12.2.1 Preanalysis and Planning
### 12.2.2 Blueprint and Project Team
### 12.2.3 Test Runs
### 12.2.4 Production Conversion
### 12.2.5 Support after Go-Live
## 12.3 System Consolidation
## 12.4 Company Code Transfer
## 12.5 Transformation to Central Finance
### 12.5.1 Implementing SAP S/4HANA Central Finance
### 12.5.2 Global Parameters
### 12.5.3 Master Data
### 12.5.4 Mapping, Error Handling, and Initial Data Load
# 13 Integrating SAP S/4HANA, On-Premise, into the System Landscape
## 13.1 Integration with SAP Ariba Solutions
### 13.1.1 Integrated Business Processes with SAP Ariba Solutions and SAP S/4HANA
### 13.1.2 Technical Integration of SAP S/4HANA with SAP Ariba
## 13.2 Integration with SAP ERP HCM and SAP SuccessFactors
### 13.2.1 ALE Integration with SAP ERP HCM
### 13.2.2 Integration of SAP ERP HCM within the SAP S/4HANA Instance
### 13.2.3 Integration with SAP SuccessFactors Employee Central
### 13.2.4 Synchronizing Employee Data with Business Partners
## 13.3 Integration with Existing SAP Systems
# Part IV Assessing the Transformation Scenarios
# 14 Selecting Your Migration Scenario
## 14.1 Overview of Procedures and Input Helps
## 14.2 Creating Your Own Roadmap
### 14.2.1 Initial Scenario: Single System
### 14.2.2 Initial Scenario: Decentralized System Landscape
### 14.2.3 Sample Roadmaps
## 14.3 The Most Important Criteria for Your Decision
## 14.4 Conclusion
# The Authors
# Index
## Service Pages
## Legal Notes
## Preface
The world economy is currently undergoing a transformation. With increasing frequency, technological innovations are launched that exert drastic influence in our daily lives. The Internet, with its heightened interoperability of persons, products, and services, substantially impacts your enterprise and business processes. To consider this interoperability, you must reassess traditional business models and adapt your business processes if required. Exponential data growth requires innovative approaches for data storage and processing. In terms of system landscape, the requirements for outsourcing business processes to the cloud keep changing, but access to your systems via mobile devices ensures future viability. As the market leader for business software, we consider it our responsibility to help our customers, whatever the status their existing system landscapes may be, and support them in addressing the challenges of this digital transformation.
With SAP S/4HANA, SAP provides a modern ERP suite that uses the in-memory technology of SAP HANA to overcome the technical limits of traditional databases. SAP S/4HANA can become the digital core of central, mission-critical business processes such as accounting, logistics, procurement, and sales and distribution. The design of SAP S/4HANA is based on the following core aspects: simplification of the application, in particular simplification of data structures; simplification of the user experience through role-based user interfaces in SAP Fiori; embedded analytics; machine learning; and a cloud-first approach for developing new functions and business processes.
SAP S/4HANA allows customers to select the appropriate operation option for their business processes: running the business processes on-premise, operating entirely in the cloud, or outsourcing only selected parts of the business processes to the cloud and running other parts on-premise—SAP S/4HANA ensures flexibility. Since its introduction in 2015, more than 6,300 customers have chosen SAP S/4HANA. In 2017, the central question for our customers is no longer if they migrate to SAP S/4HANA but how to perform the migration to gain the maximum benefit from it.
This book describes the different operating models and the migration scenarios to SAP S/4HANA in detail. We hope to enable readers to assess the corresponding scenarios and thus plan their migration to SAP S/4HANA more efficiently. In the context of the various SAP S/4HANA migration scenarios, we'll illustrate different options for defining your own pace for the migration and thus protecting the investments made into your existing system landscape.
Sven Denecken
Senior Vice President and Chief Product Owner for SAP S/4HANA Cloud
Rudolf Hois
Vice President and Chief Product Owner for SAP S/4HANA, On-Premise
## Introduction
SAP S/4HANA, short for SAP Business Suite 4 SAP HANA, is SAP's next-generation application suite. SAP S/4HANA is targeted both at existing customers who use SAP ERP or the traditional SAP Business Suite and also at new customers who have never used an SAP solution before.
Regardless of your situation—if you want to use SAP S/4HANA, this book is your guide to migrating to SAP S/4HANA. We'll familiarize you with all critical areas of the new SAP S/4HANA system and describe how to migrate to SAP S/4HANA using individual migration scenarios to illustrate the process.
In this context, we won't just introduce the basic options for the tools provided by SAP; we'll also support you during the migration process by illustrating typical usage scenarios. Our goal is to provide optimal support and find the best way to make SAP S/4HANA work for you—irrespective of whether you want to use SAP S/4HANA in the cloud or on-premise and irrespective of your existing ERP system. This book describes different operating models for SAP S/4HANA and explains the differences in the migration processes of the various models.
You'll also learn how to convert your existing SAP system to SAP S/4HANA, how to implement a new SAP S/4HANA system and transfer your data to this system, and how to transform an existing landscape into an SAP S/4HANA landscape. SAP has defined three ways to SAP S/4HANA:
* New implementations of SAP S/4HANA
* System conversions to SAP S/4HANA
* Landscape transformations with SAP S/4HANA
Furthermore, in this book, we'll discuss how to integrate this new system into your existing IT landscape and address the required modifications. The goal of this book is to illustrate and explain the necessary processes in detail. After introducing the basic principles of SAP S/4HANA, we'll discuss all aspects of the migration scenarios and of the integration with SAP S/4HANA Cloud and SAP S/4HANA, on-premise. You will be provided with step-by-step descriptions of the different migration scenarios, and their differing requirements and implementations are compared using real-life examples. This book will also equip you with decision-making criteria and the necessary knowledge. By the end, you'll be the person with the know-how to decide which method is ideal for your migration to SAP S/4HANA.
#### Who This Book Is For
Because this book provides a holistic overview of migrating to SAP S/4HANA, we have targeted various groups of readers. For making decisions and choosing the appropriate migration scenario, this book supports IT managers and administrators who will integrate SAP S/4HANA. However, because we also go into detail, this book also supports SAP consultants who manage SAP S/4HANA migration projects for customers or in their own organization and project leads who want to get an overview of the individual methods and tools. All these groups can use the instructions in this book as a guide to implementing their own migration projects.
Because SAP S/4HANA is a completely new business suite, you do not require any previous SAP ERP knowledge for this book. However, if you want to reproduce the migration scenarios in this book, you should have a basic understanding of SAP NetWeaver. For more information on SAP NetWeaver, SAP HANA, and data migration in SAP systems, or for a detailed business overview of SAP S/4HANA, refer to the other specialized SAP PRESS books.
This book describes all procedures and methods for SAP S/4HANA, on-premise, 1610 and SAP S/4HANA Cloud 1702, the latest releases as this book was going to press. If you use higher versions, the screenshots shown in this book might deviate slightly from your screen views. However, we assume that the basic steps for migrating to SAP S/4HANA will stay the same in higher releases.
###### [»] Terminology
The term SAP S/4HANA migration in this book is the generic term for the various scenarios of the migration to SAP S/4HANA. So this term not only refers to data migration and data transfer from legacy IT systems or SAP production systems; it also refers to the conversion of individual systems or the transformation of system landscapes.
#### Structure of This Book
This book is structured into four parts. The following summarizes the content of these parts and the individual chapters for better orientation.
#### Part I: SAP S/4HANA—Basic Principles
The first part of the book contains descriptions of the most important basic concepts, which will be necessary for you to make a decision for or against a specific installation and migration scenario. This part is also relevant to IT managers and IT employees in organizations that have not yet decided on a concrete migration plan but want to get more information about the various options. We'll explain the various deployment options for SAP S/4HANA: in a public cloud, on-premise, and as a hybrid model. Finally, you'll learn how to prepare the migration to SAP S/4HANA and explore the steps of a new implementation method for SAP S/4HANA.
Chapter 1, "SAP S/4HANA—Requirements and Benefits," provides a basic overview of SAP S/4HANA and illustrates the benefits of this new solution. In this context, we'll also cover the transformation of traditional business models—a result of the digital transformation—and we'll describe digitalization challenges that enterprises face today and will face in future. You'll get to know SAP S/4HANA's technological and business features to address these challenges.
Chapter 2, "SAP S/4HANA versus the Traditional SAP Business Suite," introduces the basis differences between SAP S/4HANA and the SAP Business Suite and positions the new solution into the SAP product portfolio. In this chapter, we'll also explain the reasons for these differences and discuss the relevant options for your IT department and business processes. We'll also describe the relevance of these changes for your SAP S/4HANA migration plan.
SAP S/4HANA is available in different deployment models. These options include an implementation in the private cloud or public cloud, on-premise in your data center, and using a hybrid approach. Chapter 3, "Cloud, On-Premise, and Hybrid Scenarios," conveys a fundamental understanding of these operating models and introduces the deployment options within the SAP S/4HANA product family. This chapter also describes the differences between the individual models in detail.
After explaining the basic principles of SAP S/4HANA, Chapter 4, "Preparing the Migration to SAP S/4HANA," introduces the procedures for migrating to SAP S/4HANA and describes the concrete steps that you need to consider in the project planning process. The last part of the book then looks back at these descriptions and summarizes the advantages and disadvantages of the various scenarios under different conditions.
Introduced with SAP S/4HANA, SAP Activate is a new method for implementing SAP software and is designed to support customers migrating to SAP S/4HANA. Chapter 5, "SAP Activate," introduces this successor to the ASAP and SAP Launch implementation models.
Chapter 6, "Trial Systems and Model Company," concludes the first part of the book. In this chapter, we'll cover the available trial systems and introduce the model company provided by SAP S/4HANA. The model company is comprised of a preconfigured system including customizing (such as predefined company codes and organizational structures) and sample data. The model company helps you identify the requirements and prerequisites for your migration.
#### Part II: Migrating to SAP S/4HANA Cloud
The second part of the book provides a step-by-step description of the different migration scenarios for SAP S/4HANA Cloud. In this part, we'll discuss the tools and procedures for the data migration and for integration with other systems.
A cloud solution offers new opportunities of organizing and financing the IT in your enterprise. Chapter 7, "Migrating to the Public Cloud," shows how you can deploy SAP S/4HANA in a public cloud. In this chapter, we'll discuss the things you should consider when implementing a cloud solution, which tools are available for the data migration in SAP S/4HANA Cloud, and the individual steps of the migration.
Chapter 8, "Integrating SAP S/4HANA Cloud into the System Landscape," describes how to integrate an SAP S/4HANA Cloud system with other SAP cloud solutions such as SAP Ariba or SAP SuccessFactors and how to embed SAP Hybris Marketing Cloud into your existing SAP system landscape. In this chapter, we'll illustrate how to connect your systems and which interfaces you should use for this purpose.
#### Part III: Migrating to SAP S/4HANA, On-Premise
After focusing on the standalone SAP S/4HANA Cloud solution in the second part, the third part of the book concentrates on SAP S/4HANA, on-premise, which can also be hosted in a private cloud. This version features additional migration scenarios, which are introduced in this chapter in detail with relevant usage scenarios. This part also illustrates the differences of operating in a public cloud and discusses the various integration options for SAP S/4HANA, on-premise.
When migrating to SAP S/4HANA, on-premise, you'll either install a new SAP S/4HANA system or transform an existing SAP system. Chapter 9, "Installing and Configuring SAP S/4HANA On-Premise or in the Private Cloud," describes the necessary steps for installing backend and frontend servers and for installing the system.
Chapter 10, "System Conversion," introduces the first scenario for migrating to SAP S/4HANA, on-premise: a system conversion. Converting an existing SAP Business Suite system enables you to migrate to SAP S/4HANA without having to install a new system. This chapter describes the general process (from the planning phase to the actual conversion), the individual steps required, and the necessary technical tools.
Chapter 11, "New Implementation of Single Systems," then details the various migration tools for new implementations (greenfield approach) of a new SAP S/4HANA, on-premise system. In this chapter, we'll introduce SAP S/4HANA migration cockpit, SAP S/4HANA migration object modeler, and SAP Data Services including SAP Best Practices Content (Rapid Data Migration) on the basis of real-life examples. In addition, we'll discuss the general procedure of a data migration project to SAP S/4HANA.
Chapter 12, "System Landscape Transformation," addresses the third migration scenario, landscape transformation, and its corresponding procedure. Furthermore, we'll provides detailed information on a critical use case for SAP S/4HANA: Central Finance.
Finally, Chapter 13, "Integrating SAP S/4HANA, On-Premise, into the System Landscape," details various integration options for SAP S/4HANA, on-premise, especially integration with SAP Ariba, SAP SuccessFactors, and existing SAP systems.
#### Part IV: Assessing the Migration Scenarios
The last part of the book analyzes which scenario is ideal for your enterprise. The appropriate strategy for migrating to SAP S/4HANA depends on your initial situation. This part provides you with decision-making criteria and examples for each individual migration scenario.
Chapter 14, "Selecting Your Migration Scenario," summarizes the advantages and disadvantages of the individual migration scenarios and compares them. This chapter discusses core decision criteria between choosing a new implementation or a system conversion. Landscape transformation is a special case because it can be combined with both scenarios. Ultimately, however, your choice among these scenarios will be based on business requirements.
The highlighted boxes in this book contain information that is good to know and useful but outside the context. To help you immediately identify the type of information contained in the boxes, we have assigned symbols to each box:
* [»] Boxes marked with this symbol contain information about additional topics or important content that you should note.
* [!] This icon refers to specifics that you should consider. It also warns about frequent errors or problems that can occur.
* [eg] Examples, which are highlighted with this icon, refer to real-life scenarios and illustrate the functions described.
* [+] Text passages highlighted with this icon summarize thematic relationships at a glance.
We hope that this book proves to be a good reference and guide for your migration to SAP S/4HANA. We wish you an enjoyable read and hope you can use the insights gained from reading this book in real life.
Frank Densborn, Frank Finkbohner, Jochen Freudenberg, Kim Mathäß, Frank Wagner
and our integration experts Andreas Muno and Markus Trapp
# Part I
Basic Principles
# 1 SAP S/4HANA—Requirements and Benefits
Increasing digitalization and interoperability in the economy doesn't just impact industrial production processes. This chapter explains how SAP S/4HANA addresses the requirements of the digital transformation.
Enterprises have always had to deal with technological changes and innovations. Since the 1970s (since the so-called industrial revolution), automation has increasingly become prevalent in production. Since computers have been introduced and electronics and information technology have been used in production, previously manual process steps are now performed by machines.
The interoperability of products, processes, and infrastructures in real time has led to another critical change in industrial production processes, introducing a fourth stage of industrial revolution. All areas of the value chain, such as supply, production, delivery, customer service, and maintenance, are linked via the Internet, and information on each individual step is available in real time. The Internet of Things (IoT), as well as data and services, entail a holistic digitalization of the traditional industries, which can be summarized by the concept Industry 4.0.
As shown in Figure 1.1, in the past, people and enterprises had about a hundred years to migrate to the next industrial level. After industrialization, mass production, and automation, Industry 4.0 now leads to global and extensive changes in production processes, business models, technologies, the world of work, and people's everyday lives.
This paradigm shift, which is often referred to as digital transformation, offers opportunities and risks for new business models and existing value chains. Established enterprises can increase the efficiency of existing business models or develop new ones. Enterprises that ignore transformation risk being forced out of business by more innovative enterprises because their own business processes remained too stagnant.
**Figure 1.1** Levels of the Industrial Revolution
This chapter first addresses these opportunities and risks in detail. Section 1.2 then introduces the solutions offered by SAP S/4HANA to take advantage of the digital transformation. Section 1.3 describes individual SAP S/4HANA components for marketing, procurement, logistics, finances, and human resources.
## 1.1 Future Business Challenges
The 2000s also involved changes requiring enterprises to adapt their business models. In comparison to the previous industrial revolutions, the radical character and speed of the latest digital transformation are specific and new. In the past, changing business models often led to large enterprises acquiring small enterprises; today, in the digital economy, dynamic enterprises acquire slow, passive enterprises. Product suppliers that had been previously unknown can become market leaders in no time at all and can thus turn established industries upside down.
### 1.1.1 Digitization of Business Processes
Today's business processes are influenced by the increasing penetration of IT, which forces enterprises with traditional business processes to rethink their business processes and adapt them to the digital transformation. Table 1.1 lists some examples of how traditional business processes have changed over the last years.
Enterprises | Traditional Business Processes | Digital Business Processes
---|---|---
Airlines | Order processing via travel agencies | Online order processing
High-quality service | No services
Departure/arrival at central airports | Departure/arrival at provincial airports
Fashion enterprise | Outsourced production in Asia | Backsourcing of the production to Southern Europe
Design cycles of several months | Collections changing every week
Fashion retail in specialized shops | Distribution via online channels
Company for heating systems | Thermostats for heating systems in households and enterprises | Thermostats including integration into smart home technology
High quality and holistic server portfolio | Proactive Maintenance Schedules
Portfolio of additional products for smart home technology
Taxi company | Assignment of taxi services via telephone | Taxi order via smartphones
Cash payment | Automatic payment by credit card
Tool manufacturer | Tools for construction companies | Site management including leasing tools at fixed prices per month (including repair and maintenance services)
High-quality and holistic server portfolio | 24/7 last-mile delivery service of tools to the site
On-premise retailer | Online order processing
Guitar manufacturer | Standard production | Additional custom shop as distribution channel for customized guitars
Outsourced production to low-cost countries | High-price segment with production in home country
**Table 1.1** Comparison of Traditional and Digital Business Processes of Various Industries
How high the pressure for changing traditional business processes actually depends on the segment in which the enterprise operates. Table 1.2 shows various industries categorized into the following groups:
* Enterprises with a high level of digitalization
Enterprises in industries with conditions strongly supporting digitalization with regard to processes, value chains, investments for digitalization, and integration of digitalization into the business strategy
* Enterprises with an average level of digitalization
Enterprises in industries with conditions moderately supporting digitalization
* Enterprises with a low level of digitalization
Enterprises in industries in which digital processes only play a minor role High Level of Digitalization | Average Level of Digitalization | Low Level of Digitalization
---|---|---
* Enterprises in the information and communications technology (ICT) sector
* Knowledge-based service providers
|
* Finance and insurance sector
* Retail
* Energy and water supply
* Mechanical engineering
* Chemical and pharmaceutical industry
* Transport and logistics
* Automotive industry
|
* Healthcare
* Other manufacturing
**Table 1.2** Evaluation of Industries Based on Their Level of Digitalization
Organizations that do not adapt to the changes resulting from the digital transformation will be massively impaired by their own business processes. In today's world, customers want to buy products whenever and wherever they want. Organizations using processes that do not meet this requirement will vanish from the market if they do not adapt their processes to this market condition.
The increasing digital transformation comprises three types of changes for business models:
* Existing traditional business models can be complemented by the digital transformation.
* Existing traditional business models can be superseded by the digital transformation and replaced by digital business processes.
* The digital transformation can allow for business models that would not be possible without the digital transformation.
If the existing traditional business model is complemented by the digitalization, usually the enterprise can keep or even reinforce its market position. Take, for example, optimizing machine tools and production facilities. For example, if sensor technology costs can be reduced, the enterprise can measure the maintenance requirements for a production machine and only take maintenance actions when actually required. In this case, the digital transformation supports and improves an existing traditional business model. The existing product and service portfolio is extended to ensure future business growth.
In some areas, traditional business models might be superseded by the digital transformation and replaced by digital business processes. This digitalization can radically change the rules of the market, often referred to as disruptive transformation or disruptive innovation.
Radical change can also open traditional sales markets for new enterprises. Who would have thought that a manufacturer of Wi-Fi routers would add radiator thermostats and switchable outdoor outlets to its product portfolio? Using online services provided by the router manufacturer, customers can control the thermostats in their homes or control their garden sprinklers via the Internet. Traditional providers of radiator thermostats, as well as new competitors entering the market, can respond to this digital transformation and also provide Internet-based smart home products. Some providers go a step further and use the connected radiator technology to involve maintenance technicians and calculate maintenance schedules proactively.
One example of a business model that has been made possible by the digital transformation is crowdsourcing or crowdfunding. For crowdsourcing, project tasks are distributed across Internet users via Internet platforms. For crowdfunding, investors are found who want to (partly) invest in a project. The interaction of these actors has been made, not only possible, but economic and efficient by the Internet, thus forming the basis for these business models.
The digital transformation provides a wide range of options for creative business actions, and certain themes, such as focus on the customer and the quality of the infrastructure, have come to the fore. Focusing on the end consumers and their benefits is becoming a key success factor.
### 1.1.2 Trends of the Digital Transformation
In the context of digital transformation, the business and technical trends shown in Figure 1.2 play a major role. The following sections discuss each of these trends in greater detail.
**Figure 1.2** Trends of the Digital Transformation
#### Smart Products and Services
Increasing interoperability and the development of rapid sensor technology have transformed every device and machine into an information hub. Also called the Internet of Things (IoT), these capabilities have changed established value chains and industrial production processes. Previous business models focused on the quality, price, and delivery times of products; in the digital world, personalized products and services with additional benefits (smart products and smart services) have become increasingly important.
The following three examples illustrate how the digital transformation can change established value chains and production processes:
* Smart maintenance
In smart service processes, sensor data can be used to predict the maintenance status of machines. The goal is to optimize maintenance processes by performing maintenance actions only when the status of the machine makes maintenance necessary. If this capability is supported by IT, not only will you be able to measure the current status of a machine, but you'll also be able to predict, based on historical data, when the machine is likely to break down, a capability known as predictive analytics.
Smart automation is involved if a sensor on a machine or a prediction triggers a spare parts procurement in the ERP system. This enhancement of traditional business models also demonstrates how production facilities and the ERP system of the enterprise can converge. You'll benefit greatly from these smart maintenance processes because your machines will function better for longer.
* Digital farming
Digital production processes have also entered traditional industries such as farming. A tractor can become a data hub, which—if equipped with the corresponding sensor—can determine how much fertilizer or seed different fields need. Harvesters can become data collectors, used by agricultural machinery manufacturers to supplement traditional business models with additional services. Conversely, mobile harvesters can also be integrated into smart maintenance processes. Agricultural machinery can be centrally monitored, and smart maintenance periods can be determined so that harvest processes run smoothly.
* Lot Size One
Let's say a guitar manufacturer adds custom products to its standard product portfolio. For selected, high-price guitars, a customer can compose their own individual guitar (selection of the wood type, shape of the guitar neck, integrated pickups, individual artificial aging of the guitar, etc.). Providing these individual pieces requires a highly flexible structure in production processes regarding order processing. In the context of digitalization, this kind of production is an individual production till the lot-size of one ("unit-of-one"). An interesting dimension of unit of one products is that these highly emotional products involve a relationship to the guitar maker. The enterprise's website introduces customers to the guitar makers who design these individual products. These individual production processes have been made possible by the easy customer communication facilitated by the Internet. In general, decreasing the number of units with increasingly changing orders, and consequently increasing setup times for machines, are a digitalization trend that many organizations should take into account.
These examples illustrate how interoperability increases automated, software-based value chains and supplements and supports traditional business processes with corresponding services. In the future, value chain elements will be increasingly connected across the involved enterprises. The communication between the individual steps of an end-to-end business process will increasingly take place in real time. Correspondingly, the need for standards in the context of Industry 4.0 will increase, which is also demonstrated by the publication of DIN SPEC 91345 as a standard for the "Reference Architecture Model Industrie 4.0 (RAMI4.0)" in April 2016.
#### Platforms
Compared to both new and modified value chains, digital platforms are a completely different business model. Some examples of digital platforms include:
* The Apple iTunes App Store on which independent providers offer apps for iPhones and iPads
* The Amazon Marketplace into which independent retailers and their products are integrated into Amazon's product portfolio
* Airbnb, a platform for leasing and letting accommodations in private homes
* Uber, an online agency service for transport services
* Industry-specific platforms such as First4Farming, a technology platform that connects participating enterprises in the farming industry
Digital platforms, the Internet, and the cloud are inextricably intertwined. Search and purchasing processes are performed online; customers can order products using any mobile end device anytime. Digital platforms enable external providers to be a part of the value chain without having a specific technology infrastructure. The platform provider is responsible for the operation and maintenance of the infrastructure but also defines the rules and costs for using the platform.
Digital platforms follow a completely different approach than traditional value chains. While the focus is on the product in the traditional economic world, platforms turn their attention to infrastructure services. For example, the services provided by Airbnb and Uber (only) consist of connecting users with providers of accommodations in private homes and of private taxi services, respectively. Digital platforms provide service providers with simplified access to digital real-time markets and cloud technologies. Many providers could not offer their services without the platform.
#### Human Capital
The migration to digital business processes requires highly qualified employees. If you want to support highly flexible and customer-specific production processes, you'll need highly flexible employees supported by critical information and data. Your employees' specific capabilities, especially their flexibility, are key factors of the digital transformation. Enterprises need to support their employees with more flexible working hours, home office options, the required infrastructure, and flextime.
The increasing requirements of flexible and complex business models additionally require further employee qualifications. To ensure continuous development, enterprises must integrate modern qualification approaches that are based on digital technologies. For example, specific e-learning courses (so-called massive open online courses, MOOCs) convey knowledge through videos and forums and allow trainers and students to communicate with each other and establish communities. The significance of employee qualifications must also be reflected in the context of a shortage of skilled workers, which is seen as a barrier to digitalization by many large enterprises.
#### User Experience
The wide usage of smartphones, tablets, smart TV, the Internet, messenger services, and emails generally affect the customers' expectations for user interfaces. Today's customers, who order products and services on the Internet, have the same high expectations for all the user interfaces they encounter.
The assignment of taxi services via smartphone apps has created a new business model, which replaces traditional taxi companies using radio communication to assign taxi services. In both cases, the customer orders a taxi. However, why is this (often quoted) example of the digitalization of business models successful and interesting? Because of the excellent user experience created by the taxi app on the customer's smartphone. The central feature of this experience is that an attractive order process (with an interactive map that displays taxis nearby) is linked with an attractive payment process. The app is so easy that you can simply leave the taxi after the ride and don't have to do anything, because the invoice is paid via credit card details specified earlier. This example illustrates that digital business processes also differentiate themselves from each other by means of the user experience. Digital business processes will only be successful if they create outstanding user experiences.
Thus, with the digital transformation, all enterprises need to focus on the consumer. The technology is not as important as the value added by the digital business process for the customer. The interface that supports the business process plays a major role for user acceptance.
#### Cloud Computing
Another digitalization trend is that IT services and business processes are outsourced to the cloud. An increasing number of cloud offerings enables you to overthink the tasks of your internal IT department. For example, specific services that cannot be efficiently provided by your own IT department can be outsourced to cloud providers. The data centers of cloud providers can usually respond more efficiently and flexibly to workload fluctuations that require computing and memory capacities to be flexible and adaptable. In addition, the costs of these flexible adaptations to fluctuations are easier to calculate. If you outsource services to external cloud providers, you don't necessarily have to support the new employee skills required by the digital transformation, which we mentioned in the "Human Capital" section earlier.
If you consider the impact of cloud computing on business processes, speed and flexibility play a major role. For example, an enterprise that outsources new business processes to the cloud, which results in shorter implementation cycles, can respond more quickly and more flexibly to changing market conditions. Cloud computing also enables enterprises to redefine business processes. A growing number of cloud offerings allows enterprises to standardize business processes and outsource them to the cloud if they do not have to differentiate themselves from competitors in this area. Enterprises do not necessarily have to run their online shop themselves, and you can use common Internet trading standards as a guide. In contrast, core business processes might emerge where you might want to, or have to, differentiate yourself from your competitors. Perhaps you want to implement highly specialized and individual business processes that are not compatible with the standardized processes in the cloud. In this case, you'll usually want to run these business processes yourself within your enterprise.
#### Security and Trust
On the one hand, the increasing interoperability of value chains and the collection of large data volumes, using sensors that have become cheaper and cheaper, allow for new and supplementary business models. On the other hand, these developments also present security risks, which business organizations must address.
One of the greatest barriers to cloud solutions is security, which must be considered when designing the applications. While monitoring production facilities was once rather an enterprise-specific topic, in the context of smart maintenance processes, the system can be opened up to network access, which requires the corresponding security measures.
Digital business processes also place stricter requirements on security and the protection of the collected data. You must ensure that, in the relevant business processes, only authorized and authenticated partners can communicate with each other. Modern IT security and encryption systems can ensure security for this communication but must be tailored for this purpose.
For data security, the employee qualifications again play an important role. To innovate and ensure the competitive edge of your enterprise, your employees need to be qualified in cybersecurity. The digital skills of your employees regarding the handling and disclosure of data must be supported. What good is a modern cybersecurity concept if your employees use the same, insecure password for all systems?
Outsourcing business processes to the cloud can be the ideal solution for cybersecurity, because reliable cloud providers usually have higher security standards than the IT department in many organizations can ensure. Centrally managed cloud environments can also provide the benefits of backup and recovery processes.
In the context of digital transformation, the success of an enterprise also depends on the users' trust. Customers will turn away from an enterprise that cannot ensure personal data is protected. But users' trust is not limited to data security; customers might also consider ethics and values when assessing a business model. Would customers prefer a taxi app if they knew that the drivers were treated more fairly and that a higher share of revenue was used for car inspections? Possibly!
## 1.2 The Pledge of SAP S/4HANA
SAP S/4HANA is a real-time ERP suite that can form the digital core of a business. SAP S/4HANA is completely based on SAP HANA, an in-memory platform, and provides SAP Fiori as an intuitive, role-based user interface that is structured on advanced design principles. Two deployment options are available for SAP S/4HANA: on-premise and SAP S/4HANA Cloud.
Section 1.3 describes the business processes integrated in SAP S/4HANA and discusses how SAP S/4HANA can support various business departments in mastering the digital challenges we detailed in the previous section.
This section summarizes to what extent the basic design of SAP S/4HANA meets the requirements of the digital transformation. The aim of SAP S/4HANA is to help enterprises address the challenges resulting from the digital transformation. SAP S/4HANA enables customers to map new digital business models in addition to their traditional business models. SAP S/4HANA is SAP's answer to the increasing complexity of the digital world. SAP S/4HANA simplifies functions, data structure, user experience, and analyses to meet the requirements for benefiting from interoperability, the Internet of Things, or big data.
### 1.2.1 Simplification of the Functionality
One of the characteristics of ERP software is that their functionality grows over the years. New business trends are often integrated into the latest version of an ERP software. Initially provided mappings of business requirements are supplemented and extended, and new applications are launched.
However, in real life, this natural and useful software growth often produces multiple functions for identical or similar requirements. In addition, technological trends and different programming languages make their way into ERP software versions.
This business and technical variety leads to complexity. For example, different technologies generate different requirements for maintenance processes. Redundantly mapped business requirements make promoting innovation difficult. If identical functions are provided in various areas, new business trends need to be integrated into all the different areas. Finally, this functional redundancy has a negative effect for all customers because the development resources of the software provider are required at various areas and are not available for other tasks, which decelerates the innovation cycle of the functions provided.
With SAP S/4HANA, SAP is committed to the principle of one, which means that, in SAP S/4HANA, a business requirement is mapped only on one target architecture.
An example of the principle of one in action in SAP S/4HANA is the credit management function. In SAP ERP, two credit management types have emerged over the last years: on the one hand, SAP Credit and Risk Portfolio Management (SD-BF-CM) and, on the other hand, the advanced version, SAP Credit Management (FIN-FSCM-CR), which was introduced to SAP ERP at a later stage. The advanced SAP Credit Management version, which provides a wealth of functions, enables you, for example, to integrate external credit information providers. Because SAP Credit Management is SAP's preferred target architecture for credit management, only SAP Credit Management is integrated as a function into SAP S/4HANA. Future innovations will also only take into account this function.
Another example of the principle of one is the simplification of existing system landscapes. In the 2000s, best of breed was a trend in the software development sector and would signify that the best possible solution was provided for each application area. Due to this trend, separate solutions were developed for some application areas and operated in separate systems, which then had to be integrated with the enterprise's ERP system. SAP also followed this approach by developing separate planning, sales, and purchasing systems. Not all of the functions that are provided in these separate solutions are also available in SAP ERP.
SAP S/4HANA provides some of these previously outsourced application areas. Thus, migrating to SAP S/4HANA additionally offers the ability to consolidate linked business processes into one system and thus simplify the system landscape and save IT costs.
###### [eg] Production Planning, Detailed Scheduling, and Purchasing Functions
An example would be Production Planning and Detailed Scheduling (PP/DS). This function enables you to generate proposals for in-house production or external procurement to cover product requirements. In the past, PP/DS has been provided within SAP Advanced Planning and Optimization (SAP APO). SAP APO is an independent solution that can be integrated and operated with SAP ERP. As of SAP S/4HANA 1610, customers can also use the integrated Production Planning and Detailed Scheduling function in SAP S/4HANA.
Another example in this context is the mapping of purchasing functions from SAP Supplier Relationship Management (SAP SRM) in SAP S/4HANA or in the cloud-based SAP Ariba solution. Integrated warehouse management functions in SAP S/4HANA can supersede warehouse management systems that previously ran in parallel.
When migrating to SAP S/4HANA, you should evaluate the options for simplifying your system landscape and how you can benefit from this simplification. You can also optimize your landscape after migrating to SAP S/4HANA because the existing integration scenarios are usually also available with other on-premise solutions. For more information, refer to SAP Note 2376061 (SAP S/4HANA 1610: Process Integration with SAP on-premise Solutions).
A third example of the principle of one is that previously industry-specific functions that operated independently are merged in SAP S/4HANA. For example, SAP S/4HANA 1610 provides functions from SAP Retail and from SAP Discrete Industries and Mill Products (DIMP). Figure 1.3 gives you an idea of how the industry solutions are mapped in SAP S/4HANA.
In addition to the examples mentioned, future SAP S/4HANA releases are supposed to integrate further industry solutions that can currently only be operated separately.
The benefits from simplifying the functionality, however, also have consequences that customers should be aware of when migrating to SAP S/4HANA. Customers using Credit and Risk Management (SD-BF-CM) must know that this function is not available in SAP S/4HANA and that migrating to the new SAP Credit Management (FIN-FSCM-CR) function needs to be considered.
**Figure 1.3** SAP S/4HANA: Shared Industry Solutions
###### [+] Checking the Availability of Solutions
Before migrating to SAP S/4HANA, you should check whether the solutions you use are available in SAP S/4HANA or whether you might have to migrate to new solutions.
For more information on customizing functions in the context of migrating to SAP S/4HANA and on the relevant support provided, refer to Chapter 10.
### 1.2.2 Simplification of the Data Structure
In 2011, SAP introduced the new SAP HANA in-memory database, which supplements the technical framework of traditional databases. Previously, data was mainly stored on hard disks due to the limited capacity of memory; now that this limitation is no longer valid, you can use other programming methods for applications that run on in-memory databases. SAP S/4HANA leverages these new options and optimizes business applications in such a way that the potential of the SAP HANA database is fully exploited. For example, the table structure for data storage is optimized. As shown in Figure 1.4, tables in the different application areas of SAP S/4HANA were modified in such a way that aggregates in tables can be omitted.
Thanks to the increased access speed of in-memory databases, data no longer needs to be stored redundantly, which was necessary before for performance reasons. For more technical details on how the SAP HANA database allows for these optimizations of the data models, refer to Chapter 2, Section 2.3.
At this point, you might ask yourself what the benefit of a simplified (technical) data structure is for the customer. We'll use two examples to demonstrate the benefits: one example from inventory management and one example from accounting.
**Figure 1.4** Simplification of the Data Structure
Determining the current material stock is rather complex, both from the business perspective and from the technical perspective. In addition to the physical inventory, you must also consider the planned goods receipts and issues at any given time. In SAP ERP's software architecture, this process was based on traditional databases. Consequently, the inventory management tables contained aggregates to optimize the performance for the determination of the current material stock. To avoid data deviations, the material stock has to be locked when new goods receipts or issues are posted. Parallel goods receipts and issues have to wait until the other process is completed. With the SAP HANA inventory management function, the SAP HANA in-memory database enables you to write goods receipts and issues of a material directly to a large material stock table without having to form aggregates (table MATDOC). Because goods receipts and issues now directly update stock information, the delay from locks, which were previously necessary, is minimized. As a result, a simplified data structure in inventory management also supports a higher data throughput.
The technical conditions of traditional databases in SAP ERP led to a software architecture that distributes the data across various tables and structures and consequently also stores data redundantly. This redundancy is a problem for the programs used to conduct financial closings because they have to consolidate this data content. This process involves reconciliation tasks that make it difficult and time-consuming to map line items.
SAP HANA enables you to centralize this previously distributed information in SAP S/4HANA in the so-called Universal Journal and thus simplify the process. SAP S/4HANA provides a central table (table ACTDOCA) that consolidates all line item data. As a result, external accounting and internal accounting are always reconciled, which ensures that reconciliations or real-time integrations between SAP Financials (FI) and Controlling (CO), as well as between General Ledger Accounting (FI-GL) and Asset Accounting (FI-AA), are no longer required. Reports from all components are based on data from the same documents. This consolidation of the data in one database allows for shorter closing cycles. You can create reports and analyses anytime during the posting period.
We must mention that the benefits we described from a simplified data structure also have effects that you should be aware of when migrating to SAP S/4HANA. Customers that convert their SAP ERP system to SAP S/4HANA, on-premise, have to check their existing customer-specific program code. If your custom code refers to data structures and SAP entities that change in SAP S/4HANA, you might have to carry out adaptations during the migration. So-called compatibility views were provided that maintain read access to obsolete SAP ERP data structures. However, if data is written to data structures that are no longer available in SAP S/4HANA, you'll have to adapt the code.
###### [+] Checking References to SAP ERP Data Structures
Before migrating to SAP S/4HANA, check whether your custom developments refer to SAP ERP data structures that were modified for SAP S/4HANA.
### 1.2.3 Simplified User Interfaces
With the new user experience (UX) with SAP Fiori, SAP meets the requirements of the digital transformation for advanced user interfaces. SAP Fiori is an intuitive user interface that has been developed according to advanced design principles. Available on all end devices (mobile devices, desktop, tablet), SAP Fiori allows for role-based user experiences that can be compared to the user experience of consumer apps. Chapter 2, Section 2.4, addresses the technical differences between SAP Fiori and SAP GUI and the operating concept behind the new interfaces.
SAP's new way of thinking about user interface design has already been recognized with awards. Who would have thought that possible when thinking of traditional SAP ERP interfaces? SAP Fiori 2.0, which is based on SAP S/4HANA, won the Red Dot Award 2015. According to the committee, "The SAP Fiori 2.0 – Next Generation Business Software concept takes the personalized, responsive, and simple user experience to the next level."
Another excellent example of SAP's UX strategy is the SAP Consumer Insight 365 app, which won the Red Dot Award 2016 and the User Experience Award 2014. SAP Consumer Insight 365 is a data service that provides users with holistic and precise insights into consumers' behaviors at physical locations. The app allows you to know, for example, the demographic characteristics of the visitors to a store or at an interesting location. This information is based on nearly real-time mobile data and indicates consumers' backgrounds, including their age, their gender, and what mobile devices they use. Figure 1.5 illustrates an example of a modern SAP user interface.
You can find a list of available SAP Fiori apps in the SAP Fiori apps reference library. By choosing Fiori apps for SAP S/4HANA you can display the SAP Fiori apps that are available for SAP S/4HANA.
Officially released SAP Fiori apps additionally enable enterprises or SAP partners to develop custom SAPUI5-based SAP Fiori applications using the SAP Web IDE.
This browser-based toolkit can be found on the SAP Cloud Platform and includes an integrated development environment. This option for developing custom user interfaces is extremely important for SAP customers. In today's SAP Business Suite, about 50% of the interfaces that are used by SAP customers are custom developments.
**Figure 1.5** SAP Consumer Insight 365
###### [»] Additional Information
You can find further information for redesigning the SAP UX using SAP Fiori under <https://www.sap.com/products/fiori.html>.
For more information on SAP Fiori 2.0, go to https://experience.sap.com/skillup/sap-fiori-2-0-the-ideal-overview/.
You can access the SAP Fiori apps reference library at <https://fioriappslibrary.hana.ondemand.com/sap/fix/externalViewer/>.
### 1.2.4 Simplified Analyses
In an increasingly complex world, you require increasingly more detailed information for your decision-making processes. Providing precise analytical data has always been a challenge and has become more and more important in the last two years. For example, 85% of the participants in "Analytics That Work: Deploying Self-Service and Data Visualization for Faster Decisions" (<https://hbr.org>, March 2016), a Harvard Business Review study, mentioned the increasing relevance of analytical data as the basis for decisions. Most participants (93%) thought that analytical data will be even more relevant in the next two years. The community using analytical data has also changed. Previously, strategic departments were the main users, but today, operational departments increasingly have to justify their decisions with analytical data.
Consequently, the number of users of analytical data has increased, which also affects how this data is collected and made available. Traditionally, the IT department of the enterprise was responsible for collecting the data, and the data was usually provided in custom reports. If these reports did not exist, they were requested. For custom reports, the SAP Business Suite with its ABAP-based reports was ideal.
But these reports are actually not fast, not user-friendly, and not available to all user groups. To meet increasing requirements, advanced analytical tools need to enable end users without specific IT knowledge to create new analyses. New visualizations have to be optimized, and complex data and data structures must be presented in a simple format.
Another concern is how data that is supposed to be analyzed is distributed across multiple sources. Today, reports are often based on data that is distributed across ABAP reports, Excel files, or embedded Business Warehouses (BW). Creating a report can entail a time-consuming process of generating analyses and standardizing complicated visualizations of the results.
The analytical functionality provided by SAP S/4HANA is referred to as SAP S/4HANA embedded analytics. This function enables users (not just experts for analytical data evaluations but any user) to create and carry out real-time analyses based on SAP S/4HANA application data. Standard reports and analytical SAP Fiori apps are also delivered with SAP S/4HANA. The analytical data can be displayed via the new SAP Fiori launchpad, which is based on SAP Fiori technology. Chapter 2, Section 2.6, discusses the technical details of this approach.
###### [»] Additional Information
You can find more information and examples of analytics under <https://experience.sap.com/skillup/sap-fiori-2-0-a-primer-on-embedded-analytics/> or in the SAP Fiori apps reference library under <https://fioriappslibrary.hana.ondemand.com/sap/fix/externalViewer/>.
## 1.3 Business Functions in SAP S/4HANA
As a modern digital ERP suite, SAP S/4HANA forms the core of the central business processes for accounting, logistics, human resources, procurement, and marketing. Customers can use SAP S/4HANA, on-premise, or SAP S/4HANA Cloud. Figure 1.6 illustrates the central business processes, which are briefly described in this section.
**Figure 1.6** Central Business Processes in SAP S/4HANA
The SAP S/4HANA business functions that are introduced in the following sections only highlight some of the supported functions in SAP S/4HANA. These examples demonstrate how SAP S/4HANA supports customers in meeting the requirements of the digital transformation. You can find a description of all SAP S/4HANA functions in the SAP documentation on SAP S/4HANA (<http://help.sap.com/s4hana>). Remember that these functions require different SAP S/4HANA licenses.
###### [»] Additional Information
For more information on SAP SuccessFactors, go to www.successfactors.com.
For more information on SAP Ariba, go to www.ariba.com.
For more information on Concur, go to www.concur.com.
For more information on SAP Fieldglass, go to www.fieldglass.com.
### 1.3.1 Accounting
In accounting, digitalization has rapidly increased the number and complexity of postings to systems. The transition from standardized, bulk processes to personalized products and services to made-to-order processes triggers the creation of various documents, which are then used in cost centers, asset accounting, or profit and loss statements. The increasing number of processes that need to be performed through the ERP system places an extreme workload on traditional ERP systems.
In general, SAP S/4HANA can map all business processes as you would expect from an advanced accounting system. The simplified data structures in accounting, supplemented by intuitive SAP Fiori-based user interfaces, enable a completely different working experience. Figure 1.7 shows the core functions of accounting that SAP S/4HANA maps.
**Figure 1.7** SAP S/4HANA: Accounting
We cannot introduce all accounting functions of SAP S/4HANA here, but we can discuss some special functions in the following sections.
#### Accounting and Financial Closings
The financial functions in SAP S/4HANA support all transactions that are relevant for accounting in the logistics and human resources components of SAP S/4HANA. In financial accounting, transactions are posted in real time via automatic account determination. As a result, all logistic quantity transactions (goods receipts, stock withdrawals, etc.) and of value-based accounting updates have identical statuses.
As described in Section 1.2.2, how data is stored has been optimized and adapted in SAP S/4HANA for accounting. The Universal Journal consolidates previously distributed information, and as a result, external accounting and internal accounting are always reconciled, which allows for shorter closing cycles. You can create reports and analyses anytime during the posting period. Of course, common accounting standards such as International Financial Reporting Standards (IFRS) or United States Generally Accepted Accounting Principles (US-GAAP) are still supported but can be executed much more efficiently in SAP S/4HANA and can consequently be executed several times in one period. As a result, you can shift from monthly closings to weekly or even daily closings and perform dynamic simulations.
In addition to the legal accounting requirements, the SAP S/4HANA accounting function also meets modern requirements such as the mapping of parallel accounting in general ledger accounting. Thus, you'll be able to close a company code according to various accounting standards. For example, a German subsidiary of a US group can prepare a period-end closing both according to the accounting standards of the US parent company (US-GAAP) and according to the German Commercial Code (Handelsgesetzbuch, HGB).
Central Finance enables you to connect your distributed system landscape to a centralized SAP S/4HANA finance system. In this scenario, a central finance system is added to the existing system landscape, thus allowing for a general, cross-system reporting structure. With Central Finance, you can migrate to SAP S/4HANA without facing interruptions in the existing system landscape, which might consist of a combination of SAP systems with different releases and non-SAP systems. For more information on Central Finance, refer to Chapter 3, Section 3.2.1.
#### Financial Planning and Analysis
The optimized data structure in SAP S/4HANA is the basis for flexible real-time analyses and evaluations to support your daily tasks. In combination with the SAP S/4HANA role concept, end users can navigate from an overview analysis to individual documents for specific tasks and use these details to make operational or strategic decisions. The necessary reports and analyses as well as simulation tools are available to meet your various requirements.
SAP Business Planning and Consolidation (BPC) for S/4HANA is a flexible and user-friendly solution for financial planning in enterprises. With regard to content, the functions for financial planning cover planning tasks for profit and loss statements and liquidity planning. For example, from the strategic revenue goals of a group, you can drill down to profit center level or view costs that were planned at the cost center level summarized at the enterprise level. In contrast to previous solutions for financial planning, planning is carried out in real time without master and transaction data being replicated to an additional planning tool. This capability and the integrated planning model with one plan data persistencyallow for short and frequent planning cycles and fast simulations across multiple planning phases.
BPC for S/4HANA is integrated in SAP S/4HANA. A separate installation as an add-in is not necessary. The solution provides predefined templates and planning functions, which create excellent user experiences due to its intuitive Microsoft Excel add-in. The integrated planning function supports the following scenarios with the corresponding planning content, for example:
* Balance sheet planning
* Profit and loss statement planning
* Market segment planning
* Profit center planning
You should first work with the provided content to get to know the available functions. Of course, the corresponding functions for modifying the content according to your customer-specific requirements are also available.
The controlling functions of SAP S/4HANA enable you to view the costs that are incurred within the organization (actual data) but also to prepare cost planning (planned data). Using the appropriate SAP Fiori apps for comparing actual data to planned data, you can determine deviations in data and then control your operational processes accordingly. Figure 1.8 shows an example of a profit and loss statement.
**Figure 1.8** Analytical Apps in SAP S/4HANA Controlling
#### Treasury and Financial Risk Management
SAP Cash Management in SAP S/4HANA enables the finance department or the liquidity management department to centrally manage cash and liquidity. Real-time analyses can provide a cash manager with an overview of liquidity, credit lines, risk as well as cashflow and foreign currency risks analyses. Liquidity analyses can be evaluated based on a key date and on financial data that has already been entered, parked, or planned for accounting purposes. SAP Cash Management functions are supplemented by a central bank management component for managing bank accounts and processing approval workflows for setting up new bank accounts or changing existing bank accounts. For SAP Cash Management, you'll need a separate license.
SAP Treasury and Risk Management in SAP S/4HANA provides multiple solutions designed to analyze and optimize the business processes related to an enterprise's financial tasks. These solutions include:
* Transaction Manager
The financial transactions that are mapped in the Transaction Manager are B2B transactions between your enterprise and banks, financial institutions, brokers, or similar institutions.
* Market Risk Analyzer
The Market Risk Analyzer (TRM-MR) component of SAP Treasury and Risk Management is designed for global risk management of insurance policies and organizations.
* Credit Risk Analyzer
This component of SAP Treasury and Risk Management enables you to measure, analyze, and control default risks.
* Portfolio Analyzer
The Portfolio Analyzer (FIN-FSCM-TRM-PA) component supports calculating and monitoring the ROI of your financial assets.
#### Postings
SAP S/4HANA enables you to manage the accounting data of your vendors and customers. The corresponding accounting documents are automatically posted from the related sales and purchasing business transactions to the new, simplified accounting data structure. This provides electronic, and thus automated, support for all common methods of payment as forms. The solution maps all advanced collaboration scenarios as supported in the cloud-based Ariba Network solution—also for invoice processing and accounting in SAP S/4HANA.
SAP Credit Management in SAP S/4HANA provides functions for credit standing checks and credit limit checks for business partners to minimize the risks of payment defaults. For existing customers, you can define rules for credit standing checks and thus automate order processes. For new customers, you can integrate external providers of credit information via a dedicated interface. SAP Credit Management supports a heterogeneous system landscape and enables you to consolidate credit-related decisions in the system landscape.
###### [»] Additional Information
For more information on SAP S/4HANA, refer to the SAP documentation: <https://help.sap.com/sfin>.
For more information on SAP S/4HANA Central Finance, refer to SAP Notes 2148893 (Central Finance: Implementation and Configuration) and 2154420 (SAP Landscape Transformation Replication Server for Central Finance). SAP Note 1972819 provides further information on how to set up SAP Business Planning and Consolidation (BPC) for SAP S/4HANA.
### 1.3.2 Logistics
As described in Section 1.1 the digital transformation places new requirements on logistics and production processes. Highly personalized products, digital supply chains, and new service-oriented business models in the spare parts and repairs processing area (so-called aftermarket business models) arise from the digital transformation. The ERP systems that are integrated in these digital business processes need to support these models.
Figure 1.9 shows the core logistics functions of SAP S/4HANA. Again, we cannot introduce all the logistics functions in SAP S/4HANA. In general, SAP S/4HANA enables you to map all common business processes of logistics management in enterprises. The following sections discuss only some special functions in detail.
#### Supply Chain Management
In SAP S/4HANA, the principle "No posting without a document" also applies to inventory management. To meet the increasing posting requirements of enterprises in the digital world, data storage processes for inventory management were also simplified in SAP S/4HANA as already described in Section 1.2.2. Various SAP Fiori apps support plant controllers in analyzing stock quantities and can warn them about future material bottlenecks.
SAP Fiori apps allow you to monitor items with reduced inventory turns and to track the shelf-life of products in real time, as new user interfaces enable users to work much more efficiently.
**Figure 1.9** Logistics in SAP S/4HANA
The global availability check (Advanced Available to Promise, aATP) in SAP S/4HANA provides advanced functions for availability checks. In addition, managing delivery quotas across multiple levels, new backorder processing methods, and interactive rescheduling methods ensure that high-priority customers are served first when a bottleneck exists.
SAP Extended Warehouse Management (EWM) provides advanced warehouse functions, which are now also integrated in SAP S/4HANA with SAP S/4HANA 1610. Available functions include automation via storage retrieval systems, task and work optimization, and the usage of mobile end devices without requiring a separate system. In this context, you can also optimize your system landscape when migrating to SAP S/4HANA. However, you can also still run SAP EWM separately.
#### Sales and Service
Digital business processes aim to automate the standard processing of sales and service orders as much as possible and optimize the handling of exceptions. Therefore, in addition to providing standard functions for order and delivery processing, SAP S/4HANA focuses on the optimization of the processes for handling exceptions. An optimized SAP Fiori user interface can enable your sales employees to get an overview of a bottleneck, analyze the reasons for the bottleneck, and trigger solutions. Figure 1.10, for example, shows the SAP Fiori app for sales order fulfillment and illustrates various exceptions for order processing.
**Figure 1.10** Analysis of Order Processing Exceptions in SAP S/4HANA
#### Production and Material Requirements Planning
SAP S/4HANA 1610 provides dedicated functions for production planning and detailed scheduling. These functions can be specifically used to plan critical products, for example, products with long replenishment lead times or products that are produced using bottleneck resources. Previously, these functions were provided in separate planning systems such as SAP Advanced Planning and Optimization (SAP APO). Migrating to SAP S/4HANA will simplify your system landscape.
To consider the actual production status in production planning in SAP S/4HANA, you can integrate SAP S/4HANA with SAP Manufacturing Execution (MES) or other manufacturing execution systems. This integration enables production processes to be confirmed in the SAP S/4HANA system, where you can then create the required production orders, planned orders, and maintenance orders.
##### Research, Development, and Engineering
The digital transformation affects the areas of research and development (R&D) and engineering in two ways: with the trend towards personalized products and with the need to carry out a large number of change projects and manage these projects efficiently.
To meet these requirements, SAP S/4HANA provides standard functions for SAP Product Lifecycle Management (PLM) and SAP Project System (PS) but also additional specialized functions such as SAP Engineering Control Center and SAP Portfolio and Project Management. Let's start by introducing the two specialized solutions.
The trend towards personalized unit of one products increases product variety and complexity. Correspondingly, providing product information across the entire product lifecycle and supporting the decisions of all involved business departments by supplying holistic product data are required. For this purpose, SAP Engineering Control Center, the add-on for SAP S/4HANA, offers functions that support processes from development to the actual production of a product. SAP Engineering Control Center enables you to integrate data from computer-aided design (CAD) solutions into a central data source. Today, complex devices often consist of mechanical, electronic, and software components. Thanks to SAP Engineering Control Center, the corresponding authoring tools for each kind of component can be merged, allowing a holistic 360° view of the product data.
The digital transformation also increases the number of change projects in enterprises. Correspondingly, software requirements increase to better and more efficiently support these projects with regard to managing, controlling, and integrating internal and external employees. In addition to the traditional standard functions for project management, SAP S/4HANA provides SAP Portfolio and Project Management 1.0 as a customized solution for project and portfolio leads and members. Instead of leading to complex data aggregations and batch processes for project monitoring and controlling tasks, SAP Portfolio and Project Management enables real-time access to the relevant data for accounting or human resources. SAP Fiori-based user interfaces allow for project monitoring and provide an overview of upcoming project milestones, project tasks, and reoccurring problems. The role-based approach of SAP Fiori apps solves the problem where different interfaces are required by users who use project functions versus those who rarely have to perform project-related tasks.
#### Asset Management and Healthcare
SAP S/4HANA Asset Management enables you to analyze and evaluate asset data that is based on machine or sensor data in real time. You can thus make decisions and create forecasts in a timely manner to minimize downtimes.
The SAP S/4HANA Environment, Health, and Safety (EHS) functions support your enterprise in managing your business processes in the environment, health, and safety sector. These functions use real-time data to help EHS experts perform the following tasks:
* Controlling operational risks
* Occupational safety
* Conformity with integrated solutions for managing accidents or chemical data
* Assessing operational risks
* Occupational health and monitoring of exposures
* Adherence to legal requirements
* Emissions management
###### [»] Additional Information
For more information on the Advanced Available to Promise in Supply Chain Management, go to <https://blogs.sap.com/2016/11/12/s4hana-1610-use-case-series-1b-advanced-availability-to-promise-tech-view/>.
For more information on SAP EWM, go to <https://help.sap.com/ewm>.
For a video showing how you can accelerate exception handling in order processing in SAP S/4HANA, go to <https://www.youtube.com/watch?v=mO87IYOn75U>.
SAP Note 2381624 and 2382787 describe implementing and using production planning and detailed scheduling. For more information on SAP Manufacturing Execution (MES), go to <https://www.sap.com/products/execution-mes.html>.
### 1.3.3 Human Resources
The digital transformation does not only impact production processes. Advanced human resources processes face the following challenges:
* The increasing flexibility of the business processes must entail more flexible working hours and working time models.
* If business models change quickly, you'll also have to quickly adapt the goals of the individual employees to correspond the new strategic goals of the business.
* In a global market for qualified employees, enterprises can no longer ignore digital media for recruitment.
* Enterprises must strive to find and engage qualified employees. Enterprises need to know which skills individual employees have and which skills are missing in the enterprise to stay ahead of competitors in the digital world.
* Furthermore, advanced compensation systems have to consider the increasing demands on employees.
* Enterprises want to create a viable and innovative environment for their employees and managers. For this purpose, the software for human resources (HR) processes should be as intuitive as possible and provide for a compelling user experience.
The trend of outsourcing business processes to the cloud is particularly reflected in human resources. Increasing cost pressure and the options provided by digital learning platforms or online ratings make enterprises outsource their business processes to the cloud, in particular in the HR area.
In SAP S/4HANA, cloud-based functions in SAP SuccessFactors can map the target architecture for HR. SAP S/4HANA maps core HR functions and comprehensive talent management functions such as recruiting, application management, onboarding, learning management, performance management, and succession management in the cloud. Standardized integration scenarios and a unified user interface, which is based on SAP Fiori, ensure the technical and functional integration of human resources processes.
Figure 1.11 provides an overview of the functions provided by SAP S/4HANA and SAP SuccessFactors.
**Figure 1.11** Human Resources in SAP S/4HANA
#### Human Resources Functions with SAP S/4HANA
In SAP S/4HANA, on-premise, you cannot use the traditional SAP ERP HCM functions as you know them from SAP ERP. However, you'll have access to the new time recording function, which can be used for project settlement processes in particular, and access to SAP SuccessFactors Employee Central for integrating employees.
The SAP Fiori app for time recording enables you to enter times for specific activities to settle and invoice projects. You can also record times for tasks that are not related to projects, for example, for administration tasks, trainings, or travel. Managers can approve or reject time sheets that employees have submitted for approval.
Integrated with SAP SuccessFactors Employee Central, SAP S/4HANA provides access to the employee master data managed. You'll be able to use the employee data required for carrying out processes such as project planning and project time recording to create customer invoices or to invoice and reimburse travel costs. Replicating employee data from SAP SuccessFactors Employee Central to SAP S/4HANA is based on standardized service Application Programming Interfaces (APIs).
In SAP S/4HANA, the SAP S/4HANA compatibility packages provide familiar functions as you know them from SAP ERP. After migrating to the SAP S/4HANA, on-premise, these functions are still available but are not the target architecture from the technological perspective. For more information on the SAP S/4HANA compatibility packages, refer to Chapter 3, Section 3.2.1.
For human resources in SAP S/4HANA, on-premise, the following SAP ERP HCM functions are available, for example:
* Core HR functions (such as personnel administration and organizational management)
* Payroll
* Talent management
* Time recording
In general, customers who use the SAP ERP HCM functions already on their SAP ERP system (either installed together on one system or as a separate SAP ERP HCM system integrated with SAP ERP) can continue to use them after their migration to SAP S/4HANA, on-premise. Please note the entries for SAP ERP HCM in the SAP S/4HANA simplification list. However, for SAP, the future of HR business processes is in the cloud. SAP SuccessFactors functions are target architecture for human resources management in the future.
###### [+] Gradual Migration with Compatibility Packages
The functions delivered with the compatibility packages, and thus SAP ERP HCM, allow you to migrate to the target architecture gradually.
#### Core Functions of SAP SuccessFactors Employee Central
Among others, SAP SuccessFactors provides the following functions:
* Talent management
SAP SuccessFactors Employee Central provides a unified view of employee data across regions, cost centers, and employees. SAP SuccessFactors Employee Central offers functions for managing organizations and personnel administration. Functions for personnel events like hiring, changing positions, and rehiring are supported. In addition, employees and managers will have access to self-service interfaces to change personal data, display salary information, and trigger administrative measures or salary increases. With SAP SuccessFactors Employee Central, you can make core HR processes more efficient, and your employees will benefit from increased ease of use.
* Payroll
You can carry out payroll processes using the employee master records from SAP SuccessFactors Employee Central with SAP Payroll, a solution hosted by SAP. The payroll system retrieves cost center data from the SAP S/4HANA accounting solution and employee master data from SAP SuccessFactors Employee Central. As a result, functions from both are available for SAP Payroll, supporting for example, settlement activities, legal reports, and bank transfers; posting payroll results, and configuring wage types.
#### Talent Management Using SAP SuccessFactors Recruiting
SAP SuccessFactors Recruiting is a function for efficient recruitment—from selecting the applicants to hiring them—so that your enterprise can engage qualified talent for the right positions. SAP SuccessFactors Recruiting provides various communication tools, which your HR department and the recruiting business department can use to exchange information. For example, the HR department and the business department can interactively exchange a checklist with the required skills, which accelerates the selection process considerably.
The Career Site Builder function of SAP SuccessFactors Recruiting enables HR managers to easily design, implement, and manage career portals in the form of consumer apps.
SAP SuccessFactors Recruiting's onboarding functions support onboarding processes for new employees. Newly hired employees will have online access to the forms they need on their first day at work. Other business departments can be centrally informed about new employees so that the IT and security departments, for example, can be involved in a timely manner.
#### Performance Assessment and Definition of Goals
SAP SuccessFactors Performance & Goals allow managers to define employee goals with the new strategic goals of the business in mind. Using these functions, team leaders can determine general goals and inform their employees.
The user interfaces help managers objectively assess the performance of their employees. Managers have access to an overview of all assigned employees and can view and adapt their assessments anytime. Continuous performance management allows for regular feedback for employees and for a focus on coaching. CEOs can compare and assess employees to determine high performers and potential managers.
#### Compensation
SAP SuccessFactors Compensation Management supports HR managers and employees in planning and distributing budgets, adapting compensation to business results, and defining a transparent wage policy. With SAP SuccessFactors Compensation Management, you can ensure that salaries comply with budgets. Integrated reports will help you meet compliance guidelines, and performance-based comparisons of employees across the entire organization ensure that employees are paid fair salaries based on performance. You can also use this function to manage bonus payments. Intuitive user interfaces simplify editing and managing individual salary components, such as basic salary, and variable salary components. Variable Pay is a salary component which depends on an employee's performance. Top managers usually have a smaller fixed pay and with the opportunity for variable pay. For example, this could be depending from the success of the company (e.g. measured by the level of the share price).
#### Succession and Development Planning
The functions in SAP SuccessFactors Succession & Development support HR managers in recruiting and promoting talent and in establishing successors for all important positions. HR managers will have access to an overview of the talent in the enterprise; can quickly identify vacancies and possible personnel gaps; and can provide for suitable replacements using the integrated tools, reports, and search functions, which can also accommodate external applicants.
#### Development
Modern organizations need employees who develop continuously to meet the requirements of the digital transformation. SAP SuccessFactors Learning supports HR managers in providing training and further education opportunities to employees as well as professional development options to senior managers. From their workstations, employees can access training materials via tablets or smartphones. You can manage and update courses and propose new training courses. Learning achievements are recorded in analyses and reports.
#### Workforce Analytics and Workforce Planning
SAP SuccessFactors Workforce Analytics visualizes personnel data and key figures. SAP SuccessFactors Workforce Planning provides analyses and reports for personnel planning. This data enables you to determine the current skills of a team and identify the skills required for future projects.
#### Deployment Variants
Figure 1.12 illustrates three ways HR functions in SAP S/4HANA can be deployed:
1. Cloud scenario
The first variant is to deploy all solutions in the cloud. The integration between SAP S/4HANA Cloud and SAP SuccessFactors 1 allows you to run financial and logistics processes, together with the HR management functions, in the cloud.
2. Hybrid scenario
The second variant is a hybrid scenario in which you run the financial and logistics processes in SAP S/4HANA, on-premise, and integrate these processes with the functions of SAP SuccessFactors in the cloud 2.
3. On-premise scenario
The third variant is a strictly on-premise scenario. After migrating to SAP S/4HANA, you can continue to use traditional HCM functions—either by installing SAP S/4HANA together with SAP HCM or, alternatively, by connecting a separate SAP ERP HCM system .
**Figure 1.12** Deployment Variants for Human Resources Functions with SAP S/4HANA
###### [»] Additional Information
For more information on SAP SuccessFactors, go to:
* <https://www.successfactors.com>
* <https://www.sap.com/products/human-resources-hcm.html>
### 1.3.4 Procurement
As part of the digital transformation, more and more devices and machines are becoming linked information hubs. Advanced machines and devices use sensors to report their maintenance requirements to ERP systems and thus increase the need for automation in the purchasing department, where most of an enterprise's costs are incurred. Consequently, material requirement processes need to be automated. Digitalization will automate all processes that can be mapped by algorithms. Buyers will increasingly focus on strategic tasks and only process deviations from defined business process. To make efficient strategic decisions or exceptional decisions, buyers need to be supported by qualified data and information.
The procurement function in SAP S/4HANA maps all common purchasing processes—from strategic processes to operational processes: purchase order handling for direct and indirect materials and services, goods movements, invoices (including the transfer to accounting), etc. SAP S/4HANA's preconfigured integration with the cloud-based Ariba Network and with SAP Fieldglass solutions optimizes electronic and interactive processes with suppliers and assists the management of external employees. Figure 1.13 shows the procurement functions of SAP S/4HANA.
**Figure 1.13** Procurement with SAP S/4HANA
#### Operative Purchasing
SAP S/4HANA eases the workload of operational buyers and significantly optimizes standard processes. The functions include the following:
* Automated purchase order creation based on order requirements
* Purchase order handling for direct and indirect materials as well as service procurement including the corresponding confirmation processes
* Catalog-based material procurement based on self-service processes
* Completely electronic communication with suppliers (optional)
* Integration with Ariba Network for optimizing the collaboration with suppliers
#### Strategic Sourcing
To automate operational purchasing, you'll have to lay a foundation in strategic sourcing. SAP S/4HANA enables you, for example, to specify the sources of supply for the required products and services in corresponding purchasing contracts. This determination ensures that the right products are automatically ordered with the right price from the right supplier for material requirements planning (MRP). The monitoring of the purchasing contracts assures that the relevant release quantities and target quantities are available anytime and that actions can be taken if required.
#### Invoice Processing
SAP S/4HANA also enables you to map the processing of all incoming invoices. In addition to invoices for purchase orders from the SAP S/4HANA system, you'll be able to map incoming invoices created with Ariba Network or SAP Fieldglass. The goal of this function is to increasingly automate invoice verification processes for standard invoices so that buyers only have to process invoices that deviate from the usual purchase orders (e.g., with regard to items, quantities, or price).
#### Supplier Management
SAP S/4HANA provides various functions for classifying suppliers on the basis of attributes and master data. You can evaluate suppliers according to different factors (compliance with agreed prices or scorecards).
#### Analyses in Purchasing
With SAP S/4HANA, buyers can analyze data in real time without using separate data warehouses. Some of the available analyses, based on SAP Fiori, include the following:
* Supplier analyses
Supplier on-time delivery, price variance, and quantity variance
* Purchasing contract analyses
Unused contracts and expiring agreements
* Spend analyses
Purchasing spend and contract leakage
These analyses enable buyers to make operational and strategic decisions based on up-to-date data. Figure 1.14 shows an SAP Fiori app for the procurement overview in purchasing.
**Figure 1.14** SAP Fiori App for the Procurement Overview
#### Guided Buying
Guided buying processes walk buyers through the system to help them make the right purchase decision according to business requirements in an efficient manner. Ultimately, guided buying processes save buyers from non-value-adding tasks and are based on existing SAP Ariba catalogs and enterprise-specific policies that are easy to maintain. With guided buying, you can also define budget policies for material groups or define the logic behind approval workflows.
#### Ariba Network for Suppliers
The Ariba Network for suppliers is a cloud-based platform that supports collaboration with your suppliers of materials or services. Figure 1.15 illustrates the electronic processes between buyer and supplier that can be integrated with Ariba Network.
In SAP S/4HANA, the integration with Ariba Network is already preconfigured. From the technical perspective, Ariba Network is the central interface to the supplier and converts data into the data formats that the relevant supplier supports. For example, PDF forms can be filled out and exchanged via email or in specific data formats such as EDIFACT (Electronic Data Interchange for Administration) or ANSI X12 (American National Standards Institute Accredited Standards Committee X12).
**Figure 1.15** Collaboration Processes with Ariba Network
#### Management of External Employees
Because business processes are constantly changing, enterprises increasingly rely on external employees. By hiring external employees, temporary skills gaps can be closed, and peak loads can be balanced. The cloud-based SAP Fieldglass solution provides functions for service procurement processes and for managing these external employees. Based on preconfigured integration with SAP S/4HANA, master data, such as cost centers, internal orders, or organizational data, is exchanged, and invoice processing, including for the invoices of external employees, can be automated.
### 1.3.5 Marketing
SAP Hybris Marketing Cloud is the marketing component in the SAP S/4HANA world. Over the last ten years, the volume of online sales has grown significantly. In the past, customers regularly went to stores or retailers to do their shopping; today, more and more purchases are made via the Internet. In the early days, customers were loyal to their retailer, and customers and vendors often knew each other by name; in the era of the anonymous Internet, customer loyalty is volatile. Prices and offers can be compared within minutes, and purchase decisions are made more quickly. While previously you directly told your retailer when you weren't satisfied with the service or product, criticism is now distributed millions of times across social platforms such as Facebook or Twitter. Irrespective of what enterprises think of social media, they can't avoid being present in these media—even if the only reason is to respond to criticism and take the appropriate actions.
Therefore, marketing department must fulfill more requirements than a decade ago. Before, a postcard at Christmas and a note for special sales campaigns once or twice a year was sufficient to satisfy and retain your customers. Today, you have to analyze and categorize your customers and their needs in much more detail to make customer-specific marketing campaigns successful. Previously, you watered the entire garden with enough water for all flowers; now, you have to water every flower with the exact amount of water that flower needs to flourish.
###### [»] SAP S/4HANA Marketing Cloud Becomes SAP Hybris Marketing Cloud
As of SAP S/4HANA Cloud 1702, SAP S/4HANA Marketing Cloud is called SAP Hybris Marketing Cloud. Because this change had not been completely implemented at the time of this writing, some figures still display the obsolete name, SAP S/4HANA Marketing Cloud. Because the change will be introduced with version 1702, we'll use the product name current up to version 1611, i.e., SAP S/4HANA Marketing Cloud, when we explicitly refer to version 1611.
SAP Hybris Marketing Cloud is the cloud variant of the SAP on-premise product SAP Hybris Marketing. The cloud solution contains predefined best practices, which are available for the on-premise solution as rapid-deployment solutions (RDS), which allows for a rapid deployment of the cloud solution. For more information on the best practices for these solutions, go to <https://rapid.sap.com/bp/#/BP_CLD_MKT>.
You configure, enhance, and manage SAP Hybris Marketing Cloud via the SAP Fiori user interface. As a result, your customers and employees don't need to familiarize themselves with common SAP tools. Thus, even customers who have never used SAP software can quickly get accustomed to SAP Hybris Marketing Cloud, considerably reducing the cost of training and internal support. Figure 1.16 shows the initial page interface for SAP Hybris Marketing Cloud.
**Figure 1.16** SAP Hybris Marketing Cloud Initial Screen
You can set up the entire system in a guided self-service configuration process. You don't have (and you don't need) direct access to the technical infrastructure. The standardized interfaces for integrating certain business processes from SAP Hybris Commerce or SAP Hybris Cloud for Customer , for example, are provided, which allows for end-to-end scenarios across multiple lines of business. Social networks such as Facebook and Twitter are integrated via their public interfaces. For more information, see Chapter 8, Section 8.3.
The benefits of cloud-based software as a service (SaaS) solution in contrast to the on-premise variant or private cloud solution include the following examples:
* The effort of implementing a solution (for example, purchasing and setting up the technical infrastructure) are omitted or reduced by a cloud-based SaaS but are required by the on-premise solution.
* The time period until the solution goes live is shorter.
* In contrast to the on-premise solution, less technical knowledge and training is necessary to develop the corresponding technical skills. Technical knowledge (e.g., of SAP HANA, SAP GUI) is not required for the cloud solution.
* Due to automatic updates to the latest version every quarter, you are automatically provided with the latest functions of, and enhancements for, the solution.
* SAP is entirely responsible for the deployment of the solution and also provides the infrastructure.
However, in contrast to the on-premise solution, the flexibility and extensibility of an SaaS solution is reduced due to the system design. However, in most cases, this lack of flexibility is offset by the benefits.
By default, SAP Hybris Marketing Cloud comprises the application areas shown in Figure 1.17. The following sections introduce these areas in detail.
#### Consumer and Customer Analytics
On the basis of big data, information on end consumers, customers, or contacts, as well as their interests, is collected from various channels and analyzed. As a result, you can determine the interests of your customers. Then, based on these insights, you can offer products and solutions in a targeted manner and develop more targeted marketing campaigns, which reduces costs and increases the chance for success.
**Figure 1.17** Standard Scope of SAP Hybris Marketing Cloud
#### Segmentation and Campaign Management
The insights gained from big data can help you categorize customers into groups so that marketing campaigns can be optimized. You can address existing and potential customers via email and social media in a targeted manner. So, the insights gained can more quickly generate actions.
In addition to emails, you can also address customers and prospects via marketing campaigns using targeted advertisements in Facebook. Newsletters and incentive-driven campaigns can be managed via subscriptions. The External Campaign scenario enables you to plan and prepare campaigns in SAP Hybris Marketing Cloud and run them in a different external system.
In paid search campaigns, you use paid searches to place banners in search engines such as Google, Yahoo, and Bing. In this way, you can draw the attention of prospective customers to your products and solutions.
#### Commerce Marketing
Product recommendations enable you to recommend products during a customer interaction in any channel in real time. Offer management in loyalty programs uses insights from loyalty analyses of your customers to offer products and product categories in a targeted manner.
#### Marketing Resource Management
You can use the Marketing Resource Management function to plan your marketing budgets and costs according to various criteria. The marketing calendar provides an overview of all ongoing and scheduled marketing activities.
#### Marketing Executive Dashboard
The Marketing Executive Dashboard provides a quick overview of the success of the various marketing instruments used. Information on specific key performance indicators (KPIs) can include, for example, brand awareness, distribution channels, and sentiment in social media.
#### Marketing Lead Management
The Marketing Lead Management function helps you acquire new customers and manage leads that have been acquired via marketing campaigns. Marketing experts can define and manage lead score and lead stages rules without needing support from business and data analysts. Thus, SAP Hybris Marketing Cloud is a fully integrated multichannel marketing solution that provides a 360° customer view.
###### [»] Free SAP S/4HANA Marketing Cloud Trial Version
The following link (case sensitive) navigates you to a 30-day trial version of SAP S/4HANA Marketing Cloud:
<http://bit.ly/TryTheMarketingCloud>
As of this writing, the free trial version includes the following scenarios:
* Customer Profiling
* Segmentation and Campaign Management
* Lead Marketing
* Commerce Marketing
* Marketing Resource Management
* Marketing Analytics
You can test all functions here:
https://www.hybris.com/en/downloads/free-trial/hybris-marketing/901
###### [»] SAP Documentation for SAP Hybris Marketing Cloud
You can find the SAP documentation for SAP S/4HANA Marketing Cloud on the SAP Help Portal at <https://help.sap.com/s4hana>. Choose your edition, e.g., SAP S/4HANA Cloud 1611. Then, navigate to Product Assistance and select your language for the SAP User Assistance. In SAP User Assistance, choose Cloud Editions • SAP S/4HANA Marketing Cloud to display the SAP Documentation.
You can find the SAP documentation for SAP Hybris Marketing Cloud on the SAP Help Portal at <https://help.sap.com/mkt>. Choose your version, e.g., 1705 and select your language. Then, navigate to Application Help and choose SAP Hybris Marketing Cloud to display the SAP Documentation.
# 2 SAP S/4HANA versus the Traditional SAP Business Suite
How are SAP S/4HANA and SAP ERP related? What is SAP's "new digital core"? Perhaps you've already asked yourself these and similar questions. In this chapter, we'll tackle these basic questions and explain the role of SAP S/4HANA in SAP's product portfolio.
SAP offers various enterprise resource planning (ERP) products. The most important ones are SAP ERP, including its various Enhancement Packages (EHPs); SAP Business Suite on SAP HANA; and the new SAP S/4HANA solution. This chapter describes the similarities and differences between traditional products and SAP S/4HANA. We'll first discuss the key areas and goals of each product and then explain the important concepts behind the new solution: its simplification concept, its new data model, and the underlying SAP HANA database, as well as the new SAP Fiori user interface (UI). Finally, we'll address integrating SAP S/4HANA into your system landscape, reviewing changes on existing interfaces. Based on the information in this chapter, you'll be able to assess and plan your migration to SAP S/4HANA.
## 2.1 Comparing the Available Solutions: SAP S/4HANA and the Digital Core
For several decades, SAP has been the market leader for business software, known especially for its applications in core business areas and for its ERP products in particular. The most popular SAP ERP products are SAP R/3, SAP R/3 Enterprise, and SAP ERP (including its various EHPs). How does SAP S/4HANA fit into this portfolio? To answer this question, let's look in detail at core business processes, and which conflicting requirements your business application faces.
Core business processes form the backbone of any enterprise. On top of the standard processes implemented by the software vendor, usually enhancements are added to meet enterprise-specific requirements, i.e., developing new and advanced business processes, strengthening customer relationships, optimizing goods movements, and more.
One of the characteristics of core processes is their high level of stability at first glance. If you take a closer look at these processes, you'll see that now, they undergo changing requirements and expectations as well. The supporting software solution must therefore be able to take into account new perspectives and issues. Otherwise, the software solution no longer supports business processes but instead hinders them.
In addition to this process-related pressure for change, another pressure for change is driven by technical requirements: As with other technical products, technological innovations enable new design approaches for ERP systems. Such a technological innovation allowed SAP to develop SAP R/3, the successor to SAP R/2. This new system used the client's server architecture for the first time and thus permitted new usage patterns.
The new SAP in-memory database, SAP HANA, was the next technological innovation: In the past, software solutions had to compensate for slow access to physical data storage media when users worked with large data volumes. Thanks to the in-memory database, this compensation is no longer necessary, opening up a new realm of possibilities for the architecture of data models and related processes.
As a user of an ERP solution, the question you should ask yourself is: How can I benefit from an advanced software solution? To answer this question, you should consider the dimension of time: How will the requirements for my business processes change in future? SAP asked itself these questions, and we saw, from analyzing these conflicting requirements, that SAP could only meet future challenges if they revise the application core.
Even if the traditional ERP architecture can cover the current processes in an enterprise, in a few years, this architecture will probably no longer be sufficient, if you look at the future trajectory of data volumes. In this context, compare the examples in Figure 2.1 and Figure 2.2, which are taken from a study conducted by Cisco, a telecommunications company (<http://www.cisco.com/c/en/us/solutions/collateral/service-provider/visual-networking-index-vni/vni-hyperconnectivity-wp.html>). According to these examples, the volume of the global Internet Protocol (IP) data traffic will triple, and data volumes for machine-to-machine communication will increase six fold within the next five years.
**Figure 2.1** Predicted Growth of the Global IP Data Traffic (Source: Cisco Systems, Inc.)
**Figure 2.2** Predicted Data Volume for Machine-to-Machine Communication (Source: Cisco Systems, Inc.)
Application architectures from the 1990s can no longer process these data volumes with the performance your business requires. Thus, SAP would offer suboptimal solutions had it ignored this basic architectural change.
In addition, expectations about the scope of end-to-end processes have risen: Process chains have become increasingly longer. The extension of process chains is indicated by the fact that the direct interaction between the manufacturer and the end customer has taken on a bigger role and the fact that various distribution channels continue to merge (a famous example is omnichannel retail).
For this reason, SAP has redistributed the functions of its applications. In addition to SAP ERP for core business processes, the traditional SAP Business Suite contained further standalone solutions such as SAP Customer Relationship Management (CRM), SAP Supplier Relationship Management (SRM), or SAP Supply Chain Management (SCM). Because these products were positioned separately, some functions overlapped. By default, SAP S/4HANA now includes processes that were mapped by these standalone processes in the traditional SAP Business Suite.
**Figure 2.3** Role of the Digital Core in End-to-End Process Chains
SAP's new digital core, SAP S/4HANA, is designed to integrate and supplement default processes with core processes (see Figure 2.3). Compared to the traditional SAP Business Suite where the integration between SAP ERP and other applications usually had to be implemented specifically, SAP S/4HANA provides the major benefit of these functions integrated fully with each other.
Many enterprises want to gear up for these challenges, and SAP S/4HANA enables you to lay a technical foundation for mastering these challenges. The solution can be rolled out gradually, that is, the individual components can be implemented when your business processes require them, thanks to the compatibility between SAP S/4HANA and SAP ERP. Chapter 4 discusses options for a gradual transition in more detail.
**Figure 2.4** Versions of the Traditional SAP Business Suite and the SAP S/4HANA Product Family
## 2.2 Simplification
The rise of the so-called digital natives—the generation that has grown up with advanced digital technologies—as employees fundamentally changes the requirements for IT business systems: More and more employees expect to access IT systems anytime, anywhere, and from any device. Furthermore, application interfaces should be intuitive and guide users (if possible via artificial intelligence), thus allowing users to focus on the content-related solution to their business issues.
SAP S/4HANA meets these requirements with the new user interface (UI) architecture and with adapted development policies for this UI, which is accessed via browser-based apps on a frontend server. The name of this new UI concept is SAP Fiori, which we'll discuss in more detail in Section 2.4.
These newly designed user interfaces are only a part of the overall simplification that SAP wants to implement with SAP S/4HANA. However, SAP S/4HANA's simplification goes deeper. Simplifications and optimizations of data models form the foundation for this new concept. On this basis, access to data is considerably enhanced in comparison to the traditional suite. For example, you'll have access to embedded data analysis functions, which are described in Section 2.6. Business applications are then built on these technical simplifications, and SAP has merged functions from various areas of the traditional SAP Business Suite into SAP S/4HANA.
While alternative solutions for similar business processes have emerged over time, SAP today focuses on the applications that have gained the highest customer acceptance. Some applications in the traditional SAP Business Suite were replaced or will be replaced by others as demonstrated in Section 2.2.
In most cases, adapting these implementations is mainly technical and does not require time-consuming projects on the customer side. However, depending on the individual structure of your system, further activities might be required. Usually, you can flexibly schedule these activities, because the traditional functionality will still be available for some time.
###### Note: Simplification List for SAP S/4HANA
SAP provides a complete list of the functional simplifications in the simplification list for SAP S/4HANA. When planning your migration to SAP S/4HANA, you should always refer to the following list:
<http://bit.ly/v1448083>
The following conclusions can be drawn from the simplification: SAP S/4HANA is a new product and not a new version of SAP ERP. SAP S/4HANA also covers all core business processes but follows a new approach and is based on a different technical architecture.
Thus, SAP currently provides two lines of products for core business processes:
* The traditional line of products, which consists of the core SAP ERP applications and EHPs as well as SAP CRM, SAP SCM, and SAP SRM, will be maintained at least until 2025 and is compatible with all common databases.
* The new line of products, SAP S/4HANA, which has a completely revised architecture, forms the basis for future innovations. This line of products is exclusively available on the SAP HANA in-memory database.
###### [+] SAP S/4HANA and SAP ERP
SAP S/4HANA refers to a separate line of products that is available in parallel to the line of products of the traditional SAP Business Suite. SAP S/4HANA is an alternative implementation of the business functionality.
Thus, changing to SAP S/4HANA means that you'll switch to a different product family. Chapter 3, Section 3.2, introduces the members of this new product family. While migrating to a higher version within a product family is implemented via upgrades, changing to a new product family usually requires a new implementation (see Figure 2.4). For SAP S/4HANA, SAP also provides the option of converting an existing SAP ERP system into an SAP S/4HANA system. Chapter 4 defines in more detail the different technical options for changing to the new product family.
## 2.3 The New Data Model and the SAP HANA Database
Traditional databases are based on designs that were developed decades ago. The technical conditions, as well as the usage requirements, during this time differed from today's expectations. Traditional databases have been enhanced, but their ability to adapt to new challenges is limited due to compatibility reasons.
From the perspective of business application software, traditional databases lead to critical limitations and can complicate or even hinder the simplification, acceleration, and integration of business processes. The following characteristics of traditional databases can be obstructive, for example, when redesigning your business processes:
* Online transaction processing (OLTP) versus online analytical processing (OLAP)
Users of database solutions have to decide whether they want to analyze data (OLAP) or update data (OLTP). However, in many situations, a combination of both views makes sense, for example, for forecasts and simulations or for making decisions on the basis of real-time data.
* Technical restrictions
Traditional business applications have to deal with various restrictions, which complicate things for users. Examples include locks that occur so that only one user can work on a data set at a time, which slows down processes. Another factor is the delay resulting from internal data editing processes. Updates carried out by other users, or even by the same user, are sometimes written to the relevant system tables with considerable delay.
* Integration
In traditional applications, raw data is usually first internally prepared and consolidated via aggregates. These aggregates follow the specific logic of the individual application. If other applications use this data, a delay occurs. Furthermore, you'll require semantic knowledge of the corresponding application aggregate. Consequently, the data first needs to be translated into the data model of the other application. For this purpose, interfaces must be available or must be developed.
Integration on the basis of such an architecture thus has disadvantages with regard to costs (development and maintenance of the interfaces) and with regard to lacking real-time access.
Over the last few years, new database architectures have been developed, so-called in-memory databases. SAP S/4HANA is completely based on this kind of database: SAP HANA. The following sections describe the characteristics of SAP HANA and describe why no other in-memory database is currently compatible with SAP S/4HANA.
### 2.3.1 SAP HANA
If you take a look at hardware development in the few last years, you'll see that two basic changes arose at the turn of the millennium: On the one hand, multicore processor architectures emerged and, with them, the option of substantial parallelization. On the other hand, memory evolved from being relatively expensive and limited into being widely available.
Due to the memory restrictions with regard to availability (i.e., price and addressability), the data in software architectures was mainly stored on the hard disk, and only some data was stored in the memory. Accessing in traditional databases was limited by hard disk processing speeds. In in-memory databases, the hard disk is only used to store, archive, and restore data. The data itself is permanently kept in the main memory.
In contrast to other in-memory databases, SAP HANA has further unique characteristics: SAP HANA is not only an ideal generic database but has also been optimized for business applications due to SAP's holistic experiences with this kind of applications.
The key result of SAP's experience is that the data in SAP HANA is stored in column-based tables, while the data in other databases is stored in row-based tables (see Figure 2.5). Why is this relevant?
In business applications, most data is accessed "per column": Usually, the values of a field or a selection of fields are selected and edited (e.g. names of a set of employees or prices of a selection of goods). Rarely is an entire set of rows required (i.e. all attributes of an employee or of a good). If SELECT statements are executed using column indexes, much smaller volumes of data need to be processed. Moreover, the values in the columns can usually be easily compressed—in particular under the conditions given for business applications, which consist of similar data.
**Figure 2.5** Comparison of Row-Based and Column-Based Data Storage
Another benefit of SAP HANA is that this database has been optimized in such a way that the main business data operations can be executed with high performance. For this purpose, SAP HANA uses multicore CPUs (central processing units) for parallelization. In addition, algorithms are optimized using assumptions about the types of updates, inserts, and deletions that are carried out frequently and should consequently be the focus for high performance.
### 2.3.2 The Data Model
SAP S/4HANA is designed to fully exploit the benefits of SAP HANA described in the previous section. With this focus on SAP HANA, the following consequences arise for the data models in SAP S/4HANA:
* Aggregates are omitted.
* Existing ABAP Dictionary tables are redesigned.
* Code is pushed down.
The following sections discuss each of these consequences in greater detail.
#### Omission of Aggregates
To compensate for poor speed of traditional databases, data was previously consolidated in aggregate tables. The applications then accessed these aggregate tables to read the data. However, these aggregates had the following disadvantages: Due to the consolidation, entries in the aggregate tables always lagged behind entries in the original tables. This delay increases with the growth of the volume of data that needs to be processed.
Another disadvantage is that the aggregation uses assumptions of the content as a prerequisite for consolidation. As a result, processing this data from a different perspective is usually not possible without reworking the aggregation and thus can be a rather complicated task. For this purpose, you'll have to use the original data, which reduces processing speed.
Figure 2.6 shows an example of a target architecture with a simplified data model for sales documents after migrating from SAP ERP to SAP S/4HANA.
**Figure 2.6** Simplification of the Data Model for Sales Documents (Target Architecture)
The usual aggregate tables were omitted in this case. All new SAP HANA-optimized applications directly access the original data.
Note that the aggregates continue to exist in the new data model: The database can emulate the tables in real time. For this purpose, SAP S/4HANA provides predefined database views. These views simulate the aggregates in real time so that existing applications that have not been optimized for SAP HANA can be deployed smoothly.
###### [+] Accessing the Traditional Data Model
SAP S/4HANA includes compatible database views, which allow you to access the data model of the traditional SAP Business Suite.
As a result, you'll still have read access to existing custom developments, such as reports, and you can usually still use these reports without needing adaptations to the new data model. Chapter 10, Section 10.2.5, describes how you can check your existing code for compatibility with SAP S/4HANA.
#### Redesign of Existing ABAP Dictionary Tables
In addition to omitting aggregates, the example shown in Figure 2.6 also illustrates that the architecture for the storage of original data is also partly optimized. In this context, you must keep in mind that the data models in SAP ERP had been developed over several decades. On the one hand, these data models had to be compatible with all databases; on the other hand, rigid changes would have led to problems with SAP ERP EHP upgrades, which were promised and expected to be easy to use.
With the focus on the SAP HANA database and the clear differentiation to existing products, SAP S/4HANA now also allows for redesigning the data architecture in general. In this process, data storage is further optimized for SAP HANA, for example, to enhance the compression rate or optimize the general performance.
#### Code Pushdown
Another innovation in SAP S/4HANA is that procedures can be directly transferred to the database. In the traditional SAP Business Suite, the ABAP kernel decoupled the application from the database to ensure compatibility to any type of database. Consequently, the raw data first had to be loaded from the database and then concatenated in the application to carry out complex, data-intensive selections and calculations.
In SAP S/4HANA, some data-related processes are pushed down to the database itself, which accelerates the entire process, which is known as code pushdown. Code pushdown can be executed either in ABAP using Open SQL or via SAP HANA content created in SAP HANA Studio.
How does this affect existing custom code enhancements? Because existing Open SQL data access still works, you can continue to use existing enhancements and only have to adapt them in exceptional cases. However, these codes do not exploit the full potential of SAP S/4HANA. Thus, when you plan to migrate to SAP S/4HANA, you should check which custom codes should be rewritten and optimized. Because you can address custom code at any time after migrating SAP S/4HANA, you'll enjoy greater flexibility in planning.
### 2.3.3 Handling Existing Data
How do these changes to the data model affect planning a migration? The good news is that you'll only have to take into account a small portion of these data model changes because SAP S/4HANA provides database views with all the necessary compatibility (see "Omission of Aggregates" in Section 2.3.2). However, when planning your migration project, you'll have to bring your existing data into the new data models. Depending on the technical migration scenario selected (Chapter 3 and Chapter 4 introduce the individual scenarios), different technical procedures are used to convert the data. Usually, these procedures include execution of program after import (XPRA) or after import methods (AIMs). Regardless of the scenario you choose, converting the technical data will take some time.
How much time this conversion needs mainly depends on the volume of the data to be converted. For this reason, you should check what existing data can be archived before migrating to SAP S/4HANA. In this way, you can reduce the volume of the data to be converted and thus minimize the conversion runtime. Thanks to SAP S/4HANA's built-in compatibility mode, applications contain read modules that allow you to read archived data.
### 2.3.4 Sizing
If you want to implement a new SAP S/4HANA system or convert an existing SAP ERP system to SAP S/4HANA, you'll have to consider the following issues:
* The sizing rules for SAP S/4HANA systems and for SAP ERP systems differ
Analyzing hardware requirements (sizing) for modern systems follow different conditions and rules than sizing systems based on traditional databases. The main reason for this difference is that SAP HANA stores data in random-access memory (RAM), which requires different sizing requirements. The new SAP HANA data architectures and embedded data compression algorithms routinely achieve data compression rates of 3 to 5 on average.
* Random-access memory = twice the compressed data volume
As a rule of thumb, SAP recommends calculating twice the compressed data volume for the RAM volume. Because sizing strongly depends on your specific conditions (for example, on the compression rate that can be achieved), SAP recommends running a sizing report in your existing SAP ERP systems. For more information on sizing, see <http://service.sap.com/sizing>.
In summary, the SAP HANA database is more closely linked to implementing application functions than other databases in previous years. This close link is the only way for applications to sufficiently benefit from the advantages of the database. This close relationship is probably also why SAP S/4HANA is currently only available for SAP HANA. The in-memory databases of third-party providers sometimes follow other approaches and require alternative implementations.
## 2.4 SAP Fiori User Interfaces
SAP developed its traditional SAP Business Suite applications assuming that users access the ERP system using a specifically assigned frontend computer. The component used for this frontend access is SAP GUI. Through a time-consuming process, SAP GUI had to be installed at all workstations in the enterprise because the applications could only be used with the appropriate and latest version of SAP GUI on the user's desktop computer.
In the 2000s, SAP wanted to provide users with role-based access to the increasingly complex business processes. For this purpose, central portals were successfully implemented, allowing users access via a browser. Connections to the SAP ERP system were established through dedicated frontend applications deployed on the central portal.
Despite this progress, the interfaces in the SAP ERP systems seem to be outdated—in particular if you compare them to the omnipresent interfaces of smartphones, tablet computers, and modern computers. SAP S/4HANA is based on a completely new UI concept called SAP Fiori, which combines technological changes with newly designed user concepts.
SAP Fiori comprises three different types of apps, which differ with regard to their focus and requirements for the infrastructure:
* Transactional apps
These apps enable you to perform transactional tasks such as creating leave requests for employees. Transactional apps provide focused views for users to interact with business processes and solutions.
* Fact sheets
Fact sheets display context information and the most important aspects of central objects (for example, a purchase info record fact sheet provides information about the purchase info record business object). From a fact sheet, you can drill down to detailed information about the relevant object.
* Analytical apps
With analytical apps, you can monitor relevant key figures in real time and use them to make decisions.
You can find a list of available SAP Fiori apps in the SAP Fiori apps reference library. By choosing SAP S/4HANA or SAP S/4HANA Cloud, you can display the SAP Fiori apps that are available for SAP S/4HANA.
Thus, when migrating to SAP S/4HANA, you should consider implementing SAP Fiori. To facilitate this migration, SAP has ensured the compatibility of the new product: You can still use SAP GUI to access applications. However, users can only access the traditional SAP ERP applications via SAP GUI but not the newly developed SAP S/4HANA functions, which run on SAP Fiori.
###### [+] Flexible User Access
SAP S/4HANA, on-premise, also enables users to access traditional transactions via SAP GUI.
This compatibility allows for a gradual migration: Chapter 4 goes into further detail.
### 2.4.1 Technological Changes
One major change with SAP Fiori is that no GUI component is locally installed. A web browser is used to access the SAP S/4HANA system, eliminating the time-consuming process of setting up local SAP GUI installations.
Consequently, users can basically use any Internet-enabled device to access SAP applications and are not bound to their workstations but can use a smartphone or tablet to access the SAP system. For this purpose, the SAP S/4HANA application instances are supplemented by a central frontend server as shown in Figure 2.7.
**Figure 2.7** Architecture of SAP S/4HANA
SAP Web Dispatcher establishes the connection to the frontend server. On the frontend server itself, you can find the SAP Fiori launchpad and the SAP Fiori applications. These main components of the frontend server are complemented by an installed search function and SAP GUI for HTML, which is available for compatibility reasons. SAP Gateway is responsible for distributing the browser requests of the frontend server across your various application systems (backend systems). You can implement SAP Gateway separately or as a part of the frontend server.
Although you can install the frontend server on the central instance, in most cases, you should install the frontend server separately as a central frontend hub. SAP recommends installing the frontend server on the central instance (embedded) only for single-system landscapes, such as proof of concept installations or small production systems. Figure 2.8 illustrates the basic distribution of the required system instances.
**Figure 2.8** Connecting an SAP Fiori Frontend Server to an SAP System Landscape
### 2.4.2 Operating Concept
The operating concept behind SAP Fiori can be summarized in one word: simplicity. With SAP Fiori, SAP provides simplified access options for all users. You've already come across one element of this simplified access: access from any end device.
In addition, the structure of applications is simplified: The SAP Fiori launchpad (see Figure 2.9) replaces the SAP Easy Access menu of the traditional SAP Business Suite. The launchpad consists of tiles used to access applications.
**Figure 2.9** Example of an SAP Fiori Launchpad
The launchpad also includes so-called live tiles, which display relevant information from underlying applications, such as aggregated key performance indicators (KPIs). As a result, users can determine directly from the SAP Fiori launchpad which applications require direct intervention.
Tiles are assigned to launchpad groups, which allows for a transparent tile structure and also enables users to directly access a group of tiles via the dropdown menu in the upper right area of the screen.
The availability of the tiles in the launchpad depends on the centrally assigned roles of the users. These roles are specific SAP Fiori roles that must not be confused with authorization roles in a traditional SAP Business Suite solution. Thus, when migrating to SAP S/4HANA, you should factor in sufficient time for planning or adapting your enterprise-specific role structure. In SAP S/4HANA, applications are more focused on actual work processes and try to guide users more effectively through this process than previously. You'll also have a lot of freedom to customize the predefined design. These changes are dynamic: Settings, such as filters, affect the displayed results and available process options in real time.
In addition to a modern design for applications, including a completely new structure and order of screen elements, a search function has also been implemented. Users can search for any keywords such as long texts, parts of key numbers, names, and much more. The search is carried out across various business objects and even across system boundaries, and the results include matches related to the keyword. This powerful search function eliminates a disadvantage of the previous SAP interface, which usually only permitted users to search for individual field values via (F4) help.
If users still have questions about how to use applications, a newly designed documentation system supports self-help options: The so-called X-ray documentation approach enables users to click on the areas about which they want more information. This help system navigates the user to the relevant documentation.
Of course, you can also extend the SAP Fiori user interfaces. In contrast to extending SAP Business Suite, you usually don't have to write any code to extend an SAP Fiori user interface: What's called key-user extensibility allows users to add custom fields, hide or display objects, modify structures, or supplement the calculation logic, for example. Only enhancements that cannot use key-user extensibility require you to write the new code.
Officially released SAP Fiori apps can enable your enterprise or SAP partners to develop custom SAPUI5-based SAP Fiori applications using the SAP Web IDE. The browser-based toolkit can be found on the SAP Cloud Platform and includes an integrated development environment. Developing custom user interfaces is extremely important for most SAP customers. In today's SAP Business Suite, about 50% of the interfaces used by SAP customers are custom developments.
Finally, you can assign a custom theming to your user interface to map the corporate identity on the screen (consider your company's color scheme and logo).
###### [»] Additional Information
You can find further information for redesigning the SAP user experience (UX) using SAP Fiori at the following website:
* <https://www.sap.com/products/fiori.html>
For more information on SAP Fiori 2.0, go to the following website:
* <https://experience.sap.com/skillup/sap-fiori-2-0-the-ideal-overview>
You can find a video covering design concepts at the following website:
* <https://www.youtube.com/watch?v=NSq40zfuyII>
You can access the SAP Fiori apps reference library at the following website:
* <https://fioriappslibrary.hana.ondemand.com/sap/fix/externalViewer>
For more information on SAP Web IDE, go to the following website:
* <https://www.sap.com/developer/topics/sap-webide.html>
For more information on the development guidelines for SAP Fiori 2.0, go to the following website:
* <https://experience.sap.com/documents/sap-fiori-2-0-administration-and-developer-guide.pdf>
All elements mentioned in this section are only available with the newly designed SAP S/4HANA. If you want to access traditional SAP ERP applications, you'll have to follow the usual approaches. However, if required, you can also provide the traditional transactions in the SAP Fiori launchpad.
In summary, we can make the following statements: You can convert an SAP ERP system to SAP S/4HANA without directly implementing SAP Fiori across the entire system landscape. However, in this case, you won't benefit from SAP S/4HANA's significantly simplified applications and can only use the traditional SAP Business Suite applications. Thus, your SAP S/4HANA implementation project should minimally include a gradual introduction of the SAP Fiori UI concept. Because the SAP Fiori concept is role-based, you can easily select individual business areas and employee groups for conversion. Because of the benefits provided by SAP Fiori, SAP S/4HANA Cloud can only use SAP Fiori UIs.
###### [+] Gradual Introduction
The new SAP Fiori UI concept is controlled on the basis of roles and can thus be introduced gradually.
## 2.5 Interfaces
So far, this chapter focused on the SAP S/4HANA innovations that affect a single system. If you migrate from an existing SAP ERP system to SAP S/4HANA, this SAP ERP system is usually integrated into a system landscape or has been enhanced with custom or third-party applications. What do you have to take into account in these cases?
First, you should determine how the system has been integrated or enhanced:
* Integration via SAP Process Integration (PI) or SAP Process Orchestration (PO)
Existing integration that flows through the SAP PI or SAP PO middleware can be kept. SAP S/4HANA is compatible with SAP PI and SAP PO. To integrate new or significantly changed SAP S/4HANA applications, you might have to implement additional integration content.
* Integration via authorized interfaces
You can continue to use authorized interfaces such as Business Application Programming Interfaces (BAPIs). In SAP S/4HANA, implementations of these interfaces are adapted to the new data model if required. This compatibility, again, refers to traditional application scenarios only.
* Proprietary integration
If you have implemented custom access options or interfaces, you'll have to analyze whether you can continue to use them in SAP S/4HANA. When implementing the new data model, SAP took into account compatibility, but some adaptation work may still be required. Chapter 4 describes how to determine this.
* Third-party applications
If you use third-party applications, you should contact your software provider for more information on their compatibility with SAP S/4HANA.
Depending on the result of this analysis, you may have to include follow-up measures in the planning of your migration project. In summary, the more strictly you followed SAP's recommendations for the implementation and the more modification-free enhancements or standard interfaces you use, the less follow-up work is required. Chapter 8 and Chapter 13 explain in detail how to integrate SAP S/4HANA into an existing landscape.
## 2.6 SAP S/4HANA Embedded Analytics
The analytical functionality provided by SAP S/4HANA is referred to as SAP S/4HANA embedded analytics. This function enables users (not just analytical data experts but any users) to create and carry out real-time analyses based on SAP S/4HANA application data. Standard reports and analytical SAP Fiori apps are also delivered by SAP S/4HANA. The analytical data is displayed via the new SAP Fiori launchpad, which is based on SAP Fiori technology.
Technically, SAP S/4HANA embedded analytics functions are based on the core data services (CDS) views of the ABAP layer in SAP S/4HANA. These CDS views are database views organized in a virtual data model (VDM). On the basis of these CDS views, users can run queries on transactional data in real time. For these queries, users can either use default views, enhance existing views, or create new views based on the relevant application tables.
In addition to fast customization of analytical queries, SAP S/4HANA's simplified data structures considerably enhance the creation of queries in real time. Because aggregates have been omitted and data redundancy is thus eliminated, users do not have to know the aggregation logic and can build their queries on the data of the native tables.
Analytical data is usually displayed via SAP Fiori interfaces. Various user interfaces and use cases are provided for different user groups (end users, key users, and developers). As shown in Figure 2.10, end users are provided with analytical analyses that are adapted to the role and use case, but tools and functions for analytics key users are also available to enable them to create their own queries.
**Figure 2.10** SAP Embedded Analytics: Different User Roles
**Figure 2.11** Overview Page for Critical Sales Orders
Let's look at an example of a user role, an internal sales employee, to illustrate how the integration of analytical data supports the processing of critical sales orders. The SAP Fiori app for sales order fulfillment enables employees to process exceptions for sales orders. Critical orders (e.g., orders where the promised delivery date cannot be kept) are displayed in an overview page (see Figure 2.11). From this page, end users can navigate to the relevant detail views and analyze the reason for the delay individually for each critical order.
###### [»] Additional Information
You can find more information and examples of analytics at https://experience.sap.com/skillup/sap-fiori-2-0-a-primer-on-embedded-analytics/ or in the SAP Fiori apps reference library at www.sap.com/fiori-apps-library.
# 3 Cloud, On-Premise, and Hybrid Scenarios
You can use SAP S/4HANA in various cloud-based and on-premise editions. But what are the differences between these operating models? And what are the differences between the individual SAP S/4HANA editions?
When migrating to SAP S/4HANA, you'll have to make some basic decisions. You'll have to select the type of system landscape and decide which SAP S/4HANA functions you want and how they are supposed to be used (see Figure 3.1). First, you'll need to choose whether you want to run SAP S/4HANA on-premise (i.e., the software runs on your enterprise's hardware); in the cloud (i.e., the software is leased and hosted by a provider); or as a hybrid scenario (i.e., some parts of the business scenarios are outsourced to the cloud, other parts are kept on-premise). Furthermore, you'll have to decide whether you want to leverage the migration process to redesign your own business processes (greenfield approach) or whether to keep existing business processes (brownfield approach).
**Figure 3.1** Strategic Decisions for Migrating to SAP S/4HANA
This chapter covers the basic options for and differences between the various operating models and provides you with the basic information required to make these necessary decisions. First, we'll provide an overview of the operating models and define critical concepts. Then, we'll introduce and compare the individual editions of the SAP S/4HANA product family.
Usually, an enterprise wants to customize its business processes. In addition to business configuration settings, individual enhancement options can be an essential way for an enterprise to differentiate itself from competitors. The last section of this chapter describes in detail SAP S/4HANA's enhancement concepts.
## 3.1 Overview of Operating Models
To enable you to choose an SAP S/4HANA operating model, the following section describes the basic characteristics of the different operating models. Section 3.3 then compares the operating models.
### 3.1.1 On-Premise Operating Model
Usually, the on-premise operating model refers to using software that a customer has purchased and runs and manages on hardware owned by the customer. As a result, the customer is in full control of the hardware and software, of mission-critical application data, and of software maintenance schedules. Moreover, the customer achieves maximum flexibility with regard to custom enhancements and integration with other systems (in-house solutions or external systems).
But the customer is also fully responsible for the availability of the software as well as access, security, and system stability. In addition to the costs for hardware and software, powerful and complex ERP systems incur further costs for the IT experts needed to introduce, manage, and maintain the software.
### 3.1.2 Cloud Operating Model
In cloud operating models, a customer does not operate or manage the software himself but rather engages a service provider for this purpose. The software and the corresponding services are leased for a defined period of time in the cloud operating model. Hardware and operating system software are not required on-premise. The enterprise's IT staff can thus focus on other tasks.
Internet access is usually necessary to access the solution, and users can access the cloud software from anywhere and in most cases also via mobile end devices. One of the major benefits of the cloud operating model is the associated cost transparency. The infrastructure of cloud-based software is shared by multiple customers.
However, to ensure efficient operation, individual customers can only impact the maintenance cycles and schedules of the cloud software to a limited extent. Thus, usually the customization options in the cloud operating model are more limited than in the on-premise operating model. Another issue that needs to be analyzed specifically in each case is data security (cloud security). In general, the data security standards and processes of trustworthy cloud providers are higher or more extensive than the security infrastructure of the average enterprise.
How to evaluate the cloud operating model, however, also significantly depends on the service and deployment models used. Figure 3.2 provides an overview of these service and deployment models, which are based on the definitions from the National Institute of Standards and Technology (NIST, <https://www.nist.gov>).
For service models, the following three categories are differentiated:
* Software as a Service (SaaS)
In the case of the software as a service (SaaS) model, customers use the applications of a provider, which are operated on a cloud infrastructure. Typically, customers access these applications via the Internet using a web browser. In the SaaS model, the provider is responsible for managing and controlling the cloud infrastructure. Besides user-specific configuration settings, customers do not have any functions for managing or controlling the software.
In addition to the SAP S/4HANA public cloud editions, the following SAP solutions fall into this category: SAP SuccessFactors, SAP Hybris Marketing Cloud, SAP Ariba, Concur, and SAP Fieldglass.
* Platform as a service (PaaS)
In the platform as a service (PaaS) model, application developers are provided with programming languages and tools as a service. As in the SaaS model, the provider is responsible for managing and controlling the underlying cloud infrastructure. The customers manage their applications, which they have built on the basis of the development environment provided. One example of this model is SAP Cloud Platform (previously SAP HANA Cloud Platform (SAP HCP)).
* Infrastructure as a service (IaaS)
Infrastructure as a service (IaaS) refers to a service that provides users with access to computing power, data storage, and network capacity. In this model, the customers control the applications and operating systems used and usually also install them themselves. Nevertheless, the provider is again responsible for controlling and managing the cloud infrastructure. SAP HANA Enterprise Cloud (SAP HEC) (see Section 3.2.3) belongs to this category.
**Figure 3.2** Service and Operating Models in the Cloud
For the cloud deployment models, we differentiate between three types:
* Public cloud
In the case of public clouds, services and applications are publicly available and can generally be used by everyone. Usually, users share the resources of the cloud infrastructure, which is provided by an external provider.
* Private cloud
In a private cloud, the cloud infrastructure is deployed for specific customers or only one customer. The cloud infrastructure can be deployed by a department of the enterprise or by an external provider. The same applies to operating a private cloud. If the cloud is operated in-house, the transition to the on-premise operating model is different. The transition should take into account how flexible and scalable you need the IT infrastructure to be, how business applications will be accessed via the Internet, or how regularly programs should be updated automatically.
* Hybrid cloud
A combination of public cloud and private cloud is referred to as a hybrid cloud. In this case, part of the IT infrastructure is operated on-premise, while other services are provided by an external public cloud provider.
### 3.1.3 Hybrid Operating Model
In hybrid operating models, some parts of the business scenario are operated on-premise, and some parts are operated in the cloud. Hybrid operating models enable you to combine the characteristics of the on-premise operating model and the cloud operating model. For example, core areas of your enterprise, where you want a high degree of control and a high level of flexibility, can be operated on-premise, while other enterprise areas can be operated in the cloud because common industry standards are sufficient.
###### [eg] Hybrid Structures in Human Resources
An example of an enterprise area in which business processes are largely outsourced to the cloud is human resources (HR). As described in Chapter 1, SAP's target architecture for HR business processes is the cloud. With the SAP SuccessFactors solution portfolio, SAP enables HR departments to outsource to the cloud functions such as workforce administration or managing job candidates and applications, employee performance, or talent.
Hybrid scenarios can also make sense based on the organizational structure of an enterprise. For example, you might want to run global business processes at headquarters on-premise, while the regional business processes at your subsidiaries can be standardized and outsourced to the cloud.
With regard to technology and content, a combination of on-premise processing and cloud-based processing poses specific requirements for integrating the various solutions used, as shown in Figure 3.3.
**Figure 3.3** Integration in Hybrid Scenarios
Therefore, when choosing an operating model, you should consider your specific requirements regarding master data and process integration. For more information on the integration scenarios for the various SAP cloud solutions, see Chapter 8.
## 3.2 The SAP S/4HANA Product Family
Customers can choose between multiple editions of the SAP S/4HANA product family. Figure 3.4 shows members of the SAP S/4HANA product family currently available.
In general, we differentiate between the on-premise editions and the cloud editions. However, all members of the SAP S/4HANA product family are based on the same program code. End users will only see differences between the editions due to the different user interface (UI) concepts. SAP S/4HANA Cloud only provides SAP Fiori-based user interfaces, while the SAP S/4HANA, on-premise, allows you to continue to use the traditional interfaces based on SAP GUI for Windows. SAP S/4HANA Enterprise Management Cloud (Private Option) is a private managed cloud solution, that is, a hosted service, in SAP HANA Enterprise Cloud (SAP HEC) and is a combination of the on-premise deployment model and the cloud deployment model.
**Figure 3.4** The SAP S/4HANA Product Family
### 3.2.1 SAP S/4HANA, On-Premise
In SAP S/4HANA, on-premise, customers operate the software in their own system landscape. They are responsible for purchasing the necessary hardware, for installing and managing the software, and for maintaining the system (for example, implementing software changes). Currently, SAP S/4HANA is available in two on-premise editions:
* SAP S/4HANA Finance
* SAP S/4HANA
SAP S/4HANA Central Finance is an additional on-premise variant that enables global financial processes as a complementary instance for the operational systems in the system landscape.
#### SAP S/4HANA Finance
Released in 2014, SAP S/4HANA Finance was the first product from the SAP S/4HANA product family (at this time, SAP S/4HANA Finance was called the SAP Simple Finance Add-on for SAP Business Suite powered by SAP HANA). The data structures in the accounting area in SAP S/4HANA Finance were adapted to fully exploit the potential of SAP HANA's in-memory database technology for the first time. Thanks to this modification to data structures in accounting, processes in Financials (FI) and Controlling (CO) can now be processed in one step, which was not possible before in SAP ERP because of high resource consumption. For more information on the individual product innovations, see Section 3.3.1.
At the time of this writing, the latest version is SAP S/4HANA Finance 1605. At present, SAP does not plan to offer another version of SAP S/4HANA Finance. If required, customers can migrate from SAP S/4HANA Finance to a newer version of SAP S/4HANA.
#### SAP S/4HANA
In November 2015, the second on-premise product was launched: SAP S/4HANA. Then referred to as SAP S/4HANA 1511, on-premise, or S/4HANA Enterprise Management, this version added further innovations in addition to those mentioned in the financials area. At the time of this writing, the latest version is SAP S/4HANA 1610. SAP refers to SAP S/4HANA as a new digital core for enterprise software. Figure 3.5 shows this digital core including the relevant innovations that cover various lines of business (LOBs).
**Figure 3.5** Different Business Areas in SAP S/4HANA
For more information on product innovations in the individual business areas, see Section 3.3.
SAP S/4HANA is supplemented by functions from so-called compatibility packages (see Figure 3.6).
**Figure 3.6** SAP S/4HANA Compatibility Packages
Compatibility packages provide functions with the traditional design you are familiar with from SAP ERP—functions, for example, for human capital management (SAP ERP HCM), for warehouse management (SAP ERP WM), or for transport management (LE-TRA). After migrating to SAP S/4HANA, these functions are still available in the same format (for example, the data model is not adapted, and the user interfaces also remain the same). However, these functions are not the target architectures from the technological perspective. For example, the target architecture for human capital management is SAP SuccessFactors; for warehouse management, SAP Extended Warehouse Management (SAP EWM); and for transport management, SAP Transportation Management (SAP TM). Consequently, compatibility packages provide functions that give you the option of continuing to use traditional functions to map these specific business requirements after you migrate to SAP S/4HANA.
###### [+] Gradual Migration to the Target Architecture
Compatibility packages enable you to choose whether you want to migrate directly to the target architecture in these subareas or whether you'd rather continue using the traditional functions.
The useful life of the functions covered by the compatibility packages is restricted. Up to the end of 2025, you can continue to use these functions in the traditional format. After 2025, the license for their usage in SAP S/4HANA will no longer be valid.
#### SAP S/4HANA Central Finance
SAP S/4HANA Central Finance is a variant of SAP S/4HANA. In this variant, customers can connect their distributed system landscapes to a central SAP S/4HANA Finance system. Figure 3.7 demonstrates an example of a combination of SAP and non-SAP systems in which financial documents are replicated in SAP S/4HANA Central Finance.
###### [»] More Information on SAP S/4HANA, On-Premise, Editions
For further information on SAP S/4HANA Finance, see SAP Help at <https://help.sap.com/sfin>. The "SAP S/4HANA Compatibility Scope Matrix," attached to SAP Note 2269324, lists the functions mapped by compatibility packages.
For more details on SAP S/4HANA Central Finance, see SAP Notes 2148893 (Central Finance: Implementation and Configuration) and 2154420 (SAP Landscape Transformation Replication Server for Central Finance).
Postings from FI and CO are submitted from existing operational source systems to the complementary Central Finance system. The SAP Landscape Transformation Replication Server (SAP SLT Replication Server) is responsible for replicating the actual data from the decentralized source systems to the Central Finance system after the data has been initially exchanged. Optionally, a central master data system (e.g., SAP Master Data Governance (SAP MDG)) can ensure the relevant financial master data is distributed.
**Figure 3.7** SAP S/4HANA Central Finance
### 3.2.2 SAP S/4HANA Cloud
In SAP S/4HANA Cloud, SAP operates and maintains the software. Customers access their SAP S/4HANA Cloud systems from any network with Internet access using a browser and a unique, customer-specific URL. Multiple types of end devices are supported.
Sophisticated security procedures such as the Transport Layer Security (TLS) encryption procedure secure the communications between customers and the SAP S/4HANA Cloud system. In addition to this technical procedure, the following security and quality principles apply to SAP S/4HANA Cloud:
* Business data is stored in data centers according to the highest security standards.
* Customers may share physical hardware, but their data is always stored separately.
* Users requiring access to business data have to authenticate themselves, and their identity needs to be verified by user and access management.
* Customers always remain the owners of their respective customer data.
After deploying an SAP S/4HANA Cloud system, you can implement your necessary business processes using the SAP S/4HANA Guided Configuration to guide you through implementation. Then, you can use the SAP S/4HANA migration cockpit to migrate the necessary data from your legacy system to the SAP S/4HANA Cloud system.
Currently, four public cloud editions with differing functions are available for SAP S/4HANA:
* SAP S/4HANA Professional Services Cloud
* SAP S/4HANA Finance Cloud
* SAP S/4HANA Enterprise Management Cloud
* SAP Hybris Marketing Cloud (previously, SAP S/4HANA Marketing Cloud)
You can integrate these cloud editions with other SAP cloud solutions such as SAP Ariba or SAP SuccessFactors. Figure 3.8 shows the editions currently available, including SAP S/4HANA Manufacturing Cloud, and that will be introduced soon. For more information on planned functions, refer to the SAP S/4HANA Cloud roadmap.
**Figure 3.8** SAP S/4HANA Cloud Editions
#### SAP S/4HANA Professional Services Cloud
SAP S/4HANA Professional Services Cloud is a public cloud edition that maps project management functions. SAP S/4HANA Professional Services Cloud allows you to manage both internal projects and customer projects. The projects are integrated with order handling, project billing, and accounting, thus fulfilling end-to-end process scenarios.
Innovations in SAP S/4HANA Professional Services Cloud include the following examples:
* Resource management
Integration of internal and external resources for project staffing
* Project analyses
Analysis of the profitability of projects based on costs and revenues
* Project purchasing
Project-related purchasing
* Integration with other SAP solutions
Integration with various SAP and non-SAP systems, for example, a native integration with SAP SuccessFactors Employee Central, SAP Jam, and SAP Ariba is possible.
At the time of this writing, SAP S/4HANA Professional Services Cloud 1611 is the latest version.
#### SAP S/4HANA Finance Cloud
SAP S/4HANA Finance Cloud is a public cloud edition that focuses on business processes in accounting. SAP S/4HANA Finance Cloud integrates internal sales and purchasing processes with accounting and supports business processes with connections to SAP SuccessFactors and SAP Ariba.
Innovations in SAP S/4HANA Finance Cloud include the following examples:
* Principle of a one-tier system
A shared Universal Journal for FI and CO postings optimizes business processes.
* Optimization of financial closings
A soft financial close allows you to simulate period-end or year-end closings at any time, which helps ensure transparency during the current business year.
* Integration with SAP SuccessFactors
Integration with the SAP SuccessFactors HCM Suite links the accounting processes to innovative HR processes.
At the time of this writing, the latest version was SAP S/4HANA Finance Cloud 1611.
#### SAP S/4HANA Enterprise Management Cloud
SAP S/4HANA Enterprise Management Cloud is a public cloud edition that enables you to map all business processes of an enterprise (i.e., sales, manufacturing, and purchasing), as well as financial functions, in the cloud. You can implement the following end-to-end processes with SAP S/4HANA Enterprise Management Cloud:
* Project management
* Planning and procurement
* Order handling
* Period-end closing
* Invoice processing
* Payment processing
* Profitability and cost analysis
Thus, SAP S/4HANA Enterprise Management Cloud is the most comprehensive edition of SAP S/4HANA in the cloud. Consequently, you can also integrate your business processes with SAP SuccessFactors, SAP Ariba, SAP Fieldglass, SAP Hybris, and Concur in this edition. At the time of writing, the latest version was SAP S/4HANA Enterprise Management Cloud 1611.
#### SAP Hybris Marketing Cloud
Until SAP S/4HANA 1611, SAP Hybris Marketing Cloud was called the SAP S/4HANA Marketing Cloud. A public cloud edition that focuses on marketing functions, SAP Hybris Marketing Cloud is designed for SAP customers who want to map campaigns or customer analyses in real time using a cloud-based software solution.
You can integrate SAP Hybris Marketing Cloud with other SAP S/4HANA solutions or operate it as a standalone solution.
Among others, SAP Hybris Marketing Cloud provides the following product innovations:
* Customer analyses in real time
Based on the system's real-time data, smart analyses can be generated for your decision-making processes, including predictive analyses of customer behavior or trend analyses. Web analyses examine customer behavior when navigating websites in real time.
* Personalized customer experience
You can selectively approach customer groups via traditional sales channels or online and target them with personalized product offers and recommendations.
* Flexible marketing
You can control marketing activities from planning and budgeting to coordination and implementation as well as develop marketing plans with budget management and cost monitoring in real time.
* Integration with other SAP solutions
You can integrate SAP Hybris Marketing Cloud with various SAP and non-SAP systems. SAP Best Practices for integration are also available (for example, to exchange cost data between SAP ERP and SAP Hybris Marketing Cloud).
At the time of this writing, the latest version was SAP S/4HANA Marketing Cloud 1611. As of version 1702, the name changes to SAP Hybris Marketing Cloud.
###### [»] Additional Information
More information on the SAP S/4HANA Cloud editions is available at <http://help.sap.com/s4hana>. You can find the roadmap for SAP S/4HANA Cloud at www.sap.com/s4roadmap-cloud.
### 3.2.3 SAP HANA Enterprise Cloud
Another variant is to deploy SAP S/4HANA as a managed cloud solution, that is, as a hosted service, in SAP HANA Enterprise Cloud (SAP HEC). In this variant of the private cloud deployment model, customers can individually choose between infrastructure and application management services. Depending on the scope of the selected services, a managed cloud, an IaaS offering, can operate more like an on-premise operating system or can operate more in the cloud.
In this context, SAP HEC supplements the SAP S/4HANA editions and links infrastructure services and application services. Customers can either solely use the cloud infrastructure or additionally outsource the operation and maintenance of the SAP S/4HANA software. You can use all functions of the SAP S/4HANA, on-premise, with this operating variant.
Customers can also flexibly select the application management services provided by SAP HEC. For example, 24/7 service desk operations, internal notification processing, transportation tasks (e.g., implementing SAP Notes), job management, authorization management, print management, or interface administration can be outsourced to service providers. SAP HEC is not only provided by SAP but is also available from selected service partners, such as IBM or Hewlett Packard Enterprise.
#### SAP S/4HANA Enterprise Management Cloud (Private Option)
The private cloud option for SAP S/4HANA Enterprise Management Cloud is a variant that meets specific enhancement and security requirements. For example, customers are provided with private cloud enhancement options that go beyond the scope of the options of the public cloud editions. Customers have dedicated systems and do not share system resources. In this cloud edition, customers can also better influence the frequency of software and content updates and have them implemented only once a year, for example. With regard to functions and supported country versions, the private option for SAP S/4HANA Enterprise Management Cloud corresponds to the SAP S/4HANA, on-premise.
###### [»] Additional Information
For more information on SAP HANA Enterprise Cloud, go to <https://www.sap.com/products/hana-enterprise-cloud.html>. A list of external service partners who operate SAP HANA Enterprise Cloud is available as well.
For more information on the application management services, go to <https://www.sap.com/germany/services/application-management.html>.
## 3.3 Comparing the Operating Models
This section describes the individual characteristics of the respective operating models in detail and compares how the corresponding editions of the SAP S/4HANA product family meet these criteria.
### 3.3.1 Hardware, Software, Operation, and Maintenance
The most obvious difference between the on-premise and cloud editions is the fact that you operate, maintain, and manage the SAP S/4HANA, on-premise, editions yourself, while SAP carries out these tasks in the public cloud editions. Public cloud editions are available as SaaS operating models. All SAP S/4HANA Cloud editions are operated at different data centers located in various countries and regions around the world.
Table 3.1 lists the differences in detail.
SAP S/4HANA,
On-Premise | SAP S/4HANA Cloud
---|---
* The customer owns and maintains the hardware.
* The customer is responsible for installing, operating, maintaining, and managing the applications. | * SAP or selected service partners provide the hardware and infrastructure.
* Depending on the service level agreement, the customer and SAP or selected service partners install the applications.
* Depending on the service level agreement, the customer and SAP or selected service partners operate and maintain the applications.
| Private Cloud:
SAP S/4HANA Enterprise Management Cloud (Private Option)
|
* Hardware and infrastructure are located at SAP.
* When the system is handed over, the applications are fully installed.
* SAP operates, maintains, and manages the applications.
| Public Cloud: SAP S/4HANA Professional Services Cloud/
Finance Cloud/
Enterprise Management Cloud/SAP Hybris Marketing Cloud
**Table 3.1** Overview of Hardware, Software, Operation, and Maintenance of the SAP S/4HANA Editions
For each public cloud edition, the hardware can be obtained in different packages, depending on the number of users and the required size of the SAP HANA database storage. For example, customers can choose from four SAP HANA database storage packages: from 512 gigabytes up to 2048 gigabytes. When the cloud system is handed over, the applications are fully installed. For the public cloud editions, SAP is responsible for operating, monitoring, and maintaining the system (implementing enhancements and upgrades).
The maintenance cycles are set as follows:
* Hotfix collection
A hotfix collection is implemented every two weeks.
* Release upgrade
Upgrades to the next SAP S/4HANA Cloud release are implemented quarterly. Upgrades contain new functions as well as hotfix collections.
* Emergency patch
Critical corrections for a specific customer system, if required, are implemented as soon as possible.
In the managed private cloud, customers can customize the scope of the required hardware and the supported services to a large extent. For the hardware, you can choose between a two-tier or three-tier landscape (public cloud editions consist of a two-tier system landscape). From the services available, you can choose implementation services (requirements analysis, implementation, data migration, go live) and operation services (incident, problem, and change management and application monitoring). Similar to SAP HEC, customers have influence in when maintenance cycles are scheduled for SAP S/4HANA Enterprise Management Cloud (Private Option).
###### [»] Additional Information
You can find further information on this topic in the SAP Agreements at <https://www.sap.com/about/agreements.sap-cloud-services-customers.html>.
### 3.3.2 User Interfaces
In all SAP S/4HANA editions, the role-based approach of SAP Fiori is the basic target UI technology. Thus, the public cloud editions are completely designed for this target architecture. In individual cases, public clouds also use other web-based SAP technologies, such as Web Dynpro, in addition to SAP Fiori. In the on-premise edition and the private cloud edition, you can also use SAP GUI for Windows in addition to the web-based UI technologies (see Table 3.2). SAP GUI-based transactions that can no longer be executed in SAP S/4HANA, on-premise, are included in the simplification list for SAP S/4HANA (see Chapter 10, Section 10.2.2). You should use the SAP Fiori launchpad as the central entry platform for end users in all SAP S/4HANA editions.
SAP S/4HANA,
On-Premise | SAP S/4HANA Cloud
---|---
* Web technologies
* SAP GUI for Windows | * Web
* SAP GUI for Windows
| Private Cloud:
SAP S/4HANA Enterprise Management Cloud (Private Option)
|
* Web
| Public Cloud:
SAP S/4HANA Professional Services Cloud/Finance Cloud/Enterprise Management Cloud/SAP Hybris Marketing Cloud
**Table 3.2** The UI Technologies of the SAP S/4HANA Editions
###### [+] Gradual Migration to the SAP Fiori Target Architecture
Because traditional user interfaces are still supported, gradual migration to SAP S/4HANA is feasible.
### 3.3.3 Functional Scope and Supported Country Versions
The on-premise and public cloud editions of SAP S/4HANA are based on the same program code line. Consequently, the same data models and product innovations are available. However, the editions vary with regard to their functional scope, the supported country versions, and the options for customizing the business processes (see Table 3.3).
SAP S/4HANA,
On-Premise | SAP S/4HANA Cloud
---|---
* Scope of SAP S/4HANA 1610
* 63 countries with SAP Standard localization
* Process flexibility according to on-premise configuration options | * Scope of SAP S/4HANA 1610
* 63 countries with SAP Standard localization
* Process flexibility according to on-premise configuration options
| Private Cloud:
SAP S/4HANA Enterprise Management Cloud (Private Option)
|
* Scope of SAP S/4HANA Cloud 1611
* 14 countries with SAP Standard localization
* Process flexibility according to cloud scenarios and the guided configuration approach of the public cloud
| Public Cloud:
SAP S/4HANA Professional Services Cloud/
Finance Cloud/
Enterprise Management Cloud/
SAP Hybris Marketing Cloud
**Table 3.3** The Functional Scope and Supported Country Versions of the SAP S/4HANA Editions
The on-premise versions and the private cloud edition have the same business functions and support the same country versions. The complete functional ERP scope is supported in 63 countries with the standard SAP localization. To adapt these SAP S/4HANA editions to your specific requirements, all the traditional configuration options are still available in the Implementation Guide (IMG).
The functional ERP scope provided in the public cloud editions is smaller than the function scope of the on-premise edition. For example, compatibility packages (see Section 3.2.1) are not available in the public cloud editions. The supported functional scope is based on the best practices content of the corresponding public cloud edition, which has been deployed as preconfigured. At present, the 4 public cloud editions of SAP S/4HANA support up to 19 countries with SAP standard localization. Table 3.4 lists the supported country versions for SAP S/4HANA Cloud 1611.
SAP S/4HANA Enterprise Management Cloud | SAP S/4HANA Finance Cloud | SAP S/4HANA Professional Services Cloud | SAP Hybris Marketing Cloud
---|---|---|---
14 countries: Australia, Belgium, Canada, China, France, Germany, Great Britain, Hungary, Japan, Netherlands, Philippines, Singapore, Switzerland, USA | 19 countries: The 14 countries listed on the left plus Brazil, Hong Kong, Luxembourg, Singapore, United Arab Emirates | International
10 languages English, German, French, Spanish, Japanese, Russian, Portuguese, Chinese (Simplified), Dutch, Hungarian
**Table 3.4** Supported Country Versions in the Four Public Cloud Editions (as of SAP S/4HANA Cloud 1611)
###### [»] Additional Information
For more details on the functional scope and supported country versions, see Feature Scope Description in SAP Help (<http://help.sap.com/s4hana>) and the globalization area (<http://service.sap.com/globalization>).
### 3.3.4 Options for Enhancement
Basically, you can use the key-user enhancement tools and enhancement options, which are based on SAP Cloud Platform, in all editions of the SAP S/4HANA product family (see Table 3.5). In SAP S/4HANA Enterprise Management Cloud (Private Option), you can additionally carry out further adaptations through ABAP programming. With these adaptations, modification-free enhancements are possible, which can be used for Business Add-Ins (BAdIs) and user exits.
You can also modify SAP objects in the on-premise editions, but we don't recommend doing this considering the increasing costs for future release changes. Section 3.4 describes the SAP S/4HANA enhancement options in detail.
SAP S/4HANA,
On-Premise | SAP S/4HANA Cloud
---|---
* Traditional enhancement options through ABAP programming
* Usage of the key-user enhancement tools for S/4HANA
* Enhancements based on SAP Cloud Platform | * Selected enhancement options through ABAP programming
* Usage of the key-user enhancement tools for S/4HANA
* Enhancements based on SAP Cloud Platform
| Private Cloud:
SAP S/4HANA Enterprise Management Cloud (Private Option)
|
* Usage of the key-user enhancement tools for S/4HANA
* Enhancements based on SAP Cloud Platform
| Public Cloud:
SAP S/4HANA Professional Services Cloud/Finance Cloud/Enterprise Management Cloud/SAP Hybris Marketing Cloud
**Table 3.5** The Enhancement Options for the SAP S/4HANA Editions
### 3.3.5 Payment Model and Runtime
Variants of SAP S/4HANA, on-premise, still offer the traditional license and maintenance model, while the public cloud editions are provided via a cloud subscription model with flexible runtimes (see Table 3.6). The actual costs for the subscription model depend on the number of users, the application scope used, and the hardware packages selected.
SAP S/4HANA,
On-Premise | SAP S/4HANA Cloud
---|---
* License and maintenance fee | * Flexible model (license and maintenance fee or subscription)
* Customers can contribute existing SAP licenses
| Private Cloud:
SAP S/4HANA Enterprise Management Cloud (Private Option)
|
* Subscription with flexible runtimes
| Public Cloud:
SAP S/4HANA Professional Services Cloud/Finance Cloud/Enterprise Management Cloud/SAP Hybris Marketing Cloud
**Table 3.6** The Payment Models and Runtimes of the SAP S/4HANA Editions
### 3.3.6 Model for Migration to SAP S/4HANA
With SAP S/4HANA, on-premise, customers can choose either the brownfield approach or the greenfield approach. In other words, you can either convert an existing SAP ERP system into an SAP S/4HANA system or install a completely new SAP S/4HANA system.
Migrating to SAP S/4HANA Cloud always entails a new installation of the system. The business processes supported in SAP S/4HANA Cloud are implemented according to best practices, and the required master and document data is transferred to the cloud system (see Table 3.7).
SAP S/4HANA,
On-Premise | SAP S/4HANA Cloud
---|---
* Brownfield or greenfield approach | * New installation with subsequent data migration
| Private Cloud:
SAP S/4HANA Enterprise Management Cloud (Private Option)
| | Public Cloud:
SAP S/4HANA Professional Services Cloud/Finance Cloud/Enterprise Management Cloud/SAP Hybris Marketing Cloud
**Table 3.7** The Migration Scenarios for the SAP S/4HANA Editions
For more information on new implementations or on converting single systems, see Part II and Part III of this book.
## 3.4 Extensibility in SAP S/4HANA
Every enterprise is unique, not just in the specifications for its products or services, but in its employees, its goals, and thus its business process structures. In the ideal case, business software supports such uniqueness and the resulting differences because these details differentiate the enterprise from its competitors.
To date, SAP has supported differentiation to the greatest extent possible with its software: SAP provided released interfaces and disclosed the source code of the entire application. Moreover, SAP offered SAP NetWeaver Application Server ABAP, which is a development environment in the application system. SAP provided several options for integration with other applications, for example, using SAP Process Orchestration (PO). With this portfolio, SAP has created an optimally customizable solution with scalable enhancement options. Third-party providers also appreciate this extensibility and can deliver supplementary functions for standard SAP solutions. When planning your migration to SAP S/4HANA, you should always pay attention to the solution's extensibility.
In SAP S/4HANA, SAP has emphasized this extensibility, which has been adapted according to SAP's simplification philosophy for products. Particular attention was paid to allowing customization without comprehensive programming knowledge but also provide the flexibility required for significant enhancements. In SAP S/4HANA, these concepts were improved. Doing so, disadvantages coming from extending the standard software to individual requirements are minimized. In the past, the high degree of flexibility in SAP ERP could lead to risks that had to be considered individually in each specific case: Comprehensive enhancements entailed projects involving several parties within the enterprise and sometimes implementation partners as well. This, an enhancement could take some time before it could actually be used. When enhancements were implemented, the next risk was in the operation of the software: During the lifecycle of the software, hotfixes and planned updates to the default software are usually installed. Testing modified and custom developments in this constantly updating software lifecycle can involve a great deal of effort.
Consequently, the extensibility in SAP S/4HANA has been adapted to accelerate the implementation of enhancements and reduce the costs of these enhancements. In particular, modifying the default SAP code can be avoided in most cases. For this purpose, SAP S/4HANA provides tool-based enhancement options in the applications themselves, as well as platform-based enhancement options outside the software product. These functions support the following characteristics:
* Scaled extensibility
The default software can be customized at various levels. For example, end users can personalize their user interfaces and implement their own (restricted) enhancements. Selected experts can be authorized to implement further enhancements that affect the processes of multiple users. At the top level, you can customize the entire application in an implementation project.
* Scaled lifecycle
You can loosely couple enhancements. While enhancements can exchange data with SAP S/4HANA and are merged on the user interface, they can also perform independent software maintenance cycles.
* Openness
SAP S/4HANA includes a vast array of open interfaces, so partners can implement existing enhancements or offer their own enhancements.
###### [+] Extensibility of SAP S/4HANA
You can customize SAP S/4HANA using various enhancement procedures.
To implement this extensibility, SAP follows two approaches:
* Side-by-side enhancements
* In-app enhancements
Both approaches complement each other and can be combined. Figure 3.9 compares the two enhancement approaches. These approaches are described in detail in the following sections.
**Figure 3.9** Enhancement Options in SAP S/4HANA
The in-app and side-by-side approaches involve various levels. The deeper the level, the greater the impact on the software lifecycle. Not all options are available in all deployment options (see Section 3.3.4).
### 3.4.1 Side-by-Side Enhancements
The characteristic of side-by-side enhancements is that they use SAP Cloud Platform (previously, SAP HANA Cloud Platform [SAP HCP]). SAP Cloud Platform is a PaaS solution from SAP. In addition to the SAP HANA database, this solution contains comprehensive tools for developing, testing, integrating, and operating the software. As a PaaS product, the technical operation of SAP Cloud Platform is ensured by SAP, which reduces the workload on the internal IT department. By default, each new release of SAP software is ready for integration with SAP Cloud Platform.
Enhancements on this platform can be carried out using various implementation approaches, such as Java code, HTML5 commands, and SAP HANA database queries. SAP Cloud Platform does not provide an ABAP development environment. Consequently, this enhancement approach is particularly suited to developing custom user interfaces and integrating additional steps into SAP Standard business processes.
###### [+] Side-by-Side Enhancements
The enhancement options based on SAP Cloud Platform are ideal for creating custom user interfaces or additional business process steps.
#### User Interfaces
The SAP Fiori user interfaces are written with HTML5 and are based on central SAP libraries (SAPUI5). The software development process for HTML5 applications differs from the development in ABAP, which is the language used to implement the SAP S/4HANA application logic. Therefore, SAP S/4HANA does not contain a development environment for HTML5. Instead, SAP provides an optimized development environment for SAP Fiori user interfaces via SAP Cloud Platform. In addition to development tools such as an editor, this also includes tools for packaging and deploying the user interfaces developed.
#### Business Processes
SAP S/4HANA enables you to supplement existing business processes with your own business logic and data. In most cases, you'll only need to adjust the SAP Standard processes to your specific business requirements. In some cases, however, your processes deviate so much from those of your competitors that this deviation can no longer be mapped by in-app enhancements. SAP Cloud Platform is the ideal enhancement solution here, allowing you to build complex custom applications using Java and then integrate them with SAP S/4HANA. Communication with the platform is via web services.
The PaaS solution already contains the required integration infrastructure for both cases: a central integration middleware with SAP HANA Cloud Connector and SAP Gateway for integration with SAP Fiori. Consequently, SAP Cloud Platform is the optimal basis for enhancements—not only for SAP S/4HANA but also for other applications in the landscape.
Extending SAP S/4HANA via the SAP Cloud Platform uses SAP's APIs (Application Programming Interfaces), including the following:
* New SAP S/4HANA interfaces:
* REST (Representational State Transfer) web services
* SOAP (Simple Object Access Protocol) web services
* OData (Open Data Protocol) web services
* Traditional SAP interfaces
* Business Application Programming Interfaces (BAPIs)
* Intermediate Documents (IDocs)
The traditional interfaces are included for compatibility reasons and only released for the enhancement of SAP S/4HANA, on-premise. The number of interfaces released is continuously increasing.
### 3.4.2 In-App Enhancements
In-app enhancements are striking because of their simplicity: These enhancements are implemented in the same system, connections to other systems are not necessary, and latency is reduced. Furthermore, you can use the existing application as a base and use the powerful ABAP Dictionary, which contains the Core Data Services (CDS), to create table views, for example.
You don't necessarily require any development know-how for enhancements. The following enhancement options are available to users (with increasing capabilities):
* End-user extensibility
* Key-user extensibility
The key-user extensibility in particular provides the options shown in Figure 3.10.
**Figure 3.10** In-App Extensibility
Enhancements carried out by central key users impact all users of the system, who can in turn make specific adaptations. The traditional extensibility of the ABAP source code is only available on-premise and is mainly included for compatibility reasons.
#### End-User Enhancements
End-user enhancements can be implemented directly in SAP Fiori applications. These enhancements are user-specific and do not affect other users of the SAP S/4HANA system. Simple enhancements include customizing screen layouts or selection fields, simple column operations, and basic settings for object-based navigation. These enhancements can only be carried out in specifically prepared applications, and you can access enhancements via the cogwheel icon in the application (see Figure 3.11). You can even customize the cogwheel icon in most SAP Fiori screens.
**Figure 3.11** End-User Enhancements for User Interfaces
#### Key-User Enhancements
SAP also provides enhancement options that can partially be implemented using modeling procedures, which is useful when customizing user interfaces or supplementing custom fields or tables. In a new enhancement mode, you only require basic development know-how to modify the calculation logic without directly changing the application code. One of the advantages of this method is that you don't have to adapt enhancements manually when maintaining your SAP software. As a result, operating costs are reduced compared to traditional, code-based enhancements. In contrast to end-user enhancements, key-user enhancements affect all system users. Remember that a specific authorization is required for these key-user enhancement options. This authorization needs to be defined in the application catalog SAP_CORE_BC_EXT and assigned in accordance with the application role.
###### [+] Benefits of Key-User Enhancements
Key-user enhancements use modeling rules that will not need subsequent adaptations for maintenance operations.
Key-user enhancement options are selected via SAP Fiori tiles, which are predefined by SAP. Among others, the following options are provided:
* Customizing user interfaces
Similar to end-user customization, you can change the layout of SAP Fiori applications. Examples include hiding fields, renaming identifiers, rearranging blocks, and creating selection variants. These activities do not require any development know-how. To customize a user interface, in the application that you want to change, select the user icon in the upper left of the screen first. You can then change the user interface using the Adjust UI icon.
* Field extensibility
In the business contexts provided for that purpose, you can define additional fields for the application to use (see Figure 3.12). Select the User-defined fields and logic tile in the Extensibility group on SAP Fiori launchpad. These fields are not only displayed on the user interface but can also be stored in the SAP data model and are thus available in the database views, for searches, and for other operations.
**Figure 3.12** Extensibility of Fields
* Table extensibility
Besides new fields, you can also define and use custom tables in SAP S/4HANA. Similar to custom fields, custom tables are created within SAP S/4HANA and integrated into user interfaces. The application then exchanges data with the tables. A custom table is a special kind of user-defined business object.
* Business objects
You can define specific business objects for your enhancements. Business objects are sets of tables between which you define relationships. In addition, you can point an interface to access this newly created business object. Doing so enables you, for example, to access these business objects when specifying calculation logic. To access business objects, select the tile User-defined business objects in the Extensibility group.
* Adjusting the calculation logic
You may often find it necessary to check the meaning of entered or displayed data, to specify defaults, or to trigger exception handling. Another example of calculation logic adjustments are specific calculation procedures that are not provided in the SAP Standard. In these cases, additional logic can be inserted in the relevant applications. The logic is defined in a code-based implementation via a web editor (see Figure 3.13).
**Figure 3.13** User-Defined Fields and Logic
In the editor, the syntax is simplified in comparison to traditional ABAP, so that detailed ABAP know-how is not required. For this adaptation, use the tile User-defined fields and logic in the Extensibility section. However, you will require some development know-how to do so. Compared to traditional enhancement options, you'll be provided with numerous commands and instructions in this tile. You can also save these enhancements and export them to other systems.
###### [»] Transport of Enhancements
In general, key-user enhancements should be implemented and tested in a quality assurance system first. To transport verified enhancements to the production system, you can follow this export and import procedure: After developing your enhancement, select the tile Manage software collections in the Extensibility group. Next, assign your enhancement to a software collection, which you can then export.
Now, in the target system, select the tile Import software collection in the Extensibility group where can import the previously exported enhancement.
Note that export and import should be carried out by a software logistic administrator, and as a result, this activity requires specific roles with access to the application catalogs SAP_CORE_BC_SL_EXP (for exporting) and SAP_CORE_BC_SL_IMP (for importing).
###### [»] Additional Enhancement Options
Further options are available in addition to the described enhancement options. For more details, see the section on extensibility in the product documentation at <http://bit.ly/v1448031>.
#### Traditional Extensibility
In SAP S/4HANA, on-premise, you can still enhance or even modify the ABAP source code using the tools from the traditional SAP Business Suite, such as the ABAP Workbench. While this approach offers the maximum freedom to develop your own custom enhancements, interactions regarding maintenance operations in the system will often be necessary: When implementing new SAP corrections, you'll always have to adjust your enhancements to the SAP Notes. As a result, you need to install corrections in close cooperation with your development department.
In addition to these more formal enhancement options, SAP S/4HANA also provides comprehensive applications for defining custom data analyses or creating custom forms.
### 3.4.3 Checking Custom Enhancements When Migrating to SAP S/4HANA
When you plan to migrate to SAP S/4HANA, you should analyze existing adaptations to the current system:
* End-user customization
Individual end-user adaptations are lost when you migrate to SAP S/4HANA. Users will have to then customize the new product again, as described in the previous section.
* Generic enhancements for all users
Generic enhancements that are effective for all system users can be implemented when migrating to the new product. The appropriate procedure for this implementation depends on the operating model selected for SAP S/4HANA. You should generally implement these enhancements using the key-user enhancement options, which will result in fewer follow-up costs and which simplify the maintenance of the enhancements.
If the source system is an SAP source system, you should run SAP's custom code check first. This check identifies custom code in the existing system and generates a task list. Chapter 4, Section 4.2.2, and Chapter 10, Section 10.2, discuss this check in detail.
# 4 Preparing the Migration to SAP S/4HANA
This chapter introduces the three migration scenarios covered in this book.
Which steps should you consider when planning your migration project to SAP S/4HANA? How does SAP support you? Can the migration be compared to an upgrade within the SAP ERP product family? This chapter answers these questions. Furthermore, we'll introduce three possible migration scenarios: a new implementation, a system conversion, and a landscape transformation. The last chapter of the book, Chapter 14, then looks back at these scenarios and summarizes their advantages and disadvantages under different conditions.
## 4.1 Basic Considerations
Migrating to SAP S/4HANA offers many benefits, but to ensure a smooth migration, you must be aware of your specific reasons for migrating. Consequently, you should not plan to migrate to SAP S/4HANA as an update or upgrade of an already implemented solution. The functional and business scope of SAP ERP and SAP S/4HANA are similar, but this migration will introduce a new digital core to your enterprise that ensures future competitiveness.
You should (at least) answer the following questions, which will be discussed in more detail later on in this section:
* Which target status do you want to achieve?
What position is SAP S/4HANA supposed to take in your system landscape? Do you want to execute a proof of concept, or do you want to use SAP S/4HANA immediately in production? Can you use the migration as an opportunity to optimize how your processes are mapped in the enterprise software?
* Which operating model suits you?
Do you want to run SAP S/4HANA at your own data center or through a hosting service? Or, do you want to use SAP S/4HANA as a software-as-a-service model?
* What is the initial situation?
What is the current product version of your source system? What is the quality of the data in your source system? How strictly do you leverage the SAP Standard, and how many custom enhancements exist? Do you want to use a system as a template?
* Which users do exist?
How many users exist, and how are they distributed? Which user groups are expected to benefit from the implementation of SAP S/4HANA?
* How is the solution to be used?
Which business scenarios and transactions are to be used? How are these requirements distributed across your users?
* What is your defined time frame?
Within what period of time is the project supposed to be completed? Which milestones need to be reached and when?
* Do you need support?
What kind of support do you need? What is your budget? Which services do you expect to purchase and which services can be provided in-house?
The more aware you are of the significance of SAP's digital core, the more added value SAP S/4HANA can usually generate: The basic concept of SAP S/4HANA is its pledge to prepare enterprises for the challenges of the coming decades. Restricting yourself to a purely technical update of existing systems and landscapes would be an inadequate simplification. You should analyze whether your processes have grown as well as whether your system landscape will be sustainable in the future or whether its structure is obsolete and should thus be adjusted.
Thus, when migrating to SAP S/4HANA, you'll have to consider at least two parts of the implementation: the purely technical part and the process-oriented part (see Figure 4.1).
**Figure 4.1** The Main Parts Migrating to SAP S/4HANA
* Technical implementation
The technical implementation of a migration mainly includes migrating the database to SAP HANA, replacing the program code, adapting data models to the SAP S/4HANA data model, and implementing the frontend server for SAP Fiori interfaces. Your existing custom code might also have to be technically adapted.
These activities generally do not depend on the scope of subsequent use in production and can easily be implemented using the relevant tools and can therefore be technically controlled and supported. Thus, SAP provides a comprehensive portfolio of tools for planning and carrying out this technical implementation.
* Process-oriented implementation
The process-oriented implementation of a migration refers to adapting how existing business processes are mapped in the system and to introducing new applications. These modifications to business processes are only partially carried out in the system itself. In most cases, you can only enter indicators, such as changed configuration information. Regarding planning, however, you'll have to perform far more comprehensive change management steps. These steps include, for example, designing your new changed business process, configuring necessary measures, training users, assigning roles and authorizations, pilot operation, and converting the production system.
The following tasks can be assigned to these outlined phases:
1 | Preparation (preparatory steps in the source system):
* Analysis of existing business process implementation; comparison with SAP S/4HANA innovations
* Identification of the necessary integration scenarios
* Prechecks in the source system, for example:
* Functions used
* Industry-specific enhancements
* Custom code
* Third-party enhancements
* Implementation of necessary preparatory conversions in the source system
---|---
2 | Technical implementation:
* Installation of SAP S/4HANA
* SAP HANA database
* SAP S/4HANA applications
* Adaptation of the technical infrastructure
* Customizing
3 | Process adaptation:
* Adaptation of custom programs in SAP S/4HANA
* Development of new or enhanced business processes to leverage the innovations in SAP S/4HANA
* Adaptation of integration scenarios
* Customization of SAP Fiori interfaces
The time and effort required for the process-oriented implementation—depending on the initial situation and target status—can account for either a small or a large part of the overall process. Thus, we recommend dividing the migration project into the three phases we just described because the process-oriented implementation, in particular the implementation of new business processes, does not have to be carried out in parallel to the technical migration.
###### [+] Process Migration and Technical Migration as Separate Steps
In general, you can plan the introduction or migration of your business processes independently from the technical migration.
Figure 4.2 shows one possible approach for introducing SAP S/4HANA to your enterprise: In the project, you prepare and implement new functions in batches, while the users continue to use the existing functions.
**Figure 4.2** Parallel Preparation and Implementation of New Functions
A prerequisite for optimal project planning is knowing the desired target state. While this prerequisite might sound rather trivial at first, SAP S/4HANA migration projects often fail to describe the goal of the migration in detail and rely on vague statements like "implementation of SAP S/4HANA."
Migrating to SAP S/4HANA has a general trade-off that you should be aware of, in particular if your initial state includes an SAP ERP system or SAP landscape: The more properties of the source system you decide to keep unchanged (e.g., configuration, custom code, or applications), the simpler the (technical part) of the migration project. However, the benefit that can be derived from SAP S/4HANA in this case might also be reduced because the major benefits from SAP S/4HANA are optimized business processes, simplified user interfaces, and greater flexibility for future requirements.
Therefore, you should always analyze this trade-off. Possible analysis criteria include the following:
* Type of usage
Is the target system used for production, or do you want to execute a proof of concept first? In the latter case, you should carry out a greenfield implementation with selective data transfers.
* Total cost of ownership
SAP S/4HANA enables you to reduce the total cost of ownership (TCO). Examples include a reduced data footprint, that is, the storage space for application data in the database is reduced (see Section 4.2.2). Another dimension are reduced requirements for your internal IT department because local SAP GUI installations at employee workstations can be avoided. If your explicit goal for the migration is to lower the TCO, you should also analyze where custom enhancements can be omitted or replaced by SAP S/4HANA applications. Furthermore, you should examine the extent to which multiple existing ERP systems can be merged into one SAP S/4HANA system. In addition to the reduced TCO, users benefit from access to real-time data from the systems that were previously separated.
* Operating model
Is SAP S/4HANA to be operated in the cloud or on-premise? The two operating models have different characteristics that need to be analyzed. In simple terms, outsourcing the system administration to the cloud is attractive, especially for standard business processes.
* Target landscape
How is the entire landscape supposed to change? Are systems to be consolidated? Are systems to be separated (e.g., financial accounting and material requirements planning)? How is the existing architecture to be adjusted?
Remember that you usually also have to set up and configure the frontend servers for SAP Fiori, which are required for the new SAP S/4HANA functions.
SAP recommends a methodology with six phases for project planning and implementation: discover, prepare, explore, realize, deploy, and run. This methodology is called SAP Activate, which we'll describe in detail in Chapter 5.
When referring to migration activities in this book, we assume that you have already opted for SAP S/4HANA. We'll assume the discovery phase—during which enterprise priorities are identified, the target architecture is defined, the business case is optimized, and a readiness check is carried out—has already been successfully completed. Our focus is on the technical implementation of the migration and less on process-oriented implementation. We assume that you have selected and defined the characteristics of the business process scope in a separate business implementation project.
###### [»] Preparation with Trial Access
If you have not completed the discovery phase yet, you should test an SAP S/4HANA system. For this purpose, SAP provides trial access to a cloud instance of SAP S/4HANA that is only valid for a limited time. For more information on these trial systems, see Chapter 6.
## 4.2 The Three Migration Scenarios
SAP has defined several technical scenarios for the introduction of SAP S/4HANA and also provides the corresponding tools. When planning the migration, you should select the scenario that meets your individual requirements best. The following sections introduce the individual scenarios and describe the advantages and disadvantages of each approach. Part III then discusses the different scenarios in detail. Three basic scenarios for the migration to SAP S/4HANA exist (see Figure 4.3):
* New implementation of SAP S/4HANA
* System conversion to SAP S/4HANA
* Landscape transformation with SAP S/4HANA
The landscape transformation also includes the steps of the first two scenarios and complements them to further benefit from SAP S/4HANA.
**Figure 4.3** The Three Scenarios for the Migration to SAP S/4HANA
Except for the system conversion, all three scenarios allow you to choose whether you want to implement SAP S/4HANA as a software as a service (SaaS) in the cloud or as an on-premise implementation (see Chapter 3, Section 3.1).
### 4.2.1 New Implementation of SAP S/4HANA
From the technical perspective, this scenario is based on a completely new installation of SAP S/4HANA. In this scenario, we'll use the Software Provisioning Manager (SWPM) to download and set up an SAP S/4HANA system from the available SAP installation media, creating a new system with a new System Identification (SID). In addition to this ABAP instance, a frontend server is also installed, which will be the central hub for operating the SAP Fiori user interface.
At first, the new system is delivered with a standard configuration. You'll then have to adapt the configuration to meet the requirements of the business processes you want to implement.
The new system can be fed data from a source system, using the SAP S/4HANA migration cockpit, a tool that has been developed for SAP S/4HANA. Whether the data is from an SAP system or from a non-SAP system does not matter. When the data has been transferred, you can replace the source system with the SAP S/4HANA system (see Figure 4.4).
**Figure 4.4** New Implementation of SAP S/4HANA
SAP provides predefined models for the data transfer, so-called migration objects. These objects regularly get updated or new objects added with new SAP S/4HANA versions. Table 4.1 lists which migration objects are supported at the time of this writing (SAP S/4HANA Cloud 1611 and SAP S/4HANA 1610, on-premise).
For more details on using migration objects, see Chapter 7, Section 7.3.1, (for cloud editions) and Chapter 11, Section 11.2 (for on-premise editions).
Supported Migration Objects When Using the Migration Cockpit
---
Activity Price | Exchange Rate | Bill of Materials (BOM)
Internal Order | Inventory Balances | Work Center
Profit Center | Material Master | Routing
Bank Master | Material – Long text | Equipment
Customer | Purchasing Info Record | Maintenance Task List
Supplier | Purchase Order | Functional Location
Accounts Receivable (Customer) Open Item | Pricing Condition | Characteristic
Accounts Payable (Vendor) Open Item | Contracts (Purchasing) | Class
Fixed Assets incl. Balances | Source List | Commercial Project Management (CPM)
**Table 4.1** Supported Migration Objects for Data Migration Using the SAP S/4HANA Migration Cockpit
Default data fields, the format, and—if available—relationships or references to other business objects are defined for each of the business objects in migration objects.
Following the simplification concept, only the most important data fields of each object are already activated in this predefined content. If needed, you can optionally display additional fields, if available in the SAP Standard. Custom fields (in custom namespaces) can also be supplemented. For on-premise implementations, you would use the SAP Landscape Transformation (LT) Migration Object Modeler (LTMOM) transaction for this purpose; for cloud solutions, please contact the SAP service team.
The selected migration objects are transferred to the project view of the SAP S/4HANA migration cockpit. In the cockpit, at any time during the data transfer, you'll be able to see what object data still has to be loaded and for which objects the migration has been completed.
The source system data is formatted manually as required. If data needs to be cleansed (for example, if duplicates need to be identified and eliminated), you should address these issues before migrating the data. The cleansed data from the source system is stored in a file in a format defined by SAP. The relevant templates are provided by default.
In the next step, this file is uploaded. Basic inconsistencies in the data that is planned to be imported to the target system or conflicts in the configuration are determined by tools and can be eliminated. Then, the data transfer from the source system is complete. Figure 4.5 illustrates these steps.
**Figure 4.5** Steps for the Data Transfer to SAP S/4HANA in the Case of a New Implementation
The result is a system that corresponds to the SAP Standard as much as possible and does not contain any obsolete data. Table 4.2 demonstrates how this procedure focuses on master data and only a small amount of transactional data is transferred.
The SAP S/4HANA migration cockpit replaces the Legacy System Migration Workbench (LSMW), which was used in SAP R/3 and SAP ERP systems. SAP S/4HANA no longer supports this tool. LSMW still exists but rarely makes sense to use it and should be used at your own risk.
For the planned new implementation project, which data you want to transfer is decisive: If data objects have requirements that are not part of the content provided, you cannot transfer them with the SAP S/4HANA migration cockpit.
For more specific data transfers, you should use SAP Data Services, a tool for extracting and loading data. SAP Data Services is included for all SAP HANA users who have an SAP HANA license. Optionally, SAP offers a license extension for SAP Data Services, which supports modifying and improving data quality and data cleansing. Consisting of a central Data Services server and a local frontend for modeling, SAP Data Services also provides migration content that is more comprehensive than in the SAP S/4HANA migration cockpit (see Table 4.2). However, using SAP Data Services requires more technical effort and key-user know-how than using the SAP S/4HANA migration cockpit.
Migration Objects When Using SAP Data Services
---
Activity Prices | Fixed Assets | Profit Centers
Activity Type Groups | Functional Location | Purchase Orders*
Activity Types | GL Balances* | Purchasing Info Records
Bank Master | GL Open Items* | Purchasing Requisitions*
Batch | Inspection Methods | Reference Operation Set
Bill of Materials (BOM) | Inspection Plans | Routings
Business Partner | Internal Order* | Sales Orders*
Characteristic Master | Inventory Balance* | Scheduling Agreements*
Class Master | Master Inspection Characteristics | SD Pricing
Configuration Profiles for Material | Material External Customer Replenishment | Secondary Cost Elements
Contracts* | Material Master | Service Master
Cost Center Group | Material Master Classification | Source List
Cost Centers | Material QM Inspection Type | Statistical Key Figures
Credit Memo* | Object Dependency | Supplier Invoice*
Customer Invoice Billing* | Open Deliveries* | Vendor Open Items (AP)*
Customer Open Items (AR)* | Order Reservation* | Work Breakdown Structure
Equipment | Planned Independents Requirements* | Work Centers
Exchange Rates | Profit Center Groups
The objects marked with * are transactional data; the other objects are master data.
**Table 4.2** Supported Migration Objects When Using SAP Data Services
Recall that the migration procedure we described creates a new system with a new SID that contains (selected) data from the source system. In most cases, this new system or the new multi-tier system landscape (involving development, test, and production systems) needs to be integrated into the overall landscape.
Chapter 8 and Chapter 13 provide further information on integration in SAP S/4HANA. Chapter 7 and Chapter 11 discuss the new implementation scenario and the relevant tools.
###### [+] Checklist for New Implementation
Let's summarize the individual steps for new implementations:
1. Determining the target status: operating model and distribution of the instances. You can carry out new implementations for on-premise implementations, for SAP HANA Enterprise Cloud (SAP HEC), and in the public cloud.
2. Identifying the desired new functions
3. Verifying the functions currently used via the simplification list (<http://help.sap.com/s4hana_op_1610>). Take into account the number of users for each function.
4. For existing SAP ERP systems: Precheck in simulation mode (see SAP Note 2182725)
5. Analyzing custom enhancements using the custom code migration worklist (<http://bit.ly/v1448043>). You usually have to newly implement existing custom programs in SAP S/4HANA Cloud. For more information on new enhancements for SAP S/4HANA Cloud, see Chapter 3, Section 3.4.
6. For on-premise editions only: Sizing (<https://service.sap.com/sizing>)
7. Adjusting input planning, verifying the migration scenario
8. If possible, data cleansing and archiving in the source system
9. Setting up the target system
10. Starting the SAP S/4HANA migration cockpit and transferring data
11. Checking the result
12. For on-premise editions only: Setting up the frontend servers for SAP Fiori
13. Delta configuration
14. Final tests
15. Roll-out of new processes for users
### 4.2.2 System Conversion to SAP S/4HANA
In this scenario, we'll take an existing SAP ERP system and convert this system into an SAP S/4HANA system in several steps (see Figure 4.6). The SID, the customization, and the existing data of the source system are kept in this procedure. When selecting this scenario, you should cleanse your data before you convert the system. Note that this scenario is not an upgrade because the existing system belongs to a different product family.
**Figure 4.6** System Conversion to SAP S/4HANA
###### [»] Data Footprint and Archiving
SAP S/4HANA features a considerably reduced data footprint, meaning that the data in the SAP HANA database occupies less storage space than in common SAP ERP systems on traditional databases. SAP HANA's improved compression algorithms are already considered in SAP's official sizing recommendations.
However, in the case of system conversions, these sizing rules usually do not apply to the target system because the storage requirements are temporarily higher than in newly implemented systems. More memory is needed because SAP keeps your data to avoid data loss. Consequently, data is temporarily kept redundantly in the target system: in both the new data models of SAP S/4HANA and in the obsolete tables of the SAP ERP system.
Therefore, the target system needs to be sufficiently sized initially. After the conversion, you can delete redundant data manually. First, however, you should check whether the data has been successfully converted.
To effectively size the target system (providing sufficient but not too much memory), you should analyze what data in the source system can be archived. You'll be able to access these archives from SAP S/4HANA. Another benefit is that the runtime of actual conversion will also be reduced. However, you should not archive active data. Your planning should additionally consider that the archiving routines in the SAP S/4HANA target system still have to be adjusted to the new data models so that the target system can also archive future data.
In addition, you can use the data aging option, which is integrated into SAP HANA. This method moves data that is not actively used from the SAP HANA memory and could be considered a kind of preparatory step for archiving: Hot data is stored in the SAP HANA memory; cold and historical data is stored in the archive.
Before you convert your system, you must analyze the source system in detail. The simplification list provided by SAP contains all relevant changes that affect available SAP ERP functions: omitted functions, significantly modified applications (or application architectures), and nonstrategic functions (see Figure 4.7). The latter refers to functions that are available in SAP S/4HANA but that SAP no longer recommends. Because SAP doesn't plan to enhance or maintain these functions in the future, you should only use these functions during the transition phase.
For simplification reasons, SAP provides numerous automatic prechecks. These prechecks answer the following questions about your system:
* Are the technical system requirements met?
* Are functions used that are will no longer be available in the target system in the same form?
* Is incompatible software used, such as add-ons that have not been released for SAP S/4HANA (yet)? Incompatible software must be uninstalled from the source system, or you must find a compatible version for SAP S/4HANA. Please contact the add-on's manufacturer for further information in this case.
* Are your custom enhancements compatible with SAP S/4HANA?
**Figure 4.7** Functions from SAP ERP Expected Change or Depreciated
The results of these checks can considerably impact project scoping. We therefore recommend running these checks at the beginning of the conversion project so you can accurately estimate the overall project scope. To run a simulation, you can select the Simulation Mode in the prechecks (see Figure 4.8).
The results of the checks are categorized as follows:
* Positive results (green)
* Warnings (yellow)
* Errors that hinder a conversion (red)
**Figure 4.8** Initial Screen of the Prechecks for Preparing the SAP S/4HANA Conversion
Warnings do not prevent the technical implementation of the conversion from continuing. However, because these warnings might lead to data loss under certain conditions, you should also analyze warnings in detail. An example of the results of these prechecks is shown in Figure 4.9.
**Figure 4.9** Example Results from Prechecks
SAP has made these prechecks available via SAP Notes (see SAP Note 2182725). Prechecks are imported into the source system, where you'll run the check, meaning you can carry out prechecks independently of the technical conversion project. To be safe, the conversion routine additionally requests that you run the prechecks to avoid converting systems that have not been checked.
Custom code checks deviate from the procedure described above. To check custom code, an SAP NetWeaver system is connected to the source system, and the custom code is then analyzed in this SAP NetWeaver system. In this way, unnecessary workload is diverted away from the source system. The result of these checks is a custom code migration worklist, which lists adaptations to your custom code recommended by SAP.
After the checks have been carried out, you should eliminate the abnormalities found in your source system. Otherwise, the conversion might not run smoothly. After implementing all corrections, you can verify the system readiness by checking the system again.
If the prechecks do not indicate any abnormalities, you can initiate the next conversion phase. Call the Maintenance Planner via the SAP Support Portal (<https://apps.support.sap.com/sap/support/mp>). Then, enter the desired target status—the selected version of SAP S/4HANA in our case—in the Maintenance Planner. You then carry out the actual technical system conversion using a version of the Software Update Manager (SUM) that has been optimized for SAP S/4HANA.
You can choose how the technical conversion should be carried out. SAP provides two procedures for this:
* Using default, predefined procedures, SAP will try to balance resource consumption, downtime, and overall runtime.
* A procedure with optimized downtime converts larger data volumes into the SAP S/4HANA data format while the system is in production operation, which reduces the downtime. The price you pay is increased resource consumption and sometimes a longer runtime for the technical conversion.
At present, the conversion with optimized downtime option is only available for source systems that do not run on SAP HANA. You can optimize additional requirements in individual projects. If you strive for a near-zero downtime, SAP recommends involving SAP consultants in the conversion project.
The technical conversion usually involves the following three steps:
1. Migrating the database to SAP HANA
Your source system database does not have to be SAP HANA. In this case, the SUM enables you to also convert the database to SAP HANA, which is referred to as the Database Migration Option (DMO).
2. Implementing new repository objects
The software is updated to the new SAP S/4HANA versions.
3. Converting the data
The data of the source system is transferred to the target system using its new storage options.
After you have successfully implemented the technical conversion, you might have to perform some application-specific tasks.
The system is ready for use again—but only with the functional scope of the legacy system. The new SAP S/4HANA functions are available in the system but usually still have to be configured. To simplify this configuration, SAP provides predefined content in SAP Best Practices.
###### [»] From a Single System to a Landscape
The conversion steps we described must be performed in all systems of the landscape, i.e., at least in the development, test, and production systems. To overcome the resulting downtime, you can generate a temporary copy of the landscape. Please note that, in this case, you probably won't be able to transport code or configuration changes between systems on the source product version and the new SAP S/4HANA systems. This limitation also applies to SAP corrections. These limitations arise because the code (custom code and SAP code) and configuration tables differ. We recommend adjusting the landscapes manually.
Thus, you should also divide the project into two phases and focus on the technical conversion of the system first. You can then introduce new or changed processes on the converted system in a second step.
The possible target SAP S/4HANA versions depends on the source product version. Usually, you can select between multiple target releases. When begin a conversion, SAP HANA doesn't have to be already implemented in your source system. You also do not need to implement the versions of SAP S/4HANA sequentially when transitioning to a higher version. In general, a source system running on SAP ERP 6.0 or higher is sufficient, as shown in Figure 4.10. Chapter 10 provides more details on conversion paths.
**Figure 4.10** Different Paths to SAP S/4HANA
###### [+] Conversion Checklist
The following list summarizes the individual steps for a system conversion:
1. Determining the target status: operating model and distribution of the instances. The system conversion can only be carried out for on-premise implementations or for SAP HANA Enterprise Cloud (SAP HEC).
2. Identifying the desired new functions
3. Verifying the functions currently used via the simplification list. Take into account the number of users for each function.
4. Running prechecks in simulation mode and custom code checks (<http://bit.ly/v1448041>)
5. Sizing
6. Adjusting capacity planning for the project and confirmation of the migration scenario
7. If possible, data cleansing and archiving in the source system
8. Planning your system conversion in the Maintenance Planner (<http://bit.ly/v1448042>)
9. Selecting the standard conversion or the conversion with optimized downtime in the SUM, adjusting sizing if required
10. Executing the maintenance transaction
11. Checking the result
12. Setting up the frontend servers for SAP Fiori
13. Delta configuration
14. Roll-out of the new processes for the users
### 4.2.3 Landscape Transformation with SAP S/4HANA
Landscape transformation refers to a migration scenario in which various SAP ERP systems are integrated into a shared SAP S/4HANA system (see Figure 4.11). You might choose a landscape transformation to benefit the most from SAP S/4HANA's real-time data processing: Only if all data is kept in one database can the system use this data with highest efficiency. Another benefit is that data no longer needs to be replicated. SAP S/4HANA's efficient compression algorithms and its high speed can handle the volume of data that previously would have been spread out to multiple traditional systems.
**Figure 4.11** Landscape Transformation
The landscape transformation process consists of two subprojects. In the first part, the master system is prepared. As described in the previous two sections, the master system is either a new implementation of an SAP S/4HANA system or a system conversion. The latter scenario is implemented if the landscape contains an SAP ERP system that can be used as the basis for the other systems. The configuration and process specifications should be optimized and up-to-date in this system. When planning this first step, take into account the guidance for new implementations and system conversions described in the previous two sections.
After you've implemented an SAP S/4HANA master system, you still need to transfer the data from your other systems in the landscape to this system. First, determine the required data extraction method. Figure 4.12 illustrates common methods:
* Consolidation of several complete systems
* Transfer of selected company codes
* Transfer of selected business processes
**Figure 4.12** Examples of Landscape Transformation Scenarios
Regardless of data extraction method, the data from (several) SAP ERP versions is read and written to the SAP S/4HANA system. In this process, this data will need to be translated into the new SAP S/4HANA data model using SAP Landscape Transformation (SLT). However, you cannot use SLT for continuous data replication, just for one-time data transfers only, as in this scenario. SAP has equipped SLT with the right conversion logic for the new SAP S/4HANA data model.
Landscape transformations are also possible for non-SAP systems if you are willing to accept some constraints. In this case, however, you should consider using SAP Data Services as described in the new implementation scenario. The specific tool you use depends on your individual situation.
The individual realizations in a landscape transformation are highly specialized projects. In addition to the technical support, SAP and other service providers can offer specialized consulting and implementation services for these scenarios. Chapter 12 further describes landscape transformations in detail.
# 5 SAP Activate
SAP Activate is the key to successfully adopting SAP S/4HANA and has been designed for this specific purpose. SAP Activate replaces the previous implementation models of AcceleratedSAP (ASAP) and SAP Launch and combines best practices, configuration, and methodology.
SAP Activate is a new method for implementing SAP software. Designed for the new SAP S/4HANA business solution, SAP Activate assists with new implementations (greenfield), conversions of existing SAP Business Suite systems (lift & shift), and transformations of system landscapes (see Chapter 4, Section 4.2). The SAP Activate approach includes best practices for business processes, guided configuration, and implementation methodology.
The SAP Activate framework follows the classic waterfall model, i.e., phases are carried out in succession. Usually, the individual project phases do not overlap. When a new phase begins, the previous phase has been completed successfully and must be confirmed before the next phase can proceed. The innovation of SAP Activate is its continuous lifecycle management, which enables you to execute individual phases again when running an update.
SAP Activate answers the following questions and is thus an integral part of adopting SAP S/4HANA:
* How can I implement SAP S/4HANA successfully?
* Where can I find a task list for implementing SAP S/4HANA?
* How can I quickly execute a proof of concept for SAP S/4HANA?
* Where can I find best practices for SAP S/4HANA?
The following sections answer these questions by describing the concept behind and the individual phases of SAP Activate.
## 5.1 SAP Activate Content
SAP Activate is the successor to the former ASAP implementation method. The AcceleratedSAP (ASAP) model was designed for SAP R/3 in the 1990s and replaced and standardized traditional procedures for software implementations. Then and now, the underlying concept has been using a standardized method to provide all customers with the knowledge gained from previous projects. Consequently, ASAP combined proven business best practices and project management methods. This approach, new at the time, defined a procedure that could be implemented more quickly than previous procedures. However, standardization also reduced flexibility in some cases. Over time, ASAP has been further enhanced (the latest version, ASAP 8, was introduced in 2013) and can be used for new implementations, software enhancements (e.g., with new components), and upgrades.
The successor of ASAP is SAP Activate, which was first introduced with SAP S/4HANA. Designed for both on-premise implementations and cloud solutions, SAP Activate is not only the successor to ASAP but also to SAP Launch, which had been used for SAP Cloud solutions (for example, SAP SuccessFactors or SAP Ariba) until now. In addition to best practices and methodology, SAP Activate also offers guided configuration and thus takes simplification and standardization a step further. SAP Activate provides general procedures and tools but also allows you to use nonstandard procedures.
The desired business value is a faster, more intuitive software implementation—whether on-premise or in the cloud. Innovations will be available more quickly throughout the entire product lifecycle. SAP partners can also use and extend this model.
Figure 5.1 provides an overview of the three components of SAP Activate: SAP Best Practices, guided configuration, and the methodology.
###### [+] Goals of SAP Activate
In summary, the goals of SAP Activate are the following:
* Simplifying the adoption of SAP S/4HANA with a combination of SAP Best Practices, methodology, and guided configuration
* Delivering predefined business processes that are optimized for SAP S/4HANA
* Deploying best practices for transformation, migration, integration, and configuration of SAP S/4HANA
SAP Activate results in a faster, less service-intensive initial implementation and eases subsequent maintenance of SAP S/4HANA for all SAP S/4HANA customers, irrespective of implementation method selected (see Chapter 4, Section 4.2). The benefits are an accelerated time to value and a lower total cost of ownership.
**Figure 5.1** Overview of SAP Activate
The following sections introduce the SAP Activate modules, which are also shown in Figure 5.2: best practices for SAP S/4HANA (SAP Best Practices), tools for a guided configuration, and the new methodology of SAP Activate.
**Figure 5.2** SAP Activate Modules
### 5.1.1 SAP Best Practices
SAP Best Practices contains integrated, ready-to-use business processes optimized for SAP S/4HANA, and the SAP Best Practices package is an integral part of the software. Furthermore, SAP Best Practices includes a reference solution in the cloud (a so-called trial system) as well as migration and integration content, which is always available to all users.
###### [»] Trial System
You can test SAP Best Practices by using the free SAP S/4HANA Cloud system as a trial system. With the trial system, you can choose between your own on-premise system hosted by a cloud provider and an SAP S/4HANA Cloud system that you share with other users. You don't have to pay any license fees for the trial period, only the incurred hosting costs if you use the on-premise system. You can access the system at the following link: www.sap.com/s4hana-trial.
This trial access enables you to get a first impression of SAP S/4HANA's new functions and the new SAP Fiori user interface. The guided tours through the provided best practices scenarios can be useful. For more information on the trial systems, see Chapter 6.
SAP Best Practices was introduced in SAP Business All-in-One (BAiO, previously MySAP All-in-One) more than ten years ago. SAP Best Practices was a preconfigured SAP solution based on a standard SAP ERP system (or on a standard SAP CRM system for SAP CRM Best Practices).
The difference between a BAiO system and an SAP ERP system was that BAiO included customizing that was specifically preconfigured for medium-sized enterprises. As a result, systems that strictly followed the SAP Standard could be implemented successfully and quickly and could be operated more easily by small and medium-sized enterprises (SME). The individual best practices were available in packages via the SAP Service Marketplace for free. All users can download these packages via their S-user accounts. Moreover, these best practices also laid the foundation for specific SAP partner industry solutions.
The next step involved the development of the concept for large enterprises (LE) in the form of rapid-deployment solutions (RDS). The difference between SAP Activate and previous SAP Best Practices and Rapid Deployment Solutions is that SAP Activate includes all best practices as part of the SAP S/4HANA product in the standard system and in SAP S/4HANA Cloud while in case of RDS the package had to be deployed to the system first.
Figure 5.3 provides an overview of existing SAP Best Practices for the following areas:
* User experience (e.g., SAP Fiori Overview Pages, OVP)
* Analyses (e.g., predefined reports and dashboards)
* Business processes (e.g., predefined business processes in the different components and for several industries)
* Migration (e.g., for migrating either SAP or non-SAP systems to SAP S/4HANA)
* Integration (e.g., for integration with SAP SuccessFactors, SAP Hybris Cloud for Customer (C4C), SAP Ariba, and SAP Hybris Marketing Cloud)
**Figure 5.3** Overview of the Various Best Practices of SAP S/4HANA
Chapter 7, Section 7.3, describes using SAP Best Practices for migrating to SAP S/4HANA Cloud, and Chapter 11 explains using SAP Best Practices for migrating to a traditional on-premise SAP S/4HANA or implementing SAP S/4HANA on a private cloud. You can find detailed examples of integration best practices in Chapter 8 and Chapter 13 for on-premise and private cloud variants, respectively.
###### [»] SAP Fiori Best Practices
You can download SAP Best Practices for implementing and enhancing custom SAP Fiori interfaces for free at: <https://rapid.sap.com/bp/RDS_FIORI>.
With SAP Best Practices, you can breathe life into every SAP S/4HANA system from the start. Instead of starting with an empty system, you can use the configuration and the customizing of a model company as an example (see Chapter 6). The entire SAP Best Practices package in SAP Activate is specifically designed and optimized for SAP S/4HANA and shares with the historical best practices only its name. For example, the best practices processes use the SAP Fiori user interface by default whenever possible, and best practices for building your own SAP Fiori applications are also available.
The central part of SAP Best Practices for SAP S/4HANA is the so-called baseline, which contains ready-to-use business processes for basic SAP components (e.g., for financial accounting in SAP Financials [FI]) for every enterprise. Localizing this baseline is much more than adapting the logon language and translating the documentation. SAP Best Practices include content on individual countries, for example, for financial closings according to International Financial Reporting Standards (IFRS) closings according to United States Generally Accepted Accounting Principles (US-GAAP) in the United States or German Commercial Code (HGB, German-GAAP) in Germany.
In the FI area, SAP Best Practices are available for the following business processes, for example:
* Accounting and financial closings
* Asset accounting
* Accounts payable
* Accounts receivable
* Internal orders
* Profitability and cost analysis
* Period-end closing
An integral part of SAP Best Practices are test scripts (previously business process documents BPDs]) and process diagrams. [Figure 5.4 shows a process diagram for processing an order in SAP S/4HANA Cloud and Ariba Network. Chapter 8, Section 8.1, provides more information on the integration between these two systems.
**Figure 5.4** Example Process Diagram from SAP Best Practices: Procurement Process
###### [»] SAP Best Practices Explorer
You can find more information on best practices in the SAP Best Practices Explorer at <http://rapid.sap.com/bp>. The following links provide direct access to the best practices for the individual editions:
* SAP S/4HANA, on-premise:
<http://rapid.sap.com/bp/BP_OP_ENTPR>
* SAP S/4HANA Enterprise Management Cloud:
<http://rapid.sap.com/bp/BP_CLD_ENTPR>
* SAP S/4HANA Finance Cloud:
<http://rapid.sap.com/bp/BP_CLD_FIN>
* SAP S/4HANA Professional Services Cloud:
<http://rapid.sap.com/bp/BP_CLD_PROJ_SERV>
In the individual package, select the appropriate version (localization) from the dropdown list. Then, you'll have access to all the SAP S/4HANA content for your solution by navigating to the relevant SAP S/4HANA subcategory, including overview documents and presentations, general documents such as documentation and SAP Notes, information on so-called scope items (Section 5.1.2 will provide more information on scope items), and a content library with the relevant content. In addition, you'll have access to demos that demonstrate individual best practices processes in detail and to familiarize you with the new user interfaces in SAP S/4HANA.
While anybody can use the SAP Best Practices Explorer to obtain information on SAP Best Practices, you'll have to log on and have specific user access provided by SAP (S-user or C-user) to download SAP Best Practices and obtain more detailed information.
### 5.1.2 Guided Configuration
The guided configuration provided by SAP Activate contains tools to guide you through a new implementation as well as common extensions after the go-live. For this purpose, SAP Fiori is a new user interface concept that addresses both technical users and end users. This new concept considerably accelerates the adoption of SAP S/4HANA, which is critical for SAP S/4HANA Cloud solutions in particular.
When introducing the individual components, we'll discuss tools for both the cloud versions and the on-premise editions. We will point out when individual functions are currently only available for SAP S/4HANA Cloud (and not yet for SAP S/4HANA 1610, on-premise).
The guided configuration is a completely new approach to implementing a software system and was introduced with SAP S/4HANA for the first time. In the long run, the guided configuration will replace customizing tools such as the Implementation Guide (IMG), which was introduced in SAP R/3. Like the IMG, the guided configuration can be used during the initial implementation phase or later on when new functions are installed and activated. The role concept and the user interface concept in the guided configuration are based on SAP Fiori.
The procedure is business process-oriented and guides the user step by step through all necessary tasks. You can set up and modify business processes and, if required, further adapt the IMG of your on-premise system. All settings are tracked in the SAP Solution Manager to create a configuration history, thus ensuring that you can always trace and undo changes. These change data records are also used for future configurations and delta configurations for extensions and upgrades.
SAP Solution Manager can be used for monitoring, support, and operation and contains the configuration documentation provided by SAP, SAP Best Practices process models, and implementation guidelines. All SAP Best Practices listed in Section 5.1.1 are modeled as so-called scope items. Scope items are components of SAP Best Practices. Examples from accounting include the accounts receivable and accounts payable scope items.
SAP builds these scope items using building blocks, which are displayed in the Solution Builder next to the scope items. In SAP S/4HANA, on-premise, systems, you can create your own business processes or adjust the predelivered SAP processes, and if you use the SAP Implementation Guide, you won't even need custom code. SAP partners can also develop custom or industry-specific best practices and implement them for you.
**Figure 5.5** SAP S/4HANA Guided Configuration
First, let's look at a default case without any extensions. Figure 5.5 shows the entry screen of the Manage Your Solution SAP Fiori app, which includes the steps for configuring a SAP S/4HANA Cloud system in the realize phase (see Section 5.2). The individual functions of this app are described in the following sections.
#### Solution Scope
The View Solution Scope function displays the business processes that have been activated in your SAP S/4HANA system. This function provides you with a detailed overview of the entire system quickly and easily. This feature also presents possible processes, such as additional integration scenarios or new processes that may suit your solution. Figure 5.6 shows an example of the scope of the SAP S/4HANA Cloud solution.
**Figure 5.6** Solution Scope
View Solution Scope enables you to navigate to the documentation and view details about the individual scope items. Also starting from here, you can easily make the relevant configuration settings for the selected scope. Let's take a closer look at this function.
#### Self-Service Configuration (Currently Only Available for SAP S/4HANA Cloud)
Users can use the Configure Your Solution function to navigate to the so-called self-service configuration, where you can tailor the preconfigured processes to meet your requirements with the help of a wizard.
Figure 5.7 shows an example of how purchasing processes can be configured. The self-service configuration only provides settings that correspond to the relevant phase (see Section 5.2) and preselected scope. End users can use the application to make basic settings, such as changes to organizational structures or master data.
**Figure 5.7** Self-Service Configuration
###### [eg] Adjusting Threshold Values Retroactively
In an enterprise, the employees can order office and IT supplies, such as computer equipment, using a purchasing self-service function in SAP Ariba. Let's say one of the managers realizes that too much money is being spent for procuring office and computer supplies. He discovers that the system is configured in such a way that—provided that the necessary authorizations exist—an approval workflow is only triggered if a purchase order value of $100 is reached. This configuration was made to simplify processes. The manager can now change the threshold value to $50 to trigger the approval workflow more often (see Figure 5.8).
**Figure 5.8** Changing the Threshold Value
This self-service configuration tool is not suited to setting up or changing entire business processes; you would use the SAP Service Center for this kind of expert configuration. You can run automated tests to analyze how changing the self-service configuration will affect your SAP S/4HANA system.
#### Automated Test (Currently Only Available in SAP S/4HANA Cloud)
With the Test Your Processes function, end users and IT experts can test configuration changes. This tool enables you to run automated tests based on test scripts provided by SAP Best Practices that you can fill with test data. After changing the threshold value in the self-service configuration, for example, a manager can run an automated test for an order process with a purchase order value of $49 or $50 to check whether the approval workflow has been triggered or not. Figure 5.9 shows the SAP Fiori application for testing order processes in this scenario. The automated test documents its activities and supports creating, changing, executing, and managing test schedules.
**Figure 5.9** An Automated Test
You can manage your test processes via the Manage Your Test Processes app (shown in Figure 5.10). With this app, you can select which processes are supposed to be available for tests, change old test cases, and create new tests. You can either manually create new process steps or use system records to create new process steps.
**Figure 5.10** Manage Your Test Processes
#### SAP S/4HANA Migration Cockpit
The Migrate Your Data function calls the SAP S/4HANA migration cockpit for new SAP S/4HANA implementations. This tool is described in detail in Chapter 7, Section 7.3, for SAP S/4HANA Cloud and in Chapter 11, for SAP S/4HANA, on-premise.
###### [»] Planning the Data Migration at an Early Stage
Experience from previous SAP S/4HANA migration projects has shown that you should be familiar with data migration tools, such as the SAP S/4HANA migration cockpit and migration templates, and with the subject of data migration in general at an early stage. The earlier you can clarify critical issues (if possible, already during the prepare phase), the more smoothly the data migration will run and the more likely strict deadlines will be met.
#### Embedded Training Material
Instead of classic classroom training, SAP S/4HANA includes online learning content directly integrated into the Learn More function of the Manage Your Solution app by means of the SAP Learning Hub. Depending on the user role and phase, learning content is provided dynamically. In addition, all SAP Fiori interfaces provide a context-sensitive (F1) help, which goes far beyond the scope of the obsolete (F1) help in SAP ERP. Figure 5.11 shows this help for various buttons and screen elements.
**Figure 5.11** Advanced (F1) Help in SAP S/4HANA
###### [»] openSAP Courses
openSAP is a learning platform developed by SAP and offered in cooperation with the Hasso Plattner Institute (HPI) in Potsdam, Germany. Based on massive open online courses (MOOCs), which differ from other e-learning models in how participants engage with each other, the online presentation approach uses concepts that have been tried and tested in traditional classroom training. These courses are held completely online and can be accessed via computers and mobile devices.
Learning units, which are divided into weekly units and can be viewed with video, form the largest portion of the learning content. Self-tests, which enable you to check your learning progress, and user forums, which allow participants to exchange information, round out the learning platform. Each course ends with a test, and if you pass the test, you'll receive a certificate. However, the most important thing is that openSAP courses are free of charge.
The various units of the courses introduce SAP S/4HANA and SAP Activate in videos and demos. At present, the following two courses are available:
* Implementation of SAP S/4HANA:
<http://open.sap.com/courses/s4h4>
* Find Your Path to SAP S/4HANA:
<http://open.sap.com/courses/s4h5>
The Learn More function is the central entry point to the SAP S/4HANA learning content. The content also offers role-based onboarding features for new users, including interactive demos. You can use this content to access the fee-based e-learning platform, SAP Learning Hub.
### 5.1.3 SAP Activate Methodology
The methodology of SAP Activate is based on the best practices introduced in Section 5.1.1, and you can use the best practices for both on-premise and cloud implementations of SAP S/4HANA. In this context, we'd like to point out that SAP Activate is the first solution to establish a common methodology for implementing cloud, hybrid, and on-premise systems. Moreover, SAP partners and experienced customers can leverage the SAP Activate methodology without having to utilize SAP consulting services.
#### Which Components or Tools Are Part of the Methodology?
The SAP Activate methodology provides so-called accelerators for each phase of the implementation project (see Section 5.2) and for each workspace. These accelerators include templates, questionnaires, checklists, guidelines, and tools to help you implement or upgrade SAP quickly. Templates, for example, enable you to find deltas, develop the architecture, or determine activities that are required for the go-live.
#### To Which Situation is the Methodology Best Suited?
Basically, the SAP Activate methodology promotes a holistic approach, irrespective of the deployment model (on-premise, cloud, or hybrid) and the scenario (new implementation, system conversion, or landscape transformation; see Chapter 4, Section 4.2). In addition, the methodology is scalable, which means that you can use SAP Activate for smaller projects or customers as well as for large enterprises.
#### Who Benefits from the Methodology?
Everybody responsible for implementation tasks can use the methodology. Of course, SAP Consulting utilizes SAP Activate as the default procedure, but SAP partners can also use SAP Activate to easily and successfully implement SAP S/4HANA for customers.
## 5.2 SAP Activate Phases
Using the scenario for a new implementation as an example, this section introduces the individual phases of the SAP Activate methodology. We'll take a closer look at the phases of a typical SAP S/4HANA project. The individual SAP Activate phases cover simple cloud implementations as well as complex installations of on-premise systems.
The following four phases are based on redesigned ASAP and SAP Launch methods:
1. Prepare
In this phase, you'll initiate and plan your SAP S/4HANA project, including quality gates and risk plans. You'll also set up the system landscape and determine the best practices for predefined business processes.
2. Explore
In this phase, you'll explore SAP S/4HANA's features and compare them to your requirements. In so-called fit-to-gap workshops (or fit-to-standard workshops for SAP S/4HANA Cloud), you'll meet with an SAP representative in person to define the target configuration and possible SAP Best Practices extensions.
3. Realize
You'll configure and enhance the SAP S/4HANA system according to the requirements you prioritized in the previous phase. The configuration and subsequent adaptations are implemented in short cycles to allow for regular validations and to obtain feedback from business departments. This phase also includes structured system tests and migration activities.
4. Deploy
The new SAP S/4HANA system is about to go live, so you'll carry out some final preparations for the cutover to prepare the system, the users, and the data for production. Then, the new system will go live and replace the legacy system.
For SAP S/4HANA projects, these four phases are divided into various activities. The type of activity depends on the deployment model selected (cloud, i.e., software as a service (SaaS), or on-premise, which also includes private cloud or hybrid scenarios). Figure 5.12 and Figure 5.13 demonstrate the concepts that SAP uses in the SAP Activate methodology for these individual activities.
**Figure 5.12** SAP Activate Phases and Activities for SAP S/4HANA Cloud Editions
**Figure 5.13** SAP Activate Phases and Activities for SAP S/4HANA, On-Premise
###### [»] Roadmap Viewer
With the Roadmap Viewer, SAP provides an externally accessible portal for SAP Activate and thus an entry point for the implementation of SAP S/4HANA—on-premise or in the cloud. The following link introduces the SAP Fiori interface and displays the described phases and their individual steps: <http://go.support.sap.com/roadmapviewer>.
The Roadmap Viewer provides the following functions:
* General Methodologies: roadmaps for SAP Activate
* SAP S/4HANA: cloud and on-premise roadmaps for analyzing the scope of the solution
* SAP HANA Technology Platform: guidelines for the implementation of the SAP HANA platform
* SAP Solution Manager: roadmaps for SAP Solution Manager 7.2, which is not required for using SAP S/4HANA but is recommended by SAP
The roadmaps are continuously updated and can be useful companions for your journey to SAP S/4HANA, regardless of what scenario you selected (see Chapter 4, Section 4.2).
Ideally, you can combine SAP Activate with the SAP Solution Manager because SAP Activate is fully integrated into SAP Solution Manager 7.2: SAP Activate provides SAP Best Practices directly within the SAP Solution Manager, and the SAP Solution Manager is the ideal platform for carrying out fit gap analyses to log requirements and changes.
Figure 5.14 illustrates the individual phases and necessary steps for a system conversion (top) and for a new implementation (bottom).
**Figure 5.14** SAP Activate Phases
The following list is an example of the steps needed for a new implementation of SAP S/4HANA, on-premise:
1. Preparing the system landscape
* Preparing the trial system for SAP Best Practices
* Preparing the three-tier system landscape consisting of development, test, and production systems
* Preparing SAP Solution Manager 7.2
2. Carrying out a fit gap analysis, based on best practices reference processes, with SAP Solution Manager 7.2
* Evaluating the target scope using the SAP Best Practices bill of materials (BOM) in in-person workshops
* Determining your requirements using SAP Activate tools
3. Selecting the solution scope and activating the content in the development client
* Importing the reference content
* Selecting the solution scope
* Activating the selected solution scope using Solution Builder
4. Configuration and transport management
* Delta configuration after initial activation using the Implementation Guide
* Additional customizing in SAP Client 000 (beyond SAP Best Practices), for more information see Chapter 6, Section 6.3.
###### [»] Up-to-Date Information
To provide further and up-to-date information on the SAP Activate methodology and the individual phases, SAP has created an interactive page in the SAP Jam platform. SAP Jam allows SAP customers, SAP partners, and SAP employees to exchange information and experiences in forums and shared workspaces and to provide further information.
You can access the open SAP Jam group by registering your email address at <http://bit.ly/SAPActivate>. (Please note the URL is case sensitive.) You'll receive an invitation to the SAP Jam space and have access to methodology content, discussion forums, and the social collaboration space.
Like all new concepts, and due to SAP S/4HANA updates, SAP Activate is also subject to updates and enhancements. The following sources provide further information and are continuously updated:
* The official SAP landing page is the entry point to SAP Activate. You can find it at www.sap.com/activate.
* You can find more information in the "SAP Best Practices Reference Guide for SAP Activate", which you can find at <http://bit.ly/S4BPRefguide>. (Please note the URL is case sensitive.)
# 6 Trial Systems and Model Company
The SAP Activate methodology also includes a model company with preconfigured customizing that is based on SAP Best Practices. The model company can help you get started and is ideal for testing and determining the appropriate migration strategy.
The previous chapter introduced SAP Activate as the framework for implementing SAP S/4HANA, and Chapter 5, Section 5.1.1, provided an overview of SAP S/4HANA's reference system, the so-called model company, which is a trial system in the cloud. This chapter now introduces this model company and its application options, which go far beyond the scope of common trial systems. The preconfigured system is already customized, containing, for example, predefined company codes, organizational structures, and sample data. The system is based on SAP Activate and SAP Best Practices and helps you identify your requirements for the migration to SAP S/4HANA and your prerequisites.
The model company in SAP S/4HANA replaces the obsolete world template in SAP Business Suite and is thus a comprehensive enhancement for SAP S/4HANA particularly because SAP Best Practices is now an integral part of SAP S/4HANA.
## 6.1 Trial System in the SAP Cloud Appliance Library
Both SAP customers and SAP partners can access the trial system, SAP S/4HANA's reference solution in the cloud. The trial system contains the model company as well as corresponding sample data and scenarios.
###### [»] Accessing the Trial System
You can configure the SAP S/4HANA trial system via the following link: www.sap.com/s4hana-trial.
The trial system is provided in the SAP Cloud Appliance Library (SAP CAL). SAP CAL delivers preconfigured software systems in a cloud-based solution on demand. You can start and use these systems in your own SAP CAL cloud space.
This cloud computing option allows you to lease computing infrastructures instead of purchasing your own hardware. The underlying scalable concept follows the infrastructure as a service (IaaS) model. SAP CAL provides an online platform for managing your SAP systems, which can be hosted by any IaaS cloud provider (for example, Amazon or Microsoft).
Two options are available for you to explore the world of SAP S/4HANA using the trial system:
* SAP S/4HANA Cloud Trial
This variant enables you to create a user with 14-day test access to a preconfigured SAP S/4HANA Cloud demo system. All users share one system, but SAP CAL manages access to the system. This public cloud variant, or SaaS (software as a service) in the cloud, behaves like a "real" SAP S/4HANA Cloud system. Part II of this book discusses this type of SAP S/4HANA system in more detail.
The system is shared by all users and is ready to use. You can execute demo scenarios using wizards. You can use the system to get familiar with SAP S/4HANA's functions and the SAP Fiori user interface. However, you cannot change the configuration of this system and cannot run through migration scenarios because administrative functions are restricted. One advantage of this variant is that it is completely free because no hosting costs are incurred.
* SAP S/4HANA Trial
For this variant, you can use a 30-day test license to create a complete SAP S/4HANA, on-premise, system in the private cloud (which is hosted by a cloud provider). More appropriately, you "instantiate" rather than "create" the system, which is a copy of the model company that we'll discuss throughout this chapter. The test license is free, but you'll have to pay hosting fees for the cloud provider you choose. Because this trial system is your system, you can view and change all functions (including customizing). You can also access the system via SAP GUI.
The system is based on the SAP S/4HANA Fully-Activated Appliance for SAP S/4HANA 1610, on-premise, at the time of this writing. Like SAP S/4HANA, the underlying trial system is continuously enhanced and updated to map additional functions.
###### [»] Setting up Your Access to the Trial System
As you read Part II and Part III, we recommend activating the corresponding trial system to better understand our explanations by running through the scenarios in the model company in the SAP S/4HANA system.
The SAP S/4HANA Fully-Activated Appliance allows you to run an entire SAP S/4HANA, on-premise, landscape as a trial system either in Amazon Web Services (AWS) or in Microsoft Azure. You will require an account for the cloud provider. Figure 6.1 shows the SAP S/4HANA Fully-Activated Appliance in SAP CAL.
**Figure 6.1** SAP S/4HANA 1610 Fully-Activated Appliance in the SAP Cloud Appliance Library
The benefits of using the SAP CAL landscape are its scalability and availability: You can define various sizes for the virtual systems (i.e., different memory and disk sizes) and thus easily scale the landscape. Furthermore, you can stop, start, and use your system as required. Actual costs involve hourly fees for activated systems only (in addition to the low basic costs for each instance). If needed, you can deactivate a system and then (re)activate it later on.
While this system is deployed within a few hours with the cloud approach, you can also implement this appliance on-premise in your data center within one or two days. In addition to a trial system, this method also allows you to deploy a sandbox system for a proof of concept, for example, or as a development system in your future SAP S/4HANA landscape. The following section discusses these options in more detail.
## 6.2 SAP S/4HANA Fully-Activated Appliance
A software appliance is a compressed system, similar to a large ZIP file (SAP S/4HANA 1610 Fully-Activated Appliance is about 100GB), which you can easily extract to a common system. The software appliance contains all the settings and properties that were enabled when the original system was set up.
The software appliance behaves like a system copy of a SAP S/4HANA system, including ABAP code, SAP HANA database, SAP Best Practices, and technical SAP Fiori configuration. The SAP HANA database is bundled with the SAP S/4HANA software, including the frontend server for SAP Fiori, SAP Gateway.
In addition, the appliance contains demo scenarios and sample data for the model company. You can therefore easily use it for sandbox systems, for proofs of concept, and for the fit-to-gap or fit-to-standard analyses provided by SAP Activate (see Chapter 5, Section 5.2).
Figure 6.2 illustrates the SAP S/4HANA Fully-Activated Appliance concept.
Customers and SAP partners can use the preconfigured appliance as a starting point. You can also continue using the appliance after the 30-day trial period if you purchase licenses for SAP S/4HANA and the SAP HANA database.
**Figure 6.2** SAP S/4HANA Fully-Activated Appliance Concept
You have two options for using the SAP S/4HANA Fully-Activated Appliance:
* SAP Cloud Appliance Library
SAP CAL allows you to use the appliance in a hosted cloud solution (IaaS). Creating your SAP S/4HANA Fully-Activated Appliance instance to logging on to the system for the first time should only take one or two hours. Hosting will cost only a few dollars per hour when the system is active. Some cloud providers give you a starting credit when creating your account. This option includes a 30-day test license for the SAP S/4HANA system and SAP CAL. After that period, you'll have to purchase a license for SAP S/4HANA, on-premise, and SAP CAL (via subscription).
SAP CAL contains a detailed description of how to set up the solution as well as blogs and forums in which you can get support. You'll also get information on using the appliance beyond the 30-day trial period.
* On-premise installation
You can also install the SAP S/4HANA Fully-Activated Appliance on your own hardware easily. You'll only need hardware that is supported by the appliance and a Linux operating system. All other components are installed with the appliance. (The Linux version must meet SAP's requirements for a successful installation of a system copy.)
Thanks to the concept of the appliance, you'll be able to utilize your preconfigured system within one to two days. You can either download the installation files from the Internet or order a Blu-ray disk with these files. The appliance is free, even if you order the disk. However, you'll need the corresponding SAP full or partial licenses.
###### [»] Further Information on the Appliance in SAP CAL and On-Premise
You can find detailed information (including a quick guide to using SAP CAL) at the following link:
<https://www.sap.com/cmp/oth/crm-s4hana/s4hana-on-premise.html>
The following SAP Notes contain further information on the system requirements for the on-premise installation and on the order process:
* For SAP Partners: SAP Note 2041140
* For customers: SAP Note 2202234
The following deployment scenarios are available for the SAP S/4HANA Fully-Activated Appliance:
* Sandbox system
Sandbox systems may require more time for testing than the 30-day trial period. You might also want to keep the results of testing in the sandbox system, which makes a separate license for the product necessary. With the reference system, you can considerably reduce the initial effort required for setting up the system and is thus the ideal starting point for a sandbox system even if you use it beyond the 30-day trial period. You can start with the appliance and then customize the solution with your own master data, organizational structures, etc., according to SAP Best Practices. For this purpose, a hosting subscription of a cloud provider in SAP CAL is the best option, because you don't have to deploy any hardware.
* Proof of concept
The appliance is an ideal proof of concept (PoC) system because it is preconfigured and can be implemented easily. Because you'll be using a specific copy of the SAP S/4HANA system, you can customize the system as required and extend the solution scope to accelerate your PoC.
* Development system
From a technical perspective, you can also run the appliance as a development system in the production landscape later on. However, SAP does not recommend this system for SAP S/4HANA landscapes, for the following reasons:
* All languages are installed and enabled in the system. (This does not apply to your production system.)
* Depending on your licenses, additional license costs might be incurred (for example, for SAP Integrated Business Planning and SAP Master Data Governance [MDG], which are part of the appliance).
* In contrast to SAP recommendations for production landscapes, SAP Gateway is installed as the frontend server for SAP Fiori in the same system. (SAP recommends separating the frontend server from the backend to make it easier to independently maintain your systems and implement patches.)
###### [»] Cost Overview
For an overview of the costs that will be incurred and the licenses that may be required to use the SAP S/4HANA Fully-Activated Appliance, follow the link under "SAP S/4HANA 1610 Appliance – License & Cost Drivers" at <https://blogs.sap.com/?p=406099>.
###### [+] Appliance as a First Step to SAP S/4HANA
You can use the trial system and the appliance to get started with SAP S/4HANA. If you then decide to migrate to SAP S/4HANA, you can transfer the settings you made in the trial system to the production landscape.
## 6.3 Solution Scope of the Model System
The SAP S/4HANA 1610 Fully-Activated Appliance consists of four virtual machines bundled in one instance. The appliance comprises the following components:
* SAP S/4HANA 1610, on-premise (ABAP backend including SAP HANA database and SAP Gateway as the frontend server for SAP Fiori)
* SAP NetWeaver Application Server Java (with Adobe Document Services, ADS)
* SAP Best Practices (depending on the client, all SAP Best Practices that are available in SAP S/4HANA 1610 are already enabled)
* SAP Fiori (with its extensibility interfaces and additional available fields)
* SAP Screen Personas
* SAP Extended Warehouse Management (SAP EWM)
* Content for various scenarios in interactive demos
The following components are optional and are only available in SAP CAL (not in on-premise installations of the SAP S/4HANA Fully-Activated Appliance):
* SAP BusinessObjects BI platform (with predefined reports)
* Microsoft Remote Desktop (for easy access to frontend tools and SAP Fiori)
* All 14 localizations in the reference clients (Germany, USA, Australia, Belgium, Canada, China, Switzerland, France, Great Britain, Hungary, Japan, Netherlands, Philippines, and Singapore)
Figure 6.3 provides an overview of the software components of the SAP S/4HANA Fully-Activated Appliance.
**Figure 6.3** SAP S/4HANA Fully-Activated Appliance Components
The SAP S/4HANA Fully-Activated Appliance contains six preconfigured clients with different flavors of the SAP Best Practices content:
* Client 000
The master client is the default client of all SAP S/4HANA systems and is delivered by the appliance without any changes. You can use Client 000 as the starting point for your activities if you want to implement SAP S/4HANA without SAP Best Practices, and it serves as a reference client for comparison of the predelivered customizing with the empty product.
* Client 100
Client 100 is the trial client and includes SAP Best Practices for SAP S/4HANA already activated as well as sample data, processes, and scenarios for the USA and Germany. Client 100 also maps complete business processes of the model company.
This client serves as the starting point for exploring SAP S/4HANA. The system is already completely preconfigured and filled with data (master and transaction data), so you can start immediately and use a model company with company code 1710 for the USA or company code 1010 for Germany.
* Client 200
All technical activities for activating SAP Best Practices have been executed in this client, but SAP Best Practices have not been activated yet. Thus, you can carry out activating SAP Best Practices yourself using the scope that is relevant to you and possibly restrict it. You can also test the activation.
Client 200 is a preactivation client that already contains the SAP Fiori launchpad configuration (and is therefore ideal for comparisons if you want to activate SAP Fiori launchpad).
* Client 300
This client is the default reference client for SAP Best Practices. Client 300 is a copy of the master client in which SAP Best Practices is enabled for all 14 localizations in SAP S/4HANA 1610, on-premise. You can view what the system looks like after you have implemented the best practices.
You can use Client 300 as a reference because this client is not preconfigured. However, as a result, this client doesn't contain demo data, placing it between Client 000 and Client 100 in terms of completeness.
* Client 400
Client 400 is the SAP Business Warehouse (SAP BW) client and contains preactivated content for SAP Integrated Business Planning (IBP) for Finance. This client is used only indirectly to support SAP Best Practices that include IBP, which is based on SAP BW.
* Client 500
Similar to Client 300, Client 500 is a reference system for SAP Best Practices. The difference with Client 300 is that all configurations (including configurations that are not relevant to SAP Best Practices) are copied from the master client.
You can use this client for fit-to-gap or fit-to-standard workshops because not only can it be used for comparisons with the default content in SAP Best Practices but also for comparisons with the complete Customizing of Client 000.
By default, the SAP S/4HANA Fully-Activated Appliance is not integrated with SAP Ariba, the SAP Financial Services Network, or the Vertex system. However, you can carry out these integrations yourself. You'll need the corresponding licenses and logon data for the external systems. For more information on this, see Chapter 13.
## 6.4 Enterprise Structure of the Model Company
Figure 6.4 shows the enterprise structure of the model company in SAP S/4HANA, on-premise. Placeholder xx stands for different country codes. Example country codes include the following:
* 10 = Germany (DE)
* 11 = Great Britain (UK)
* 17 = USA (US)
* 29 = Canada (CA)
* 30 = Australia (AU)
Plant xx10, which is marked with an asterisk, can be copied (for example, to xx20) and then be used for transfers.
**Figure 6.4** Enterprise Structure of the Model Company
If you use the model company, you'll start your implementation of SAP S/4HANA directly. You don't need to start with a fully enabled solution, but you can activate the business processes that you actually need to use in batches. Business processes from various areas can be activated and executed together.
You can then run a fit-to-gap or fit-to-standard analysis in the context of the SAP S/4HANA workshop. In this way, all parties involved in the SAP S/4HANA project will receive an overview of the implementation project and develop a migration strategy at an early stage. The idea is to adjust the default model company only if you can achieve a unique selling proposition for your enterprise by doing so. In all other cases, you should adhere or revert to the default settings instead of replicating your legacy system. Generally, you may have decided to deviate from the default settings in your legacy system when the necessary functions were not available in the SAP system. The goal of the fit-to-gap workshop is to understand the functions of the SAP S/4HANA system, validate the solution, and tailor it to your requirements using SAP Best Practices within the SAP S/4HANA system. Possible gaps should be determined and bridged, a completely different approach than the traditional implementation blueprint.
###### [+] Reference System for Preparing the Migration with this Book
The reference system with the model company described in this chapter can be useful throughout the book. Part II discusses migrating to SAP S/4HANA in a public cloud (the SaaS model), and Part III addresses migrating to SAP S/4HANA, on-premise, or migrating to SAP S/4HANA in a private cloud (hosting).
At this point, the migration road diverges. If you are not sure yet which deployment model (cloud or on-premise) suits your requirements best, read Chapter 7 first.
# Part II
Migrating to SAP S/4HANA in the Cloud
# 7 Migrating to the Public Cloud
A cloud solution offers new opportunities for organizing and financing the IT in your enterprise. This chapter introduces SAP S/4HANA Cloud and describes the various SAP S/4HANA Cloud migration scenarios.
How can I access an SAP S/4HANA cloud instance? What do I need to consider when setting up the solution? How do I transfer existing data to the public cloud or an SaaS (software as a service) system?
The first section of this chapter discusses these and similar questions. The second section provides a brief overview of how to configure an SAP S/4HANA cloud system. The third section describes migrating to such a cloud system. While this chapter focuses on migrating to a public cloud, Chapter 11 covers migrating to a private cloud solution.
###### [»] SAP Hybris Marketing Cloud
As a satellite system used to replicate data from external sources, SAP Hybris Marketing Cloud is not discussed in this chapter. For more information on integration with SAP Hybris Marketing Cloud, see Chapter 8, Section 8.3.
## 7.1 Setting Up SAP S/4HANA Cloud
If you select a cloud operating model, you can expect to use the software in production rather quickly. To implement your cloud operating model, you should take a closer look at the characteristics of SAP S/4HANA Cloud. Chapter 3, Section 3.1.2 and Section 3.2.2, introduced the basic characteristics of SaaS solutions, their differences from on-premise operating models, and the various SAP S/4HANA public cloud editions.
If you opt for SAP S/4HANA Cloud, you'll access the system via a central URL, which you'll usually receive via email with further access information. With this URL, users can log on to the system and use the applications via a web browser.
Migrating to SAP S/4HANA Cloud involves a new implementation of the system. For technical reasons, you cannot convert an existing on-premise system to an SaaS solution. The compatibility functions offered in the on-premise editions mainly serve this system conversion purpose. Consequently, when migrating to the SaaS solution, you'll follow the data transfer scenarios described in detail in Section 7.3.
### 7.1.1 Discover Phase: Configuring the SAP S/4HANA Cloud Trial System
SAP provides various levels for SAP S/4HANA Cloud. The easiest level to reach is the trial level, which we introduced in Chapter 6, Section 6.1. Figure 7.1 shows the welcome screen of the corresponding trial system. When you click on the Start your free trial now button, you'll be prompted to enter some details. Afterwards, you'll be provided with a system user and access details.
**Figure 7.1** Welcome Screen for SAP S/4HANA Cloud Trial
The trial system is preconfigured and contains predefined business roles from which you can select. You'll share the system with other customers. The trial system will give you your first impressions of the navigation, the user interface, and the design of SAP S/4HANA Cloud. You cannot use the trial system to set up your own SAP S/4HANA Cloud system. A separate instance is required for your own SAP S/4HANA Cloud system. The trial system is an optional offer from SAP, and you won't have to purchase or use SAP S/4HANA Cloud when using the trial system.
### 7.1.2 Explore Phase: Configuring the SAP S/4HANA Cloud Starter System
You'll purchase SAP S/4HANA Cloud from SAP sales representatives. If you entered your data for the trial access, a sales representative should contact you at some time. You can also contact the sales team directly, using the contact buttons on the website or in the system.
Once you agree to the contract, you can start migrating to SAP S/4HANA Cloud. Your migration project will be divided into the four phases of the SAP Activate implementation method, which we introduced in Chapter 5, Section 5.2. In the first phase, you'll explore the trial system. Figure 7.2 illustrates the project phases for your journey to SAP S/4HANA Cloud.
**Figure 7.2** Project Phases for Your Journey to SAP S/4HANA Cloud
When you purchase SAP S/4HANA Cloud, SAP will provide a starter system that has the following two goals:
* The starter system allows you to explore SAP S/4HANA Cloud in more detail than the trial system. You should not miss this opportunity to thoroughly test the business scope for your specific requirements. This phase is therefore referred to as the explore phase.
* The starter system also allows you to define your own environment: In the starter system, you'll assign roles, configurations, users, and the integration with other systems.
The following sections further describe how to configure the starter system. Because at first you'll only have a technical user, the general procedure involves the following steps:
1. Creating the administrator
2. Logging off from the system and logging on again as the administrator
3. Modeling roles using templates
4. Maintaining employees and assigning roles
5. Logging on with the created personal users
6. Setting up and using the system
#### Assigning Users for the Administrator and Key User
In the first step, you should receive several emails from SAP, at least two. One of the emails contains the technical user; the other email contains the corresponding password. With this information, you'll create an administrator and define administrator access. With this administrator, you'll later make all necessary technical settings. Of course, you'll first have to create users for the employees involved in the implementation project to define your business processes (i.e., your key users).
1. Log on to the system with the technical user by clicking on the link in the first email. Enter your user name and password.
2. The start screen of the SAP Fiori launchpad will be displayed. In our example shown in Figure 7.3, we navigated to the Contacts and Profiles group. The header line displays the selected group and its adjacent groups.
3. First, you must ensure that the employee master data is maintained for you and your project team. Select the Maintain Employees tile in the Employee—Master Data group (see Figure 7.4).
**Figure 7.3** SAP S/4HANA Cloud Start Screen
**Figure 7.4** Maintaining Employee Master Data
###### [»] Navigation in SAP Fiori Launchpad
The start screen (SAP Fiori launchpad) is divided into launchpad groups. The currently selected group is underlined in the header line. You can navigate to other groups by scrolling to the desired group or using the dropdown menu at the top right.
4. On the next screen (see Figure 7.5), you'll maintain the required user master data, at least for the administrator(s). Alternatively, you can import user data lists using the Import Employees tile in the Employees—HR Master Data group. We always recommend creating users with your personal user and reserving the technical user for initial access only.
**Figure 7.5** User Maintenance Entry Screen in SAP S/4HANA Cloud
###### [»] Alternative User Maintenance
In some SAP S/4HANA Cloud versions, you might not be able to maintain the users directly. In this case, an SAP service employee will have to create the user master data. Open an SAP Support ticket in the SAP Message Component XX-S4C-SRV with the subject "User Creation in the Starter System." Attach a list with the required master data to the message. The following fields are available:
* Email Address: for example, [email protected]
* Login Name: for example, FirstnameLastname
* Country Code: for example, US
* Family Name: for example, "last name"
* Gender Code: 1 = male, 2 = female
* Given name: for example, "first name"
* Home Address Country Code: for example, US
* Company Code: company ID
* Cost Center: cost center
For more information, see the Roadmap Viewer at <http://bit.ly/v1448071>.
#### Assigning Roles for Administrators and Key Users
In the next step, you must assign the administrator role to the administration user:
1. Log on to the system with the newly created user.
2. Select the Maintain Business Users tile in the Identity and Access Management group.
3. In the next dialog box, assign the desired roles to the selected user, which is the SAP_BR_ADMINISTRATOR administrator role in our example (see Figure 7.6). If the administrator is also expected to maintain employee data, assign the role SAP_BR_ADMINISTRATOR_HRINFO.
Now you can use the administrator. Log on to the system as the administrator and assign roles to your key users.
Please note that the starter system supports only a small number of users because the starter system is designed to explore SAP S/4HANA in detail and to test alternative configurations. As a result, the starter system only provides a few roles. You'll usually create key users in the systems of the next project phase. Section 7.1.3 discusses this phase in more detail. Ensure that you have assigned administrator rights to at least one user.
**Figure 7.6** Entry Screen for Role Assignment Maintenance
#### Importing Users to the SAP Cloud Identity Tenant
Please note that personal users must also be authenticated to access the cloud system via an identity provider (IDP). For SAP S/4HANA Cloud, SAP provides its own identity provider by default: SAP Cloud Identity. SAP Cloud Identity automatically provides a tenant for each SAP S/4HANA Cloud installation. Figure 7.7 illustrates this user identification architecture. Of course, you can also use another identity provider. However, we assume that you'll use SAP Cloud Identity for this example. You'll receive separate access data for this SAP Cloud Identity tenant.
You'll have to create each user in these two systems: In the SAP S/4HANA Cloud system, you'll define the user master data and the various roles for business application authorizations. The cloud identity provider authenticates the users. You must not confuse these two systems.
**Figure 7.7** User Authentication Architecture
To enable authentication, authorized users must be made known to the cloud identity provider. For data security reasons, only you are allowed to access the identity provider; thus, you'll have to import your users to the identity provider during the implementation project. You'll export the employee master data from SAP S/4HANA Cloud and import this data to the cloud identity provider. Table 7.1 provides an overview of the necessary steps in the two systems.
| Creating Employee Master Data | Exporting Data from SAP S/4HANA | Importing Data to the Cloud Identity Provider
---|---|---|---
Action | Maintain Employees tile |
* Maintain Business Users tile
* Select the necessary users
* Select Download | * Import Users tile
* Upload file
* Send email to users
System | SAP S/4HANA Cloud | SAP S/4HANA Cloud | Cloud identity provider
**Table 7.1** Maintaining Master Data in the SAP S/4HANA Cloud System and the Cloud Identity Provider
From now on, you should always use your personal user when working in the system. After creating personal users with administrator rights and making them known in SAP Cloud Identity, log off from the technical user. Then, log on to the system with the administrator user to make further settings. Alternatively, you can also use a key user to carry out configurations.
###### [»] User Administration Options
SAP S/4HANA provides various options for managing and authenticating users. Choosing your preferred option is an SAP S/4HANA implementation subproject. Because access to the system is a basic prerequisite for essential migration project steps, let's look at the various options next.
Three user administration models exist for implementing SAP S/4HANA Cloud:
* Embedded user administration
The simplest option is to use the basic user administration that is already integrated into SAP S/4HANA Cloud. In this model, SAP Cloud Identity contains a specific IDP. This option enables you to maintain basic user master data. SAP S/4HANA does not support advanced human resources (HR) scenarios.
* Integration of human resources with SAP SuccessFactors
SAP recommends using SAP SuccessFactors for all HR aspects and scenarios. You can integrate SAP SuccessFactors with SAP S/4HANA. If you create employee master data in SAP SuccessFactors, this data will be automatically replicated in SAP S/4HANA, and users will be created based on this data. Then, you'll only have to assign the relevant business roles to these users in SAP S/4HANA. In this scenario, authentication takes place in SAP SuccessFactors.
* Alternative IDP solution
Alternatively, you can integrate SAP S/4HANA with any third-party IDP solution. This option is designed for customers who already use other user administration solutions. Instead of using the embedded IDP, SAP Cloud Identity will request that the alternative identity provider authenticate the users.
In this book, we focus solely on the first model: basic embedded user administration.
#### Configuring Business Processes
Users configuring business processes in the system need to have the role SAP_BR_BPC_EXPERT (Configuration Expert – Business Process Configuration). In the Manage Your Solution app, this role lets you change the system configuration using the Configure the Solution function. This step is described in Section 7.2.
#### Data Migration
You should test basic data migration aspects in the starter system. As a result, you'll get insights into your data import processes, data quality, and the interaction between data and configuration. For SAP S/4HANA Cloud, data is imported via the SAP S/4HANA migration cockpit.
1. Log on to the system with the administrator user.
2. Select the Manage Your Solution tile in the Full Implementation group.
3. Select the Migrate Your Data function.
4. Perform the steps described in Section 7.3.
#### Transition to the Realize Phase
Transitioning to the next project phase is an explicit step in the system: You'll have to confirm that you have completed the explore phase in the app Manage Your Solution. Only then will you be provided with production systems. You have various options for this transition:
* Select the Manage Your Solution tile in the Full Implementation group. This tile is the central entry point to the basic system configuration. In the Manage Your Solution app, select Configure Your Solution. The current phase of your system will be displayed. In the lower right-hand corner of the detail screen, you can trigger the phase shift (see Figure 7.10 later in this chapter).
* Alternatively, you can contact the SAP Service team by opening an SAP Support ticket with the subject "Request Quality System" in the SAP message component XX-S4C-SRV and requesting the transition to the realize phase.
When the phase of the system is changed, configuration will be "frozen" and can no longer be modified. However, the system is still available for test operations.
Based on the starter system, SAP will now configure the quality assurance system for your production landscape and also create a production instance. Both systems are connected, which means that changes in the quality assurance system can be transferred to production. The production system is only available when the test system has been successfully configured.
###### [»] System Types
To use SAP S/4HANA in production, SAP generally recommends multisystem landscapes. Consequently, a two-system landscape is used for SAP S/4HANA Cloud. The quality assurance system (or QA system) in this two-system landscape enables you to make changes to the system without directly affecting operational production processes. You can implement and test configuration changes, new functions, or customer-specific enhancements in the QA system. Modifications are transferred to production using the SAP transport system only if these modifications have successfully passed the testing phase.
After SAP has created the quality assurance system, you'll receive an email with access data for this system. Before the production system is activated, you'll be asked to check the correct configuration of the systems. Only when you confirm the configuration will the production system activated in your landscape. You have two options for your implementation project:
* Configuration in the starter system
You'll implement your project in the starter system and have the configurations transferred from this system to production. In this case, you can activate the production landscape in a timely manner.
* Configuration in the quality assurance system
You'll change rather quickly from the starter system to the realize phase. In this case, you'll send the confirmation immediately to SAP. You'll then implement the configurations and specific settings in the QA system directly.
### 7.1.3 Realize Phase: Configuring the SAP S/4HANA Cloud Quality Assurance System
The starter system is mainly designed to familiarize yourself with SAP S/4HANA as well as identify and determine your individual customization. The starter system is not released for production. Production requires the final SAP S/4HANA Cloud systems as provided in the realize phase. In these systems, you'll then define the final values and settings and create users for all employees.
The goal of this section is to prepare the system for initial usage in such a way that data from the legacy system can be imported to the cloud system. The following activities are required to prepare the system:
1. Importing or creating employee master data and setting up the authentication
2. Implementing the basic system configuration
3. Transferring data from the legacy system
To complete these preparatory steps for the system, you'll have to carry out further activities, such as setting up print control and selecting the relevant business processes. However, in this book, we won't discuss how to identify and define these processes. We assume that the necessary business processes have already been specified.
#### Importing Employee Master Data
Log on to the quality assurance system as an administrator. Use the Maintain Employees tile in the Employee—Master Data group to create all employees manually or forward a file with employee master data to the SAP Service Center. This procedure corresponds to the procedure in the explore phase, which we discussed in Section 7.1.2.
As in the starter system, you can also only create a limited number of employees in the quality assurance system. You must ensure that the master data for the key users is maintained. Key users are users who configure the system in the implementation project or are responsible for enhancements, tests, and maintenance.
#### Assigning Key User Roles
In contrast to the procedure in the starter system, you should assign key users differentiated user roles in the quality assurance system in the following way:
1. Log on to the system with the administrator user. Select the Maintain Business Users tile in the Identity and Access Management group.
2. In the next dialog box, assign the desired roles to the selected users. As shown in Figure 7.8, MAINTENANCE_PLAN_US user has the specific business role Maintenance Planner for maintenance tasks in addition to the generic Employee role that is assigned to all employees.
**Figure 7.8** Detail Screen for Maintaining User Roles in SAP S/4HANA Cloud
Ensure that you have assigned administrator rights to at least one personal user.
#### Importing Users to the SAP Cloud Identity Tenant
Please note that, in the quality assurance system, personal users must also be authenticated to access the cloud system. Make your quality assurance system users known to SAP Cloud Identity by downloading the user list from the quality assurance system and importing it to the cloud identity provider. The steps correspond to the procedure in the starter system as described in Section 7.1.2.
#### Basic System Configuration: Defining Business Processes
Key users are responsible for defining business processes. After logging on as a key user, select the Manage Your Solution tile in the End to End Implementation group on the start screen. In this application, you'll select which business processes should be available in the system, which we discussed in detail in Section 7.2 under "Configuring Business Processes."
###### [»] Quality Assurance and Production System Consistency
Please note that the quality assurance system is used as the central template for generating the production system. You should therefore ensure that the business processes in the quality assurance system have been configured as required. The configuration in the production system should not differ from the configuration in the quality assurance system.
For production, the quality assurance system also plays a central role in avoiding unpredicted effects to production, for example, from maintenance operations. You can also use the QA system to test future adaptations of the system usage, such as the implementation of additional functions, before transferring these adaptations to production. You can find more information on this in Section 7.2.
#### Data Migration
In the starter system, you only tested basic processes. Because the quality assurance system plays a major role for production, this system should be filled with sufficient data to test the defined business processes.
The quality of the data migration must also be ensured because your data and its configuration are interdependent. During the implementation project, you'll usually need to adjust the selection of the transferred data to the defined configuration values, and vice versa. So when migrating to SAP S/4HANA, you should also use the quality assurance system as the test system for the data migration.
As with the starter system, data is also migrated using the SAP S/4HANA migration cockpit as described in more detail in Section 7.1.2 and in Section 7.3.
### 7.1.4 Deploy Phase: Configuring the SAP S/4HANA Cloud Production Systems
Ensure that the quality assurance system has been fully implemented and that all acceptance tests have been passed successfully. Otherwise, you should not enter the final phase. With this last step, you will change over completely to production.
You request the production system in the same way as you requested the quality assurance system (see Section 7.1.3). Because you'll want to transfer your quality assurance system settings to production, open an SAP Support ticket in the SAP message component XX-S4C-SRV with the subject "Configuration Transport to P-System." SAP will then prepare the production system. The configuration and key user configuration from the quality assurance system is used.
###### [ ! ] Quality Assurance System Lock
When planning the project, take into account that the quality assurance system is locked when the production system is generated to avoid unintentional changes.
Now, let's perform the basic implementation steps for the last time.
#### Importing Employee Master Data
Log on to the production system as the administrator and create users for your employees using the Maintain Employees tile by importing the employee master data again, as described in Section 7.1.3. Ensure that you have created all employees in the production system.
You should follow a two-level approach when assigning roles and authorizations in the production system: First, you'll provide key users with access to the system. Those key users can then verify that all settings in the system are correct for the last time. Then, you'll provide all users with access to the system.
#### Assigning Roles for Key Users
In the Maintain Business Users dialog box, assign the desired roles to the users. Ensure that you have assigned differentiated roles to the users. Also, ensure that you have assigned administrator rights to at least one personal user.
#### Importing Key Users to the SAP Cloud Identity Tenant
Import key user data to the SAP Cloud Identity tenant to grant access to the system. Key users can then migrate the data and test the system for the last time. Immediately contact the SAP Service Center via the SAP message component XX-S4C-SRV if you encounter inconsistencies in the production system.
#### Data Migration
Data from the quality assurance system is not transferred directly to the production system on purpose to avoid having to import all data to the quality assurance system. You should therefore plan to migrate the data manually.
The previous steps also included data migration tests in the quality assurance system. The related test results are considered, and the settings for the data migration (filter criteria, custom fields, etc.) in the quality assurance system are copied for the data migration. Section 7.3.2 describes this procedure in detail.
#### Assigning Roles to Business Users
Now, use the administrator user to assign the desired roles to all system users in the Maintain Business Users app. Again, ensure that you have assigned differentiated roles to the users.
#### Importing Users for Business Users to the SAP Cloud Identity Tenant
If you have received positive feedback from your key users, complete the user data with all employees in the cloud identity provider. With this step, all your users will gain access to the system.
###### [+] Steps for Implementing Any Cloud System
The following steps for the technical implementation are performed in every SAP S/4HANA Cloud instance:
* Creating employee master data
* Assigning roles
* Defining authorized users in the cloud identity provider
* Defining business processes
* Migrating data
* Confirming transition to the next phase
SAP provides a useful online checklist for these steps, which you can find in the Roadmap Viewer. For the technical steps described in this book, "Technical Architecture & Infrastructure" is of particular relevance at <http://bit.ly/v1448072>.
## 7.2 Configuring SAP S/4HANA Cloud
As we mentioned in previous sections, you'll have to configure your system by defining the Customizing. Although mentioned in Section 7.1, this section describes this step in more detail. In general, configuration is a separate subproject. In our example, we'll use the configuration item CustomerClassification-configure to demonstrate the required steps for configuration. This configuration item defines the classes into which you'll categorize your customers. SAP provides classes A, B, and C. In this example, we will add class D to the customer classes. If you use another customer classification in your enterprise or want to change the preconfigured names, perform the following steps:
1. Navigate to the End to End Implementation Experience group and start the Manage Your Solution app (see Figure 7.9).
2. Then, select the Configure Your Solution function.
3. The system now displays an overview of the individual configuration apps (see Figure 7.10). Depending on the project phase (explore, prepare, realize, or deploy), different configuration apps are available. In the first two phases, you can usually access all configuration applications. As shown in Figure 7.10 and Figure 7.11, our sample configuration is in the fourth phase, Deploy, and only a few configuration apps are displayed.
**Figure 7.9** "Manage Your Solution" and the SAP S/4HANA Guided Configuration
**Figure 7.10** Overview of Configuration Apps in the Deploy Phase
###### [»] Activating Help Texts for Configuration Apps
You can use the help button at the top right next to the search button to activate the help texts for this screen. The system will then highlight the areas for which help texts are available. By clicking on the help button again, you'll deactivate the help texts. Figure 7.11 shows the overview screen with help texts enabled.
**Figure 7.11** Activated Help Texts
4. Select the desired configuration app, CustomerClassification-configure, and click on Start.
5. Next, in the detail overview screen (shown in Figure 7.12), you'll add further items, customer classes in our example, using the link Add.
**Figure 7.12** Detail Screen of the Configuration App for Customer Classification
6. In the following entry screen, enter an additional Customer Class and its Description and save these values using the Save button (see Figure 7.13).
**Figure 7.13** Adding a Value to a Configuration Item
You have now maintained a new customer class, and the system returns you to the detail screen, which displays an overview of all customer classes. You can maintain further customer classes or use the back button to return to the configuration app overview.
## 7.3 Migrating Data to SAP S/4HANA Cloud
Migrating to SAP S/4HANA Cloud differs from migrating to SAP S/4HANA, on-premise, because the known migration tools, such as Legacy System Migration Workbench (LSMW), SAP Data Services (Rapid Data Migration), Migration Workbench (MWB), etc., cannot be used. Either corresponding SAP Fiori apps for these migration tools (e.g., for LSMW and MWB) don't exist, or there are no corresponding cloud-enabled interfaces that can be called from external sources to migrate data (e.g., for SAP Data Services).
When migrating data to SAP S/4HANA Cloud, you'll use the SAP S/4HANA migration cockpit. As of SAP S/4HANA 1610, the SAP S/4HANA migration cockpit is also available for SAP S/4HANA, on-premise (see Chapter 11, Section 11.4).
### 7.3.1 Available Migration Objects
Table 7.2 lists the migration objects that the SAP S/4HANA migration cockpit supports for each cloud edition (as of Version 1611). This list is restricted to the following SaaS cloud solutions that are available for SAP S/4HANA Cloud 1611. The individual cloud editions are abbreviated in Table 7.2 as follows:
* SAP S/4HANA Finance Cloud: FC
* SAP S/4HANA Professional Services Cloud: PSC
* SAP S/4HANA Enterprise Management Cloud: EMC Migration Object | Area | FC | PSC | EMC
---|---|---|---|---
Activity Type | CO | X | X | X
Cost Center | CO | X | X | X
Activity Price | CO | | | X
Internal Order | CO | X | | X
Profit Center | FI | X | X | X
Bank Master | FI | X | X | X
Customer | FI, SD | X | X | X
Supplier | FI, MM-PUR | X | X | X
Accounts Receivable (Customer) Open Item | FI | X | X | X
Accounts Payable (Vendor) Open Item | FI | X | X | X
Fixed Assets incl. balances | FI-AA | X | X | X
G/L Account Balance | FI | X | X | X
G/L Account Open Item | FI | X | X | X
Exchange Rate | FI | X | X | X
Inventory Balances | MM-IM | | | X
Material Master | LO-MD | X | X | X
Material – Long Text | LO-MD | X | X | X
Purchasing Info Record | MM-PUR | X | X | X
Purchase Order | MM-PUR | X | X | X
Pricing Condition | SD, CO, MM-PUR | X | X | X
Contracts (Purchasing) | MM-PUR | X | X | X
Source List | MM-PUR | | | X
Sales Order | SD | X | | X
Batches | QM, SD, PP-PI | | | X
Bill of Material (BOM) | PP | | | X
Work Center | PP, QM | | | X
Routing | PP | | | X
Equipment | PM | | | X
Maintenance Task List | PM | | | X
Functional Location | PM | | | X
Characteristic | CA | | | X
Class | CA | | | X
Commercial Project Management (CPM) | CA-CPD | | X |
**Table 7.2** Migration Objects Supported by the SAP S/4HANA Migration Cockpit for SAP S/4HANA Cloud Editions
With every SAP S/4HANA Cloud release, the number of supported migration objects and their functions change. For example, if a new SAP Best Practices package for business processes is available or if existing best practices are enhanced, new migration objects are created, and existing migration objects are adapted. However, these changes always depend on the function of the released data migration interfaces. The test script lists the migration objects that are available for the individual releases:
1. To access the script, go to <https://rapid.sap.com/bp/BP_CLD_ENTPR>.
2. Navigate to the Data Management scope item group in the Solution Scope section.
3. Data Migration to SAP S/4HANA from File contains the Test Script at Details. You can find an overview of migration objects in Chapter 2, Section 2.3.
The data that you want to migrate needs to be transferred in predefined Excel files in the Microsoft Excel XML Spreadsheet 2003 file format. You can download the Excel templates for each migration object using the migration cockpit.
### 7.3.2 Data Migration Using the SAP S/4HANA Migration Cockpit
Technically, the SAP S/4HANA migration cockpit is based on the Migration Workbench (MWB), and the delivered template for migration projects is created as an MWB project. When creating a customer project in the SAP S/4HANA migration cockpit, the objects of this template are copied to a customer-specific MWB project. You can generate and start this copy only with the SAP S/4HANA migration cockpit.
#### Assigning Roles for the Migration
To use the SAP S/4HANA migration cockpit in the cloud, the user that performs the migration (migration user) must have the technical role SAP_BR_BPC_EXPERT (Configuration Expert – Business Process Configuration).
In addition, you'll require further roles to import or validate the individual migration objects. These roles (as of Version 1611) are listed for each migration object in Table 7.3.
Migration Object | Application Role | Application Role ID
---|---|---
Activity Type | SAP_BR_CONTROLLER | Controller
Cost Centers | SAP_BR_CONTROLLER | Controller
Rate | SAP_BR_CONTROLLER | Controller
Internal Order | SAP_BR_CONTROLLER | Controller
Profit Center | SAP_BR_CONTROLLER | Controller
Bank Master | SAP_BR_CASH_MANAGER | Cash Manager
Customer | SAP_BR_BUPA_MASTER_SPECIALIST | Master Data Specialist – Business Partner Data
Supplier | SAP_BR_BUPA_MASTER_SPECIALIST | Master Data Specialist – Business Partner Data
Accounts Receivable (Customer) Open Item | SAP_BR_AR_ACCOUNTANT | Accounts Receivable Accountant
Accounts Payable (Vendor) Open Item | SAP_BR_AP_ACCOUNTANT | Accounts Payable Accountant
Fixed Assets incl. Balances | SAP_BR_AA_ACCOUNTANT | Asset Accountant
G/L Account Balance | SAP_BR_GL_ACCOUNTANT | General Ledger Accountant
G/L Account Open Item | SAP_BR_GL_ACCOUNTANT | General Ledger Accountant
Exchange Rate | SAP_BR_GL_ACCOUNTANT | General Ledger Accountant
Inventory Balances | SAP_BR_INVENTORY_MANAGER | Inventory Manager
Material Master | SAP_BR_PRODMASTER_SPECIALIST | Master Data Specialist – Product Data
Material – Long Text | SAP_BR_PRODMASTER_SPECIALIST | Master Data Specialist – Product Data
Purchasing Info Record | SAP_BR_PURCHASER | Purchaser
Purchase Order | SAP_BR_PURCHASER | Purchaser
Pricing Condition | SAP_BR_PRICING_SPECIALIST
SAP_BR_PRICING_SPECIALIST_PRSV | Pricing Specialist
Pricing Specialist – Professional Service
Contracts (Purchasing) | SAP_BR_PURCHASER | Purchaser
Source List | SAP_BR_PURCHASER | Purchaser
Sales Order | SAP_BR_SALES_MANAGER | Sales Manager
Batches | SAP_BR_QUALITY_TECHNICIAN | Quality Technician
Bill of Material (BOM) | SAP_BR_PRODN_ENG_DISC | Production Engineer – Discrete Manufacturing
Work Center | SAP_BR_PRODN_ENG_DISC | Production Engineer – Discrete Manufacturing
Routing | SAP_BR_PRODN_ENG_DISC | Production Engineer – Discrete Manufacturing
Equipment | SAP_BR_MAINTENANCE_PLANNER | Maintenance Planner
Maintenance Task List | SAP_BR_MAINTENANCE_PLANNER | Maintenance Planner
Functional Location | SAP_BR_MAINTENANCE_PLANNER | Maintenance Planner
Characteristic | SAP_BR_BOM_ENGINEER | BOM Engineer
Class | SAP_BR_BOM_ENGINEER | BOM Engineer
Commercial Project Management (CPM) | SAP_BR_PROJ_MANAGE_COMM | Project Manager – Commercial Services
**Table 7.3** Required Business Roles for the SAP S/4HANA Migration Cockpit
###### [»] Latest Role Overview
Because the business processes and roles in new releases are constantly being revised and updated, see the respective chapter of the test script mentioned in Section 7.3.1 to obtain an overview of the roles that are available in your release.
As an administrator user, you'll assign to the relevant migration user the business roles for which you require a specific migration object.
#### Creating Projects
You can call the SAP S/4HANA migration cockpit via SAP Fiori launchpad:
1. First, navigate to the End to End Experience group (see Figure 7.14).
**Figure 7.14** Tiles in the "End to End Experience" Group
2. The Manage Your Solution tile takes you to the configuration view that we discussed in Section 7.2.
3. Choose Migrate Your Data, which will take you to the migration cockpit.
###### [»] SAP S/4HANA Migration Cockpit Help
You can find the SAP S/4HANA migration cockpit help at <http://help.sap.com/s4hana>. Select your edition and navigate to Product Assistance. Next, select the language in which you'll read the information. To access the help for cloud solutions, go to SAP S/4HANA Cloud • Generic Information • Implementation Tools • Migrate Data.
The initial screen of the SAP S/4HANA migration cockpit displays all available migration objects that have been created so far. Of course, when you open the SAP S/4HANA migration cockpit for the first time, the list will not contain any projects, as shown in Figure 7.15. In this overview screen, you can Create, Delete, or Open projects.
**Figure 7.15** SAP S/4HANA Migration Cockpit Entry Screen
###### [ ! ] Before Creating a Project, Log on with the Correct Language
Before you create a migration project using the migration cockpit, you have to use the appropriate language to log on to the migration cockpit. The SAP S/4HANA migration cockpit only displays migration projects that have been created in the logon language. If you log on in English, the project is created with English descriptions. So this project is only displayed if the logon language is English.
You can use the personalization function at the top right of the list to filter the list view. If the system displays too many projects, for example, you can apply the filter to the project name and have the system display only the projects you want to view. Next to the personalization function, you can find the search function , which lets you search the list for projects.
When you click on the Create button, the Create Migration Project dialog box will open (see Figure 7.16).
**Figure 7.16** Creating a Migration Project
In the Name field, assign a name to the migration project. The system automatically determines the Mass Transfer ID. When you click on the respective button, the system generates a new ID. If you click on Create, the default migration object provided by SAP is copied, and the system will display the project overview, as shown in Figure 7.17.
###### [»] Mass Transfer ID
The mass transfer ID is a technical key used for the technical name of the newly created migration project (MWB project and MWB subproject) and is unique. The technical name is suffixed with the mass load ID and is thus ZSIN_MIG_<mass transfer ID>. In SAP S/4HANA Cloud, you only need this information if a service employee must solve an issue occurring in the backend. For example, if the mass transfer ID is 005, the MWB migration project is created with the technical name ZSIN_MIG_005. The service employee, who can access the backend, could then analyze problems that might occur in the MWB.
**Figure 7.17** Project Overview
The project overview lists migration object details such as Name, Data Source, Status, and Mass Transfer ID at the top. You can change the name using the Edit function.
The migration object list contains the following information:
* Status (traffic light colors): This column indicates the status of the migration object. A red traffic light icon indicates an error.
* Name: This column shows name of the migration object.
* Progress: This column shows the progress of the object migration. If the migration object has not yet been generated, the progress will be 0%.
* Documentation: To display the documentation for a migration object, you can use the Show function in the column of the object.
* Dependent migration object: This column contains related objects that are predecessors of this migration object and have to be migrated or created manually in advance.
Figure 7.18 shows example documentation for a migration object, which contains the following information:
* The Component or SAP Area of the migration object.
* The Business Object Type indicates whether the object is a master data or transaction data object.
* The Business Object Definition provides a brief description of the object.
* The In Scope specification defines what cloud edition contains the object.
* Out-of-Scope indicates which cloud edition does not contain this migration object and what restrictions you might have to face during the migration.
* The Structure Support per Edition section lists the transfer structures for each edition (cloud [CE] and on-premise [OP]). A plus sign means that that edition's structure is supported; a minus sign means that the transfer structure is not included in the solution scope of that edition.
* Prerequisites lists all predecessors of the migration object that need to be migrated in advance as well as further settings that you have to make before the actual migration process.
* Mapping Instructions provides additional information for mapping your source data and populating the migration file.
* The Tasks section contains detailed instructions that you should follow.
* Post-processing lists follow-up activities that you might have to perform after the migration or indicates which tile and user role (for migration into a cloud edition) or transaction (for migration into an on-premise system) you can use to validate the migrated data. Usually, you'll also need the cloud business role to load the data, which should be assigned to the user performing the data migration.
**Figure 7.18** Documentation for a Migration Object
* Version and Release Note indicates for which editions the object has been released, lists the latest release, and names the release in which the object was delivered for the first time.
* Main Changes and Additions in This Release lists all changes and enhancements in this release.
###### [»] Migration Objects for Phased Rollouts
A phased rollout is a gradual system implementation where business processes and/or organizational units of an (existing) system are added. The rollout thus comprises individual, successive phases.
If you plan to execute a phased rollout, using several separate migration projects might make sense. You should follow this approach particularly if multiple data sources exist. You can then maintain the conversions that are described later in "Validating Data" section regardless of the data source. The "Converting Values" section explains how to export conversions maintained in another project to a new project. If you work with newer releases, you'll also benefit immediately from the adjustments and enhancements of the migration objects delivered by SAP.
#### Copying Migration Objects
When you have created the project, all migration objects are activated. Before you begin migrating a specific migration object, you should first deactivate all unnecessary migration objects by selecting all migration objects that you don't need and choosing Deactivate. The status of these objects will change from Started to Inactive.
To migrate the data of a specific migration object, select the desired object in the list. The system then displays the dialog box shown in Figure 7.19; confirm by clicking OK.
**Figure 7.19** Copying a Migration Object
The predefined mappings and conversion rules of SAP Best Practices migration content will be copied to the migration object of the migration project that was created in the customer namespace. Depending on the connection quality and the object's scope, this process might take some time. When the copying is successful, the progress bar in the migration object list will show 5% completion.
#### Downloading Migration Templates
The system then displays a detailed overview of the copied migration object (shown in Figure 7.20). Select Download Template to download the migration template for this object. As mentioned earlier, the migration template will be in the Microsoft Excel XML Spreadsheet 2003 file format, and you can open and populate the template using Microsoft Excel as of Version 2003 or Apache OpenOffice (a free spreadsheet program).
**Figure 7.20** Downloading a Migration Template
###### [»] Edition-Dependent View of Migration Templates
As of Release 1611, the system displays an additional dialog box (shown in Figure 7.21) after you have chosen Download Template. In this dialog box, enter the specific view for your migration template. The view that you require depends on your SAP S/4HANA Cloud edition. Individual SAP Best Practices business processes are implemented differently depending on the edition. As a result, these views only display structures and fields that are actually used in that cloud edition.
**Figure 7.21** Selecting the Migration Template View
After the download, the migration template should have the .xml file extension. For security reasons, Internet browsers always store files of specific file types (for example, .exe) without the extension. Some browsers also store XML files without the .xml extension. If the file type of the downloaded file is "file" and the .xml extension is missing, simply add the extension. Note that—depending on the settings of your file explorer of your operating system—the file explorer might not display extensions of known file types although the extensions physically exist. In addition, make sure that the download was not canceled by a popup blocker.
The migration template usually consists of several spreadsheets, which reflect the individual transfer structure of the migration object. Initially, rows 4 through 6 are hidden and contain technical information on the object. If you expand row 8 (with the field descriptions), you can view further information for each field, which you might need to map your source data. Mandatory fields and key fields are marked with an asterisk (*) at the end of the field name. The Field list spreadsheet contains a list of all fields used for each structure and information on whether the structures and fields are mandatory. Figure 7.22 shows the template file for the Material migration object.
###### [ ! ] Only Use Downloaded Templates
For compatibility reasons, please only use a template that you have downloaded from the latest release to migrate your data. You cannot upload templates from earlier releases. The load program only accepts templates from the release to which they are supposed to be uploaded. Because the migration objects in all releases are always adapted to business process changes, this mechanism ensures data integrity.
Because the templates are XML files with a specific format and an internal structure, you should additionally consider the following:
* Custom XML templates generally cause data loading errors.
* If you copy data to fields in the XML file using the cache or clipboard, for example, this data should only be copied as values without formatting or text. If you are unsure about the formatting, first copy the data to a text editor (e.g., Notepad) and then from the text editor to the XML file.
If you adhere to these rules, you shouldn't have any problems with the file.
**Figure 7.22** Migration Template for the Material Migration Object
The key fields in the individual spreadsheets define the relationship between the header structures and substructures of an object. As a result, a key record must exist in the spreadsheet of the superior structure for each substructure record. Otherwise, the migration cockpit will display an error message.
###### [»] Determining Mandatory Structures in Templates
The migration template contains so-called mandatory structures. These structures (spreadsheets) must contain records and must not be empty. All other structures are optional and do not have to be populated. For example, in the Purchase order object, the header structure and the item structure are mandatory. In the Customer object, only the top-level structure (General Data) is mandatory. Structures that are indicated as mandatory structures are marked with (mandatory) in the Field List spreadsheet, for example, General Data (mandatory).
However, you do not have to fill mandatory fields and key fields in optional spreadsheets if you don't want to use these structures. For example, if you don't want to migrate optional long texts in an object, you don't have to make any entries in this spreadsheet. Leave this spreadsheet blank.
#### Loading the Migration File into the Staging Area
Once you have populated the migration file, import this file to the SAP S/4HANA migration cockpit by choosing Upload File. In the dialog box that opens, select the file on your local computer or from a network path. Enter a meaningful Description and an optional Comment (as shown in Figure 7.23). The description is mandatory because you can upload multiple files, and you'll need to clearly identify the files after the upload. Files are stored in the staging area of the SAP HANA database.
**Figure 7.23** Uploading a Migration File
Next, click Upload to upload the file to the staging area. Figure 7.24 shows a list of the uploaded migration files that you can use for migration.
###### [ ! ] All Activated Files Are Loaded
If you only want to upload one file, you should deactivate all other files. You also should assign different names to the files to simplify troubleshooting. If errors occur in a file, for example, incorrect key relationships between individual spreadsheets, the system will display the name of the defective file. If several files with the same name are enabled, you cannot know for sure which file is defective and will have to check all activated files.
**Figure 7.24** List of Uploaded Migration Files
The list shows the file status, the file name, the description, the file size, and the name of the user who uploaded the file. You can use the following functions for the files:
* Open: The system displays the file content, and you can modify Name, Description, and Comment using Edit.
* Delete: The file is deleted. You can only delete files that have not been processed yet.
* Activate/Deactivate: Only files that have the status (Not Started) Active are migrated in the order of the list. These functions let you control which uploaded files you want to import to the target system.
You cannot edit the file content in the cloud (as of Version 1611). However, you can use Edit to change the Name, Description, and Comment. In Figure 7.25, you can see an example of an uploaded file after Open has been used.
###### [ ! ] Upper Physical Limit of Files
Migration files should not be too big (<200MB). We cannot specify an exact number of data records or a file size because the file size depends on the migration object and the data that is maintained in the file. In general, you should divide large files into several small files. Make sure that the structural integrity of the files is retained. (Records with dependent key relationships need to be in the same file.)
**Figure 7.25** Opened Migration File
Start Transfer starts the migration of all active source files. Remember to activate the files in advance. The migration is a guided process that consists of the following steps:
1. Validate Data: The data and conversion values are validated.
2. Convert Values: In this step, you maintain the conversion tables.
3. Simulate Import: This step is only necessary if the interface (i.e., BAPI, function module) used for the migration contains simulation logic, which enables you to simulate transfers in advance.
4. Execute Import: With this step, the data is migrated to the system.
You can navigate between the individual steps using the <Previous and Next> buttons.
#### Validating Data
Usually, no conversion values of source data values are maintained for target data values in the first run, and the system displays, depending on your SAP S/4HANA version, one of the following error messages: "The applied combination of translation has status AUTO." or "Information required: specify mapping values in step 'Convert Values.'" This error message indicates new values in the file for which no conversion has been defined so far. These values are automatically added to the relevant conversion table as new values that need to be converted. The source value is used as the target value and abbreviated if too long. As shown in Figure 7.26, you can find individual messages about the data validation step at the bottom of Notifications from Validation. Use the Priority field to filter by message type.
**Figure 7.26** Validate Data: Results List
With Next>, you trigger the next step: Convert Values.
#### Converting Values
The Convert Values step is somewhat more complex. While the other steps usually output a log after their execution, the missing conversions are maintained in a specific dialog box. Figure 7.27 shows an example of a list of missing conversions.
**Figure 7.27** Overview of Missing Conversions
Open conversions, i.e., conversions that are not fully maintained, are marked with a red traffic light icon in the Worklist. You can maintain the missing conversion either by selecting the corresponding entry in the Name column or by selecting the row and clicking on Process Task. The system then displays the dialog box for maintaining the conversions. Figure 7.28 shows sample conversion values.
###### [»] Confirming All at Once
Alternatively, you can select all open conversions in the overview list and use Confirm Mapping Values to confirm all unconfirmed conversion values at once. However, avoid this function if you are not sure whether all values in the source file to be converted already have a target value.
**Figure 7.28** Dialog for Maintaining Conversions
All conversion values that are still open and have not been confirmed yet have a green plus sign in the Status column. Maintain the values to be converted in the last column, S/4HANA Target Value. You can use the system value help to select valid values. The target value fields are usually linked to value tables, and the system displays an error messages if you enter an invalid value, for example, "Parameter S/HANA Target value: XX is not a valid value for domain LAND1." The status symbol changes from a red circle to a green square only if you enter a valid value.
After you have maintained all target values, select the rows of values that have not been confirmed yet (green plus sign) and confirm the conversion values using the Confirm Value button (green checkmark). Now, all confirmed values are marked with a green square in the Status column. Afterwards, click on Save, which closes the dialog box. Maintain all open conversions in the worklist one by one until the list is empty. Conversions are always related to projects, which means that conversions used by several objects need to be maintained only once and are available for all objects of a project.
###### [»] Exporting and Importing Conversions
The Export function lets you store all conversions in a CSV file. The first row of the file contains the technical name of the conversion, the second row contains the column headings, and the following rows contain the values. Column headings and values are separated by semicolons (;) and enclosed in double quotes (").
You can then save this file for documentation purposes, for example, or upload the file into other systems using the function Import. As a result, you'll only have to maintain large and complex conversions once and can forward the list as an Excel file to the person responsible. If you work with multiple migration projects in a phased rollout, you can also exchange the conversions between individual projects.
If the worklist is empty, clicking on Next> navigates you to the next step, Simulate Import. You can view completed conversions by selecting All or Completed in the Show field.
The dialog box for setting fixed values only provides the functions Check, Export, and Import, as shown in Figure 7.29, which demonstrates a fixed posting date for inventory balances. In this dialog box, you can set the fixed value and then select Save, which will confirm the fixed value automatically.
###### [»] Fixed Default Values
SAP provides a default value for some fixed values. To view these fixed values, you should set All in the Show dropdown list of the worklist.
**Figure 7.29** Maintenance Dialog Box for Fixed Values
#### Simulating the Import
As mentioned earlier, this step is displayed only if the import interface provides for a simulation. Depending on the number of data records, a simulation might take some time because the entire interface loading process is executed—except for the import itself. The result of such a simulation is shown in Figure 7.30.
Initially, the system only displays messages in the Error category. If you select All in the Priority dropdown list, you can view all system messages, including success messages and warnings. As shown in Figure 7.31, if you click on the error text, the system displays the long text of an error message—if long text is maintained.
**Figure 7.30** Result of the Simulated Data Import
**Figure 7.31** Long Text of an Error Message
In our example, an incorrect target value has been maintained and must be corrected. Go back to Convert Values either via the status overview or using the <Previous button. You'll be taken to the worklist of the completed conversions, where you can correct the faulty target value. Now, use Next> or Simulate Import to return to the simulation. You can restart the simulation using the Repeat Simulation function. The end result should not include any error messages.
Usually, only the following warning is displayed: "Test migration <technical name of the migration object copied>: no extended validations, no updates in receiver system." This message means that no enhanced checks and updates were done in the receiver system. Finally, you can start the real import via Next>.
#### Executing the Import
As in the previous steps, the data import is executed directly and can be executed as a batch job if required. To execute the data import, select Run in Background in the dialog box shown in Figure 7.32.
Execution as a batch job is an asynchronous procedure. You can determine the status of the import by clicking on the Refresh button regularly.
**Figure 7.32** Execute Import
When completed, the system will display a final screen as shown in Figure 7.33. If the data has been migrated successfully, the message overview should only list information messages or warnings.
**Figure 7.33** Import Results List
Click Finish to complete the data migration for this object. As shown in Figure 7.34, the file receives the status Finished, and the migration object then has the status Finished.
**Figure 7.34** Migration Object Finished
The migration object overview screen now shows that the project's Progress is 100%.
###### [»] Demo Video for the SAP S/4HANA Migration Cockpit
You can find a demo of the SAP S/4HANA Migration Cockpit in SAP S/4HANA Cloud at the YouTube channel "SAP Digital Business Services" (<https://www.youtube.com/user/SAPSupportInfo>) with the title "SAP S/4HANA, Cloud Editions: Migrate Your Data." The demo has the following URL: <https://www.youtube.com/watch?v=2FgEwx7ZhUM>. You can find another demo for the SAP S/4HANA Migration Cockpit with the title "SAP S/4HANA Migration Cockpit" at <https://www.youtube.com/watch?v=fwSHoWiZSEw>. Both demos are based on SAP S/4HANA Cloud 1605. The procedure in the more recent releases differs only slightly from the procedure described here.
# 8 Integrating SAP S/4HANA Cloud into the System Landscape
This chapter describes how to integrate an SAP S/4HANA Cloud system with other SAP cloud solutions, such as SAP Ariba and SAP SuccessFactors, and how to embed SAP Hybris Marketing Cloud into your existing system landscape.
Customers cannot directly manipulate and access cloud solutions, which is why cloud solutions meet higher security requirements than on-premise solutions. Due to these high security requirements, network protocols (Remote Function Calls, RFC) and integration procedures (database replication) as you know them from the on-premise world are not available or only available to a limited extent.
Consequently, integration plays a major role in cloud-based system landscapes. This chapter addresses some basic questions about integration:
* What systems can I integrate?
* How are they integrated?
* Where can I find additional information?
First, this chapter discusses integration with SAP Ariba, a business-to-business (B2B) marketplace where enterprises can manage their transactions with each other. The second section describes integration with a cloud-based SAP SuccessFactors solution. The last section covers the various SAP Hybris Marketing Cloud integration options.
## 8.1 Integration with SAP Ariba Solutions
Why might you want to extend your SAP S/4HANA Cloud procurement operations with SAP Ariba solutions? What are the benefits? In today's digital economy, customers expect to be perceived and valued as individuals. Custom-made and made-to-order production has become the norm but still must be as fast and comprehensive as mass production. Chapter 1, Section 1.1.2, mentioned this trend, while Chapter 1, Section 1.3.4 introduced the SAP Ariba functions that can support you in the digital transformation. SAP Ariba solutions help you automate operational procurement functions so you can re-focus your resources on strategic procurement functions such as sourcing new suppliers for new material and services, and negotiating better contracts.
### 8.1.1 Integration Scenarios in Procurement and Accounts Payable
For sourcing, procurement, and financials, you can add applications from the SAP Ariba portfolio to the digital core of SAP S/4HANA Cloud via various integration scenarios (see Figure 8.1).
**Figure 8.1** Integrating SAP S/4HANA Cloud with SAP Ariba Solutions
Integrating SAP Ariba Sourcing adds a professional RFx application and supplier network to SAP S/4HANA Cloud for sourcing and procurement processes. With the other business scenarios, instead of adding applications, you automate the digital exchange of documents via the Ariba Network. These other scenarios are Ariba Purchase Order to Invoice Automation (an integrated process chain from purchase order to supplier invoice) and Ariba Payment and Discount Management (an integrated process chain for payment and managing dynamic discounts for early payments).
In SAP S/4HANA Cloud, you can activate all of these scenarios separately, and the SAP Ariba subscription model allows you to select among these scenarios as well. The following sections introduce these scenarios with the units that can be activated in SAP S/4HANA Cloud, called scope items. For each scope item, we'll provide schematic process diagrams and tables explaining message types, which you'll need to activate and set up for the corresponding processes or process steps.
#### Integrated Sourcing with SAP Ariba Sourcing
If the system is supposed to find sources for purchase requisitions from SAP S/4HANA Cloud, the digital core of SAP S/4HANA Cloud focuses on suppliers whose master data already exists in the system. But what if you want to find new suppliers? In this case, SAP Ariba Sourcing is the ideal solution, possibly the largest independent supplier network, connecting you with more than 2.5 million subscribing companies.
The process begins in SAP S/4HANA Cloud with a purchase requisition to which no supplier has been assigned (yet) (see Figure 8.2).
**Figure 8.2** Process Flow from Request for Quotation to Purchase Order or Contract with SAP Ariba Sourcing
The system uses the purchase requisition to create a request for proposal, which is automatically forwarded to SAP Ariba Sourcing, where it is displayed as a new activity in the sourcing expert worklist. The sourcing expert issues an invitation to bid. When the bidding process is successfully completed, the accepted bid is returned to SAP S/4HANA Cloud. SAP S/4HANA Cloud automatically converts the quotation into a purchase order or a contract.
For the business process from sourcing request to purchase order or contract creation to be established you would must activate the related message types in the SAP S/4HANA Cloud Customizing (scope item 1A0). Table 8.1 lists the message types for this process.
Message Type in cXML | Direction | Meaning
---|---|---
QuoteRequest | Outbound | Request to submit a quotation
QuoteMessage | Inbound | Quotation/bid
**Table 8.1** Message Types for SAP Ariba Sourcing (Scope Item 1A0) and Spot Quotes (Scope Item 1L2)
#### Automated Document Exchange from Purchase Order to Supplier Invoice with Ariba Network (Including Spot Quotes)
If you want to scale your procurement processes, you must automate them. The process of exchanging documents, from approved purchase orders in SAP S/4HANA Cloud to released supplier invoices (scope item J82), offers a good framework for scaling your sourcing processes (see Figure 8.3).
You can send purchase orders to suppliers who can then confirm the purchase orders via Ariba Network and send advance shipping notifications. When the goods have been received, you can have the system send a goods receipt notice to the supplier through Ariba Network. Based on this data, your supplier sends you their invoice.
Ariba Network checks whether the invoices correspond to the original purchase order and actual delivery. Your procurement expert can define the granularity of this check by using tolerance limits for deliveries above or below a threshold are accepted. If the verified supplier invoices are submitted in SAP S/4HANA Cloud, these invoices can usually be released for payment immediately (and automatically). Ariba Network then notifies the supplier of a status change in the invoice.
**Figure 8.3** Process Flow from Purchase Order to Invoice Release with SAP Ariba Commerce Automation
Table 8.2 lists the message types for this process.
Message Type in cXML | Direction | Meaning
---|---|---
OrderRequest | Outbound | Send purchase order
ConfirmationRequest | Inbound | Process purchase order confirmation
ShipNoticeRequest | Inbound | Receive shipping notification
ReceiptRequest | Outbound | Send confirmation of goods receipt
InvoiceDetailRequest | Inbound | Receive supplier invoice
CopyRequest.Invoice
DetailRequest | Outbound | Send copy of (paper) invoice or automatic Evaluated Receipt Settlement (ERS)
StatusUpdateRequest | Outbound | Send status update of the invoice document (release for payment)
**Table 8.2** Message Types for the Process Flow from Purchase Order to Invoice Release with SAP Ariba Commerce Automation
The so-called spot quote process (scope item 1L2, Ariba Quote Automation) allows buyers to automate the process of inquiring suppliers for prices of specific material or simple services. The supplier with the lowest price will be awarded automatically. This way, material infotypes can be easily updated, and ad-hoc purchase orders without contracts can be implemented at the best price.
This procedure is similar to the RFx process: SAP S/4HANA Cloud converts a request for a purchase order to a specific type of request for quotation. SAP Ariba automatically requests specific suppliers to submit their quotations. You can define whether the lowest bid submitted within a specified time will automatically update the infotype or create a purchase order or whether the quotation needs to be accepted manually.
The message types that you need to enable for spot quotes in SAP S/4HANA Cloud and Ariba Network are the same for SAP Ariba Sourcing (see Table 8.1); however, the subscription for SAP Ariba Commerce Automation covers the spot quote functionality. No subscription to SAP Ariba Sourcing is required for its use.
###### [»] Additional Information
For more information on SAP Ariba spot quote or quote automation, go to:
* <https://www.ariba.com/solutions/solutions-overview/procurement/sap-ariba-spot-buy>
* <https://www.slideshare.net/Ariba/quote-automation-faster-supplier-identification-and-bid-execution-for-your-procurement-needs>
#### Managing Dynamic Discounts and Sending Electronic Remittance Advices with Ariba Network
If there are no discrepancies between a purchase order and an invoice, document processing can be further automated. You can use Ariba Network to notify suppliers automatically when invoices are released for payment. Based on the terms of payment specified in the document and on the discount rules defined in Ariba Discount Management, the system creates a time-optimized and interest-optimized payment proposal and notifies the relevant supplier (see Figure 8.4).
**Figure 8.4** Process Flow from Payment Processing to Discount Management with SAP Ariba Payables, Discounting Capabilities
You can define the terms of payment for each supplier individually in Ariba Discount Management or for each supplier, supply contract, or purchase order in SAP S/4HANA Cloud. If purchase orders are retrieved in SAP S/4HANA, the system copies the agreed terms of payment to the purchase order document. The payment program then optimizes the date of payment for incoming invoices considering these terms of payment. As a result, if your supplier offers discounts for early payment, the system compares the benefits of the discounted early payment with the liquidity situation and the interest rates that could be achieved or had to be paid within the period until the invoice is due (see Figure 8.5).
**Figure 8.5** Terms of Payment in an SAP Fiori Purchase Order Form in SAP S/4HANA Cloud
Compared to the traditional static predefined discount levels, SAP Ariba Discount Management offers dynamic, declining discounts.
Table 8.3 lists the message types for this process.
Message Type in cXML | Direction | Meaning
---|---|---
PaymentProposalRequest | Outbound | Send payment proposal (with cash discount)
CopyRequest.Payment
ProposalRequest | Inbound | Receive response to payment proposal with cash discount
PaymentRemittanceRequest | Outbound | Send remittance advice
PaymentRemittance StatusUpdateRequest | Outbound | Send status update for payment
**Table 8.3** Message Types for Payment Processing and Discount Management with SAP Ariba Payables, Discounting Capabilities
###### [»] Additional Information
For more information on Ariba Discount Management, go to:
* <http://bit.ly/v1448081>
* <http://bit.ly/v1448082>
### 8.1.2 License Prerequisites and Provision of SAP Ariba System Accesses
To support end-to-end business processes between SAP S/4HANA Cloud and SAP Ariba, you need to subscribe to both. However, you don't need a license for the integration. Table 8.4 lists the scope items of the various scenarios for which additional subscriptions are required.
Scope Items | SAP Ariba Sourcing | SAP Ariba Commerce Automation | SAP Ariba Payables
---|---|---|---
SAP S/4HANA Enterprise Management Cloud | 1A0 | J82 and 1L2 | 19O
SAP S/4HANA Professional Services Cloud | – | J82 | 19O
SAP S/4HANA Finance Cloud | – | J82 | 19O
**Table 8.4** Integration Scenarios, Licenses, and Possible Combinations in SAP Ariba Solutions
### 8.1.3 Executing an Integration Project with SAP Activate
With SAP S/4HANA, SAP has changed its implementation method from ASAP to SAP Activate (see Chapter 5). With SAP Activate, the integration of processes differs from the traditional integration method. SAP S/4HANA Cloud is designed to be easily and quickly integrated with SAP Ariba and SAP Fieldglass solutions. Activating integrated business processes is not much more complex than activating internal processes in SAP S/4HANA Cloud. However, this requires a systematic SAP Activate approach for the project.
Like with every software implementation, you should carefully plan and implement the project for integrating with SAP Ariba solutions. Each SAP S/4HANA Cloud edition provides reference content for the preconfigured model company (see Chapter 6) as well as testable reference content for the business processes that are integrated with SAP Ariba. The integration itself will also require configuration.
In the explore phase, based on the predefined solution scope of the selected SAP S/4HANA Cloud edition, you can determine in which areas the reference solution meets your requirements and where you might have to enhance the solution. If unsure whether an existing business process should be integrated with SAP Ariba as part of the solution scope, this phase is ideal for finding out which sourcing processes and with which business partner group a digital collaboration in Ariba Network makes sense. The project team should involve senior sourcing managers as well as sourcing experts and employees in accounts payable.
Prioritize activating the scope items and the included process steps according to the value you expect them to add. Usually, automating incoming invoices is the first message type that is implemented, followed by upstream purchase orders to ensure a consistent document flow. The next most commonly automated items include remittance advices, purchase order confirmations, shipping notifications, discount management, and the two message types for RFx processes. Of course, you can change the order of activation as required to optimally map your business priorities.
###### [+] Implementing Integration Scenarios Successively
As you start integrating with SAP Ariba solutions, you can always activate more message types or add other SAP Ariba solutions later on.
In the realize phase, you set up, test, and progressively optimize the solution scope in several steps.
You can find the basic instructions for integrating with SAP Ariba in SAP Best Practices, which is delivered with SAP S/4HANA Cloud. You can find SAP Best Practices in the SAP Best Practice Explorer (<https://rapid.sap.com/bp>) by choosing one of the following menu paths:
* SAP S/4HANA • Cloud • SAP Best Practices for SAP S/4HANA Professional Services Cloud
* SAP Best Practices for SAP S/4HANA Enterprise Management Cloud
* SAP Best Practices for SAP S/4HANA Finance Cloud.
Here, scope items are divided into groups based on the relevant business area. Scope items are predefined in the system but must be activated. You may also have to make further settings if necessary to your enterprise or to digitally exchange documents with individual suppliers.
The scope item integrating with Ariba Payment and Discount Management (scope item 19O) is included in the Finance scope item group. Scope items integrating with SAP Ariba Sourcing (scope item 1A0) for Purchase Order to Invoice Automation (scope item J82) and for Quote Automation (scope item 1L2) are contained in the Sourcing and Procurement scope item group. In the following sections, we'll explain the individual steps for activating these scope items.
In the SAP S/4HANA Cloud starter system, integration with SAP Ariba applications is already configured. You'll only have to verify and adapt the settings where your business data deviate from SAP's standard. Process diagrams describe the scope of the scope items and configuration instructions in detail. You'll need to create the scope items manually in the SAP Ariba or SAP S/4HANA buyer account.
Your quality assurance system (QA system) will fewer default settings than your starter system because you remain fully responsible for your enterprise structure, the settings, and your master data (for example, for suppliers).
The following sections describe the default settings for the starter system, which you'll verify, enhance if required, and copy to the QA system including the adaptations made. Contact the SAP employees and SAP Ariba employees assigned to your project to transport your settings to the production landscape and obtain information on enterprise-specific settings.
###### [+] Basic Integration Steps
This list includes the basic steps for the integration; multiple iterations are possible:
1. Enter customer-specific connection data in SAP S/4HANA Cloud and SAP Ariba.
2. Check the default integration settings in SAP S/4HANA Cloud in the starter system and in the buyer's user account in SAP Ariba.
3. Validate and enhance default settings and test process integrity using the provided reference data and test scripts.
4. Replicate and adapt the settings for your enterprise in the QA system.
5. Test the process integrity in the QA system again.
6. If the test result is positive, transport the settings to the production system or make specific settings (for example, for system, client data, master data, and output control) in the production system.
### 8.1.4 Integration Settings in SAP S/4HANA Cloud
First, implement the following settings in the SAP S/4HANA Cloud starter system:
1. Log on to SAP S/4HANA Cloud as the administrator and create a user with the preconfigured expert role for business network settings (SAP_BR_CONF_EXPERT_BUS_NET_INT). Log on to the system as this user.
2. On the start screen, SAP Fiori launchpad displays various groups, for example, Communication Management, Output Control, Full Implementation, and Business Network—Integration Configuration (see Figure 8.6).
**Figure 8.6** Start Screen of the Network Configurator in SAP Fiori Launchpad
3. Open the Communication Agreements tile in the Communication Management group. Enter "Ariba" in the search field. Check whether the scenario SAP_COM_0032 with the SAP Ariba communication system is enabled (see Figure 8.7).
4. Click on the entry and, in the screen that opens, check whether the Service Status in the Outbound Services section is enabled (see Figure 8.8). Copy the entry number into the My System field at Shared Data.
**Figure 8.7** Communication Arrangement for Scenario SAP_COM_0032 (Ariba Network Integration)
**Figure 8.8** Communication Arrangement for Ariba Network Integration: Details
#### Setting Up the System Communication with SAP Ariba
If not already set up, you can set up SAP Ariba communication in your system yourself:
1. Open the Communication Systems app and check that no entry for ARIBA exists. Click on the New button (see Figure 8.7).
2. Enter "ARIBA" for System ID and System Name and then click on Create (see Figure 8.9).
**Figure 8.9** Creating a System Connection
3. In the header data, enter "service.ariba.com" for the Host Name.
4. Return to the SAP Fiori launchpad and open the Logon Information and End Points tile in the Business Network—Integration Configuration group (see Figure 8.10).
Ensure that at least one Ariba Network ID exists (see Figure 8.11). If you use SAP Ariba Cloud as the central instance for procurement activities with your suppliers across the group, you only need one network ID. However, you can also have separate IDs for each procurement organization.
In the trial system, the Trial Account column should have a checkmark. The trial, starter, and Q-system's network ID should end with "-T" for tests, as you may want to avoid exchanging test data with your actual suppliers.
**Figure 8.10** Group "Business Network—Integration Configuration"
**Figure 8.11** Business Network: Logon Information and End Points
5. In Business Network—Integration Configuration • Assign Network ID to Company Code, you can assign a network ID to each company code of the suppliers you want to collaborate with via Ariba Network. A company code can also contain only one supplier with which you want to communicate using Ariba Network. The aspects of individual suppliers for each company code will be discussed later on. However, you can assign a specific Ariba Network ID to each company code. If you have a centralized procurement organization that crosses company code boundaries, you can assign a network ID to several company codes, as shown in Figure 8.12.
**Figure 8.12** Assigning the Network ID to Company Codes
The scope items for the SAP Ariba integration describe tested and true business processes. The following checks illustrate the activation scope of your starter system and provide you with background information on the default settings. Of course, you don't have to implement all scope items immediately, nor use all of the message types of the individual scope items. For example, if you only want to use the SAP S/4HANA Cloud functions that are integrated with SAP Ariba Sourcing, you don't have to configure specific settings for invoice verification.
#### Business Network: Assigning Company Codes for Invoice Verification
If you want to receive incoming supplier invoices electronically via Ariba Network, open the Company Codes for Invoice Verification app. To the list of suppliers with which you communicate via the network, add the relevant entries. Both suppliers and company codes must already exist as master data in SAP S/4HANA Cloud. The Name of My Enterprise in cXML column should contain the field value via which all suppliers identify your enterprise in the BillTo field (see Figure 8.13). In your starter system, reference suppliers and company codes are already maintained.
**Figure 8.13** Assigning Company Codes for Invoice Verification
#### Business Network: Assigning Tax Codes for Invoice Verification
The Tax Codes for Invoice Verification app already contains the tax codes for the selected company codes for all suppliers and SAP Ariba tax categories. With the assignment, the tax codes from the supplier invoices transferred by SAP Ariba are determined and forwarded to SAP S/4HANA Cloud. If you expect to receive incoming supplier invoices electronically via Ariba Network, verify that the settings in the Tax Codes for Invoice Verification app has the settings shown in Figure 8.14.
**Figure 8.14** Assigning Tax Codes for Invoice Verification
#### Business Network: Assigning cXML Item "Partner" to Invoicing Parties
Suppliers can outsource their invoicing processes to other organizations, like their parent company, or a third-party service providers to whom they ceded their claims. Only in this case do you configure the deviating invoicing party and maintain the assignments.
Maintain the vendor ID from SAP Ariba in the cXML Item "VendorID" under "From" > "Credential" field, as shown in Figure 8.15. Maintain the external ID of the invoicing party from SAP Ariba in Name of the cXML Item "InvoicePartner" (Role "From"). Assign the invoicing party ID in SAP S/4HANA Cloud. With Reverse Assignment, you can select whether you want to have the system send outgoing documents and status updates to the supplier instead of to the invoicing party.
**Figure 8.15** Assigning the cXML Item for Deviating Invoicing Parties for Invoice Verification
#### Inviting Suppliers to Ariba Network
Only enter suppliers from SAP S/4HANA Cloud in the Suppliers for Quick Enablement list (as shown in Figure 8.16) with which you want to collaborate via Ariba Network in future and who are not registered yet.
**Figure 8.16** Inviting Suppliers from SAP S/4HANA Cloud to Ariba Network
If you add a supplier to this list and send a purchase order, invoice copy, or payment proposal for the first time, the system automatically creates a user account in Ariba Network on the behalf of this supplier. SAP Ariba then contacts the respective supplier on your behalf to electronically integrate the supplier into the network (supplier quick enablement). For this integration, the supplier's master data in your SAP S/4HANA Cloud list must contain the correct email address.
You then invite the registered suppliers in Ariba Network for collaboration and assign them to your Ariba Network IDs. If you partner with suppliers that are already registered in the network, you don't have to list them here.
###### [»] Usage Fees for Suppliers
SAP Ariba charges suppliers a usage fee. In some industries, the legal conditions for purchasing organizations can prohibit charging suppliers additional fees for using electronic payment transactions or digital sourcing networks. In these cases, SAP Ariba allows procurement organizations to pay these supplier fees. Consult your SAP Ariba sales representative if this applies to your enterprise.
#### Control Parameters for Invoice Verification
If you expect to receive incoming invoices or credit memos from your suppliers in Ariba Network, you can specify control parameters so that these incoming documents are processed automatically. You can define document types for Ariba Network to use to process incoming digital documents in SAP S/HANA Cloud. Furthermore, you can determine how SAP S/4HANA Cloud will process deviations between the values expected by SAP S/4HANA Cloud and the documents received by the network.
In your starter system, the settings shown in Figure 8.17 are set by default for all company codes and suppliers. However, you can further specify these settings for the individual suppliers and company codes and differentiate between the various document types. Under Logistics Invoice Verification with Purchase Order Reference, you can define the following using Correction Indicators:
* In the case of unresolved issues, the incoming invoice is parked and needs to be processed manually (Indicator 1). The invoice is stored with the incoming data as well as with the values the system expected and needs to be processed manually.
* In the case of unresolved issues, the draft of the incoming invoice is parked with the invoice header data (Indicator D for Draft). The draft must be processed manually in the Manage Supplier Invoice app.
* If no indicator is set, the invoice is posted as it is received and blocked for payment in the case of deviations.
On this screen, the check indicators prevent invoice documents from being posted in SAP S/4HANA Cloud if the values on the document deviate from the expected values. The sending supplier in Ariba Network identifies documents that cannot be posted based on the updated statuses of the related outgoing invoices.
Logistics Invoice Verification Without Purchase Order Reference lets you determine how the system will react if the purchase order reference number in incoming invoices is missing or invalid. Processing Indicator: Do Not Process rejects incoming invoices. Ariba Network sends an invoice status update message to the supplier.
With Park Invoice, the invoice document is created with the Parked status in SAP S/4HANA. A parked invoice must be processed manually later. If you select Create Invoice Draft, the system creates the draft of an incoming invoice in SAP S/4HANA. You'll then have to manually process this draft in the Manage Supplier Invoice app later.
**Figure 8.17** Configuring the Business Network: "Control Parameters for Invoice Verification"
#### Assigning Tax Categories for Invoice Copies
You must specify tax categories for invoice copies (see Figure 8.18) only for suppliers to which you send invoice copies via Ariba Network. You would send electronic invoice copies if you received incoming invoices in paper format, scanned them, and now consider the digital version as the valid reference for further processing. Similarly, you would send electronic invoice copies if you issued invoices to yourself on the basis of incoming deliveries (also called evaluated receipt settlement, ERS) and wanted to inform the supplier via individual credit memo documents.
In your starter system, the table for tax indicators is already filled with default values, but these indicators are not assigned to any suppliers. If required, you can make generic assignments using an asterisk or copy and modify assignments for selected suppliers.
**Figure 8.18** Configuring the Business Network: "Assign Tax Categories for Invoice Copies"
#### Message Control
Only outbound message types require you to maintain output parameters. In the Output Parameter Determination app, you can check and supplement the corresponding entries. The guides for the relevant scope items describe this configuration in detail. In the Full Implementation group (see Figure 8.6), you can activate the desired message types in the Manage Your Solution app. The settings you make in this app can be transferred from the quality assurance system to the production system.
1. Select the Configure Solution function in the Manage Your Solution app. Enter "Network" in the search field on the right (see Figure 8.19).
2. If the system displays Business Network—Configure Message Types, confirm this entry by clicking on the Start button.
**Figure 8.19** Configure Your Solution Business Network: Display Message Types
3. Now, select the message types that you want to activate and mark them as Enabled (see Figure 8.20).
**Figure 8.20** Activating cXML Message Types
4. After you have saved your activation, you can enter a comment for your configuration status by clicking on the button with the three dots next to the Start button and entering your comments.
###### [»] Message Types Sorted According to Process Logic
The system does not list the Object Types and cXML Message Types in the table according to the business process order. Table 8.5 lists the cXML message types according to their process logic sorted by scope items. (The component ID, mapping, and cXML version are static in our example and thus not mapped redundantly.)
Scope Item with ID | Object Type | cXML Message Type | Meaning | In/Out
---|---|---|---|---
1L2
SAP Ariba Sourcing Integration (scope item 1A0) and Quote Automation | RFx | QuoteRequest | Request to submit a quotation | Out
| Quotation | QuoteMessage | Quotation/bid price | In
J82
Purchase Order to Invoice Automation | Purchase order | OrderRequest | | Out
| Purchase order | ConfirmationRequest | Order confirmation | In
| Delivery | ShipNoticeRequest | Shipping notification | In
| Goods movement | ReceiptRequest | Goods receipt document | Out
| Incoming invoice | InvoiceDetailRequest | | In
| Incoming invoice | CopyRequest. Invoice
DetailRequest | Invoice copy | Out
| Incoming invoice | StatusUpdateRequest | Status update of the invoice (unlocked) | Out
19O
Payment and Discount Management | Accounting document | PaymentProposal Request | Payment proposal (with cash discount) | Out
| Accounting document | CopyRequest. Payment
ProposalRequest | Response to payment proposal with cash discount | In
| Outbound remittance advice | PaymentRemittance
Request | Remittance advice | Out
| Accounting document | PaymentRemittance
StatusUpdateRequest | Status update for payment | Out
**Table 8.5** Scope Items, Business Objects, Message Types, Meaning, and Transfer Direction from the SAP S/4HANA Cloud Perspective
Now, the configuration is complete on the SAP S/4HANA Cloud side. Let's take a closer look at your SAP Ariba instance in the following sections.
### 8.1.5 Configuration in SAP Ariba
To configure SAP Ariba, you should have the following details for your SAP Ariba buyer account at hand: your logon information (user and password), your Ariba Network ID, and the so-called shared secret for secure communication between Ariba Network and SAP S/4HANA Cloud. If you have an SAP Ariba Sourcing subscription, have the corresponding logon information and shared secret data ready.
SAP Ariba provides the relevant information when you register your enterprise as a buyer at Ariba Network. Now, log on as the administrator for your buyer account in SAP Ariba (at <https://buyer.ariba.com>). Go to Administration (see Figure 8.21). Next, select Configuration to navigate to the configuration overview shown in Figure 8.22. Depending on your selected subscriptions, your configuration list might be shorter.
**Figure 8.21** Buyer User Account Entry Screen in Ariba Network
**Figure 8.22** Configuration Overview in Ariba Network
#### Basic Settings for SAP Ariba Sourcing (Scope Item 1A0) and Ariba Quote Automation (Scope Item 1L2)
In the system ID list, select Create. Create an entry with the System ID and enter the Unique Address ID "Ariba". This entry refers to SAP Ariba Sourcing. Save your settings.
On the System Ids list, select the entry you just created and then Endpoints. In the end point list, select Create. Close the popup message regarding the transfer of existing cXML structures. On the Configure End Point screen, enter "S/4HANA" in the End Point ID field. Select the cXML integration type. Select the Shared Secret authentication method, and enter your secret. Save your entries.
Now, create an additional sourcing end point in the end point list. Enter the "Sourcing" end point ID (see Figure 8.23). Select the cXML integration type. Select the Shared Secret authentication method and enter the shared secret for sourcing. Enter the profile URL:
https://s1-eu.ariba.com/Sourcing/cxmlchannel/<ANID>
<ANID> refers to the Ariba Network ID of your buyer account. Do not confuse this URL with the URL of your SAP Ariba Sourcing instance.
**Figure 8.23** Configuring an End Point ID for SAP Ariba Sourcing
Select the checkbox Yes, I want to receive documents through the POST method instead of through the cXML GetPending method. Enter the following in the Post URL field:
https://s1-eu.ariba.com/Sourcing/cxmlchannel/<ANID>
This URL schema applies to customers in Europe. For countries in the Americas, it may look like https://s1.ariba.com/Sourcing/cxmlchannel/<ANID>. Save your entries.
On the end point list, select the "Sourcing" end point ID as Default.
#### Configuring Ariba Purchase Order to Invoice Automation (Source Item J82) and Ariba Payment and Discount Management Integration (Source Item 19O)
If you've followed the SAP Ariba Sourcing settings we've described so far in this section, skip this section and go to the next section, "Defining Transaction Rules."
On the Configuration screen, select one of the following options (depending on your SAP Ariba account settings):
* cXML Setup
* Business Application IDs (cXML and OData Setup)
* Business Application IDs and End Points (cXML and OData Setup)
Now, maintain the profile URL and the post URL. If your system does not display the screen for maintaining these URLs but instead the List of System IDs, click on the System ID of your SAP S/4HANA Cloud system. If the system still does not display the screen for maintaining URLs, select the End Point tab on the Manage Business Application ID <System ID> screen and then the end point ID for which you want to specify the settings.
The Profile URL section (see Figure 8.24) contains the Profile URL field. Delete any existing entries in this field. The Post URL section includes the Yes, I want to receive documents through the POST method instead of through the cXML GetPending method checkbox, which should not be selected. Save your entries.
#### Defining Transaction Rules
To create transaction rules, select the Default Transaction Rules option on the Configuration screen (see Figure 8.25).
**Figure 8.24** Configuring End Points from Purchase Order to Payment (Scope Items J82 and 19O)
**Figure 8.25** Configuring Transaction Rules in Ariba Network
###### [»] Invoice PDF
If you want to receive electronic invoices including an invoice PDF, contact the SAP Ariba Service Center by following these steps: In the header area of the buyer account, select Help • Contact Support. Then, select your language and Create Online Service Request under Contact Ariba Customer Support. Ask Ariba to make the following setting under PDF Generation: Activate "Generate an invoice copy as PDF attachment to the invoice."
#### Making Suppliers Available in Ariba Network
Your suppliers must be registered in Ariba Network and must be willing to exchange data with your enterprise. To make your suppliers available in Ariba Network, log on to Ariba Network at <http://buyer.ariba.com> with your buyer account. On the Supplier Enablement tab, select Active Relationships. If you can find the desired supplier in the Current Suppliers table, proceed to the following section.
If you cannot find the desired supplier, you'll have to create the business relationship in SAP Ariba by following these steps:
1. Select Search for Suppliers.
2. Select the appropriate search criteria and click on Search.
3. Select the desired supplier. Click on Action, Add to Selected Suppliers.
4. Check the supplier profile. You can also download the profile.
5. In the Selected Suppliers overview, select the desired supplier and open the entry.
6. Request a business relationship by clicking on Request a Relationship.
The supplier must accept this request before you can exchange documents electronically in Ariba Network.
#### Assigning Supplier Indicators
Supplier master data in SAP S/4HANA Cloud uses IDs as indicators. The same supplier can exist in various ERP systems with different IDs. In this section, we'll assign supplier IDs from SAP S/4HANA Cloud and further systems in Ariba Network on the basis of their Ariba Network ID.
1. First, log on to your buyer account in Ariba Network and select the Supplier Enablement tab. Select Active Relationships. Find the desired supplier.
2. On the Edit Preferences for Supplier: <Name of Your Supplier> screen, select Enter supplier identifiers for the procurement application and click on Add.
3. If you integrate various SAP S/4HANA Cloud instances or additional ERP systems, select one of your systems and the corresponding supplier ID in this system (for example, 0010300080 in the starter system) in the Add Supplier Unique Key dialog box.
4. For SAP S/4HANA Cloud single systems, the first field contains the supplier ID (for example, 0010300080 in the starter system). Save by clicking on Save.
Repeat these steps for all the suppliers with which you want to exchange documents electronically through SAP Ariba. Be sure to include all suppliers in all of your SAP S/4HANA Cloud systems and ERP systems. Save your entries on the Edit Preferences for Supplier: <Name of Your Supplier> screen.
### 8.1.6 Testing the Integrated Business Processes and Going Live
You can test the integrated business processes in your starter system and quality assurance system using the test scripts provided. You can find these test scripts in the SAP Best Practices directory, the SAP Best Practices Explorer, at <http://rapid.sap.com/bp> (see Figure 8.26).
**Figure 8.26** Test Scripts and Process Diagrams in the SAP Best Practices Explorer
The test scripts and process diagrams in SAP Best Practices are designed to help users with limited experience get started with the processes and to facilitate testing. Of course, you can also add custom supplier master data, specific materials, or deviating process settings to the test scripts.
After you have completed all tests successfully, have SAP transport the settings that were introduced when we discussed output control in Section 8.1.4 to the production system. All other configurations are set up manually later on.
When you start collaborating with your suppliers in the production system in Ariba Network, you should first communicate the individual processes in detail. The invested effort pays off quickly. In advance, you should discuss with a limited number of suppliers which transactions you want to execute and define your expectations regarding message types, processes, and response times (service-level agreements). For the first few transactions, stay in close contact with your suppliers until the processes have been established successfully on all sides.
### 8.1.7 Outlook
Having supply chains coordinated by SAP software is not new at all, just think of SAP Supply Chain Management (SCM) and SAP Supplier Network Collaboration (SNC). However, because SAP Ariba was added to the SAP product portfolio, and due to the enhanced capabilities from Ariba Network, integration between SAP Ariba and the SAP Business Suite made sense.
Since May 2016, SAP has provided a rapid deployment solution for integration with SAP Ariba, which also includes the integration of the Ariba Collaborative Supply Chain (CSC): SAP Ariba Solution Integration for SAP Business Suite (<https://rapid.sap.com/bp/RDS_ARI>). This integration scenario shows how three end-to-end CSC business processes are implemented: scheduling agreement releases, picking, and subcontracting.
For both SAP S/4HANA, on-premise, and SAP S/4HANA Cloud, these processes should be made available at a later stage. If you require SCC processes activated before they become generally available, please contact your SAP or SAP Ariba sales representative.
SAP S/4HANA Cloud covers procurement processes that can be executed by all employees in the enterprise (Employee Self-Service Procurement, Requisitioning, scope item 18J). You might already be using SAP Ariba Buying and Invoicing with your SAP ERP system, for example, using the Ariba Procure-to-Pay Integration for SAP Business Suite rapid deployment solution (<http://service.sap.com/bp/RDS_ARIBA_P2P>). SAP plans to provide an integration scenario for SAP Ariba Buying and Invoicing in early 2018.
###### [»] Helpful Information Sources
The contextual help in SAP S/4HANA can answer your questions regarding configuring applications. As with all SAP Ariba integration projects, the SAP Ariba help and support pages are also useful:
* SAP Help: <http://help.sap.com/s4hana>
* Go SAP page for SAP S/4HANA Cloud: <https://www.sap.com/products/s4hana-erp/cloud.html>
* Go SAP page "Integration for SAP S/4HANA Cloud with SAP Solutions": <https://www.sap.com/products/s4hana-erp/cloud.integration.html>
* SAP Support: <http://support.sap.com>. At SAP Support, you can enter tickets by using the "SV-CLD-SINT" component for integration-related content, such as SAP Best Practices, or by using the "BNS-ARI-SE-ERP" component for the functionality and configuration of the SAP Ariba integration.
* Support for SAP Ariba applications: contextual menu within the applications themselves and at the following page: <http://support.ariba.com>.
* SAP Community: http://www.sap.com/community/topic/s4hana.html
* Ariba User Community: <http://connect.ariba.com>
* SAP Cloud Professional Services: <https://www.sap.com/services/cloud-services-consulting.html>
## 8.2 Integration with SAP SuccessFactors
SAP allows you to integrate SAP S/4HANA Cloud with SAP SuccessFactors Employee Central in nearly all SAP S/4HANA Cloud editions. One exception is SAP Hybris Marketing, which we'll discuss in detail in Section 8.3.
SAP S/4HANA Cloud does not cover any HR processes, so an external HR system needs to be integrated. SAP SuccessFactors Employee Central is SAP's solution for cloud-based personnel administration.
Of course, you can also import employee data from files. This scenario is ideal for trial systems but less suited for production systems. SAP provides a specific application importing employee data (see Figure 8.27), which you can find as a tile (Import Employees) on the SAP Fiori launchpad for administrators.
**Figure 8.27** Importing Employee Data from a File
SAP SuccessFactors Employee Central is always integrated with SAP S/4HANA Cloud via middleware, i.e., software that maps individual data fields to each other and initiates the data transfer. The middleware in this case is SAP Cloud Platform Integration, which is available to all SAP S/4HANA Cloud customers. See Figure 8.28.
**Figure 8.28** SAP Cloud Platform Integration
###### [»] SAP Cloud Platform Integration
SAP Cloud Platform Integration is used to integrate web-based applications. You can build and run these integration scenarios on the SAP Cloud Platform (previously, SAP HANA Cloud Platform, HCP). The platform is hosted in SAP Cloud. The integration via SAP Cloud Platform Integration is the preferred method for SAP S/4HANA.
For more information, go to <https://help.sap.com/cloudintegration>.
This integration comes in two variants:
* Integration managed by SAP
* Integration managed by the customer
In the first case, SAP initiates the integration in the background in coordination with the customer. SAP will configure SAP S/4HANA Cloud, SAP Cloud Platform Integration, and SAP SuccessFactors Employee Central. This variant is ideal for customers who want to introduce SAP S/4HANA Cloud and SAP SuccessFactors Employee Central in an integrated system landscape quickly. Changes or adaptations are not possible with this variant.
The second variant is ideal for customers who have already used SAP S/4HANA Cloud or SAP SuccessFactors Employee Central on a production system for some time and want to integrate them with each other. Due to certain prerequisites in the data models of the two systems, you might need to adapt the default integration; for example, the length of some fields in SAP SuccessFactors Employee Central fields may need to be mapped to SAP S/4HANA Cloud fields. These adaptations can be required in the middleware and in SAP SuccessFactors Employee Central. To give customers or SAP implementation partners more freedom for adaptations, SAP provides the Employee Central Integration communication scenario (SAP_COM_0001).
The business functions of the two variants are the same. Employee-related data (for example, pictures) are transferred from SAP SuccessFactors Employee Central to SAP S/4HANA Cloud and cost centers, and vice versa.
Table 8.6 provides an overview of the system requirements (new implementation of SAP S/4HANA Cloud or live systems) for which SAP manages an integration variant.
Scenario | Managed by SAP | Managed by Customer | Managed by Customer | Managed by Customer | Managed by Customer
---|---|---|---|---|---
SAP S/4HANA Cloud | New | Production | New | Production | New
SAP SuccessFactors Employee Central | New | New | Production | New | Production
SAP Cloud Platform Integration | New | New | New | Production | Production
**Table 8.6** Overview of Selection Scenarios
Figure 8.29 and Figure 8.30 illustrate partial aspects of these transfer methods in detail. You can find additional process diagrams for this integration in the documentation of your SAP S/4HANA Cloud edition integration, but these two figures are the most important ones. They describe the integration process in detail, including replication or data flow and the individual process steps in the middleware.
You can create or change employee data in SAP SuccessFactors Employee Central. The middleware will initiate the data transfer of these changes to SAP S/4HANA Cloud, and the relevant employee data records will be updated or created. In SAP S/4HANA Cloud, the employee data records are mainly used as business partners in the "Employee" role. Consequently, these changes are also made in the business partner data.
**Figure 8.29** Employee Data Transfer Process
SAP SuccessFactors Employee Central always needs the latest cost center information from your financial system. These cost centers are therefore transferred from SAP S/4HANA Cloud where they are maintained in the employee data records. Together with the employee data, the assignments of employees to cost centers are then imported to the SAP S/4HANA Cloud system.
**Figure 8.30** Cost Center Transfer from S/4HANA Cloud to SAP SuccessFactors Employee Central
The following sections describe the configuration of this integration.
### 8.2.1 Configuration in SAP S/4HANA Cloud
To set up the communication between the systems, SAP S/4HANA uses so-called communication scenarios, which contain specific configuration parameters, for example, the interface to be used, and other settings. A prerequisite is that all systems involved must be ready for integration, for example, the required certificates have been imported, etc.
The first step is to create a communication user. SAP Fiori's communication administration applications, in particular in the Maintain Communication Users app (see Figure 8.31), allow you to create and manage communication users. Under Certificate, upload your client certificate for SAP Cloud Platform Integration, which you obtained with your administration user for SAP Cloud Platform Integration.
**Figure 8.31** Creating a Communication User
The next step is to create the communication system. The respective app is also available in the communication administration.
1. First, assign a system ID and system name in the Create Communication Users app and click on Create.
2. Now, maintain additional fields in Technical Data, such as the host name, the client number, and so on.
3. In User for Inbound Communication, find the communication user that you created in the previous step.
4. In Authentication Method, select the authentication method with SSL client certificates. Also select this method for the user for outbound communication. Now, the communication system is configured.
In the final step, you'll maintain the communication agreement, again in a specific application:
1. To create a new agreement, you must select a communication scenario. For communication scenario for integrating with SAP SuccessFactors Employee Central is SAP_COM_0001 (employee integration).
2. Next, select the communication system you just created and keep the name of the communication user that you maintained earlier (see Figure 8.32).
**Figure 8.32** Maintaining a Communication Agreement
Now, the configuration in SAP S/4HANA Cloud is complete.
### 8.2.2 Configuration in SAP Cloud Platform Integration
To be able to adjust Integration Flows (IFlows) in SAP Cloud Platform Integration, Eclipse needs to be installed. In addition, you'll need a key store explorer tool to ensure a secure data transfer by using a digital key. (Eclipse is also available as freeware.)
To implement the configuration, you'll require specific authorizations (as shown in Table 8.7).
Application | Role
---|---
<your_tenant_id>iflmap | ESBMessaging.send
<your_tenant_id>tmn | AuthGroup.IntegrationDeveloper
<your_tenant_id>tmn | AuthGroup.BusinessExpert
<your_tenant_id>tmn | AuthGroup.Administrator
<your_tenant_id>tmn | ESBMessaging.send
**Table 8.7** Authorizations for Middleware Configuration
SAP provides predefined IFlows in the SAP Content catalog for the integration. The detailed documentation lists which packages or IFlows you need to use.
###### [»] Additional Information on Integration Packages
You can find the integration packages for employee assignments and the related configuration guide in the SAP API Business Hub at https://cloudintegration.hana.ondemand.com.
Narrow the search in the catalog, for example, by entering the search string "employee."
To access the SAP API Business Hub, you'll need an SAP Community Network user account (<https://www.sap.com/community.html>) to log on.
You must copy every IFlow to the customer-specific work center where the IFlow is configured, for example, data field mappings. To copy IFlows, you'll have to maintain the address of the target system and the address of the source system. After that, the IFlows in SAP Cloud Platform Integration are activated.
### 8.2.3 Configuration in SAP SuccessFactors Employee Central
To avoid adaptations in SAP Cloud Platform Integration or of the used IFlows, you should adapt the data model in SAP SuccessFactors Employee Central. Table 8.8 shows some examples. You can find a detailed list in the documentation.
Data Range in Employee Data | Field | Restriction
---|---|---
Contact Information • Telephone Details | Country code | Do not enter leading zeros, for example, only 1 for the U.S.
HR Data • Address | City | Max. length = 40
| Country (USA, AUS) | Max. length = 40
| ZIP code | Max. length = 10
**Table 8.8** Adjusting the SAP SuccessFactors Employee Central Data Model
In SAP SuccessFactors Employee Central, you'll create a user with the role SFAPI, which needs to be equipped with certain rights. This user is only used in the SAP SuccessFactors interface and is necessary in order to establish a connection between the middleware and SAP SuccessFactors Employee Central. Of course, this user also requires a password. If you set "-1" as the maximum password age in SAP SuccessFactors Employee Central, the password will never expire. When a password expires, the connection is interrupted.
Now, you'll have to define your SAP S/4HANA Cloud system as the target system for employee data replication. You can specify the target system in the administration environment of your SAP SuccessFactors instance under Manage Data. You can also create a new replication system if one does not exist yet (see Figure 8.33).
###### [»] Additional Information on the Configuration
You can find more details on the configuration in the documentation for your communication scenario in SAP S/4HANA Cloud.
**Figure 8.33** Creating the Replication Target System
## 8.3 Integration with SAP Hybris Marketing Cloud
SAP Hybris Marketing Cloud (until Release 1611, called SAP S/4HANA Marketing Cloud; see Chapter 3, Section 3.2.2) is the cloud-based variant of SAP Hybris Marketing. As a marketing platform, SAP Hybris Marketing Cloud is not a primary system but a satellite system without its own primary data for customer analysis. As a result, SAP Hybris Marketing Cloud requires efficient integration with upstream systems or other data sources, which constantly provide the system with up-to-date master data and transaction data for analysis purposes.
The system is connected to other systems via released Application Programming Interfaces (APIs). These APIs are based on web service technologies, such as SOAP and OData. SAP HANA database tables cannot be accessed directly. At the time of this writing, direct access via RFC (Remote Function Call) function modules was also not possible. However, SAP plans to make this possible in the future.
You can implement the following SAP Hybris Marketing Cloud integration scenarios in your system landscape by using predefined interfaces (SAP Best Practices content and standard apps):
* Integrating with an SAP ERP system
* Loading defined data objects of other systems as files via the Secure File Transfer Protocol (SFTP)
* Loading defined data objects from other systems as CSV files using an app (see Section 8.3.3)
* Loading data from social networks like Twitter and Facebook
* Integrating with SAP Hybris Cloud for Customer
Table 8.9 lists the available inbound integrations for S/4HANA Marketing Cloud 1611.
Type of Data | Data Content | Technology
---|---|---
Loyalty data | Activities of loyalty program members, including sales, via SAP Hybris Loyalty Management | Representational State Transfer (REST)
| Import/export quotations | OData
Market data and events | Cookie-based user data and interactions | CSV file/OData
| Prospects: contact data, corporate account data | CSV file/OData
| Secondary data of corporate accounts, contacts, and consumers | CSV file/OData
Sales and service data | Contacts and corporate accounts, leads and opportunities, telephone calls, appointments, and visits from SAP Hybris Cloud for Customer (C4C) and SAP Hybris Cloud for Service (C4S) | OData via SAP Cloud Platform Integration
| Customers and contacts, sales documents (sales orders, etc.) from SAP ERP | OData via SAP Cloud Platform Integration
| Consumer data and sales documents from SAP Hybris Commerce | OData via SAP Hybris Data Hub
| Contacts, interactions, and sales documents from non-SAP solutions | CSV file/OData
Financial data | Spend of campaigns | SOAP via SAP Cloud Platform Integration
Industry data | Import of offers from SAP Promotion Management for Retail | OData
Social media, Internet, etc. | Social posts (tweets) from Twitter's public API | OData via SAP Cloud Platform Integration
| Social posts from Facebook fan pages | OData via SAP Cloud Platform Integration
| Sprinklr data | OData
| Clickstream data from SAP Hybris Commerce | SAP Event Stream Processor (EPS)/OData
| User profiles, marketing attributes, and marketing permissions via Gigya | OData
| Evaluated clickstream data from SAP Hybris Conversion | OData
Enhancements | Marketing permissions and contact data from customer websites and landing pages | REST
Digital channels | Import of survey results from SurveyMonkey | CSV
**Table 8.9** Available Inbound Integration with SAP Hybris Marketing Cloud
Table 8.10 lists the available outbound integrations for SAP S/4HANA Marketing Cloud 1611.
Type of Data | Data Content | Technology
---|---|---
Social channels | Social campaigns and custom audiences to Sprinklr, Facebook, and Instagram | REST
Digital channels | Export of surveys to SurveyMonkey | OData
| Export of Google AdWords | REST, SAP Cloud Platform Integration
Personalized commerce | Product recommendations and personalized content to SAP Hybris Commerce | OData via SAP Hybris Data Hub
Sales automation | Leads, sales tasks, telephone calls, and appointments to SAP Hybris Cloud for Customer (C4C) | OData via SAP Cloud Platform Integration
Emails | Emails via Amazon's email service provider and SAP Mobile Services | REST
SMS | SMS to SAP SMS365 | REST
Enhancements | Data of target group members to arbitrary campaign execution solution | OData via SAP Cloud Platform Integration
| Create customer-specific actions and subsequent objects via Open Campaign Channel into any business solution | OData via SAP Cloud Platform Integration
**Table 8.10** Available Outbound Integration with SAP Hybris Marketing Cloud
###### [»] Information on Integration with Other Systems
For more information on the integration of SAP Hybris Marketing Cloud (until releases 1702) with other systems, go to the SAP Help Portal at <https://help.sap.com/s4hana>.
1. First, choose your cloud edition, e.g., SAP S/4HANA Cloud 1611.
2. Navigate to Product Assistance and select your preferred language for SAP User Assistance.
3. In SAP User Assistance, choose Cloud Editions • SAP S/4HANA Marketing Cloud to display the SAP Documentation.
4. If you now navigate to the bottom on the left side of the menu tree, you'll find additional entries, for example:
* Integration with SAP ERP
* Integration with SAP Hybris Cloud for Customer
* Integration with search engine advertising and SAP HANA Cloud Integration
Starting release 1705 the navigation path changed, as seen below:
1. Go to the SAP Help Portal at <https://help.sap.com/mkt>.
2. Navigate to Application Help and select SAP Hybris Marketing Cloud.
3. In the Documentation you can select your Language and the Version via the selection boxes in the upper right area.
4. Navigate to System Setup and Integration for additional Information on Integration and Import and Export of Data.
For more information on SAP Best Practices for integrating SAP Hybris Marketing Cloud, go to <https://rapid.sap.com/bp/BP_CLD_MKT>. Navigate to Solution Scope and view the scope item groups for Integration and Data Load. You'll also find further information on the integrations that we did not mention.
SAP Cloud Platform Integration and SAP Hybris Commerce, data hub (see Figure 8.34) are the preferred integration platforms (middleware) for accessing SAP Hybris Marketing Cloud.
**Figure 8.34** Middleware for Integration with SAP Hybris Marketing Cloud
### 8.3.1 SAP Hybris Marketing Cloud Data Model
The SAP Hybris Marketing Cloud data model is reduced to marketing-relevant business objects, which we'll describe briefly in the following list. The integration packages and some of the additional information are available in English only:
* Corporate accounts: data that refers to legal entities or enterprises.
* Contacts: individuals in contact with the enterprise.
* Interactions: communications between enterprises and contacts. Texts (content) of interactions are automatically evaluated by integrated SAP HANA text analyses when they are saved, enabling you to analyze sentiment, for example.
* Account team members: users that are assigned to a team that is responsible for a marketing campaign of a customer.
* Products and product categories: categorization of a product, for example, candy bars, sports cars, pens, etc.
* Interests: categorization of interactions, for example, by product names, enabling you to consolidate and analyze various interactions (such as support requests or messages on a Facebook fan page).
* Brands: words used separately or in combination to uniquely identify a product. They are assigned to a product.
* Tags: these are assigned to interests to analyze interactions. They can be a part of social posts or other kind of interactions and are normally created by the SAP HANA Text Analysis engine.
Figure 8.35 shows a simplified overview of the data model.
**Figure 8.35** SAP Hybris Marketing Cloud Data Model
Contacts and corporate accounts are stored in a table and distinguished by their interaction contact type (IC_TYPE). For the sake of simplicity, we refer to both individual contacts and corporate accounts as contacts. Contacts can have relationships with each other and can be assigned to interactions.
Interactions have a specific type (e.g., Email, Order, Social_Posting, etc.) and can be assigned to products. You can also assign interests and tags to interactions. You can also link interests and tags.
You can assign products to a product category and a brand to simplify later analysis of interactions for future marketing campaigns. In turn, product categories can be assigned to interests. Again, you can also link interests and tags. These links allow you to create versatile interest networks upon which to build your marketing campaigns.
###### [eg] Analyzing a Sales Order
For example, a sales order is mapped as an interaction with product items. To focus on possible customers for certain products with a targeted marketing campaign, you can now analyze interactions in a targeted manner. For example, you can identify the customers that your company has had an interaction with during a specific period and that are assigned to certain tags and/or interests. If customers bought specific products within the last six months and provided product feedback in social networks or via emails, you can reach these customers with a targeted marketing activity.
### 8.3.2 Integration with SAP ERP Systems
SAP Hybris Marketing Cloud constantly needs up-to-date customer and product master data as well as sales orders. Ideally, in existing SAP system landscapes, this data comes from an SAP ERP 6.0 system.
For SAP S/4HANA Marketing Cloud 1611, the following SAP ERP integration scenarios are provided by SAP Cloud Platform Integration:
* SAP ERP Order and Business Partner Integration
* SAP ERP Actual and Committed Spend Integration
Both scenarios use IDocs on the SAP ERP side and OData services on the SAP Hybris Marketing Cloud side for the data integration.
###### [»] Additional Information on OData Services
For more information on the OData services used, see the SAP Help Portal at <https://help.sap.com/mkt>. Choose your Version, e.g., 1702. Navigate to Integration and download "Data Management Upload Interfaces."
These so-called out of the box integrations provide entire integration workflows, including extraction, mapping, transformation, import, and monitoring.
###### [»] Information on SAP ERP Integration Packages
You can find the SAP Hybris Marketing Cloud – SAP ERP Actual and Committed Spend Integration and SAP Hybris Marketing Cloud – SAP ERP Order and Business Partner Integration integration packages as well as the corresponding configuration guide in the SAP API Business Hub at <https://cloudintegration.hana.ondemand.com>. Choose Integration and then narrow the search with the search string "Marketing Cloud."
To access the SAP API Business Hub, you'll need an SAP Community user account as described in Section 8.2.2.
Figure 8.36 shows all integration packages available for SAP Hybris Marketing Cloud 1611 in the SAP API Business Hub.
**Figure 8.36** Available Integration Packages in the SAP API Business Hub
In the following sections, we'll discuss the two SAP ERP integration scenarios in more detail.
#### SAP ERP Order and Business Partner Integration
This scenario includes the usage of quotations, orders, and returns as well as the related business partner data from SAP ERP in SAP Hybris Marketing Cloud.
The master data and sales documents are transferred from the SAP ERP system to the marketing cloud using IDocs. The IDoc types and OData services listed in Table 8.11 are used to transfer the data.
Data Class | IDoc Type (Source) | OData Service (Target)
---|---|---
Customer master data | Master data: DEBMAS06
Address data:
ADRMAS03 and ADR3MAS03 | CUAN_BUSINESS_PARTNER_IMPORT_SRV
Sales orders | COD_REPLICATE_SALES_ORDER01 total | CUAN_BUSINESS_DOCUMENT_IMP_SRV
Actual spend and committed spend data | CUAN_ERP_MARKETING_SPEND | CUAN_ACTUAL_IMPORT_SRV
**Table 8.11** Interfaces Used for SAP ERP Order and Business Partner Integration
###### [»] IDoc COD_REPLICATE_SALES_ORDER01
To use IDoc COD_REPLICATE_SALES_ORDER01 for sales orders, you must use SAP ERP 6.0 EHP4 or higher as the source system. In addition, the SAP Hybris Cloud for Customer 2.0 integration with SAP ERP add-on, which is also referred to as the C4C add-on, must be installed on this SAP ERP system. The minimum version is SAPK-60024INCODERINT. For more information, see the integration guide for the relevant integration package.
The IDoc structures and fields of the SAP ERP customer data are mapped to the OData service CUAN_BUSINESS_PARTNER_IMPORT_SRV, and the sales orders are mapped to the OData service CUAN_BUSINESS_DOCUMENT_IMP_SRV and imported to the Marketing Cloud using SAP Cloud Platform Integration.
Figure 8.37 shows a schematic diagram of this integration scenario.
**Figure 8.37** SAP ERP Order and Business Partner Integration
#### SAP ERP Actual and Committed Spend Integration
This scenario includes exporting spend data from SAP Hybris Marketing Cloud to SAP ERP and importing actual spend and committed spend data from SAP ERP to SAP Hybris Marketing Cloud. Campaigns and spend items that were created and released in SAP Hybris Marketing Cloud are exported and created as projects and WBS elements in SAP ERP. The reverse proxy technology is used here.
In contrast, actual spend and committed spend data is exported from the SAP ERP system and imported to SAP Hybris Marketing Cloud. The data can be imported to SAP Hybris Marketing Cloud using SAP Cloud Platform Integration or SAP Process Integration (PI) (see Figure 8.38).
**Figure 8.38** SAP ERP Actual and Committed Spend Integration
The integration solution allows you to enter and manage marketing campaigns, marketing plans, and relevant budgets centrally in one system. The central calendar in SAP Hybris Marketing Cloud enables you to better reconcile marketing activities, thus facilitating and accelerating planning processes. You'll be able to monitor your marketing spend data nearly in real time and thus accelerate your strategic decision-making processes.
To integrate the spend data from the SAP ERP system to SAP Hybris Marketing Cloud, the IDoc type and OData service listed in Table 8.12 are used.
Data Class | IDoc Type (Source) | OData Service (Target)
---|---|---
Actual spend and committed spend | CUAN_ERP_MARKETING_SPEND | CUAN_ACTUAL_IMPORT_SRV
**Table 8.12** Interfaces Used for SAP ERP Actual and Committed Spend Integration
The spend data is extracted in IDoc CUAN_ERP_MARKETING_SPEND and the structures and fields of the IDoc are mapped in OData service CUAN_ACTUAL_IMPORT_SRV in SAP Hybris Marketing Cloud.
###### [»] IDoc CUAN_ERP_MARKETING_SPEND
To use the IDoc CUAN_ERP_MARKETING_SPEND, you must work with the C4C add-on as described in the previous section, "SAP ERP Order and Business Partner Integration."
### 8.3.3 Importing Data from External Systems
SAP ERP does not have to be the source of your master data and transaction data; you can also import data using files from other systems. SAP provides two predefined methods to import data as data management objects into SAP Hybris Marketing Cloud:
* Using the Import Data app
* Using the SAP Hybris Marketing Cloud – file based data load integration package from SAP Cloud Platform Integration
Like the integration package described in Section 8.3.2, the two options also use OData service CUAN_IMPORT_SRV. In both cases, you'll extract your data from external systems to predefined CSV files with a specified structure. You can download sample files using the Import Data tile (in the first case) or via the info page for the integration package in the SAP API Business Hub (in the second case). While the Import Data app is suited for importing data to the system ad hoc, the solution using SAP Cloud Platform Integration is designed for permanent interfaces.
###### [»] CSV Files
CSV (comma-separated values or character-separated values) files store table-type data in the text format. CSV files are widespread in the IT world and are used as the import and export format for numerous systems and applications.
#### The "Import Data" App
In SAP S/4HANA Marketing Cloud 1611, you can import the following data management object data using the Import Data app (see Figure 8.39):
* Corporate accounts
* Contacts
* Account team members
* Product categories
* Products
* Interests
* Interactions
* Marketing locations
* Marketing beacons
* Subscriptions
The following data can also be imported:
* Custom business objects
* Brands
* Custom dimensions
* Actual and committed spend
* Survey responses
* Campaign success
For other data, different OData services are used than CUAN_IMPORT_SRV.
###### [»] Additional Information on OData Services
You can find more information on the OData service used in the app at <https://help.sap.com/mkt>. Choose your Version, for example, 1702. Navigate to Integration and download the following document:
* Data Management Upload Interfaces Guide
Or, navigate to System Setup and Integration and choose Import and Export of Data. There you will find the section Import of Data Using an OData Service.
**Figure 8.39** Calling the App "Import Data"
Perform the following steps to import the data management objects to your system:
1. Choose the Import Data tile.
2. Then, select your desired data management object, for example, Contacts 1 (see Figure 8.40).
3. Download the sample file to your local computer using Download CSV Template 2.
4. Edit the file or format your source data.
5. Select your CSV file for the target system from your local computer using Browse 3.
6. Import your file 4.
**Figure 8.40** Selecting the Data Management Object for the Import
#### Importing Data with the SAP Hybris Marketing Cloud Integration Package
The SAP Hybris Marketing Cloud – File Based Data Load integration package in Version 3.0 enables you to import data management objects with SAP Cloud Platform Integration via SFTP.
###### [»] Secure File Transfer Protocol (SFTP)
SFTP is an alternative to the Secure Shell (SSH) for the File Transfer Protocol (FTP), which enables encryption.
Version 3.0 lets you import the following objects to SAP Hybris Marketing Cloud:
* Accounts
* Contacts
* Interactions
* Interactions with multiple products
Figure 8.41 illustrates the different processes of the integration package in the SAP Content Hub.
**Figure 8.41** Integration Processes for Importing Data via Files
As when you use the app, the data must be in the specified CSV format. Within SAP Cloud Platform Integration, these files are mapped to the data structures and fields of OData service CUAN_IMPORT_SRV. The files are then read by an SFTP server, and the OData service sends the files to SAP Hybris Marketing Cloud. Figure 8.42 illustrates this process.
**Figure 8.42** Integration of External Systems via Files
###### [»] Additional Information on the Integration Package
You can find the integration package in the SAP API Business Hub at <https://cloudintegration.hana.ondemand.com>. Limit the number of the displayed packages in the search screen by entering "Marketing Cloud."
Figure 8.43 shows the various documents that are available for the package:
* The Best practice configuration guide listing the necessary configuration steps
* Sample files for the individual data objects (CSV examples)
* Description of the individual data objects Mapping details
**Figure 8.43** SAP API Business Hub Documents for File-Based Data Import
### 8.3.4 Importing Data from Social Media
Twitter and Facebook provide public HTTPS Application Programming Interfaces (public APIs) that allow you to search the platforms for messages (tweets/posts) that are marked as public and download them to evaluate them in detail.
However, these public interfaces are rather restricted in terms of data volume and timeframe of the data that can be evaluated. Both enterprises provide this data directly via subsidiaries or indirectly via big data platforms, such as Gigya or DataSift. These platforms enable you to find and evaluate data from numerous social media (not only those mentioned above) for a fee.
###### [»] Information on Rate Limits
All social networks limit the data volumes that you can evaluate with their public APIs. You can find more information on the individual platforms on the following websites:
* Twitter: <https://dev.twitter.com/rest/public/rate-limiting>
* Facebook: <https://developers.facebook.com/docs/graph-api/advanced/rate-limiting>
Because the platform websites often change, the links might not navigate to the desired page. If necessary, enter the name of the network and "rate limit" in a search engine.
The data of users of these social networks and the content they publish are subject to the data protection laws of the country in which the data is downloaded and analyzed. However, these laws differ from country to country. Therefore, you should always obtain approval from users to store and evaluate the data. This approval can be imported as a marketing permission to SAP Hybris Marketing Cloud using one of the methods described in Section 8.3.3.
The posts and tweets from social networks are imported via HTTPS interfaces. SAP Cloud Platform Integration offers integration packages that convert this data into contacts and interactions, which are then imported to SAP Hybris Marketing Cloud using the OData service CUAN_IMPORT_SRV. Figure 8.44 illustrates this integration.
#### Integration with Twitter
The social platform Twitter enables you to publish and share short messages, so-called tweets. You can use the public Twitter APIs to browse tweets for tags and select them for download for evaluation purposes.
SAP Cloud Platform provides two integration packages:
* SAP Hybris Marketing Cloud—Twitter Integration Admin
With this package, you can manage and technically configure the main package, SAP Hybris Marketing Cloud – Twitter Integration.
* SAP Hybris Marketing Cloud—Twitter Integration
The main package for the Twitter integration serves to download messages from Twitter. The messages are stored as interactions (type: SOCIAL_POSTING), and user information is stored as contacts.
**Figure 8.44** Integration of Social Media
You can then evaluate the imported tweets as interactions in SAP Hybris Marketing Cloud using the Sentiment Engagement tile. Figure 8.45 shows an example of such an analysis.
**Figure 8.45** Sentiment Engagement of Tweets
#### Integration with Facebook
Facebook, instead, allows you to evaluate only comments (posts) that users of the platform enter on so-called fan pages. You cannot use tags to find public messages in the entire social network. You also can not browse normal user pages for messages.
###### [»] Facebook Fan Pages
Fan pages are specific Facebook pages that represent products, enterprises, or any other venture. Many organizations—large enterprises as well as the local ice cream parlor around the corner—maintain these fan pages to market their products or enterprises.
You can find more information on Facebook fan pages at the following URL:
* <https://www.facebook.com/business/products/pages>
This link describes how to create a fan page:
* <https://www.facebook.com/pages/create>
There are two integration packages provived via SAP Cloud Platform:
* SAP Hybris Marketing Cloud – Facebook Integration Admin
With this package, you can manage and technically configure the main package, SAP Hybris Marketing Cloud – Facebook Integration.
* SAP Hybris Marketing Cloud – Facebook Integration
The Facebook integration main package lets you download messages that Facebook users have written on fan pages. The messages are stored as interactions, and the available user information is stored as contacts. The user information is very secure.
Figure 8.46 shows Facebook fan page messages that you can evaluate as interactions using the Sentiment Engagement tile.
**Figure 8.46** Sentiment Engagement of Posts on Facebook Fan Pages
### 8.3.5 Integration of SAP Hybris Cloud for Customer Systems
An additional integration package for integrating the business processes between SAP Hybris Marketing Cloud and SAP Hybris Cloud for Customer (C4C) is available. The integration package covers the following aspects:
* Automatic creation of marketing leads, tasks, appointments, or telephone calls in SAP Hybris Cloud for Customers by activating a campaign in SAP Hybris Marketing Cloud
* Replication of accounts, contacts, or individual customers and their relationships from SAP Hybris Cloud for Customer to SAP Hybris Marketing Cloud
* Replication of business documents from SAP Hybris Cloud for Customer to SAP Hybris Marketing Cloud (leads, opportunities, activities, visits, appointments, calls)
* Replication of product items from lead and opportunity documents from SAP Hybris Cloud for Customer to SAP Hybris Marketing Cloud
Figure 8.47 illustrates the different integration processes available in the integration package in the SAP API Business Hub.
**Figure 8.47** Integration Processes for SAP Hybris Cloud for Customer in the SAP API Business Hub
To integrate the business partner data and documents, you'll use the following OData services:
* CUAN_BUSINESS_PARTNER_IMPORT_SRV (business partners)
* CUAN_BUSINESS_DOCUMENT_IMP_SRV (documents)
###### [»] SAP Best Practices for Integration with SAP Hybris Cloud for Customer
For more information on SAP Best Practices for this integration, go to <https://rapid.sap.com/bp/BP_CLD_MKT>. In Solution Scope, navigate to Scope Item Group for Integration. The SAP Hybris Marketing Cloud Integration with SAP Hybris Cloud for Customer scope item contains further information.
# Part III
Migrating to SAP S/4HANA On-Premise
# 9 Installing and Configuring SAP S/4HANA On‐Premise or in the Private Cloud
When migrating to SAP S/4HANA, on-premise, you can either install a new SAP S/4HANA system or transform an existing SAP system. This chapter describes the necessary steps for installing the backend and frontend servers and for configuring the system.
In Part II, we introduced the SAP S/4HANA SaaS (software as a service) public cloud solution. So why does this chapter also refer to a cloud solution? This chapter discusses SAP S/4HANA in the private cloud, meaning we'll discuss implementing an SAP S/4HANA, on-premise, system operated by a hosting provider (i.e., an IaaS system—infrastructure as a service), like Amazon AWS or Microsoft Azure.
Let's make sure we understand the difference. In Part II, we described SAP S/4HANA Cloud, a standard cloud system with quarterly updates and restricted enhancement options that only allows you to access the backend system via the Cloud Service Center. In contrast, you can define the customizing and update cycles yourself with your own on-premise system. With SAP S/4HANA, on-premise, the system can be implemented either in your data center or at a hosting partner. You can also have SAP implement a private cloud for you in SAP HANA Enterprise Cloud (HEC).
With SAP S/4HANA, on-premise, you can better control the implementation of the system. Moreover, you can freely choose your target release, a crucial capability. Choosing the target release means you can migrate to SAP S/4HANA 1511, SAP S/4HANA 1605 (SAP S/4HANA Finance), or SAP S/4HANA 1610. The latter was the latest release at the time of this writing.
Before starting the migration to SAP S/4HANA, on-premise, you might have to set up the SAP S/4HANA system first. We introduced three basic SAP S/4HANA migration cases in Chapter 4, Section 4.2:
* New implementation of SAP S/4HANA
* System conversion to SAP S/4HANA
* Landscape transformation with SAP S/4HANA
Except for the system conversion scenario, migrating to SAP S/4HANA is always a new installation from the technical perspective. In addition, regardless of the migration scenario, the SAP S/4HANA system requires a frontend server to enable using SAP Fiori as the user interface. In this chapter, we'll discuss the installation of the different components.
###### [»] Frontend Server for System Conversion
A separate SAP Fiori frontend server must be installed or SAP Fiori Cloud is required for the system conversion scenario if you want to use SAP Fiori applications.
In case you're not using the SAP S/4HANA Fully-Activated Appliance, which we introduced in Chapter 6, you'll have to perform sizing to determine the hardware requirements as we'll introduce later.
After determining your requirements, use the Software Provisioning Manager (SWPM) to set up an SAP S/4HANA system with the available SAP installation media (see Section 9.1). The new system is provided with the default Customizing delivered by SAP. You then have to adapt the configuration of the new system in such a way that it meets the requirements of the business processes you want to implement (see Section 9.2).
In addition to this SAP S/4HANA instance, a frontend server also has to be installed. This frontend server (FES) is the central hub for the SAP Fiori user interface (see Section 9.3).
As an alternative to a new custom installation (which is mandatory for production systems), you can also use the SAP S/4HANA reference system as the SAP S/4HANA Fully-Activated Appliance, which was introduced in Chapter 6. The SAP S/4HANA Fully-Activated Appliance can be used as the starting point for the installation.
## 9.1 Installation
If you don't want to use the SAP S/4HANA Fully-Activated Appliance, you'll need to first perform the sizing for your specific case. The sizing process determines the hardware requirements of the SAP S/4HANA system and SAP HANA database as well as the disk size, the required memory, and the anticipated network throughput.
###### [»] Additional Information on Sizing
Depending on the target system release and scenario, the following links provide more information on the SAP S/4HANA sizing process:
* Sizing starting point in SAP Service Marketplace: <http://service.sap.com/sizing>
* SAP Quicksizer: <http://service.sap.com/quicksizing>
* SAP Note 1793345 for SAP S/4HANA Finance
* SAP Note 1872170 for ABAP sizing reports
This section describes how to set up an SAP S/4HANA, on-premise, system in your landscape. The steps remain the same for private cloud or hosting environments. For the sake of simplicity, this section explains how to install a sandbox system that contains an ABAP backend server and the SAP Fiori frontend server in the same system (co-deployment, see also Section 9.3).
First, you need to download the installation files using the SAP Download Manager and the Download Basket. A new cloud-based tool, which will be introduced later on, helps you find the appropriate files for your installation.
###### [»] SAP Download Manager Download Basket
Empty the SAP Download Manager Download Basket by deleting obsolete download requests before selecting the individual components for SAP S/4HANA. As a result, you'll be able to track more effectively the files you still need to install.
To easily download the necessary files, log on to the Maintenance Planner—a new tool that replaces the Maintenance Optimizer (see Figure 9.1). The Maintenance Planner lets you plan new system installations, perform updates, and implement new or additional SAP products (for example, the frontend server for SAP Fiori).
**Figure 9.1** Maintenance Planner for Migrating to SAP S/4HANA
###### [»] Additional Information on the Maintenance Planner
The following link provides more information on the Maintenance Planner: <http://help.sap.com/maintenanceplanner>.
To start the Maintenance Planner, enter the following link into your web browser:
<https://apps.support.sap.com/sap/support/mp>
An SAP Fiori-based website opens, which you can access with your S-user credentials. For SAP partners, the partner user must be linked to the customer user to be able to view the customer's systems. The Maintenance Planner helps you find and download the required installation files and provides the necessary documentation.
Not only can you use the Maintenance Planner to install new systems, but you can also use the Maintenance Planner for system conversions (see Figure 9.2). The tool helps you search for add-ons, business functions, and industry solutions on the existing system and also lets you determine whether your system can be converted at all (see Chapter 10).
**Figure 9.2** Maintenance Planner for Installing New SAP S/4HANA Systems or Converting Existing Systems
Go to the link shown in Figure 9.2 to download the SAP S/4HANA Installation Guide (menu item New installation details), which will guide you through the individual installation steps. After you have completed the process, you can use the Push to Download Basket function (see Figure 9.3) to move the installation files to the Download Manager and directly download the files with this tool.
**Figure 9.3** Downloading the Files via the Maintenance Planner
The PDF that you can download using Download PDF (see Figure 9.3) also contains a link to the SAP Software Download Center in the SAP Support Portal. In addition, you'll need the latest Support Package Manager (SPAM) version and—if it has not been installed yet—an SAP HANA database. The latest Software Update Manager (SUM) version should also be installed. Although mostly used for system conversion, you also use the SUM for initial patches during the new installation.
For the installation, you'll need the operating system version specified in the Maintenance Planner (in our example, SUSE Linux) and the SAP HANA database version. (The specifications in the Maintenance Planner also contain information on the database version.) If SAP HANA is already implemented, you'll need to patch the database to the version that you need for your SAP S/4HANA version, and you'll have to create a new database container.
The Software Provisioning Manager (SWPM) then performs the actual SAP S/4HANA installation using the files you downloaded with the Maintenance Planner. This process follows the steps described in the installation guide (see Figure 9.4) and may take several hours.
**Figure 9.4** The Software Provisioning Manager (SWPM)
After successfully installing a "naked" SAP S/4HANA system, you can use SUM to install the support packages you may need. (Please ensure that you're using the latest version of the Software Update Manager.)
Before starting SUM, you can archive and backup your data. The SUM process can also take several hours. You can install add-ons with the SAP Add-on Installation Tool (Transaction SAINT) together with the Support Package Manager (Transaction SPAM).
Finally, you should perform some cleanup and use Transaction SPAU to make adjustments. Then, install the SAP Notes for your SAP S/4HANA version from SAP S/4HANA Release Notes using Transaction SNOTE and install the transports. Now, your SAP S/4HANA installation is complete.
###### [»] Additional Information on the Installation
You can find more information in the SAP S/4HANA Community (<https://www.sap.com/community/topic/s4hana.html>) and SAP S/4HANA Cookbook (<https://wiki.scn.sap.com/wiki/display/ATopics/SAP+S4HANA+Cookbook+-+What+is+SAP+S4HANA>).
## 9.2 System Configuration
This section describes the system configuration procedure using SAP Best Practices, which is an appropriate approach for configuring all sandbox and proof of concept systems. For a production landscape, this option is only available if SAP Best Practices meets your customer requirements (see the section on fit-to-gap analysis in Chapter 5, Section 5.2).
In SAP ERP and the traditional SAP Business Suite, SAP recommends copying the major part of the content from Client 000 (master client) to set up a customer-specific client for the implementation project. SAP Best Practices drastically reduces the number of necessary configuration tables (by more than tenfold). SAP Best Practices only includes the required system configuration settings and the necessary basic tables to set up SAP S/4HANA, on-premise.
These clients in SAP Best Practices are referred to as best practices clients in the following sections, while the other clients with full master client configuration are referred to as traditional clients. You can run best practices clients and traditional clients in the same SAP S/4HANA system (see also Chapter 6, Section 6.3).
SAP S/4HANA provides two new profiles for client copies:
* SAP_UCUS: Customizing and user master data
* SAP_CUST: Customizing
With one of these profiles, you can set up a best practices client based on the master client. For this best practices copy, only the required tables of delivery classes C and G are copied to the target client; all other tables are not copied (for example, system tables with delivery class S). A best practices client only works when copied from the master client but can facilitate future maintenance tasks if you keep standard SAP Best Practices for the remaining configuration. Future SAP S/4HANA upgrades not only affect the software but also affect SAP Best Practices content, which is also enhanced with additional functionality.
To configure the installed SAP S/4HANA system and install SAP Best Practices, you'll use various tools after the master client has been initially (or partially) copied: the SAP Solution Builder for SAP Best Practices and SAP Solution Manager 7.2. You must not confuse these tools. These tools enable you to activate SAP Best Practices according to your customer-specific requirements at the scope item level for the specific functions with the so-called Building Block Builder. The system configuration from SAP Best Practices is activated in the development system and then transported to the system landscape.
The SAP Best Practices activation might take several hours and follows the steps described in the SAP S/4HANA Admin Guide. If you activate SAP Best Practices for the U.S., you can also integrate the content with the Vertex tax system. After successfully activating SAP Best Practices with these tools, you'll only have to perform some minor postprocessing tasks manually.
###### [»] SAP S/4HANA Admin Guide
We recommend downloading a PDF version of the SAP S/4HANA Admin Guide to view it offline. The following link takes you to the Admin Guide for SAP S/4HANA 1610; however, you can also navigate to other on-premise versions from here: <http://bit.ly/v1448093>. To download the PDF document, use the Download as PDF function at the top right in the hypertext version of the Admin Guide.
The configuration process in the development system involves the following steps:
1. Import the reference client:
* Download the latest solution scope file and the installation files.
* Upload the files to the SAP S/4HANA system to make the relevant settings and create the master data.
* Import the settings to the Solution Builder using the solution scope file.
2. Use the scope items so select the solution scope you want to activate.
3. Activate the system.
When activating the system, you'll implement the relevant building blocks in a predefined order using the Solution Builder as an implementation wizard. Building blocks also include test data (master data) that is created with eCATT and settings that are installed via Business Configuration sets (BC sets).
SAP recommends not activating content in quality assurance and production systems. Instead, you can transport the system configuration across the system landscape using the transport system. For this purpose, copy the master client using the SAP_CUST profile in the quality assurance system and the production system to create best practices clients. Then, the customizing settings are transported from the best practices client in the development system via customizing and workbench requests in the following order:
1. SAP Best Practices with the customizing from the initial activation
2. Additional customer-specific IMG customizing (that is, customizing implemented using the Implementation Guide)
3. Further master client settings according to SAP Note 2272406
The transport requests for SAP Best Practices (Step 1) and the requests with customer-specific customizing (Step 2) are therefore managed separately to allow for a successful installation of future SAP Best Practices updates. This separation ensures the future viability of your SAP S/4HANA system and simplifies maintenance.
The transport route in the SAP S/4HANA landscape goes from the development system to the quality assurance system to the production system. As already mentioned, SAP Best Practices content is not activated within the quality assurance system or the production system. However, manual postprocessing (as described in the Admin Guide) might be necessary in the individual systems.
You can decide whether or not to use SAP Best Practices for the system configuration. Table 9.1 compares the advantages and disadvantages of a full implementation versus an alternative partial implementation.
System Configuration Option | Advantages | Disadvantages
---|---|---
Traditional Client:
Traditional full copy of the master client (with all configuration tables) without using the SAP Best Practices system configuration |
* Comprehensive configuration of the most functional areas
* The procedure is the same as for SAP ERP and the traditional SAP Business Suite | * Unused configuration makes future maintenance tasks more complicated
* No documentation
* No consistent and connected processes
Alternative:
Traditional full copy of the master client (with all configuration tables) and additionally enabled SAP Best Practices |
* Comprehensive configuration of the most functional areas
* Partially consistent and connected processes (SAP Best Practices)
* Partial documentation (SAP Best Practices) | * Unused configuration makes future maintenance tasks more complicated
* Partially redundant or inconsistent configuration, because two different configurations are used as the basis
Best Practices Client:
Custom, newly created best practices client (with reduced configuration tables) and SAP Best Practices |
* Consistent and connected processes
* Well documented
* Only the necessary configuration is used, which facilitates maintenance tasks | * The SAP Best Practices package is not yet available for the entire SAP S/4HANA, on-premise, solution scope
**Table 9.1** Comparing Different SAP S/4HANA System Configurations
###### [+] Free Choice of the Configuration Method
You can manually also set up and configure the on-premise system without SAP Best Practices.
For SAP S/4HANA, on-premise, the preconfigured SAP Best Practices content described in this section accelerates the implementation, but—in contrast to SAP S/4HANA Cloud—you don't necessarily have to use SAP Best Practices.
While the SAP Best Practices package in SAP S/4HANA Cloud covers various processes, SAP S/4HANA, on-premise, provides customers with a high degree of flexibility in configuration. Therefore, a fit-to-gap workshop (see Chapter 5, Section 5.2) is crucial factor successfully implementing SAP S/4HANA, on premise.
###### [»] Additional Information and Click Demos for Configuring SAP S/4HANA, On-Premise
You can find a click demo for the SAP S/4HANA 1610, on-premise, configuration at <http://bit.ly/v1448091>.
You can find a click demo for the SAP S/4HANA 1610 user administration at <http://bit.ly/v1448092>.
## 9.3 Setting Up the Frontend Server for SAP Fiori User Interfaces
SAP Fiori launchpad, which runs in web browsers is the sole central access point to SAP S/4HANA Cloud systems but also delivers additional features and capabilities for end users SAP S/4HANA, on-premise systems (see Chapter 2, Section 2.4).
SAP S/4HANA needs a frontend server (FES) for SAP Fiori user interfaces because SAP Fiori launchpad cannot communicate directly with the backend server. From the technical perspective, the frontend server is an SAP Gateway. If you already use an SAP Gateway system, you can also use it as a frontend server for SAP S/4HANA.
Because SAP Fiori launchpad leverages the frontend server for communication, users do not log on to the SAP S/4HANA backend but to the frontend server. You can also use SAP GUI, but then the user would have to toggle between SAP GUI and SAP Fiori with two different logon methods when accessing SAP GUI interfaces directly. SAP therefore recommends using the SAP Fiori launchpad as the entry point to SAP S/4HANA and as the new standardized SAP system user interface. Using the SAP Fiori launchpad makes switching between various programs unnecessary, which was the case in the traditional SAP Business Suite where content from SAP GUI was opened in web browsers sometimes.
Let's describe how to set up the frontend server. If you want to use an existing SAP Gateway system, you'll need to consider the SAP NetWeaver version and patch version required for your SAP S/4HANA version. If SAP S/4HANA 1511 and higher is installed, SAP NetWeaver 7.50 (or newer) is needed for custom frontend server installations or existing frontend servers. Here, only the SAP HANA, SAP MaxDB, and SAP ASE databases are supported (see SAP Note 2214245).
The following frontend server components are used for the SAP S/4HANA user interface:
* The web server transfers the data to the web browser on your computer or on mobile devices using SAPUI5 technology.
* SAP Gateway uses OData services to communicate with the SAP S/4HANA backend.
* The SAP Fiori Launchpad Provider provides the data model and services for SAP Fiori launchpad.
For analytical SAP Fiori apps, you'll additionally need SAP Web Dispatcher (reverse proxy).
If you don't want to set up a separate landscape for the frontend server, you can use SAP Fiori Cloud on demand. In this case, the frontend server in the cloud uses SAP HANA Cloud Connector and SAP Cloud Platform (previously SAP HANA Cloud Platform, HCP) to directly communicate with your on-premise landscape (see Section 9.3.2).
Various options are available for integrating the frontend server to your system landscape. These options refer to the type of the usage (on-premise or in the cloud) and, in the on-premise case, the type of the installation (central hub or add-on deployment):
* Central hub deployment of the frontend server for SAP Fiori
* Add-on deployment of the frontend server for SAP Fiori (also embedded or co-deployment)
* SAP Fiori Cloud using your own on-premise SAP Gateway system
* SAP Fiori Cloud without your own SAP Gateway system (Full Fiori Cloud)
Each option has advantages and disadvantages, which we'll describe in detail next. We hope the explanations in the following sections help you to identify the best option for your landscape and your technical and business requirements.
###### [»] Online Support for Selecting the Deployment Option
These two links to the SAP Enterprise Architecture Explorer contain recommendations for the frontend server landscape:
* <https://eaexplorer.hana.ondemand.com/_item.html?id=11166#!/overview>
* <https://eaexplorer.hana.ondemand.com/_item.html?id=11115#!/overview>
### 9.3.1 On-Premise Installation of the Frontend Server
This section describes implementing and using an on-premise frontend server. Although this scenario results in an additional SAP NetWeaver system in your system landscape, installing a frontend server as a central hub has the following advantages when compared to an embedded or add-on implementation in the same system:
* Software updates for SAP Fiori are decoupled from the SAP S/4HANA backend system.
* User interface (UI) innovations for SAP Fiori and other UI content can be consumed faster.
* You can also leverage the SAP S/4HANA frontend server as the frontend server for other systems in the same SAP system landscape.
* Scalability is better because you can accommodate an increasing number of users independently of the backend.
* Because the display server and data retention server are separated, data security is improved.
For these reasons, implementing a frontend server as an embedded or add-on deployment on the system on which the SAP S/4HANA backend is installed is possible but not recommended for production landscapes. This type of implementation is rather suited for trial systems (for example, for the SAP S/4HANA Fully-Activated Appliance, which includes an embedded frontend server, see Section 6.2).
As before when we actually installed the SAP S/4HANA system (see Section 9.1), you'll have to perform sizing before installing the frontend server. Then, you'll perform the actual installation using the Software Provisioning Manager (SWPM) and implement the SAP S/4HANA add-ons for the frontend server.
Finally, you'll have to carry out manual postprocessing tasks that mainly refer to the configuration. You can obtain the required installation files through the Maintenance Planner as described in Section 9.1 for SAP S/4HANA.
The name of the appropriate SAP Fiori version is "SAP FIORI FOR SAP S/4HANA," followed by the SAP S/4HANA version number, e.g., "SAP FIORI FOR SAP S/4HANA 1610" for SAP S/4HANA 1610.
###### [»] Additional Implementation Information
The following link contains more and up-to-date information on the implementation of the frontend server:
* <https://eaexplorer.hana.ondemand.com/_item.html?id=11167#!/overview>
### 9.3.2 SAP Fiori Cloud
SAP Fiori Cloud is a new, simple cloud deployment variant of the frontend server for SAP systems (previously referred to as Fiori-as-a-Service). SAP Fiori Cloud runs on SAP Cloud Platform and consumes data from your SAP S/4HANA, on-premise, system. Technically, your SAP S/4HANA landscape thus becomes a hybrid landscape because part of it—the frontend server—is implemented in the cloud. Nevertheless, your data is still kept on-premise in your data center and is not affected. SAP Fiori Cloud allows you to reduce the costs for implementing SAP S/4HANA and addresses security concerns regarding the cloud implementation.
SAP Fiori Cloud comes in two editions:
* SAP Fiori Cloud Demo enables you to explore SAP Fiori in your SAP landscape with various selected SAP Fiori apps.
* SAP Fiori Cloud allows you to use SAP Fiori in production without a separate frontend server. This edition also provides various selected SAP Fiori apps.
Similar to the central hub deployment of a single frontend server (see Section 9.3.1), SAP Fiori Cloud lets you connect several SAP systems. As a result, you'll be able to use SAP Fiori technology in your existing SAP landscape. Furthermore, you can enhance and adapt SAP Fiori apps as well as create new custom apps via the SAP Web IDE. In this scenario, data is retrieved from your on-premise systems through SAP Cloud Platform OData Provisioning—a proxy type on SAP Cloud Platform that provides OData for external systems.
You can use SAP Fiori Cloud with a separate (on-premise) SAP Gateway server or in the cloud without a separate SAP Gateway server. Table 9.2 lists the advantages and disadvantages of these two options.
Deployment Option | Advantages | Disadvantages
---|---|---
SAP Fiori Cloud with SAP Gateway, on-premise | Full functionality of SAP Gateway | You have to maintain and update SAP Gateway yourself
SAP Fiori Cloud (full cloud)—without a separate SAP Gateway installation | Minimum installation and maintenance costs for the entire SAP Fiori infrastructure | The SAP Gateway functionality is restricted (see SAP Note 1830712)
**Table 9.2** Comparing Deployment Options for SAP Fiori Cloud
The full SAP Fiori Cloud option does not support all SAP Gateway functions due to the restrictions in SAP Cloud Platform OData Provisioning.
Finally, we must mention that, if you use SAP Fiori Cloud, the SAP Gateway connection and the SAP Fiori backend components in SAP S/4HANA must also be configured in addition to SAP HANA Cloud Connector for the connection to the backend system. If you have multiple SAP backend systems (including non-SAP S/4HANA systems), these systems must also have the same SAP Cloud Platform OData Provisioning version.
The SAP Fiori apps reference library (see Chapter 2, Section 2.4) lets you search for SAP Fiori apps that are available in SAP Fiori Cloud for an overview of the limitations in this case.
###### [»] Additional Information on SAP Fiori Cloud
The following links contain more and up-to-date information on using SAP Fiori Cloud:
* Additional information: <https://uxexplorer.hana.ondemand.com/_item.html?id=10698#!/overview>
* SAP Help Portal: <https://help.sap.com/viewer/product/SAP_FIORI_CLOUD_S4H/latest/en-US>
* Product overview: <https://www.sap.com/products/fiori.html>
* SAP Fiori Cloud Trial: <https://www.sapfioritrial.com>
# 10 System Conversion
System conversion means converting an existing SAP ERP system into an SAP S/4HANA system. SAP offers many useful methods and functions to help you determine and implement the required adaptation tasks.
System conversion refers to a transition scenario in which you convert a single SAP ERP system into an SAP S/4HANA, on-premise, system. According to the vocabulary used in IT transformation projects, this scenario follows the so-called brownfield approach. In contrast to a new implementation of an SAP S/4HANA system (greenfield approach), your application data, configuration data, and custom developments are still available after the system conversion. The system conversion procedure is only available for the on-premise variant of SAP S/4HANA.
When you convert an SAP ERP system into an SAP S/4HANA system, you're migrating to the SAP S/4HANA product family. You'll change to the SAP HANA in-memory database (if you hadn't already), and the simplifications of SAP S/4HANA are implemented (see Section 10.2). This chapter introduces the procedures and tools used for system conversions.
###### [»] The "System Conversion" Concept
Because converting an existing SAP ERP system into an SAP S/4HANA system also involves a product change, this transition scenario is also referred to as a system conversion. We would not call it an "upgrade" because an upgrade would entail installing a new version of the same product.
## 10.1 Overview of the System Conversion Project
You'll have to consider two aspects when converting your system: the technical procedure with which you will install the SAP S/4HANA software and the process of migrating to the new product, which involves changes to the functions and processes you know from SAP ERP already.
As shown in Figure 10.1, in addition to performing technical conversion steps, you'll also have to adapt the functional scope of your data structure when migrating to SAP S/4HANA.
**Figure 10.1** System Conversion to SAP S/4HANA: Technical Conversion and Adaptation Requirements
An example of a possible adaptation requirement is the credit management function, which we introduced in Chapter 1, Section 1.2.1. According to the principle of one, SAP S/4HANA supports only one credit management solution, which might require adaptation in some cases. Customers who use Credit and Risk Management (SD-BF-CM) in SAP ERP need to change to the new credit management function, SAP Credit Management (FIN-FSCM-CR), when migrating to SAP S/4HANA. However, SAP Credit Management is already available in SAP ERP so you can change to this solution before you convert your system. In addition to functional adaptations due to the different solution scope of SAP S/4HANA, the simplification of the data structures can also affect your custom developments.
Various methods and tools are available in the individual conversion project phases to help you determine what adaptation work you need to migrate to SAP S/4HANA:
* Simplification list
The simplification list describes the potential adaptation work for functions that is required when converting your SAP ERP system to SAP S/4HANA. For more information on the simplification list, refer to Section 10.2.2.
* Maintenance Planner
The Maintenance Planner helps you simulate and plan the system conversion. The Maintenance Planner informs you about add-ons (both SAP and partner add-ons) and business functions that SAP S/4HANA supports or does not support. You can find more information on the Maintenance Planner in Section 10.2.3.
* Prechecks
Prechecks enable you to determine which functions need to be adjusted to migrate to SAP S/4HANA. Prechecks are provided as SAP Notes and can be implemented and executed on your SAP Business Suite source system (see Section 10.2.4).
* Custom code migration worklist
You can use the custom code migration worklist to identify the required adaptation work for custom programs when migrating to SAP S/4HANA. The custom code migration worklist supplements existing analysis tools for custom programs (for example, the Code Inspector). The worklist analyzes custom code by considering the modified data structures in and the new functional scope of SAP S/4HANA. For more information, refer to Section 10.2.5.
You can use the Software Update Manager (SUM) to install SAP S/4HANA software during the system conversion and to install subsequent updates and upgrades. SUM provides options for reducing downtime during the migration project and is regularly updated via Software Logistics Toolsets (SL Toolsets). Section 10.2.7 explains how to use SUM.
###### [»] Additional Information
Since June 2017, the SAP Readiness Check for SAP S/4HANA has been available. This cloud-based tool is available for free to anyone with a current SAP maintenance agreement. The readiness check reviews both your production (PRD) systems (or copies thereof) and your development (DEV) systems, determines their compatibility for SAP S/4HANA conversion, and provides the necessary conversion preparation steps. Among other results, the SAP Readiness Check for SAP S/4HANA displays the simplification items relevant to your specific SAP ERP 6.x system. Simplification items are identified according to factors such as transactions used and table contents.
More information (including the user guide and required configuration settings) can be found at <https://help.sap.com/viewer/p/SAP_READINESS_CHECK>.
### 10.1.1 System Conversion Process
Figure 10.2 illustrates the basic steps, as well as the relevant tools, you'll need to perform to convert your system into an SAP S/4HANA system.
**Figure 10.2** Tools Used for the System Conversion
During the prepare and planning phase of the system conversion project, you'll have to verify the system requirements. For example, SAP does not provide one-step system conversions for older SAP releases (for example, SAP R/3 Enterprise Edition 4.6C). You'll also use the simplification list, the Maintenance Planner, prechecks, and the custom code migration worklist to obtain an overview of the required adaptation tasks during this phase. For example, you'll have to determine the timeframe for implementing the new simplified processes and determine when you want to use the new SAP Fiori-based user interfaces and which SAP GUI transactions you want to continue to use after the system conversion.
The tools and functions for the prepare and planning phase are already available in your existing SAP ERP source system. Because you can implement numerous adaptations in this system (and some may need to be implemented before the conversion), you should perform the prepare and planning steps early in the conversion project.
In the adaptation and test phase (see Figure 10.3), you'll convert your development system (see Section 10.1.2) and perform the planned adaptations. Tests (usually, several test runs are required) and end-user training are preparatory steps for the go-live.
In the execution phase, you'll perform the technical SAP S/4HANA conversion using SUM. SUM combines three steps in one integrated process. In a one-step procedure, you'll convert to the SAP HANA database, change the software, and convert the application data from your legacy data structure to the new data structure. When the SAP S/4HANA production system goes live, you can scale back the existing SAP Business Suite system landscape.
Figure 10.3 provides an overview of the individual tasks for the SAP S/4HANA conversion project phases.
**Figure 10.3** Project Phase Tasks for the System Conversion
Section 10.2 describes the individual conversion steps in detail.
###### [»] Additional Information
The "Conversion Guide for SAP S/4HANA" provides basic information on the SAP S/4HANA system conversion process. Select your SAP S/4HANA version at <https://help.sap.com/s4hana>.
SAP Note 2332030 contains additional information on specific preparatory and follow-up steps for accounting.
### 10.1.2 System Group Conversion
The customer system landscape is a determining factor for the SAP S/4HANA system conversion. Usually, a system landscape consists of a group of several SAP ERP systems that are connected via transport routes. You should therefore never carry out the development and test tasks in the production system. To test and verify the developments, you should add a consolidation system to the system group. You'll then have a three-system landscape, which is used by the majority of SAP ERP customers.
###### [»] Landscapes with Multiple Production Systems
Some customers use several production systems, for example, to map regional structures with subsidiaries in various countries. However, in this section, we'll focus on a three-system landscape with one production system.
When converting a single-system landscape, you must consider the entire system group. You'll have to migrate every system in the system group to SAP S/4HANA to continue the necessary separation of tasks by individual systems in the system group in SAP S/4HANA.
We can't provide general recommendations for migrating system groups because customer requirements differ considerably. Figure 10.4 therefore illustrates how to convert a system group in an abstract way.
First, you'll convert the development and quality assurance (QA) systems to SAP S/4HANA. The SAP S/4HANA development system is usually a system copy of your existing development system in the SAP Business Suite landscape, converted to SAP S/4HANA.
During the development system conversion, you'll adapt your business functionalities (for example, the credit management function if required) and custom developments as determined in the planning phase. These adaptations are recorded by transport requests and tested in the quality assurance system.
**Figure 10.4** System Conversion in a Three-System Landscape
During the production system conversion, these transports are installed in the corresponding SUM phases to provide the necessary adaptations in the production system. You should carry out several test runs before you convert the production system so that you can test the entire procedure and specify measures to minimize production system downtime.
Figure 10.5 provides an overview of the various conversion runs for common system conversions:
1. Initial test system conversion
Usually, the first step of a system conversion project is to carry out tests in the sandbox system (for example, a copy of the PRD system). You'll gain technical know-how about the conversion procedure in these tests, which you can use for subsequent conversions. End users can also make themselves familiar with SAP S/4HANA business functions in this system. In addition, you'll analyze and test your custom developments based on the new software.
2. Development system (DEV system) conversion
In the SAP S/4HANA development system, you'll adapt your custom developments to the SAP S/4HANA solution scope and data structures. You'll also implement the mandatory adaptations in SAP S/4HANA if you have not already implemented them in the source system. To benefit most from the SAP S/4HANA conversion, you can implement further optional adaptations.
3. Quality assurance system (QA system) conversion
You'll import adaptations from the DEV system (process adjustments and adaptations of the custom developments) and test the adapted business processes.
4. Test run of the production system (PRD system) conversion
You'll test the production system conversion in the sandbox system under the same conditions that apply to your PRD system. In this context, you can prepare optimization measures for reducing downtime and can also develop and finalize the cut-over plan. You might have to repeat the tests several times.
5. Production system conversion
You'll then convert the PRD system according to the specifications of your cut-over plan.
**Figure 10.5** Conversion Cycles in the System Group
Before you convert the production system to SAP S/4HANA, you'll have to keep the initial state of the SAP Business Suite system landscape, for example, to provide necessary corrections there. Consequently, you'll maintain two development systems from the start of the SAP S/4HANA conversion project (development system conversion) up to the production system conversion. You can scale back the development system in the SAP Business Suite landscape when the production system conversion to SAP S/4HANA is complete. During this transition phase with two development systems, you'll have to develop a strategy addressing how changes made in the SAP ERP system group during this time will affect SAP S/4HANA system group in the future.
Ultimately, the SAP S/4HANA system conversion does not pose new requirements to the software lifecycle management processes in a system group or to the definition of the transport routes between the systems.
## 10.2 Converting Single Systems
This section explains the steps that you'll have to perform in every system you are converting to SAP S/4HANA. Note that these steps are performed in different phases and probably in different systems of the system group and at different times. For example, you can adapt your custom developments in the SAP S/4HANA development system. Also in the development system, you'll collect the adaptations in transports, which are then directly installed when you convert the production system.
You can also implement many of the mandatory or optional business process modifications or adjust your custom developments immediately on the SAP ERP start release. In this case, these conversion project steps are carried out in upstream systems. You'll have to decide for your specific conversion project whether you implement these adaptations beforehand or during the system conversion on the SAP S/4HANA development system.
In addition to the specific SAP S/4HANA conversion project steps, you'll also have to carry out standard tasks that you already know from other transformation projects, for example:
* End-user training
If you modify business processes or migrate to SAP Fiori-based user interfaces, you'll have to schedule specific end-user training sessions and carry them out in a timely manner.
* IT employee training focusing on new technologies
SAP S/4HANA introduces new technologies, such as Core Data Services (CDS) and the new HTML5-based SAP Fiori user interfaces. You'll have to train your experts accordingly.
* Business process tests
Don't forget to include application tests.
These standard tasks of transformation projects are not described in detail in this book. Nevertheless, these tasks are also critical for the success of your SAP S/4HANA conversion project and need to be performed.
### 10.2.1 System Requirements
Basically, you can convert any SAP ERP system to SAP S/4HANA. However, the effort and procedure required depend on the initial release.
Migrating to SAP S/4HANA (or changes to a new release within SAP ERP) is a one-step procedure if you upgrade the software and migrate the database in the same technical step. You can convert your SAP ERP systems into an SAP S/4HANA system using the one-step procedure if the following requirements are met:
* Start release
SAP ERP 6.0, Enhancement Packages (EHP) 0 through 8, must be installed on the source system. You might already be using an SAP HANA database, but you can also convert SAP ERP systems with other databases in one step.
* Unicode
The source system must be a Unicode system.
* Only SAP NetWeaver Application Server (AS) ABAP
The SAP ERP source system must be a pure ABAP system. Converting dual-stack systems (combination of AS ABAP and AS Java in one system) is not supported.
Systems on which older releases are installed or for which no Unicode conversion has been performed must be converted to SAP S/4HANA in multiple steps.
###### [»] Unicode Conversion
In mid-2014, SAP announced that all new SAP NetWeaver releases after 7.40 and all products based on higher releases would only be compatible with Unicode. Technically, non-Unicode systems based on SAP NetWeaver releases up to 7.40 cannot be converted into a product with an SAP NetWeaver release that is higher than 7.40. You'll have to perform a Unicode conversion first.
In general, the following conversion paths to SAP S/4HANA, on-premise, are supported:
1. From SAP ERP 6.0 to SAP S/4HANA
2. From SAP ERP 6.0 to SAP S/4HANA Finance
3. From SAP S/4HANA Finance to SAP S/4HANA
Figure 10.6 illustrates these conversion paths.
**Figure 10.6** SAP S/4HANA Conversion Paths
As we described in Chapter 3, Section 3.2, SAP S/4HANA has two on-premise variants. For example, SAP S/4HANA Finance with the new functions is available in accounting, while SAP S/4HANA contains new functions for accounting and for logistics. In system conversions, the two on-premise variants differ in the following ways:
* Adaptation requirements
Due to the different innovation scope of the two variants, their adaptation requirements also differ. Depending on your requirements and needs, you'll follow a step-by-step approach for the conversion. If you only want to use SAP S/4HANA's innovations for accounting, you can use SAP S/4HANA Finance to defer the logistics process adaptations until later in the project. However, as a result, the new logistics functions will not be available until your logistics processes are adapted. These adaptation requirements need to be considered individually during the planning phase.
* Conversion procedures
The two variants differ in terms of technical structures and technical conversion procedures. Technically, SAP S/4HANA Finance is an exchange add-on that is based on SAP ERP 6.0 and requires the corresponding EHP (for SAP S/4HANA Finance 1605, the system must be updated to EHP 8). For system conversions to SAP S/4HANA, in contrast, the entire software core is exchanged. However, for customers, this detail in the technical procedure is unimportant because they can use SUM to execute the one-step approach for both variants.
### 10.2.2 Simplification List
The simplification list describes the potential adaptation work that is required to convert your SAP ERP system to SAP S/4HANA at the functional level. Simplification list items (for short, simplification items) illustrate the business adaptation requirements and effects to custom developments for each function described. For more complex modifications, the simplification items provide the relevant guides to support you.
The simplification list is an important tool for planning the conversion project and should be used at an early stage. You can implement many of the necessary adaptations on your existing SAP ERP source system. As a result, you'll be able to start the conversion project before actually installing any SAP S/4HANA software. Consequently, the simplification list is an important source of information to schedule necessary conversion project tasks and assign the required resources.
The simplification list is supplemented by program-based analysis tools to help you identify relevant adaptation tasks, such as the Maintenance Planner, prechecks, and the custom code migration worklist, which we'll describe in detail in the following sections.
The SAP Help for each SAP S/4HANA release includes the simplification list as a comprehensive document. In addition, the individual simplification items are available as separate SAP Notes.
In general, the functions listed in the simplification list can be divided into three categories:
* Functions that are modified in SAP S/4HANA
Simplification items in this category refer to functions that are generally available in the same form in SAP S/4HANA but have been adapted in such a way that might affect existing processes and custom programs.
###### [eg] Change of the Material Number Field Length
An example of a simplification item in this category is the extension of the material number field. In an SAP S/4HANA system, the MATNR domain has a field length of 40 characters. The field length of the MATNR domain in an SAP ERP system is 18 characters. Although the function of the MATNR domain in the material master of each system remains essentially the same, this difference in field length may affect your custom code. Usually, this change in the length of the field doesn't affect your business processes because, after the system conversion, you can choose to use the longer material number field. If you want to use with 40 characters, you'll have to take into account how this choice may affect other integrated systems. For more information on potentially necessary modifications regarding the 40-character material number, see SAP Note 2267140.
* Functions that are no longer available in SAP S/4HANA in this form
Simplification items in this category refer to functions that are not available in SAP S/4HANA. In these cases, you can usually change to an alternative function already available in SAP ERP.
An example of this category is the credit management function as described in Section 10.2.1. For system conversions to SAP S/4HANA, you'll have to consider changing to an alternative function and then implementing this function (for example, the advanced credit management function, SAP Credit Management). For more information on potentially necessary credit management adaptations, see SAP Note 2270544.
* Functions that do not map to the SAP S/4HANA target architecture
Simplification items in this category provide information on changes that are planned for SAP S/4HANA. This category includes functions from SAP ERP that are the same in the current SAP S/4HANA version but do not map to the target architecture. Usually, alternative functions are already available.
An example in this category is the warehouse management function of SAP Warehouse Management (SAP WM, see Chapter 1, Section 1.3.2). You can continue to use this function after the SAP S/4HANA system conversion, but SAP WM is not part of the target architecture. The target warehouse management architecture is SAP Extended Warehouse Management (SAP EWM).
Distributed across the various categories, the simplification list for SAP S/4HANA 1610 contains about 400 simplification items. Figure 10.7 shows how simplification items are distributed among these categories.
**Figure 10.7** Simplification List Categories
Figure 10.8 shows how simplification items are distributed among functional areas.
**Figure 10.8** Simplification Items in the Different Application Areas
Our experience from previous SAP S/4HANA conversion projects has shown that the average number of simplification items that customers may need to adapt is between 30 and 50.
###### [»] Additional Information
The SAP S/4HANA documentation for each release includes the simplification list as a comprehensive PDF document: <https://help.sap.com/s4hana>. In addition, the simplification list is also available in XLS format (including the corresponding application components) in SAP Note 2313884.
Each simplification item has a corresponding SAP Note (so-called business impact notes) that provides basic information and sometimes additional information and how-to guides. You can find the appropriate SAP Notes in the XLS document. Examples of individual business impact notes for simplification items include the following:
* SAP Note 2265093 (S4TWL – Business Partner Approach)
* SAP Note 2270544 (S4TWL – Credit Management)
### 10.2.3 Maintenance Planner
Using the Maintenance Planner is the first step in the prepare and planning phase of your SAP S/4HANA conversion project. The Maintenance Planner helps you simulate and plan the system conversion. The result is a comprehensive system landscape and maintenance plan. You can also decide whether to install the frontend server as a separate SAP Fiori installation or in combination with the backend server (see Chapter 9, Section 9.3).
The maintenance plan generated in the Maintenance Planner forms the basis for the subsequent steps in the system conversion. In addition, the Maintenance Planners checks the add-ons currently installed on your SAP ERP system and whether the enabled business functions are compatible with the SAP S/4HANA target release.
The SAP Support Portal provides the Maintenance Planner as a cloud-based application. Figure 10.9 shows how the Maintenance Planner accesses information about the customer landscape.
**Figure 10.9** System Landscape with Maintenance Planner
The Maintenance Planner accesses the landscape data stored in your customer profile in the SAP Support Portal. The system landscape data in your customer profile is regularly updated via the Landscape Management Database (LMDB) of SAP Solution Manager and the System Landscape Directory (SLD) of your landscape. To access your individual customer data, you'll require an S-User for the SAP Support Portal (or its predecessor, SAP Service Marketplace). The SAP Solution Manager user must be assigned to the S-User.
Call the Maintenance Planner as described in Chapter 9, Section 9.1, and select the Plan an SAP S/4HANA conversion of an existing system option to plan a single system conversion. In the guided steps, enter the SAP ERP system you want to convert, select the SAP S/4HANA target release, and specify the frontend server for the SAP Fiori user interface. After entering this information in the Maintenance Planner, you'll receive the maintenance plan and a so-called stack XML, which contains information on the calculated start and target combinations. The maintenance plan is also available as a PDF document that includes a link to the SAP S/4HANA software that you want to install. You'll need the stack XML that was generated in the Maintenance Planner during the system conversion. You can use the stack XML for the prechecks (which we recommend) and will use the stack XML in SUM to ensure that only compatible maintenance operations can be executed.
Not only can you use the Maintenance Planner to plan your future system landscape, you can use its guided procedure to check the add-ons currently installed on your SAP ERP system (SAP add-ons or partner add-ons) and whether the enabled business functions are compatible with the SAP S/4HANA target release. If add-ons or business functions in your SAP ERP source system are not (yet) supported by SAP S/4HANA, the Maintenance Planner will output an error message. However, future support for currently unsupported add-ons and business functions may be expected, so you should contact SAP or your partner provider. In some cases, you can also uninstall add-ons that are installed but no longer used to proceed with the system conversion.
If you have business functions active on your SAP ERP source system with the ALWAYS_OFF status in the SAP S/4HANA target release, you will not be able to convert the system to SAP S/4HANA. With SAP S/4HANA 1610, however, you'll rarely encounter this problem.
###### [»] Additional Information
You can find additional information, links to blogs in the SAP Community Hub, and best practice guides in the SAP documentation for the Maintenance Planner at: <http://help.sap.com/maintenanceplanner>.
SAP Note 2214409 provides more information on supported SAP add-ons, and SAP Note 2392527 contains details on supported partner add-ons. Note that SAP cannot make any compatibility statements for uncertified partner add-ons. Consequently, the Maintenance Planner outputs a warning message for this category of partner add-ons. SAP Note 2240359 provides further information on this procedure.
### 10.2.4 Prechecks
SAP S/4HANA Pre-Transition Checks (prechecks) let you evaluate the adaptation requirements for your business processes when migrating to SAP S/4HANA. The prechecks are SAP programs (delivered in SAP Notes) installed and executed on the SAP ERP source system release, which will output a results log. These results correspond to simplification items, which we discussed in Section 10.2.2.
Prechecks are responsible for two tasks: identifying the relevant simplification items for the system conversion and ensuring that tasks that need to be executed before the system conversion are actually performed.
An example of a task that needs to be executed before the system conversion is included in the simplification item for the customer/vendor integration for business partners (see SAP Note 2265093). In SAP S/4HANA, SAP business partners must be used to benefit from IT-related advantages such as nonredundancy and data integrity. The corresponding precheck (provided in SAP Note 2210486) verifies whether a business partner exists for each customer and vendor. This precheck results in a list of customer and vendor masters that have not been implemented yet.
You'll execute prechecks in the conversion project twice. You can (and should) first execute them in the prepare phase of the project 1. Additionally, further prechecks are automatically executed in the execution phase 2, called automatically by SUM when checking the prerequisites. If the mandatory activities have not been performed or if the prechecks have not been installed in the target system, the conversion procedures will pause, and an error log will be output.
For example, implementing customer/vendor master records for SAP business partners is a mandatory activity. Implementing this master data is a prerequisite for converting existing application data to the new data structure. Figure 10.10 shows when the prechecks are executed for the system conversion.
**Figure 10.10** Execution of Prechecks
When executing the prechecks in the prepare phase (which we recommend), you can provide the conversion path if you include the stack XML that was generated in the Maintenance Planner. Based on the stack XML file, the SAP S/4HANA target release is taken into account when prechecks are executed, which can have an impact on the results log.
#### Executing Prechecks in the Prepare and Planning Phase
SAP Note 2182725 provides the central check report, R_S4_PRE_TRANSITION_CHECKS. Follow these steps to execute the prechecks:
1. Implement SAP Note 2182725 (and all detailed notes listed therein) in Client 000 of all systems (i.e., DEV, QA, and PRD) of the system landscape you want to convert to SAP S/4HANA.
2. Execute the R_S4_PRE_TRANSITION_CHECKS program in the client of all systems (using Transaction SE38 or Transaction SA38). Ensure that you are using the latest version of SAP Note 2182725.
To use information from the maintenance plan (for example, the target release), you should also use the stack XML that was generated in the Maintenance Planner to execute the prechecks in the planning phase. In general, the checks in accounting are also executed using the R_S4_PRE_TRANSITION_CHECKS report. Note, however, that the check for Asset Accounting (FI-AA) needs to be implemented and executed separately. For this purpose, implement the report provided in SAP Note 2333236.
#### Executing Checks in the Software Update Manager Check Phase
As described in the previous section, SUM will call and execute the prechecks again. Only if the prechecks do not have negative results will SUM proceed with the next step. If results are negative or if the precheck classes in the conversion system have not been implemented using SAP Notes, postprocessing work will be required.
###### [»] Additional Information
The check logic we described in this section is relevant for system conversions to SAP S/4HANA 1511, 1610, and higher releases. You can find more information on the check logic for converting SAP S/4HANA Finance 1605 in the documentation at <https://help.sap.com/sfin>.
The SAP S/4HANA Community blog at <https://blogs.sap.com/2016/12/10/pre-checks-in-system-conversion/> also provides detailed information and instructions.
### 10.2.5 Adapting Custom Developments
Enterprises run business processes that differ from customer to customer and have had to adjust their SAP ERP system to these processes in the best possible way. In the past, enterprises frequently developed custom programs if the SAP Standard could not map these specific requirements.
The majority of SAP ERP systems probably contain additional custom program logic. SAP ERP provides various custom enhancement options from user and customer exits to Business Add-Ins (BAdIs) to modification of SAP Standard objects.
However, these enhancement options affect the release compatibility and the work required when changes are released . As with business functions, you'll also have to check whether your customer-specific ABAP developments are still compatible with SAP S/4HANA's data structure and functional scope when migrating to SAP S/4HANA. To check this compatibility, SAP provides the custom code migration worklist, a basic tool that enables you to check your enhancements, modifications, or custom developments for compatibility before the system conversion.
However, you should also leverage the migration to SAP S/4HANA to analyze your customer-specific ABAP developments in general. For example, modifying custom programs without checking whether they are used does not make sense. As a result, you should always carefully check automated inspection programs and service offers that some consulting firms provide for SAP S/4HANA conversions.
We recommend performing these steps for analyzing and adapting your customer-specific ABAP developments for the system conversion in the following order:
1. Analyzing and adapting custom developments in general:
* Transparency for custom developments (not used/hardly used, standard custom development)
* Optimization of custom developments (scale back, proven methods, performance optimizations)
2. Analyzing and adapting custom developments for the database migration to SAP HANA:
* Adaptation of custom developments that use specific characteristics of the predecessor database
* Performance optimizations on the basis of SAP HANA
3. Analyzing and adapting custom developments for the migration to SAP S/4HANA:
* Adaptation of custom developments that are no longer mapped in the solution scope and data structure of SAP S/4HANA
* Optional adaptation of custom developments with regard to functions that are not included in the target architecture of SAP S/4HANA
* Analysis and implementation of possible performance optimizations
###### [»] Additional Information
The following link provides information about the custom code adaptation process with links to related information: https://blogs.sap.com/2017/02/15/sap-s4hana-system-conversion-custom-code-adaptation-process/.
#### Analyzing and Adapting Custom Developments in General
Depending optimization needs, SAP customers have enhanced, modified, or added custom logic to standard business processes. This individual business process optimization can lead to increased costs for operating SAP software. For example, additional effort might be required for custom developments when releases are upgraded and support packages need to be installed. In general, system complexity increases with the number of custom developments. Considering the costs of custom developments, be sure to check them at regular intervals. As our experience from various customer projects have shown, 30% to 50% of custom programs are not used at all after a few years.
Consequently, you should first obtain an overview of your custom developments. You should always perform this basic task when migrating to SAP S/4HANA. To create this overview, use the SAP Custom Code Lifecycle Management tool set (CCLM) to analyze and manage the lifecycle of custom developments. Usage Procedure Logging (UPL) allows you to gain detailed usage information on custom objects.
Based on these analyses, you can now optimize your custom developments. The Decommissioning Cockpit lets you identify redundant or obsolete development objects and remove them from the customer system. You should also check whether your custom developments still in use correspond to the recommended programming and performance guidelines (best practices). Furthermore, you should determine whether your customer-specific enhancements can now be mapped by SAP Standard processes.
Of course, you can also perform these optimization tasks prior to the actual SAP S/4HANA conversion project. When migrating to SAP S/4HANA, you should also make yourself familiar with the new enhancement options in SAP S/4HANA, which were introduced in Chapter 3, Section 3.4.
###### [»] Additional Information
You can find blogs on enhancements and exchange information in the ABAP Development Community at:
* <https://www.sap.com/community/topic/abap.html>
You can find information about Usage Procedure Logging (UPL) at the following link:
* <http://bit.ly/v1448101>
For SAP Best Practices for the Decommissioning Cockpit, go to:
* <https://archive.sap.com/documents/docs/DOC-60525>
#### Analyzing and Adapting Custom Developments for the Database Migration to SAP HANA
Migrating to the SAP HANA database and the related database architecture changes (i.e., from a row-based to a column-based database) can affect custom developments. Although ABAP code continues to run on SAP HANA, you'll have to adapt the custom developments that use specific characteristics of the predecessor database. Examples include:
* Usage of native SQL
You'll have to replace native SQL statements.
* Implicit sorting of results lists
You should insert explicit ORDER BY statements instead.
* Direct access to pool and cluster tables
You'll have to modify code from pool and cluster tables.
In addition, you should analyze the performance optimization options in the SAP HANA database. Examples include:
* Optimization of SELECT statements
You should replace general SELECT* FROM statements with SELECT statements with a restriction to the mandatory fields.
* Use the code pushdown option
You should analyze whether so-called code pushdown methods can be leveraged, that is, whether the data calculation logic can be moved to the SAP HANA database. Code pushdown methods use CDS technology (Core Data Services) and SQLScript.
To identify conversions that are mandatory or recommended for the database migration to SAP HANA, SAP Note 1935918 provides three check variants (FUNCTIONAL_DB, FUNCTIONAL_DB_ADDITION, PERFORMANCE_DB) for the Code Inspector.
The Code Inspector (which you can call using Transaction SCI, for example) is a generic tool to check repository objects for various aspects of static code. The SQL Monitor, which is available in SAP NetWeaver 7.40 (see SAP Note 1885926 for earlier releases), enables you to analyze the SQL statements in your customer systems.
###### [+] Optimizing Custom Code Using SAP Standard Tools
You can analyze your custom developments and prepare for migration before you start the actual SAP S/4HANA conversion project. The corresponding tools are available in SAP NetWeaver.
###### [»] Additional Information
To adapt custom developments for the migration to SAP HANA, see SAP Note 1912445. You can access a sample scenario at the following link:
* <https://blogs.sap.com/2013/01/28/abap-for-sap-hana-reference-scenario/>
For more information on code pushdown, go to:
* <https://blogs.sap.com/2014/02/03/abap-for-hana-code-push-down/>
For more on optimizing ABAP applications for SAP HANA, read ABAP Development for SAP HANA by Gahm, Schneider, Westenberger, and Swanepoel (2nd edition, SAP PRESS, 2016, www.sap-press.com/3973).
For more information on SAP HANA database migrations, go to:
* <https://archive.sap.com/documents/docs/DOC-47444>
For more information on the Code Inspector, go to:
* <https://wiki.scn.sap.com/wiki/display/ABAP/Code%2BInspector>
#### Analyzing and Adapting Custom Developments for the Migration to SAP S/4HANA
Due to SAP S/4HANA's new data structures and functional simplifications, you might have to adapt your existing custom developments when migrating to SAP S/4HANA. The custom code migration worklist identifies which custom developments you'll need to adjust for migrating to SAP S/4HANA. Separate SAP Notes with instructions for the code adaptations are available for each adaptation result in the custom code migration worklist.
The custom code migration worklist contains migration tasks for custom developments. Based on Code Inspector technology, customer-specific repository objects are checked to determine if they use SAP entities that will change after migrating to SAP S/4HANA. Figure 10.11 provides an overview of how customer-specific ABAP developments are checked.
**Figure 10.11** Custom Code Migration Worklist
1. SAP entities that change with the migration to SAP S/4HANA are available as files in the SAP Support Portal (for more information, see SAP Note 2241080) and are imported to the so-called simplification database of the custom code migration worklist.
2. The Code Inspector accesses the update information in an evaluation system (a customer system based on SAP NetWeaver 7.50 or higher) with the relevant SAP S/4HANA check variants (S4HANA_READINESS). Customer objects in the connected SAP ERP system are accessed via a remote connection.
3. After the Code Inspector check has been executed, you'll receive a results list containing the required adaptation items. References to the corresponding SAP Notes describe the relevant adaptation requirements for your custom developments.
###### [»] Additional Information on the Custom Code Check
You can find up-to-date custom code check content (i.e., simplification database content) in the SAP Support Portal. SAP Note 2241080 provides information on how and where you can download the content.
SAP provides the SAP S/4HANA simplification database content as a ZIP file on the SAP Support Portal. To download the file, open the SAP Software Download Center (<https://support.sap.com/swdc>) and search for the component "CCMSIDB." Then, upload the file to your evaluation system. You can import the ZIP file using the SYCM_UPLOAD_SIMPLIFIC_INFO report or Transaction SYCM. In the transaction, choose Simplification DB • Import ZIP File (see Figure 10.12).
**Figure 10.12** Importing the Content of the Simplification Database
Because SAP allows you to download the update information in a ZIP file, you can access this information anytime whether you use SAP S/4HANA already or not. SAP updates the ZIP file with every SAP S/4HANA release, feature package, and support package. You should therefore always use the most current version of the ZIP file.
You can analyze your custom developments using the Code Inspector (Transaction SCI). Based on the check variants provided for SAP S/4HANA, you can determine the set of objects to analyze and start the inspection run. The inspection run takes place in the evaluation system, which is based on SAP NetWeaver 7.50 or 7.51. From the evaluation system, the Code Inspector accesses objects in your SAP Business Suite system via a remote connection. Figure 10.13 shows the entry screen of the SAP Code Inspector with a check variant, the set of objects, and the inspection run.
**Figure 10.13** Code Inspector for Analyzing Custom Developments
The S4HANA_READINESS check variant (see Figure 10.14), which is provided in SAP NetWeaver 7.51, allows you to compare custom objects to updated information for SAP S/4HANA. The included test variant, S/4HANA: Search for usages of simplified objects, checks custom developments by comparing them to the content of the simplification database.
S/4HANA: Field length extensions is an additional test variant that specifically checks for places in custom code that refer to the material number with 40 characters in SAP S/4HANA (see the example in Section 10.2.2).
**Figure 10.14** Check Variant S4HANA_READINESS
To analyze your custom developments, you should restrict the set of objects to be evaluated, for example, to packages in the Z namespace, as shown in Figure 10.15.
The check variant and the set of objects to be analyzed are merged in an inspection run, as shown in Figure 10.16.
**Figure 10.15** Restricting the Set of Objects
**Figure 10.16** Inspection Run in the Code Inspector
As a result, the inspection run outputs a list of the custom developments that need to be checked and probably adapted (see Figure 10.17). The results list does not include customer objects that are not affected by changes in SAP S/4HANA.
**Figure 10.17** Results List of the Inspection Run
In our example, the Code Inspector statistics indicate that about 25,000 objects in the Z namespace were analyzed in 13 minutes. The Code Inspector found that 259 objects of the 1,000 objects probably needed to be adapted. The results list breakdown shows details about the objects. In our example, 43 recommendations refer to SAP development objects that are no longer available in SAP S/4HANA. For each object in the results list, an SAP Note is provided that explains in detail which adaptations you'll have to make for this type of object. Adaptations notes can include the following information, for example:
* Adaptations resulting from the extension of the material number to 40 characters:
* SAP Note 2215424 (Field Length Extension for Material Number—General Information)
* SAP Note 2215852 (Field Length Extension for Material Number—Source Text Adjustments)
* Adaptations resulting from data model changes in Sales and Distribution (SD):
* SAP Note (SAP S/4 HANA—Changing the Data Model in Sales and Distribution)
* Adaptations resulting from data model changes in inventory management:
* SAP Note 2206980 (Stock Management: Changing the Data Model in SAP S/4HANA)
A list of modified SAP objects is maintained, and a corresponding adaptation note is provided, for each change that affects your custom developments described in a simplification item.
You can view the total list of modified SAP objects for SAP S/4HANA using Transaction SYCM. However, to do so, the ZIP file with the simplification database content must be imported. The list provides the type of modification (has the function or data structure changed, or is the function no longer available?) and the corresponding adaptation note for each SAP object. Table 10.1 illustrates this concept with some example SAP objects.
SAP Object | SAP Object Name | Change Category | Adaptation SAP Note | Note Name
---|---|---|---|---
FUNC | FT_BASIC_OBJECTS_READ_DB | Function not available | 2223144 | SD Foreign Trade
PROG | MV52AF01 total | Function not available | 2223144 | SD Foreign Trade
TABL | MAZO | Function not available | 2223144 | SD Foreign Trade
... | ... | Function not available | 2223144 | SD Foreign Trade
FUNC | /BEV1/RP_MIGERP01 | Function not available | 2224144 | Beverage solution
PROG | /DSD/ME_CPT | Function not available | 2224144 | Beverage solution
TABL | /BEV1/CAMF | Function not available | 2224144 | Beverage solution
... | ... | Function not available | 2224144 | Beverage solution
TABL | FDSB | Modified function | 2270400 | Cash Management
PROG | RFLQ_ASSIGN_FI | Modified function | 2270400 | Cash Management
... | ... | Modified function | 2270400 | Cash Management
TABL | BSAD | Modified function | 1976487 | FIN data model
TABL | BSAK | Modified function | 1976487 | FIN data model
... | ... | Modified function | 1976487 | FIN data model
**Table 10.1** Sample Information in the Object List of the Change Database
Depending on the change category, the adaptation required varies. For customer projects that include functions that will be unavailable in SAP S/4HANA, you can assume that specific custom developments will become obsolete. As a result, you'll have to check during the conversion project whether the successor function provided by SAP S/4HANA covers the business process, and you'll have to consider alternative business process extensions. If the data structure has changed (for example, the material number extended to 40 characters), you'll have to adjust the custom code according to the specifications in the SAP Notes.
The update information for SAP objects in the ZIP file from the SAP Support Portal always contains information on the latest SAP S/4HANA release so that you can analyze your custom developments regardless of the desired SAP S/4HANA target release, for example, if you have not chosen an SAP S/4HANA target release yet but want to analyze your custom developments. In addition, you should also analyze your custom developments based on the latest update information early on in an SAP S/4HANA release upgrade project (for example, upgrading from SAP S/4HANA 1511 to SAP S/4HANA 1610).
#### Distribution of the Adaptation Tasks in the System Group
The following lists the individual adaptation tasks in the SAP ERP and SAP S/4HANA system groups.
You can carry out the activities from Table 10.2 as preparatory steps in your existing SAP ERP system group.
System Role | Activity
---|---
PRD system | Activating analysis tools such as SQL Monitor (SQLM), Usage & Procedure Logging (UPL), and Workload Monitor (Transaction ST03)
DEV system | Analyzing custom developments considering three adaptation categories:
* General analysis
* Analyses with regard to the SAP HANA database
* Analyses with regard to SAP S/4HANA
Implementing the adaptations that can be made in your existing SAP ERP system group:
* Deleting obsolete custom developments (using the Decommissioning Cockpit, for example)
* Developing adaptations with regard to the SAP HANA database (based on the Code Inspector checks in Transaction SCI)
* Developing adaptations with regard to SAP S/4HANA (based on the custom code migration worklist or Code Inspector checks)
**Table 10.2** Preparatory Measures in the SAP ERP System Group
The activities from Table 10.3 are then carried out in the SAP S/4HANA system group.
System Role | Activity
---|---
| Before the Conversion | During the Conversion | After the Conversion
DEV system | Analyzing custom developments considering three adaptation categories:
* General analysis and transparency
* Analyses with regard to the SAP HANA database
* Analyses with regard to SAP S/4HANA | * Adapting modified ABAP Dictionary objects (in Transaction SPDD)
* Adapting custom developments to modified SAP S/4HANA data structures | * Adapting modified non-ABAP Dictionary objects (in Transaction SPAU)
* Adapting custom developments to modified SAP S/4HANA data structures
QA system | |
* Installing transport requests with adaptations in Transactions SPDD and SPAU
* Installing transport requests with SAP HANA or SAP S/4HANA adaptations
| Functional tests and performance tests
PRD system | |
* Installing transport requests with adaptations in Transactions SPDD and SPAU
* Installing transport requests with SAP HANA and SAP S/4HANA adaptations
|
**Table 10.3** Activities in the SAP S/4HANA System Group
### 10.2.6 Database Sizing for SAP S/4HANA
When migrating to SAP S/4HANA, you'll also have to migrate the SAP HANA database if you do not already operate your SAP ERP system with SAP HANA. You'll have to procure the required hardware and perform appropriate sizing for the database server before migrating to SAP S/4HANA and consider these steps in your planning.
Various options are available for sizing the SAP HANA database. One option is the Quick Sizer—a web-based tool designed for sizing new implementations of SAP HANA-based systems. For more information on the Quick Sizer, go to <http://service.sap.com/quicksizer>.
For system conversions, choose the /SDF/HDB_SIZING ABAP sizing report, which is provided with SAP Note 1872170. This sizing report analyzes the SAP ERP source system's current memory and processing needs and outputs a report providing information on the requirements for the SAP HANA database.
###### [»] Additional Information on Sizing
You can find more information on sizing for SAP HANA at <https://service.sap.com/sizing>.
In addition, read SAP Note 2303847 for more information on the /SDF/HDB_SIZING sizing report including guidelines and FAQs.
### 10.2.7 Using Software Update Manager
The Software Update Manager (SUM) performs the technical steps for converting a single system. SAP Basis administrators have known about SUM since 2011. SUM is designed to reduce downtimes during software installation. The steps that SUM performs for SAP S/4HANA system conversions do not differ from the steps that SUM performs for SAP Business Suite upgrades. This section therefore focuses on steps specific to SAP S/4HANA or that are new.
#### SAP S/4HANA System Conversion Steps in Software Update Manager (SUM)
In general, SUM carries out three core tasks of various system conversion phases in one step:
1. Converting the software to SAP S/4HANA
SUM installs the new SAP S/4HANA software on the SAP ERP source system. For example, SUM replaces the SAP_APPL software component with the S4CORE SAP S/4HANA Basis component.
2. Migration to the SAP HANA database
If your SAP ERP system is based on a different database, SUM migrates the database to SAP HANA using the Software Update Manager Database Migration Option (DMO).
3. Converting the application data to the new SAP S/4HANA data structure
Because some data structures in SAP S/4HANA change (for example, data structure changes for stock management—table MATDOC), SUM converts the application data from the old data structure to the new data structure.
Figure 10.18 provides an overview of the different SUM phases.
**Figure 10.18** System Conversion Phases in SUM
Based on the stack XML file generated in the Maintenance Planner, which contains the maintenance information, the system determines the best path to converting to SAP S/4HANA. Note that the conversion procedure cannot continue without the stack XML for the conversion system. Figure 10.19 shows the screen where you specify the location of the stack XML file.
In the first execution step, SUM analyzes prerequisites for the SAP S/4HANA system conversion. In addition to technical version checks for the operating system and the database version, SUM also analyzes the business requirements. The prechecks (see Section 10.2.4) are performed again. This check phase verifies, for example, whether the business partners have been assigned to customers and vendors. If not, the SUM procedure stops because this is a prerequisite for the next step: converting your application data from your old data structure to the new data structure in SAP S/4HANA.
**Figure 10.19** Specifying the Stack XML file
In general, the system switch upgrade procedure is used for the SAP S/4HANA system conversion. With this procedure, an additional instance of the target release (shadow instance) is generated parallel to the live system. On this shadow instance, various SAP S/4HANA system conversion steps are then performed. During these steps in SUM, the administrator will be asked to specify the relevant target information for the new database. Figure 10.20 shows the screen for entering the SAP system ID (SID) and instance number.
**Figure 10.20** Shadow Instance Access
The SAP Basis tables from the target release are then installed on the shadow instance. In parallel to the activities performed by SUM on the shadow system, normal operations can continue in your SAP ERP production system. When the production system is shut down, the downtime phase of the system conversion starts. In this SUM phase, the application data is converted from the old data structure to the new data structure, for example. Ideally, you only see that the SUM execution process is running, as shown in Figure 10.21.
**Figure 10.21** SUM Steps during Downtime
The length of downtime depends on various customer-specific factors and optimization measures implemented in the conversion system. For example, the system resources used, the database size, the number of application data to be converted, and basic factors such as the customer network play important roles in downtime. Of course, downtime also depends on the system category. For example, you could accept other downtimes and might reserve less system resources for converting a test system.
After all conversion steps have been performed successfully, the SUM execution phase is completed, and the system will display the final screen shown in Figure 10.22.
The end of the execution phase sets the stage for the postprocessing phase during downtime. One postprocessing task is to convert accounting and controlling data and their corresponding Customizing data. For more information on converting financial data, see SAP Note 2332030, which includes reference to a conversion guide for accounting.
You can trace the execution of all steps in the SUM analysis file (UPGANA.XML), which provides detailed information on the system, the database size, and the runtimes of the individual SUM phases.
**Figure 10.22** End of the SUM Execution Phase
#### The Different Procedures in Software Update Manager
SUM differentiates between three procedures and options for SAP S/4HANA system conversions:
* Default procedure
* Database Migration Option (DMO)
* Downtime-optimized procedure
The default procedure in SUM is when an additional shadow instance is generated on the same hardware to perform the conversion in parallel to running operations. You can use this default procedure (also referred to as in-place migration) for SAP S/4HANA if customers already use an SAP HANA database on their SAP ERP source system.
If the SAP ERP system is based on a different database, SUM migrates the database to SAP HANA. For this purpose, the Database Migration Option (DMO) is used. This SUM procedure is the same as the combined software update and database conversion within SAP Business Suite and is now also available for system conversions to SAP S/4HANA. In the first step, you'll generate a shadow instance on the database of the source system in parallel to running operations. Next, the new SAP HANA database is built in parallel and filled with data from the shadow instance. During downtime, you'll migrate your data to the new database. In SAP S/4HANA system conversions, you would then convert the application data to the new data structures. After these steps are completed and the postprocessing work done, you'll use the system as an SAP S/4HANA system on an SAP HANA database. The source database remains unchanged with this procedure and is available as a fallback solution.
To optimize downtimes, you should monitor system loads in test runs and optimize if required. The DMO Migration Control Center (see Figure 10.23) lets you monitor running R3load processes.
**Figure 10.23** DMO Migration Control Center
The downtime-optimized procedure allows you to implement further optimizations and is currently provided as a pilot procedure but poses higher requirements on system resources. For selected applications, the application data is converted from the old data structure to the SAP S/4HANA data structure during uptime, that is, in parallel to running operations. With this procedure, you'll then only have to convert the new application data that accumulated during uptime and was recorded using a delta mechanism.
###### [»] Additional Information on Software Update Manager
You can find more information on the Software Update Manager (SUM) at:
* <http://support.sap.com/sltoolset>
The SAP Community Hub for SAP S/4HANA provides a SUM-specific blog at:
* <https://blogs.sap.com/2015/11/24/system-conversion-to-sap-s4hana-sum-is-the-tool/>
Also, you can read application-specific SAP Notes for system conversions. The following blog contains a collection of these SAP Notes:
* <https://blogs.sap.com/2016/12/13/sap-s4hana-system-conversion-collective-notes/>
### 10.2.8 Migrating to SAP Fiori User Interfaces
The simplification resulting from migrating to SAP S/4HANA is also directly connected to the new user experience provided by SAP Fiori. In the fourth quarter of 2016, SAP published its second-generation user interface with SAP Fiori 2.0. The new interface schema, Belize, generates an even more attractive user experience.
Chapter 2, Section 2.4, discussed the basic characteristics of these user interfaces, while this section explains how to switch from traditional, SAP GUI-based user interfaces to the new SAP Fiori interfaces. First, you'll have to perform basic installation steps for SAP Fiori. A relevance analysis helps you determine which SAP Fiori apps are relevant for you. This relevance analysis is based on your transaction usage statistics. When implementing the SAP Fiori apps, you can migrate the applications gradually depending on the requirements of your users.
#### Installing SAP Fiori during the SAP S/4HANA Conversion
To use SAP Fiori, you'll have to install it when converting to SAP S/4HANA. As described in Chapter 9, Section 9.3, you'll need to install a frontend server.
After installing SAP Fiori components, you can configure the infrastructure including SAP Fiori launchpad. Analogous to installing SAP S/4HANA, the installation is integrated into the software logistics tools of the Maintenance Planner and Software Update Manager. Figure 10.24 illustrates selecting an installation variant in the Maintenance Planner.
**Figure 10.24** Selecting SAP Fiori for Installation in the Maintenance Planner
You can use SAP Fiori 2.0 in combination with SAP S/4HANA 1610. However, this release is not yet available for SAP S/4HANA 1511. Technically, SAP Fiori 2.0 is based on SAP Fiori Frontend Server 3.0. To use SAP Fiori Cloud (see Chapter 9, Section 9.3.2) for SAP S/4HANA, SAP S/4HANA 1610 needs to be installed with a separate license.
#### Relevance Analysis for SAP Fiori Apps
The Relevance and Readiness Analysis in the SAP Fiori apps reference library is an analysis tool that helps you identify the SAP Fiori apps that are relevant for you. The tool analyzes which transactions you use in your source system and generates a list of recommended apps. Figure 10.25 shows a common results list of the relevance analysis.
**Figure 10.25** Relevance Analysis for SAP Fiori Apps
You can use the Workload Monitor (Transaction ST03) to perform the usage analysis of the transaction data, for example. This usage data is then uploaded into the tool as a CSV file, and the tool analyzes the relevance of individual transactions and determines which SAP Fiori apps correspond to your most-used SAP GUI transactions.
#### Customizing the Conversion
The options provided by SAP S/4HANA's new, attractive, intuitive, and efficient user interfaces are just one dimension of a conversion project. Another dimension is how to migrate to the new user interfaces and their new way of working.
In this section, we'll address migrating from traditional user interfaces to the new SAP Fiori-based user interfaces, which will be available after the conversion project is completed. However, you can continue to use SAP GUI transactions after converting your system to SAP S/4HANA. In general, all of your users' transactions and favorites before the upgrade will still be available in the ABAP backend after the system conversion. Exceptions include transactions that are omitted in SAP S/4HANA for simplification reasons and for which the simplification list communicated modifications.
Note that SAP S/4HANA's new functions are usually only provided with SAP Fiori-based user interfaces. Thus, the question is not whether you migrate to the new user interfaces but how you perform the migration and which steps you carry out.
Figure 10.26 illustrates a possible gradual migration from traditional SAP ERP user interfaces to a target architecture based on SAP Fiori.
**Figure 10.26** Gradual Migration to New User Interfaces
Following this model, you would first introduce SAP Fiori launchpad, which will serve as the central, web-based entry point for all users that will use the SAP S/4HANA system. In SAP Fiori launchpad, you can consolidate applications from various user interface technologies (for example, SAP GUI, portals) on multiple devices (desktop PC, tablet, or smartphone).
You can integrate traditional user interfaces and continue to use your functions and business processes in the same way as before the system conversion.
For example, you can integrate a selection of Web Dynpro-based and SAP GUI-based applications from your ABAP backend or integrate entries from the SAP Easy Access menu with SAP Fiori launchpad. As of SAP S/4HANA 1610, on-premise, the design of traditional interfaces has also been adjusted to match the design of SAPUI5-based SAP Fiori apps to support a uniform user experience.
Immediately after you have converted your system, you should grant end users role-based access to the SAP Fiori launchpad. In role-based access, you'll break down complex applications into useful task-based subunits. End users will only access the user interfaces they require for carrying out the steps for which they are responsible and authorized to perform.
For example, managers need different information than administrators. Managers often process approval steps on their mobile end devices, while administrators often need access to detailed interfaces to process exceptional cases. If you use predefined roles and authorizations, you can define which apps, and what data, users are authorized to access.
The App Finder (the app store in SAP Fiori launchpad) enables users to select the apps for their roles that support their tasks in the best possible way. In this context, whether the app is an SAP Fiori, SAP GUI, or Web Dynpro ABAP application does not matter. You can also integrate custom SAP Fiori apps into the App Finder.
In a next step, you can decide whether to use SAP Fiori apps even further and replace all of your traditional user interfaces. Many enterprises start this migration by modifying their individual process steps.
For example, you can adapt approval processes or processes for travel expenses mainly for mobile end devices, which may be used most often. Next, you can adjust core business processes that affect a limited number of users. Then, you can modify business processes that affect the majority of your end users.
Ultimately, you'll have to decide yourself how and how quickly you want to migrate to the new SAP Fiori user interfaces.
###### [»] Additional Information
You can find additional information about the SAP Fiori's Relevance and Readiness Analysis in the SAP Fiori apps reference library or via the following link: <https://fioriappslibrary.hana.ondemand.com/sap/fix/externalViewer/docu/Relevance_and_Readiness_Document.pdf>.
The "SAP Fiori 2.0 Administration and Developer Guide" (<https://experience.sap.com/documents/sap-fiori-2-0-administration-and-developer-guide.pdf>) explains how to integrate Web Dynpro-based applications and SAP GUI-based applications into the SAP Fiori launchpad.
For more information on the new interface schema Belize and its availability in SAP GUI for HTML, SAP GUI for Java, and SAP GUI for Windows, read SAP Note 2365556.
For more information on the App Finder, go to <https://experience.sap.com/fiori-design-web/app-finder/>.
# 11 New Implementation of Single Systems
This chapter describes the data migration process for new SAP S/4HANA implementations as well as the tools, methods, and approaches used.
While Chapter 10 described converting an existing system to SAP S/4HANA, on-premise, this chapter explains how to perform a migration for a new implementation. This approach, also referred to as a greenfield implementation, allows long-term SAP customers to get rid of any legacy systems (for example, if the SAP ERP system has been used for a long time) and start from scratch. This scenario is also ideal if you have not used SAP ERP yet.
With a new implementation, you'll benefit the most from SAP S/4HANA's simplifications and from SAP Best Practices. If your system contains numerous custom modifications, you can return to the standard and start from scratch.
To migrate data after the initial implementation (see Chapter 9), you'll use migration tools similar to the ones introduced in Chapter 7, Section 7.3, for SAP S/4HANA Cloud editions. These tools may differ from those you've used so far in SAP Business Suite and other SAP systems.
Section 11.1 describes the data migration procedure in the overall implementation project and introduces the individual data migration phases. Section 11.2 discusses the migration objects supported by SAP Best Practices. Which migration objects are available depends on the migration tool you use. The different migration tools are introduced in Sections 11.3 and 11.4:
* Rapid Data Migration for SAP Data Services
* The SAP S/4HANA migration cockpit, which we discussed as a migration tool for SAP S/4HANA Cloud in Chapter 7, Section 7.3
To address the extended solution scope and enhancement options of SAP S/4HANA, on-premise, Section 11.5 introduces the SAP S/4HANA migration object modeler, which you can use to add additional fields to migration objects.
Finally, Section 11.6 discusses various ways to use the migration tools and summarizes their relative advantages and disadvantages. Finally, we'll also describe the limitations of and the usage options in the Legacy System Migration Workbench (LSMW) for SAP S/4HANA, which is often used for SAP Business Suite, to complement this overview of migration tools.
## 11.1 Data Migration Phases
In general, the data migration phases in SAP S/4HANA correspond to the phases common in data migrations for SAP Business Suite systems. We'll differentiate between seven phases:
1. Data analysis
2. Mapping
3. Implementation
4. Data migration test
* Functional testing
* Productive Data Load Test (PLT)
5. Data validation
6. Data cleansing
7. Productive load and support
For SAP Business Suite implementation projects in the SAP Standard implementation model, AcceleratedSAP (ASAP), these phases are implemented, as shown in Figure 11.1.
As we described in Chapter 5, the most recent version of the ASAP implementation method, ASAP 8, was further developed to become SAP Activate. Figure 11.2 illustrates how the data migration phases are integrated into the SAP Activate phases.
You can find further information on SAP Activate in Chapter 5. The following sections describe the individual data migration phases and how these phases are integrated into the SAP Activate phases.
**Figure 11.1** Data Migration Phases in ASAP Methodology
**Figure 11.2** Data Migration Phases in SAP Activate
### 11.1.1 Data Analysis
You'll usually start the data analysis in the prepare and explore (blueprint in ASAP) phases. When you model your individual business processes, you'll specify the required business objects, the master data, and the transaction data used.
###### [»] Business Object versus Migration Object
A business object is an individual data object that is needed to model a business process, for example, a material, customer, or purchase order.
A migration object is part of the business object that is used to migrate the business object. Business objects sometimes have to be divided into smaller units for technical reasons. For example, certain parts of a business object could be installed via different Application Programming Interfaces (APIs) or their data sources could differ. As a result, one business object may require more than one migration object.
###### [»] Master Data versus Transaction Data
Master data is data that is stable and used as the basis for business objects. Master data changes only slightly or not at all over a specific period of time. Common master data objects include, for example, customers, suppliers, materials, banks, and bills of material.
Transaction data is data that is volatile and subject to continuous change. Common transaction data objects include stock levels, all types of orders, account data, or contracts.
In the data analysis phase, you'll analyze the origin of your data and check whether manual or automatic data migrations are necessary. Many enterprises use various data retention systems for migrating data. You should always use the most current data sources with the highest data quality for the data migration.
Frequently, you'll have to consolidate data from different data sources into one data migration source. Depending on the number and origin of the data objects, manually transferring the data to the new system may make sense: For example, the amount of time and money for converting the data to a new format automatically could be too high. Transferring the data manually would make the most sense.
###### [eg] 300,000 Data Records Become 5,000 Data Records
An SAP customer from the automotive industry wanted to import 300,000 suppliers from an external system to a new SAP S/4HANA system. A detailed data analysis showed that only about 5,000 suppliers were relevant. The other 295,000 suppliers were mainly inactive members whose records had accumulated over time but who had not been contacted for decades.
The records of some inactive suppliers, for example, included obsolete country names such as "Yugoslavia." Ultimately, importing 5,000 suppliers was by far less time-consuming than importing 60 times that number.
Thus, finding ways to reduce the volume of the data to be migrated always makes sense: The fewer data records to migrate, the faster the import to the relevant migration tools and the shorter the total import time.
When determining migration objects, you should record the following information for each object:
* The SAP target system (if multiple target systems exist)
* The migration object and a description of the object
* The object type (master data, transaction data, Customizing data, other data)
* The estimated complexity of the migration object (1 = less complex to 10 = very complex)
* The object's relationships to other migration data objects
* The number of data records to be imported
* The source system(s)
* Important contact persons
* The planned data transfer method
* Related planning documents or business processes
The best way to store this information is in a table, for example, in Microsoft Excel. You can then add necessary object and status information to this table. Figure 11.3 shows a section from a sample table.
**Figure 11.3** Sample Table for Documenting Migration Objects
###### [»] Downloading Sample Tables
You can download this table to use as an example of migration object documentations at www.sap-press.com/4247, where you'll also find other materials for this book. You can change and modify the table as required.
### 11.1.2 Mapping
After you have specified which data objects you want to migrate, you should immediately start to map the structures and fields of your source data to the structures and fields of the target system. You'll usually do this in parallel to determining the business processes during the fit gap workshop in the SAP Activate explore phase. Because some of the master and transaction data is used in various business processes, the mapping of these objects should be completed when the data analysis phase is complete. (This corresponds to the end of the explore phase in the SAP Activate methodology.)
SAP provides predefined mappings via the SAP Best Practices Rapid Data Migration solution and the SAP S/4HANA migration cockpit. If you use the SAP S/4HANA migration cockpit, you'll only have to enter your data into the existing migration template and convert your source system values in the migration cockpit accordingly. However, using these predefined mappings also restricts your implementation options for using alternative mapping rules. The SAP Data Services-based Rapid Data Migration solution instead provides the flexibility of SAP Data Services for modifying the predefined mapping rules.
Frequently, initial tests of original data result in analysis and configuration errors that will require adjusting the target configuration and thus also the corresponding mapping and conversion rules. The mapping can consequently often not be completed until the last third of the implementation phase has been reached.
###### [eg] Alternative Units of Measure Suddenly Emerging
When the first test data was imported, an analysis of the source data showed that some international subsidiaries maintained material masters with different units of measures than in the leading system.
In the fit gap workshop, alternative units of measure were not considered necessary. The data of the leading system is usually loaded first, which consequently determines the basic unit of measure. However, because stock levels in SAP S/4HANA systems are posted in the base unit of measure, this new information required an adaptation of the configuration and the introduction of alternative units of measure. Otherwise, 400m of fabric in one subsidiary would be posted as 400 bolts of fabric (the basic unit of measure in the leading system). One role is about 100m long; so that posting would have led to an incorrect increase in stock levels.
### 11.1.3 Implementation
In the implementation phase of an SAP Business Suite implementation, you would normally run extraction programs on the source systems and run transfer routines on the target system.
You should use the data transfer tools and solutions recommended by SAP in SAP S/4HANA systems set up with SAP Best Practices.
For the Rapid Data Migration solution (see Section 11.3) and the SAP S/4HANA migration cockpit (see Section 11.4), predefined migration content is available for the migration objects listed in Section 11.2. This content is based on SAP Best Practices. Here, you'll usually have to enter the source data into the provided migration templates and maintain the source/target value conversions. When you use SAP Best Practices, costs are more transparent and can be better calculated than when implementing completely new business processes.
For migration objects not offered in SAP Best Practices, in SAP S/4HANA, on-premise, you'll have to implement transfer routines in the target system, including mapping and conversion rules, as well as implement extraction routines in the source system.
In contrast to SAP Business Suite systems, for SAP S/4HANA, you must ensure that the interfaces and technologies (BAPIs, IDocs, batch input, etc.) you want to use have been released. (For more information, see Section 11.6.)
The implementation phase runs in parallel to mapping in the realize phase (also called the realize phase in the ASAP methodology).
### 11.1.4 Testing
Tests can be decisive factors in the success of an implementation, but experience has shown that they are usually not planned sufficiently. In most cases, too little attention is paid to tests and postprocessing tasks.
The more data sources and conversion rules you have, and thus the more complex the data migration is, the more rigorously you'll have to test your migration. The more tests you can conduct with original data, the more errors you can eliminate and the higher the final data quality of the imported data.
The quality of the imported data is essential for your business processes and can considerably impact costs during live operations. You should schedule at least one Productive Load Test (PLT) as a dress rehearsal.
### 11.1.5 Data Validation
Two approaches are available for validating your data during a data migration:
* Before the data transfer
* After the data transfer
You can also combine the two approaches to be on the safe side. The important thing is that you check whether the data is correct with regard to its syntax and semantics.
The syntax of a data value is correct if the value contains the data type, is the length of the target field, and lies within the value range of an underlying value table. Usually, the relevant migration APIs verify the correctness of the syntax.
The migration cockpit uses mainly released BAPIs and function modules as migration APIs. The Rapid Data Migration solution uses IDoc interfaces. Nearly all APIs used will check the correctness of your data's syntax and semantics.
However, in some APIs, these checks are only roughly implemented. If so, you should check data values before transferring the data to avoid loading defective data. Chapter 7, Section 7.3.1, Table 7.2, provides an overview of the APIs of the migration objects in the SAP S/4HANA migration cockpit.
The semantics of a data value is correct if the data value makes sense in combination with other field values of the data record.
###### [eg] Semantic Errors
An administrator for a customer from Northern Ireland maintained NI as the country key in the source system. For all other customers, the administrator used the common ISO country keys, as used in SAP S/4HANA. Because nobody noticed this mistake, all values were converted on a 1:1 basis. Consequently, after the conversion, customers from Northern Ireland were displayed as Nicaraguan customers because NI is the valid SAP S/4HANA country key for Nicaragua.
Don't assume the correctness of your source data and always validate your data. Various tools are available for data validation. However, you should always define validation rules on the basis of expected conversion rules.
Depending on your specific situation, you'll validate your data before or after the data migration: The more complex to cleanse imported data or restore systems from a backup to a defined state and the less the data migration APIs provide for simulations, the more important it is to validate the data before you migrate the data.
Numerous data validation tools, such as SAP Query, SAP Data Services, etc., are available. The Rapid Data Migration solution contains predefined validation rules, which you can use to validate your data before and after the import.
### 11.1.6 Data Cleansing
If you find errors during the data analysis and tests, you should eliminate these errors immediately in your source system. The better the quality of the original data, the fewer errors will arise during the data migration and the better the quality of the imported data.
Cleanse your data as early as possible and use existing data cleansing processes and teams, which are required in many enterprises to satisfy quality audits and certifications.
The results of your first data migration tests are vitally important for future data cleansing processes in the source system. You should therefore integrate your existing data cleansing teams into the SAP S/4HANA migration team. If possible, the data cleansing process should be complete before you perform the initial load of the productive load test.
### 11.1.7 Productive Load and Support
The productive load process, also referred to as the initial load, is the final and most critical data migration phase. The productive load process shows whether you have done everything correctly in previous phases and in the test phase. The higher the data quality and the more tests you run in advance, the more relaxed you will be during the go-live.
In the productive load process, we strongly recommend you carry out the data migration, scheduled and as real as possible, in a dress rehearsal. Often, small details, for example, enabled source system backups or unscheduled maintenance work, can jeopardize data migrations.
You'll have to take into account many considerations that you may not have anticipated before. The following list includes a few examples:
* Nightwork, weekend work, or extra hours often needs to be approved in many European countries, and also other countries worldwide, by notifying the relevant workers' council, union, or supervisory authority. These processes require lead times and cannot be rushed. Otherwise, for example, you may find that only 2 of your 50 warehouse employees might be available for the final physical inventory on the weekend. If these processes are scheduled too late, your entire cut-over plan can be jeopardized.
* Different time zones and public holidays are often incorrectly considered or not considered at all. For example, if you scheduled a data transfer for 9am (CET), you should ensure that a contact person is available in the data center in San Francisco to provide you with the source data.
* You should also plan for IT downtimes in detail, for example, to avoid having numerous trucks waiting at your loading ramp to be loaded when they cannot be loaded. In addition, all interfaces to and from existing source systems should be disabled during the data migration. Disabling these interfaces helps you avoid falsified data and ensures that the data in your source file corresponds to the data in the source system at the time of your productive load.
These are only a few considerations (based on real-life examples) that you should consider to avoid the mistakes other people have made.
###### [»] Additional Information on Planning Data Migration Objects
You can find more information on the data migration process in the SAP environment and on the general planning and structuring of data migration projects in Data Migration with SAP by Frank Densborn, Frank Finkbohner, Johann Gradl, Michael Roth, and Michael Willinger (3rd edition, SAP PRESS, 2016, www.sap-press.com/4019).
## 11.2 Supported Migration Objects
SAP delivers and recommends two solutions for migrating data to SAP S/4HANA, on-premise. The following sections describe these tools and migration approaches in detail:
* Rapid Data Migration ("RDM" in Table 11.1)
* SAP S/4HANA migration cockpit ("MC" in Table 11.1)
These two solutions support the loading of master and transaction data to SAP S/4HANA. Table 11.1 provides an overview of the migration objects available for each solution.
Object Name in MC or RDM (If Not Included in MC) | Area | RDM | MC
---|---|---|---
Activity type | CO | X | X
Cost center | CO | X | X
Activity price | CO | X | X
Internal order | CO | X | X
Profit center | FI | X | X
Bank | FI | X | X
Customer | FI, SD | X* | X
Supplier | FI, MM-PUR | X* | X
Accounts receivable (Customer) open item | FI | X | X
Accounts payable (Vendor) open item | FI | X | X
Fixed assets incl. Balances | FI-AA | X | X
G/L account balance | FI | X | X
G/L account open item | FI | X | X
Exchange rate | FI | X | X
Inventory balances | MM-IM | X | X
Material | LO-MD | X | X
Material – Long text | LO-MD | X | X
Material consumption | LO-MD | X | X
Purchasing info record | MM-PUR | X | X
Purchase order | MM-PUR | X | X
Contracts (Purchasing) | MM-PUR | X | X
Source list | MM-PUR | X | X
Sales order | SD | X | X
Batch | QM, SD, PP-PI | X | X
Bill of material (BOM) | PP | X | X
Work center | PP, QM | X | X
Routing | PP | X | X
Equipment | PM | X | X
Maintenance task list | PM | | X
Functional location | PM | X | X
Characteristic | CA | X | X
Class | CA | X | X
Secondary Cost Element | CO | X |
Configuration Profiles for Material | LO-VC | X |
Activity Type Group | CO | X |
Profit Center Group | EC-PCA | X |
Inspection Type | QM | X |
Inspection Plans | QM | X |
Service Master | MM-SRV | X |
Object Dependencies | LO-VC | X |
Reference Operation Set | PP-BD | X |
Cost Center Group | CO | X |
Planned Independents Requirements | | X |
Order Reservation | PP-MRP | X |
Purchase Requisition | MM-PUR | X |
Open Delivery | IS-R | X |
**Table 11.1** Migration Objects Supported in the Migration Solutions (SAP S/4HANA, On-Premise, 1610)
The objects marked with an asterisk (*), Customer and Supplier, are covered by a single object called Business Partner in the Rapid Data Migration content. Section 11.3 discusses this innovation, which is based on Customer Vendor Integration (CVI), in more detail.
As shown in Table 11.1, the Rapid Data Migration solution in SAP S/4HANA 1610 covers more objects than the SAP S/4HANA migration cockpit. Furthermore, using Rapid Data Migration provides benefits due to additional data cleansing objects and unrestricted extensibility. Therefore, the following section takes a closer look at this comprehensive data migration solution.
## 11.3 Rapid Data Migration
This section introduces the Rapid Data Migration solution, which serves to migrate data to SAP S/4HANA, on-premise. Rapid Data Migration is an SAP Best Practices package that provides migration content for the SAP Data Services tool. The data migration approach with SAP Data Services and Rapid Data Migration focuses on the data quality and data validation for SAP S/4HANA.
### 11.3.1 Tools
The SAP Data Services tool is a product from the SAP Enterprise Information Management (EIM) portfolio, which provides functions for integrating data (Data Integrator) and ensuring data quality (Data Quality).
SAP Data Services is a proven and tested ETL (Extract, Transform, and Load) tool, which has a graphical user interface (designer) and can be connected to numerous source systems (extract) and target systems (load) through various interfaces. You'll map (transform) the data on the tool's drag-and-drop user interface.
SAP Data Services also enables you to continuously improve the quality of your imported data both before and during the data migration. Unlike traditional migration scenarios, you'll avoid migrating incorrect, redundant, and unnecessary data records.
In addition, Rapid Data Migration uses the SAP BusinessObjects BI platform for advanced, but optional, data migration monitoring. The platform provides predefined reports as SAP Best Practices to support data migration projects for analytics and troubleshooting. The reports are created as SAP BusinessObjects Web Intelligence reports, which allows you to support your migration projects by determining data quality and mapping issues at an early stage.
In addition to SAP Data Services, which is a standalone software to connect source and target systems, SAP also delivers further helpful tools in the EIM portfolio that you can use for data migrations. Of particular interest is the SAP Information Steward tool. Both tools provide the profiling function (to identify similarities and structures in data) and deduplication function for data (to find duplicates) and data lineage (to reconcile data between source and target systems).
###### [»] Rapid Data Migration Not Only for SAP S/4HANA
In addition to the data migration content for SAP S/4HANA, SAP provides several Rapid Data Migration packages for target systems, such as SAP ERP, SAP Customer Relationship Management (CRM), SAP Business Suite on SAP HANA, SAP SuccessFactors (for example, SAP SuccessFactors Employee Central), and SAP Hybris Cloud for Customer (C4C). You can find an overview of these packages at the following link: <http://service.sap.com/public/rds-datamigration>.
Because you'll use a standardized ETL tool, you won't have to use custom one-off programs for migrating to SAP S/4HANA but will use standard interfaces, such as IDocs (Intermediate Documents), BAPIs (Business Application Programming Interfaces), and SAP function modules. Using SAP Data Services for data migrations provides further advantages, for example:
* Direct connection to one or more source systems via database interfaces (both SAP ERP and non-SAP systems)
* Additional integration of data from CSV files, flat files, and Microsoft Excel files
* Standardization of source data from various legacy systems and files into a unified format
* Data record cleansing on the source system
* Deduplication of data and determination of the entire data record that merges and replaces duplicates (referred to as the golden record)
* Start of the mapping and validation process before you've completed the Customizing of SAP S/4HANA
* Simple and reusable mapping via drag and drop
* Visualization of the entire data flow from the source system to the target system
* Reusable check routines to minimize custom code
* Validation of external data against SAP S/4HANA check routines without having to load data records into SAP S/4HANA
* Test runs without updating data
* Usage of SAP S/4HANA standard interfaces
### 11.3.2 Architecture
The Rapid Data Migration solution combines SAP Data Services with migration content specifically developed for data migrations. Technically, the SAP data migration solution consists of three components:
* The actual software
* A database server
* A web server
The database server is used to manage repositories in several separate database instances. For example, one repository contains the entire SAP Data Services content and metadata about interfaces, which describes the interface structure as "data about data."
The web server permits access to the software through a web browser, for example, via the Central Management Console (CMC) for reporting with SAP BusinessObjects BI platform.
In addition to the software components, the SAP S/4HANA data migration solution package contains the following components:
* Data migration templates (content) including mappings for SAP Data Services (see Section 11.3.3)
* Migration Services tool for value mapping (see Section 11.3.7)
* Reports from SAP BusinessObjects Web Intelligence for monitoring and reporting (see Section 11.3.10)
* Content for the reconciliation between SAP target system and source system(s) (see Section 11.3.10)
SAP provides these components as a SAP Best Practices package for SAP S/4HANA, Rapid Data Migration. In addition to predefined business best practices content and implementation best practices for configuration, Rapid Data Migration packages contain services for data migration projects, provided by SAP Consulting or SAP partners. However, you can use this SAP Best Practices content yourself without being supported by SAP or an SAP partner by downloading the package from the SAP Best Practices Explorer free of charge (see Section 11.3.3).
The predefined migration content for SAP Data Services contains the metadata of the SAP S/4HANA target interface as well as validations for simplifying the source mapping. More than 50 business objects are supported. Theoretically, every IDoc, every asynchronous BAPI, and every web service can be used. Even RFC-enabled function modules, which are used in the standard content for the business partner object, are possible. (See Chapter 7, Table 7.2, for a list of available migration objects.)
###### [eg] Sample Migration Content
Examples of predefined templates include the following:
* For business partners with customer and supplier masters
* For logistics data such as material masters, bills of materials (BOMs), and sales documents
* For SAP Financials (FI) data, such as receivables and payables
For BAPIs without a provided IDoc interface, you can use Transaction BDBG to easily create a BAPI/ALE interface in the customer namespace. You can then also enhance SAP Data Services content without any restrictions. The SAP Best Practices package includes an enhancement guide for more information.
With Rapid Data Migration content, the ETL tool, SAP Data Services, becomes a data migration platform perfectly attuned to SAP S/4HANA, on-premise. Figure 11.4 illustrates the corresponding architecture with SAP Data Services in the center.
**Figure 11.4** Architecture of the Rapid Data Migration Solution
The platform itself runs on a relational database that is also used as a staging area. SAP Data Services can connect to any source systems via adapter frameworks, such as Open Database Connectivity (ODBC), file interfaces, Mainframe, XML files, and Microsoft Excel files:
1. Source and target system
On the left side of Figure 11.4, the system is integrated with one or more legacy systems via various interfaces; on the right side, the system is integrated with an SAP S/4HANA system. For new implementations of SAP S/4HANA, the legacy system can be an SAP ERP system or any other non-SAP system. However, legacy systems can also be mixed systems (for example, an SAP Business Suite system with multiple external add-on systems that all will be consolidated into one SAP S/4HANA system).
2. Extraction and profiling
The staging area between the source and target systems is provided by the database on which SAP Data Services runs, which may be, but not always is, the SAP HANA database. Depending on the size of the repository, we recommend maintaining a smaller landscape, for example, on the basis of an SAP Adaptive Server Enterprise (ASE) database, which can also be used with an SAP HANA database license.
In this step, you'll extract and analyze data from the source system. This analysis (profiling) is a critical step that provides detailed insights into the legacy system. These insights enable you to determine data patterns and check important details: For example, do all ZIP codes for the US have five digits (plus possible 4 digit extensions) and are only numbers used? What notations are used to designate the United States in your legacy system (e.g., "United States of America," "U.S.," and/or "USA")?
3. Cleansing, conversion, validation, and loading
This step includes the cleansing of data records so that they follow a specific pattern, the conversion of certain rules, and, finally, the reconciliation with the Customizing for SAP S/4HANA. These processes can entail, for example, merging two fields into one field, dividing fields, converting values to a specific format (for example, converting telephone numbers into the international format with "+1" for the U.S., for example), and validating mandatory fields and check tables. The cleansed and verified data is then imported to the SAP S/4HANA system.
4. Customizing extraction from SAP S/4HANA
Because you can configure SAP S/4HANA, you'll need to transfer the Customizing (for example, for company codes, plants, material types, and material groups) to the intermediate layer of SAP Data Services by replicating the Customizing in SAP Data Services using predefined content. This process enables you to ensure, in SAP Data Services, that the data records you want to import are compatible with the SAP S/4HANA system. You can repeat the delta reconciliation several times if required, for example, if you need to make changes to the Customizing in the SAP S/4HANA system.
5. Data reconciliation
After the data has been loaded, the data that is actually imported to the SAP S/4HANA system is reconciled with the expected data for the SAP Data Services migration.
6. Dashboards and reporting
The technical and functional resources involved in the data migration can trace the entire process anytime using dashboards and reports. As a result, the status of the data transfer is always transparent.
You can continue to use SAP Data Services as a fully functional connection and orchestration platform for the master data integration from several systems or for processes to ensure data quality (data governance) after the data has been transferred successfully.
### 11.3.3 Migration Content
The data migration content, which is available in packages, contains jobs for SAP Data Services. One job is delivered for each business object, and this job usually corresponds to one IDoc type. (IDocs can also call BAPIs; see below.)
###### [»] Customer Vendor Integration
SAP S/4HANA introduced innovation into the traditional customer master migration object. Customers and vendors are merged by Customer Vendor Integration (CVI) via the business partner interface for which no IDoc or BAPI is available. A new and specially developed interface in SAP S/4HANA can be addressed using a remote function module (via Remote Function Call, RFC) and is used by the Rapid Data Migration content in SAP Data Services.
All provided and modeled jobs are used as templates for the SAP Data Services platform and are available in a proprietary file format (.atl), which is a file format specific to SAP Data Services. Moreover, these packages also contain documentation as installation guides specific to the business content. These guides also include mapping templates for all business objects (tables for mapping on paper), enhancement guides (to add custom interfaces or customer-specific fields), and business process descriptions (for each business object) to enable you to understand the IDoc structure in detail.
###### [»] SAP Best Practices Migration Content beyond SAP S/4HANA
SAP not only provides free migration content for SAP S/4HANA but also for the SAP solutions listed below. You can download these packages for free (you'll only need your SAP login, such as an S user) in the SAP Best Practices Explorer at the following links:
* SAP Business Suite on SAP HANA:
<http://rapid.sap.com/bp/RDM_ERP_CRM>
* SAP ERP (including SAP Retail and SAP HCM):
<http://rapid.sap.com/bp/RDM_ERP_CRM>
* SAP CRM:
<http://rapid.sap.com/bp/RDM_ERP_CRM>
* SAP Billing for Utilities:
<http://rapid.sap.com/bp/RDM_CRM_UTIL>
* SAP SuccessFactors Employee Central:
<http://rapid.sap.com/bp/RDM_SOD_SFSF>
* SAP Hybris Cloud for Customer (C4C):
<http://rapid.sap.com/bp/RDM_SOD_SFSF>
For more information, access the SAP Service Marketplace at:
* <http://service.sap.com/public/rds-datamigration>
or
* <http://service.sap.com/bp-datamigration>.
(You might have to log on with your user credentials.)
Note that the predefined content can be localized for various countries, but technical content is provided in the English language only.
The import function in SAP Data Services lets you easily upload all available objects from the .atl files provided. Similarly, you can also use this function to save your mapping specifications or validations for reuse in other projects. We recommend using the export function for regular backups.
Now, let's turn to migrating data to SAP S/4HANA. The individual ETL functions of the SAP Data Services platform are beyond the scope of this book and not discussed in detail here.
###### [»] No Separate License Required
The product license for SAP Data Services covers both the ETL part (Data Integrator) and data cleansing part (Data Quality). If you do not have a separate software license for SAP Data Services and do not have to cleanse your data, you can request a free Data Integrator key code anytime by using your SAP HANA database license.
You can then use this key code with a valid SAP HANA REAB (Runtime Edition for Applications and SAP BW) database license, or with the full SAP HANA Enterprise database license, to load data to SAP S/4HANA or to the SAP HANA database without having to pay for additional licenses. As SAP HANA database licenses, either license (SAP HANA REAB or SAP HANA Enterprise) is included in the SAP S/4HANA license package.
For more information, go to <https://blogs.sap.com/2016/06/21/how-to-migrate-to-sap-s4hana/>.
The following link navigates you to a guide describing how to request the required key code: <https://blogs.sap.com/2016/06/20/request-an-sap-data-integrator-key-code-for-rapid-data-migration-to-sap-s4hana/>.
#### Interfaces as Part of the Migration Content
For migrating data to SAP S/4HANA, as mentioned earlier, the Rapid Data Migration solution uses IDocs, which is the SAP standard interface technology, for all objects (because all BAPIs are called via their IDoc interfaces) except for business partners to send data to SAP S/4HANA. As part of the content, the structure of the IDocs as well as their fields have been replicated as metadata in SAP Data Services. As a result, you can map the source system (your legacy system) to the SAP S/4HANA target structure in the SAP Data Services Designer.
An IDoc is a hierarchically nested structure. Individual data records in IDocs are called segments. IDocs are updated via function modules. Unlike direct updates, the ALE layer is used here. Consequently, the IDocs are always addressed via the same function module in the SAP S/4HANA target system: the RFC-enabled IDOC_INBOUND_ASYNCHRONOUS module. SAP Data Services is responsible for the entire process, and you won't have to do anything. The business partner object is an exception (see Chapter 7, Section 7.3.1, Table 7.2) because it is directly and remotely addressed by a wrapper function module (via RFC).
IDocs always have defined statuses in the SAP system. The most important status values for the data transfer in inbound IDocs are the following:
* Status 64 (waiting)
You can transfer the IDoc to the application.
* Status 53 (IDoc successfully updated)
The application document was updated.
* Status 51 (error in IDoc)
The application document was not updated.
You can differentiate between IDoc message types, which indicate the semantics of IDocs, and IDoc basic types, which define their syntax. For example, the IDoc message type ORDERS is responsible for order data, while the different versions of the basic types, ORDERS04 or ORDERS05, specify the exact syntax of the segments and all fields contained therein. The version concept specifies that fields and segments can always be added but never deleted. Consequently, ORDERS05 covers all functions of ORDERS04 plus additional new fields. This version control ensures that new systems can handle obsolete IDocs (upward compatibility) and that new systems with a higher version can send IDocs to older systems (downward compatibility).
The relationship between a message type and a basic type, however, is not always 1:n, as may seem at first, but n:m because the IDoc basic type ORDERS05 transfers two logical message types: In addition to purchase orders in the ORDERS IDoc message type, the ORDRSP message type for purchase order confirmations is also available, resulting in different meanings for the IDoc messages.
An enhancement concept is available for IDocs, which allows for IDoc extensions, such as ZORDERS05, which combines additional customer-specific fields or customer segments in the so-called IDoc type.
Although IDocs are a broad topic, this level of detail on IDoc technology is sufficient in this context. SAP Data Services will perform the tasks for you using the Rapid Data Migration content and will ensure that the IDocs are set up with the correct IDoc control records and syntax.
Over time, IDocs have proven to be solid and consistent interfaces with a smart version concept. Moreover, updates of IDocs are secure because the IDocs are completely rolled back and available for processing again when the update is canceled. For these reasons, SAP provides Transaction BDBG as a tool to generate IDoc interfaces based on asynchronous BAPIs at the touch of a button. Asynchronous BAPIs are BAPIs that can load data independently to a system instead of having to carry out an operation and providing a response. The only information returned is a success or failure indicator, similar to traditional IDocs. Transaction BDBG allows you to extend the IDoc world considerably.
Most of the BAPIs already include the BAPI ALE interface, which you can use to generate the IDoc structure and IDoc type from the BAPI. The IDoc will serve as a wrapper around the BAPI, and data will be sent as IDoc instead of directly calling a BAPI in a remote system. The inbound IDoc is then "unwrapped," and the BAPI is called locally in the target system. In general, a BAPI is an SAP function module with a defined interface and documentation. The advantage of using BAPIs is that the send process is decoupled from processing, as is the case for Application Link Enabling (ALE). Otherwise, the connection between the systems must be open during the entire BAPI processing time.
#### Example: Migrating Bank Master Data
The following sections focus on a simple example: transferring bank master data to an SAP S/4HANA system.
The object is updated in the SAP S/4HANA system using the BAPI BAPI_BANK_CREATE. However, the BAPI is called via the BAPI ALE interface and, thus, via an IDoc. As a result, in this case, SAP Data Services first sends an IDoc to the SAP S/4HANA system, while the BAPI is directly called in the SAP S/4HANA system if the SAP S/4HANA migration cockpit is used (see Section 11.4). The SAP S/4HANA migration cockpit will run as an application in SAP S/4HANA, while you'll be able to use SAP Data Services for mapping as a standalone tool at an early stage without having to connect your source and target systems.
Our example is restricted to the required bank master data only and uses two IDoc segments of the generated IDoc type, BANK_CREATE01 (message type BANK_CREATE). The technical SAP names of the segments are E1BANK_CREATE and E1BP1011_ADDRESS.
In the SAP Data Services content, these segments are BANKHeader_E1BANK_CREATE_Required and BANKBankAddress_E1BP1011_ADDRESS_Required. These names indicate, respectively, a header record and an address record. In contrast to most objects, our brief example won't include further IDoc segments at lower levels. Depending on the IDoc type definition, these deeper nested structures can be repeated several times but are not always mandatory.
Due to the default IDoc structure used, the content from SAP Data Services has the same structure for every business object and includes mapping (*_Map), validation (*_Validate), and data enrichment (*_Enrich).
The default structure of the user interface in the SAP Data Services Designer (see Figure 11.5) comprises Project Area 1 and Local Object Library 2 on the left. The entire section on the right 3 next to the Start Page provides graphical illustrations of process flows. These illustrations map the flow of data records from the top left to the bottom right.
**Figure 11.5** SAP Data Services Designer
The example in Figure 11.5 shows the Job_DM_Bank_IDoc customer job with the DF_DM_BANKHeader_Validate data flow for the bank header data. The system always displays new windows as tabs on the right-hand side.
The imported content for SAP S/4HANA has the structure shown in Figure 11.6. Jobs in SAP Data Services are organized in projects; one job can be assigned to several projects. If you modify a specific job, these modifications affect all projects. So the project name is basically only a collection of references to jobs in SAP Data Services. The same applies to all subordinate objects, such as data flows. They can be reused; modifications always affect all instances. To avoid unintentional changes, you should replicate each object and use the copy for your specific purposes.
**Figure 11.6** Project Structure with Job and IDoc Segments
We'll use the project DM_BPFDM_IDOC in our example. The project contains one job for each business object because data migration with Rapid Data Migration—as is the case for all other methods—always migrates the data of an entire business object as a logical unit and not for each SAP table.
We'll use job Job_DM_Bank_IDoc to transfer the bank master. In general, two data flows are significant for all data migrations and will have to be processed for each IDoc segment (for example, our first segment, E1BANK_CREATE, the header segment):
* DF_DM_BANKHeader_Map (mapping data flow, see Section 11.3.6)
* DF_DM_BANKHeader_Validate (validation data flow, see Section 11.3.8)
During the mapping, the fields are mapped, while the validation data flow enables you to display the results of various data validations after they have been carried out. Finally, the DF_DM_BANKHeader_Enrich data flow also exists, which is discussed in detail later in this section. To migrate your data, this step is not that important at first because empty fields will be populated with default values regardless.
For a mapping template, we'll create a mapping on paper. These mapping templates including content, provided for each business object, to facilitate assigning fields and values in the tool. In addition, mapping templates are an appropriate means to discuss complex field relationships with the persons responsible in the various user departments. You can immediately enrich your mapping templates with test or production data to simplify the loading without having to carry out field mappings. To make handling template files easier in the Microsoft Excel format, templates are included in the Rapid Data Migration package and are already filled with test data.
Figure 11.7 shows the IDoc target structure as an excerpt of the mapping template for the BANK_CREATE01 IDoc.
**Figure 11.7** SAP S/4HANA Target System as an Excerpt from the Mapping Template
The following sections describe the individual columns of the templates with the terms used in all mapping templates (as seen in Table 11.2). The following symbols are used as abbreviations in SAP Data Services as well as in all templates:
* The asterisk (*) for mandatory fields
* The dollar sign ($) to highlight existing default values (there are no default values for bank master data)
* The plus sign (+) for fields with check tables in the SAP system
Fields with a plus sign for which value mapping is required (that is, a conversion table), in addition to field mapping generally, are discussed in detail in Section 11.3.7.
Column | Description
---|---
System Required | A mandatory field
Enrichment Rule | Populated with a default value if you have not assigned a source field
Look Up Required | A check table (lookup table) for this field (Only values from the input help (F4) are permitted)
Text Description | A unique and detailed description
Field Name | Field name in Rapid Data Migration content
SAP_Table | Technical name of the table in the ABAP Dictionary
SAP_Technical_Field_name | Technical name of the field in the ABAP Dictionary
Field Length | Field length in the SAP target system
Additional Instructions and Comments | Default value for fields with dollar signs
Segment Name | Name of the IDoc segment
Lookup Table | Check table for the field that impacts valid values when the values are mapped later on
**Table 11.2** Critical Columns on the SAP S/4HANA Target Side in the Mapping Template
The data migration content for SAP Data Services uses the IDoc interface to provide the same design and functionality for all business objects in the modeled data flows and for all mapping structures. As a result, you'll be able to use new business objects without deep application expertise.
### 11.3.4 Connecting to Source Systems
Now that you're familiar with the basic structure of the content provided, let's take a look at the actual data migration process and the integration of the source system. First, you'll integrate the legacy system into SAP Data Services, which will make legacy structures and metadata known to the system.
You can also integrate several source systems to SAP Data Services using different interfaces. In our example, we won't use data from external systems; instead, we'll provide our source data using the migration templates provided in the Rapid Data Migration content (see Section 11.3.6).
As an example, let's first discuss briefly customer data: Let's assume we are using a table from the legacy system database called CUSTOMERADDRESS as well as a Microsoft Excel file called Customer_Header.xls, which contains customer names from the legacy system. (Of course, direct integration using an application or by loading flat files is also possible.)
To integrate the table CUSTOMERADDRESS from the legacy system, first perform the following steps: Navigate to the Datastores tab in the Local Object Library and create a database connection by right-clicking in the empty area.
In our example, you'll integrate the DS_LEGACY database using an ODBC interface. Each connection is provided with a subitem called Tables, which you can use to select all or a set of tables of the legacy system. This connection also makes metadata, such as field names and field lengths, known in SAP Data Services. This connection also enables you to view the existing data records in the table (see Figure 11.8).
**Figure 11.8** Integrating a Table via Open Database Connectivity
Next, you'll integrate the Microsoft Excel files by right-clicking on the Formats tab and selecting the New menu item. Next, select a specific spreadsheet and an area within the table. If the table contains column names in the first row, you can copy the metadata directly from the Microsoft Excel file by selecting the corresponding function, as shown in Figure 11.9, and confirming your selection by clicking the Import Schema button.
You can adjust the default data formats, such as varchar 255 manually if required. Be sure to use the character data type for all purely numerical values that should not be used in mathematical operations.
For integrated Microsoft Excel files, you can preview data in the same way as displaying table data records if SAP Data Services can access the file. After importing your data to SAP Data Services, you won't see any major difference, and you can use the two objects in the same way. However, one restriction applies: In SAP Data Services, database tables and flat files can be the sources as well as the targets of the data, Microsoft Excel files can only be used as a source, i.e., you cannot write to the Microsoft Excel file directly.
Figure 11.9 illustrates the integration of the Microsoft Excel file, which was assigned a name based on Customer_Header, namely, Customer_Header.xls.
**Figure 11.9** Integrating Microsoft Excel Spreadsheets
###### [»] Formatting in Microsoft Excel
Because Microsoft Excel is a spreadsheet program and not a word processor, cells with numeric content are automatically formatted as numbers, which might result in undesired exponential notations and the loss of leading zeros. This issue occurs frequently for US ZIP codes, which sometimes start with a zero. You should therefore format the corresponding columns as text columns.
### 11.3.5 Data Profiling
At this point, you have integrated the metadata of two different legacy systems (table and Excel) into SAP Data Services. You can now use the Profiler, which is embedded in SAP Data Services, to find patterns in and check the quality of the data in the legacy system prior to the mapping. For data profiling, the data must be stored either in tables or in flat files.
To profile your data, in Local Object Library select the table CUSTOMERADDRESS and right-click on the table name. In the context menu that opens, select the Submit Column Profile Request function. In the example shown in Figure 11.10, the system will submits a detailed profiling request for each column when you click Submit. You can submit a new profiling request in the View Data section anytime.
**Figure 11.10** Column Profiling
The results are displayed in Figure 11.11. The column profiling shows that a ZIP code may be incorrect. Of the twelve data records from the various countries, only one ZIP code contains letters instead of just numerals. This ZIP code with the value "X4352" is from a customer from Canada and would be identified even if a larger dataset was profiled.
Thus, the question now is whether a postal code in Canada is allowed to have the format X9999, that is, a letter followed by four numbers. We can answer this question by evaluating the validations embedded in SAP Data Services (see Section 11.3.8).
**Figure 11.11** Column Profiling Result
In addition to the patterns of the data records used in this example, further column profiling analyses are available, for example:
* Min
Minimum value according to lexicographical order
* Max
Maximum value according to lexicographical order
* Median
Median value
* Min string length
Shortest value
* Max string length
Longest value
* Average string length
Value with an average length
* Distincts
Number of disjoint values
* Nulls
Missing values
This analysis allows you to identify incorrect values, and experienced users can use the Max string length function to determine which values are too long.
You can also start more complex profiling requests to compare database tables with one another and find incomplete data records (data records without headers, headers without items, and so on) by analyzing their relationships.
To compare database tables, start the data profiling from the first table by right-clicking on the table name and selecting Submit Relationship Profile Request With... in the context menu. The cursor will become a crosshair, which you'll use to select the second table (or alternatively a flat file).
In the next dialog box, you'll click Submit to submit a relationship profile request after having confirmed or adapted the key relationship between the two tables accordingly. In our example, table CUSTOMERHEADER is integrated directly from the legacy system instead of using a Microsoft Excel file. The key is the customer number in the legacy system, IDCUST (see Figure 11.12).
**Figure 11.12** Relationship Profiling
The result of the relationship profiling, as shown in Figure 11.13, indicates that 8.33% of all addresses lack a header record and 15.38% of all header data records lack an address. In our limited example of only twelve data records, one address has not been used for a long time. This address is not assigned to any customer and is stored in the legacy system as an address without any reference. Also, two customer records lack address data in the legacy system. We know that these two data records will definitively not be transferred to SAP S/4HANA because mandatory address data is missing.
SAP Data Services additionally enables you to display problematic data records. In our example, as shown in Figure 11.13, the data record for legacy customer number 100289 is problematic. You can also have the system display the missing address that the application could not find in a relational database without any problems because the header data is missing.
**Figure 11.13** Relationship Profiling Result
The next steps depend on your specific case. However, experience has shown that deciding, in the legacy system, whether an address will be transferred or not and, if required, whether the data will be corrected will pay off. If the data in the legacy system is no longer up-to-date or inconsistent, not transferring the data will save you unnecessary time and effort.
### 11.3.6 Field Mapping
Now let's return to bank data. So that you can compare our example to the file upload using the SAP S/4HANA migration cockpit, which we'll describe in Section 11.4, we assume that the source data has already been cleansed. For simplification, we'll only use two data records in our example of migrating bank data.
In contrast to direct integrations (see Section 11.3.4), we'll use the data migration templates specifically provided for SAP S/4HANA. These Microsoft Excel files are included in the Rapid Data Migration content, which has a separate Excel sheet for every segment to be migrated and contains mapping notes, rules, and descriptions of mandatory fields.
If you use these migration templates, the entire field mapping is already implemented in SAP Data Services, provided with the test data used by SAP. If you want to integrate custom formats (tables or files), however, you'll have to assign the SAP fields first.
In general, mapping fields is the central step in any data migration: The available fields of the source system are assigned to the predefined fields of the target system (SAP S/4HANA). In our case, analogous to mapping templates, the target system is already defined by the IDoc segments. The source system, instead, is defined by its source structures, in our example by an Excel migration template.
Let's first take a look at mapping on paper for our two source structures, as shown in Figure 11.7 in Section 11.3.3. The left side of the table features a free area for the legacy system, not displayed in the figure, and the structure of the SAP S/4HANA system is on the right. The same concept applies to the source data in the Excel migration template. In our example, the template has already been populated with test data, as shown in Figure 11.14, which includes all four Excel sheets:
* Introduction with descriptions
* Field List with notes on mandatory fields and check tables
* Header filled with two table data records
* BankAddress for address data records (in our example, filled with two test records in relation to header records)
At first glance, you can see that all mandatory fields (*) have been populated and that no fields contain default values ($). Despite being mandatory fields, fields with default values don't have to be mapped if you provide a constant as a global variable in SAP Data Services.
**Figure 11.14** SAP S/4HANA Data Migration Template for Source Data
Usually, you'd now have to implement the mapping on paper in SAP Data Services Designer. Call the mapping view by clicking on the name of the DF_DM_BANKBankAddress_Map data flow in Project Area or by double-clicking on the icon in the parent data flow (shown in Figure 11.15). Because we are using a migration template, we can copy the entire mapping on a 1:1 basis.
**Figure 11.15** Selecting the Mapping Step
If you now want to modify the mapping or insert specific sources, select and remove the placeholder for the source file and drag and drop the desired source (file or table) to the data flow workspace. By connecting the source with the Qry_BestPractices query, the source fields in the workspace are available for simplified mapping. Figure 11.16 shows the correct data flow.
**Figure 11.16** Integrating the Legacy System
###### [»] Displaying Object Content
You can use the small magnifying glass next to the objects in the data flow to have the system display the content. Now, you can always keep an eye on individual or typical data records (via profiling, which is also possible in this display). Troubleshooting is thus much easier.
If you need more fields than what is available in the Baseline scope of SAP Best Practices, you can find them in the second query, Qry_AllFields. However, in our example, we'll only use the simplified version that contains the fields set up using SAP Best Practices for a new SAP S/4HANA system.
Carrying out internal validations in SAP Data Services when working in the data flows or in the queries makes sense. You can then quickly identify mapping errors or inconsistent settings. Use the Validate Current button to validate the local object or Validate All to check the syntax across all objects. Alternatively, you can select Validation • Validate from the main menu.
The section under the mapping in the mapping view displays the code for assigning the script language for SAP Data Services. (This script language does not have a name.) The code is generated here for all default functions. However, you can always modify the system-generated script or insert your own custom code.
###### [»] Using the Functions Provided
Use one of the numerous predefined functions and adapt the script code to meet your requirements. With predefined functions, you'll be able to create your own conversion rules easily, without having to start from scratch every time.
If you have more than one source structure, you'll have to define a unique key relationship between the sources. You can freely define this key relationship in the script editor or use the Propose Join function to generate the code in the WHERE condition automatically. The proposed join is based on the key relationships or on appearances of the same name in different sources, as shown in Figure 11.17.
**Figure 11.17** Key Relationship in Multiple Source Structures
In our case, we'll rely on the SAP S/4HANA migration template and simply copy the mapping. If you want to adapt the mapping, select the required fields on the left, then drag and drop them on the relevant target field to the right. Figure 11.18 shows the results. The actual mapping is now performed according to the mapping template if you don't have to make any adaptations.
If a field has already been assigned (or has a NULL initial value), you'll be asked during the mapping process whether you want to remap the field. To remap a field, right-click on the relevant field and select Remap Column in the context menu.
After you've completed the mapping and perhaps added custom code, select the validation using the Validate Current button or the Validate All button . Alternatively, you can navigate to the Validation • Validate option in the main menu to validate the mapping. If no error message appears, you can proceed with the remaining steps. Often, however, the system will output a warning for all fields have different data types in the source system and target system. You can ignore this warning for now because the types will be automatically converted during runtime. If this conversion works for all data records (for example, converting number fields to text fields of the Character type), further phases of the process will not be affected.
**Figure 11.18** Mapping via Drag and Drop
Let's now take a closer look at the mapping and explain the individual assignments in the ETL process. Up to this point, we used a direct mapping process where fields were mapped to fields without transformations or complex rules. Compare the mapping in Figure 11.19 with the migration template from Figure 11.14; this comparison illustrates how SAP Data Services has implemented the mapping. Because the migration template uses the same names on the source and target side, the mapping is pretty straightforward.
**Figure 11.19** Detailed Field Mapping
As an alternative to the field mapping, you can also assign global variables or constants in SAP Data Services. Figure 11.20 shows a constant, the ISO code for Germany ('DE'), assigned to the country field.
**Figure 11.20** Mapping a Constant
###### [»] Resetting the Mapping
If you want to reset a field mapping that you have performed manually or via drag and drop, deleting the generated or custom code is not sufficient. When validating the data, you'll see that empty mappings are not permitted. Instead, you'll have to reset the code by replacing the code in the input field with NULL.
### 11.3.7 Value Mapping and Conversion Tables
After completing a basic mapping in the central SAP Data Services Designer step, you can convert the remaining values, that is, perform a value mapping, for country (BANK_COUNTRY_KEY) and region (REGION). The region involves a multilevel conversion because this field also depends on the country and becomes unique when both region and the country are converted.
For value conversions, you'll use the Migration Services tool, which is provided in the Rapid Data Migration content. This tool can access the staging area where all SAP check tables have been replicated from your connected SAP S/4HANA system (see Figure 11.21). The Migration Services tool enables you to assign the correct values from the legacy system to the SAP-generated values, such as the ISO code for a country.
You can only change the column for legacy data in the Migration Services tool. The side for the SAP S/4HANA system corresponds to the Customizing in SAP S/4HANA and cannot be changed. Thus, the tool is a conversion table, similar to the table from Chapter 7, Section 7.3, in the SAP S/4HANA migration cockpit.
You should perform an initial job run before you start mapping the values, even before the actual mapping is complete. In this initial run, the internal number ranges and required buffer tables are initialized. In addition, the specifications for various values are collected in the legacy system for all fields whose values will be converted (lookup fields). This process easily identifies values that still lack data. The reason for the initial job run is that—despite the previous profiling process—you still don't know all the specifications of the values from the legacy system and thus cannot provide data for your existing specifications in the mapping process.
**Figure 11.21** Lookup Check Tables in Migration Services
To start a data migration job, right-click on the relevant node in Project Area (in our example shown in Figure 11.22, Job_DM_Bank_IDoc). Next, press Execute....
In a popup, SAP Data Services will let you specify parameters for the job run. Navigate to the Global Variable tab. For this run, be sure to set the value of the global variable $G_ProfileMapTables to 'Y' for "Yes." With this selection, during the run, values from the legacy systems will be collected. This tab also provides an overview of the global variables that will be used to prepopulate the $ fields later on (as shown in Figure 11.23). You can change these values in the job run or define and store these values as a characteristic for all runs of a job by right-clicking on the context menu and selecting Properties.... Besides prepopulating data, you can also determine the IDoc message type and the so-called SAP partner system (the technical name of SAP Data Services as the sending system and of SAP S/4HANA as the receiving system). Later, SAP Data Services will write these values to the control record of the IDoc before sending the control record to SAP S/4HANA.
**Figure 11.22** Executing a Job in SAP Data Services
**Figure 11.23** Global Variables for the Job Run
The result of this job run is a log that, ideally, display no errors (as shown in Figure 11.24).
**Figure 11.24** Information Messages during the Job Run in the Log
In the Monitor tab, you can monitor and stop the job runs (see Figure 11.25). The green traffic light symbol indicates that the job is still running; the red traffic light symbol indicates that the job has been completed. However, this indicator is independent of the actual status of the job, that is, the indicator does not tell you if the job has been completed successfully or terminated prematurely. If the job has been terminated, the log will display a red button, as shown in Figure 11.26. Click this button to display details about the error.
During this initial job run, SAP Data Services will "learn" which field values exist in the legacy data. You can perform this test run with a subset of the data that you want to convert or with all the data you have available.
**Figure 11.25** Job Monitor in the Project Area
**Figure 11.26** Cancelation and Error Messages in the Log
Let's return to our example with the country codes: If your legacy system includes the countries in plain text notations and does not use standard codes, you still might need different specifications for the same country to correct inconsistencies or typos. In the SAP system, with value mapping, all these fields will be merged into one value, i.e., the correct ISO code for the country, as shown in Table 11.3.
Value in the Legacy System | ISO Code in the SAP System
---|---
Deutschland | DE
Deutschlnd | DE
BRD | DE
USA | US
U.S.A | US
**Table 11.3** Sample Value Mapping for the Country Field
In our example, we'll use the migration template from Figure 11.14 to obtain the necessary field values for existing countries and regions. You can then maintain these field values manually in Migration Services. Because you performed an initial job run after mapping out these fields, they will be available in the tool. Thus, value mappings are as simple as field mappings. In Migration Services, you'll now assign the collected values to the relevant SAP values via drag and drop (as shown in Figure 11.27) or by selecting from a dropdown list (as shown in Figure 11.28). A searchable help function is also available (see Figure 11.30).
**Figure 11.27** Value Mapping Using Drag and Drop
The value mapping status is indicated by traffic light symbols in Migration Services:
* Green square: mapped
* Yellow triangle: not mapped yet
* Red circle: mapped twice/not mapped uniquely
**Figure 11.28** Assigning Various Legacy Values Manually
Figure 11.27 and Figure 11.29 show some examples of value mapping statuses. With these symbols, you'll be able to easily track progress during the value conversion. Now the data is ready for validation.
**Figure 11.29** Status of Value Mapping in Migration Services
**Figure 11.30** Search Help for Values in Migration Services
### 11.3.8 Data Validation
After successfully mapping values using Migration Services, let's now turn to data validations in the SAP Data Services Designer.
SAP Data Services does not import data records to SAP S/4HANA that have not passed all of the three following validations (see Figure 11.31):
* Validation using check tables (Validate_Lookups)
For all fields marked with a plus sign (+), the values are compared to the values in the SAP check tables. Only legacy values that were previously converted to a lookup value in Migration Services will pass this test.
* Validation of mandatory fields (Validate_Mandatory_Columns)
For all fields marked with an asterisk (*), values must exist (NOT NULL).
* Validation of the format (Validate_Format)
This validation is carried out for all fields subject to format checks in SAP S/4HANA if the data migration content provides for these format checks. The system will check, for example, for correct field lengths in SAP S/4HANA (see our earlier example regarding the length of the material number field in Chapter 10, Section 10.2.2) or check that ZIP codes follow the correct syntax.
**Figure 11.31** Data Flow for Validations in SAP Data Services
To execute the check routines, you'll run the Job_DM_Bank_IDoc job again. However, this run will not send any IDocs to the SAP S/4HANA system—a dry run that you can carry out as many times as required until satisfied with validation results.
Validations are not carried out successively but in parallel, which means that all fields will undergo all validations and that the validations do not terminate when an error occurs, as is the case with many other methods. Also, data records can fail several validations at once. For example, if the country of a bank (*+BANK_COUNTRY_KEY, a mandatory field) is not populated, the field will fail validation twice. First, this mandatory field is not populated (Validate_Mandatory_Columns), and second, the requirement that the value be converted (Validate_Lookups) has not been met. According to the data flow shown in Figure 11.31, the value will receive a Fail status and will end up in the Invalid area twice.
You can use the small magnifying glass at the end point (see Figure 11.32) to display failed records in SAP Data Services Designer and identify the cause. So that values that received a Pass are not displayed twice in the Valid area, you can use the SELECT DISTINCT statement for data records that have passed the validation. Only valid data can be further processed and populated with default values or imported via IDocs.
**Figure 11.32** Incorrect Data Records after the Test Run
###### [»] Embedded Validation Functions
The Rapid Data Migration content not only provides data flows and mappings, it also contains validation functions, such as a function for ZIP code validations.
In Section 11.3.5, we noticed a data record with a Canadian postal code, which would not pass the format validation: X4352 is not a valid postal code for Canada. Actually, Canadian postal codes have a much more complex structure. Instead of the format X9999 (1 letter—followed by 4 numbers), the syntax is X9X 9X9, which also implies that the postal code has 6 digits instead of 5. This validation function is an ideal example of a function available with SAP Best Practices and embedded into SAP Data Services.
The code for the ZIP code validation function is written in the specific SAP Data Services script language, which can be extended to any country. The code is based on the Backus-Naur Form (BNF)—a metalanguage for grammar. Figure 11.33 shows the editor and the provided code for ZIP code validations.
**Figure 11.33** Function Editor in SAP Data Services
Note, however, that this validation only checks the syntax and does not include a plausibility check for the ZIP code. While validating a concrete ZIP code with the corresponding city and street can technically be implemented easily in SAP Data Services using the Data Quality function, for plausibility checks, you'll have integrate fee-based databases provided by local postal operators that must be updated continuously.
When errors exist, how do you proceed? In general, you can discard and exclude from the migration all data that was filtered by SAP Data Services. In this case, you won't have to do anything. However, correcting all identified inconsistencies in the legacy system makes more sense because doing so additionally improves your data quality. After you have cleansed your data records, they are loaded again for the next run and pass the validations. This procedure is iterative: You can repeat the process until only discarded data records are caught in SAP Data Services. These data records won't be migrated to SAP S/4HANA.
### 11.3.9 Importing Data
After successfully importing, converting, transforming, and validating your data records, you can perform the next step: loading the IDocs to the SAP S/4HANA system. In this context, be aware that the source data is always extracted from the data sources for each job run, which means that you won't work with data temporarily stored in SAP Data Services but instead with current values from the migration template or other source files or databases you use.
Before you can import IDocs into the SAP S/4HANA system, you'll have to modify the connection to your SAP S/4HANA system in SAP Data Services. The DS_SAP SAP datastore (Local Object Library • Datastores) is provided with a dummy connection only. To integrate your SAP S/4HANA system, you'll need to gather various system information.
Table 11.4 compares the terms used in the SAP S/4HANA world to the names used in SAP Data Services for configuring connections.
SAP S/4HANA | SAP Data Services | Example
---|---|---
Application server | Application server | myserver01.me.com total
Instance number | System number | 00
System ID | – | PRD
Client | Client number | 100
User | User name | –
Password | Password | –
**Table 11.4** Differences in the Names for the Configuration
Figure 11.34 shows the window for entering the SAP S/4HANA system parameters. You can also find information on the configuration in the Configuration Guide of the Rapid Data Migration package.
To actually load IDocs in the next run, you'll have to change the default value of a critical global variable, $G_GenerateIDOC_Req. If you change this value to 'Y', the system will not only carry out the test run but also will also set up the IDocs in SAP Data Services and transfer them to the SAP S/4HANA system via Remote Function Calls (RFCs).
**Figure 11.34** Sample Configuration of the DS_SAP Datastore
Alternatively, you can also store IDocs in local files, which may be necessary, for example, if you cannot integrate the SAP S/4HANA system or if the system is not yet available. In this case, you'll need to transfer the files to the SAP application server in a separate FTP process.
Figure 11.35 shows the popup dialog for confirming the update run. The BANK_CREATE IDocs of the BANK_CREATE01 basic type are sent to the SAP S/4HANA system with the RDE ID and Client 181. The global variables maintained here will be written to the IDoc control record, which serves as an "envelope" for the IDoc.
If the job has successfully completed, the IDocs were sent to the SAP S/4HANA system and updated there—provided the inbound IDoc is set correctly. The Rapid Data Migration Configuration Guide describes in detail the settings for IDoc Customizing in your system. You can download the guide from the SAP Best Practices Explorer and the SAP Note mentioned there.
**Figure 11.35** Global Variables for Sending IDocs
You can now log on to the SAP S/4HANA system, use the IDoc monitor there, or have the system display our newly created banks in a corresponding application. The following section explains how you can implement this much more elegantly, without leaving SAP Data Services.
### 11.3.10 Monitoring
Integrating SAP Data Services with SAP BusinessObjects Business Intelligence (BI) allows for integrating Business Analytics reports in an easy way. The data migration content provided contains predefined Web Intelligence reports for monitoring data migration projects (see Figure 11.36).
You can either use these reports as templates and adapt them or use them without any modifications.
**Figure 11.36** Web Intelligence Reports to Indicate Missing Data Records
Similar to the Migration Services tool, you'll access these reports using a web browser. The BI Launchpad (see Figure 11.37) even enables functional users that were not involved in the data migration or system setup to access and create these reports.
**Figure 11.37** BI Launchpad in SAP BusinessObjects BI Platform
Usually, involving functional user departments makes sense because legacy system users will often have the required know-how to use the data records and to troubleshoot. You can analyze, update, change (without additional software), and print Web Intelligence reports. You should update the data of the report after every job run.
In addition to reports for validating business objects and IDoc segments, numerous predefined evaluations are available for mass data uploads. In our example with two banks, reporting may not play a major role, and the magnifying glass in the data flows in the SAP Data Services Designer to view data records may be sufficient. However, if you have large data volumes, you'll appreciate these reports.
In the DM_BPFDM_Reconciliation Rapid Data Migration project, which is included in the SAP Best Practices package, you can execute the Job_DM_CheckIDocStatus job in SAP Data Services to get an IDoc monitoring tool for the migration. This monitor lets you view the status of the IDocs without having to log on to the SAP S/4HANA system. The evaluation contains information similar to the information provided by the IDoc monitors found in Transactions WE02/WE05 or BD87. You can monitor the correct update of IDocs in SAP Data Services or with an available Web Intelligence report.
If the IDoc monitor indicates that the legacy data was successfully validated with regard to the Customizing replicated from the SAP S/4HANA system and the IDocs were loaded without any errors, the data migration project for the bank master is nearly complete. However, after the successful load process, whether the data was actually imported to the SAP S/4HANA system as expected should be examined.
You can usually only answer this question by performing extensive tests. However, using the content provided in the DM_BPFDM_Reconciliation project, you can compare the expected data to the current data existing in the SAP S/4HANA system with Job_DM_Reconcile. This assessment is quite helpful because relationships to data that had not been included previously could lead to unexpected results when the data is updated in the SAP S/4HANA system. You can also call the result of this job run using BI Launchpad.
### 11.3.11 Optimizing IDoc Performance
This section provides information on how to use IDoc technology efficiently.
The default setting in the ALE partner agreements in SAP S/4HANA (Transaction WE20) is Trigger Immediately, which results in the nearly synchronous processing of the IDoc after receipt. However, because this processing constitutes a separate work process for each IDoc, this procedure is not always ideal, for example, for large data volumes where resources would quickly bottleneck. An alternative is to use background processing, which is triggered by the RBDAPP01 background program.
To achieve high performance when mass uploading IDocs for data migrations, background processing is mandatory. Only in this way can you transfer several IDocs as packages to a work process for processing in parallel. Ideally, you'll directly use multiple SAP work processes that each process a package of IDocs, which will decouple the receiving process from the processing of the IDoc. In direct processing, a single IDoc is received via an RFC and processed. However, if you collect inbound IDocs using the Trigger by Background Program setting in Transaction WE20, you can improve the update performance for IDocs. Basically, triggering background processing means that the IDocs first wait in Status 64 (see IDoc status values in Section 11.3.3) for processing. Background processing is not the only available option; you can also start the processing in a dialog. The best way to process IDocs is to schedule the RBDAPP01 report as an ABAP job in the background using Transaction SM36 or start the report immediately using Transaction SE38 (see Figure 11.38).
**Figure 11.38** Parallel Processing in Report RBDAPP01
The following settings in the selection screen of program RBDAPP01 are critical:
* Doc Selection tab
* Package Size: The package size controls the maximum number of IDocs to be processed in a logical unit of work (LUW) in a dialog work process. A large package reduces the number of required processes to a minimum but also requires a large roll area. Either the database commit is performed for the entire package, or the database is rolled back and no package data is stored.
* Parallel Processing tab
* Parallel Proc. Enabled: This switch activates parallel processing. If you select this checkbox, the application server uses a free dialog process for each IDoc package for inbound processing; the packages are thus processed in parallel. If you select too many packages, all dialog processes of the server will be occupied. You should therefore specify a server group that controls how work processes are assigned (for example, parallel_generators) to avoid overloading the system. If the indicator is not selected, IDocs will not be processed in parallel. Instead, each package will be transferred to the application sequentially. In total, only one work process will be occupied on the application server.
* Server Group: The server group determines how resources are distributed across the existing work processes of the application server(s), that is, how many work processes are provided in each application server. You can make the corresponding settings in Transaction RZ12 (shown in Figure 11.39).
We can't make general recommendations about package size and number of work processes in a server group for parallel processing. You should always use test data to determine the best values for you. This value depends on the IDoc types and IDoc sizes (number of the segments) as well as database performance and server performance. For large IDoc segments, 50 IDocs per package and, for smaller segments, 100 IDocs per package are good starting values.
**Figure 11.39** Server Group Maintenance in Transaction RZ12
###### [»] Rapid Data Migration Demo Video
You can find a demo of a data migration to SAP S/4HANA, on-premise, using Rapid Data Migration, as well as further information, on the SAP YouTube channel, SAP Digital Business Services, at the following links:
* http://bit.ly/v1448111
* https://bit.ly/v1448112
## 11.4 SAP S/4HANA Migration Cockpit
The SAP S/4HANA migration cockpit provides the only option for migrating data to SAP S/4HANA Cloud, as described in Chapter 7, Section 7.3. For SAP S/4HANA, on-premise, editions, the migration cockpit is an alternative to other options such as the Rapid Data Migration solution, which we discussed in the previous section.
As of SAP S/4HANA 1610, the migration cockpit is also available for on-premise editions (via Transaction LTMC). As we explained in Chapter 7, Section 7.3, the migration cockpit is technically based on the Migration Workbench (MWB), and the available migration objects, mappings, and conversion rules are modeled from MWB. However, you can only use these migration objects with the migration cockpit. Refer to Chapter 7, Section 7.3.1, Table 7.2, for a list of the migration objects supported by the migration cockpit.
The functionality and handling of the migration cockpit for on-premise editions mainly correspond to the functions described in Chapter 7, Section 7.3, for cloud editions.
Chapter 7, Section 7.3.2 also provides information on how to access the help pages for the migration cockpit and refers to the migration cockpit demo video we mentioned earlier.
In contrast to migrating data to SAP S/4HANA Cloud, when migrating data to an SAP S/4HANA, on-premise, edition, you can still edit the data after the data is uploaded to the migration cockpit. To edit this data, select the XML file that contains your source data and click on the Open button or on the file name, as shown in Figure 11.40.
**Figure 11.40** Opening Source Data in the SAP S/4HANA Migration Cockpit
The system then displays the data uploaded from the file in the staging area. Figure 11.41 shows an example staging area using a sample file with customer data.
You can now press the Edit button to modify the data. As shown in Figure 11.42, we entered a title that was missing.
Next, click Save to save your changes. By clicking Cancel, you can reset your entries. The <Back button navigates you to the source data overview.
**Figure 11.41** Staging Area in the SAP S/4HANA Migration Cockpit
**Figure 11.42** Editing Data in the SAP S/4HANA Migration Cockpit
In the source data overview, you can download the modified data in the migration template format. Select the row of your file and click on the Download button. Depending on your SAP S/4HANA release, you may be asked to select the specific view for the migration template (see also the "Downloading Migration Templates" section in Chapter 7, Section 7.3.2). By default, SAP only provides the BP On Premise Enterprise Management view in the on-premise version. Figure 11.43 shows an example of a selection.
**Figure 11.43** Downloading Edited Data in a Migration Template File
The downloaded file contains the changed data, in our case, the entire data record including the title (see Figure 11.44).
**Figure 11.44** Migration Template for the Customer Migration Object
You can now edit the migration template offline. We always recommend, and sometimes you may be required, you store a backup copy of the imported data records for validation or as a copy of a certification outside of the target system.
## 11.5 SAP S/4HANA Migration Object Modeler
In SAP S/4HANA, on-premise, editions, you can customize business processes according to your specific requirements better than in SAP S/4HANA Cloud. If the predefined migration objects in the SAP S/4HANA migration cockpit do not meet your technical requirements, you can use the SAP S/4HANA migration object modeler to adjust them. This tool is only available in SAP S/4HANA, on-premise. Fields that are missing in the target structure of the provided template, but still exist in the used default import interface, can be displayed using the migration object modeler.
Default APIs (BAPIs or function modules), released by SAP for SAP S/4HANA, are used to transfer data via the migration cockpit.
Some of these APIs, in particular BAPIs, include so-called function module documentation. You can access this documentation, which provides useful information on import structures and their fields, via the Function Builder (Transaction SE37).
Table 11.5 provides an overview of the APIs the migration cockpit uses for each migration object. To update data, some of these APIs require a chain of function module calls and are thus called using so-called wrapper function modules. In the "Wrapper" column in Table 11.5, the APIs that require being called via these wrapper function modules are indicated. In the "APIs Used" column, this wrapper function module is specified if using a complex call of multiple function modules is necessary.
Migration Object | APIs Used (BAPI or Function Module) | Wrapper
---|---|---
Activity type | BAPI_ACTTYPE_CREATEMULTIPLE |
Cost center | BAPI_COSTCENTER_CREATEMULTIPLE |
Activity price | BAPI_ACT_PRICE_CHECK_AND_POST |
Internal order | BAPI_INTERNALORDER_CREATE | X
Profit center | BAPI_PROFITCENTER_CREATE | X
Bank | BAPI_BANK_CREATE | X
Customer | RFC_CVI_EI_INBOUND_MAIN |
Supplier | RFC_CVI_EI_INBOUND_MAIN |
Accounts receivable (Customer) open item | BAPI_ACC_DOCUMENT_POST | X
Accounts payable (Vendor) open item | BAPI_ACC_DOCUMENT_POST | X
Fixed asset incl. Balances | BAPI_FIXEDASSET_OVRTAKE_CREATE |
G/L account balance | BAPI_ACC_DOCUMENT_POST | X
G/L account open item | BAPI_ACC_DOCUMENT_POST | X
Exchange rate | BAPI_EXCHRATE_CREATEMULTIPLE | X
Inventory balances | BAPI_GOODSMVT_CREATE |
Material | BAPI_MATERIAL_SAVEREPLICA |
Material – Long text | BAPI_MATERIAL_SAVEREPLICA |
Material consumption | BAPI_MATERIAL_SAVEREPLICA |
Purchasing info record | DMC_MIG_PURCH_INFO_RECORD | X
Purchase order | BAPI_PO_CREATE1 |
Contracts (Purchasing) | BAPI_CONTRACT_CREATE |
Source list | DMC_MIG_SOURCE_LIST | X
Sales order | BAPI_SALESORDER_CREATEFROMDAT2 total |
Batch | BAPI_BATCH_SAVE_REPLICA | X
Bill of material (BOM) | CSAP_MAT_BOM_MAINTAIN | X
Work center | CRAP_WORKCENTER_CREATE | X
Routing | BAPI_ROUTING_CREATE |
Equipment | BAPI_EQUI_CREATE | X
Maintenance task list | DMC_MIG_EAM_TASKLIST | X
Functional location | BAPI_FUNCLOC_CREATE | X
Characteristic | BAPI_CHARACT_CREATE | X
Class | BAPI_CLASS_CREATE | X
**Table 11.5** APIs Used in the SAP S/4HANA Migration Cockpit for the Migration
You can call the SAP S/4HANA migration object modeler using Transaction LTMOM in SAP S/4HANA, on-premise. Because the modeler changes migration objects, you'll first have to select the project containing the migration object that you want to modify, as shown in Figure 11.45.
**Figure 11.45** Selecting the Project in the Migration Object Modeler
Then, you'll select the migration object that you want to modify (as shown in Figure 11.46).
**Figure 11.46** Selecting the Migration Object
The full range of modeler functions for this migration object is now available. As shown in Figure 11.47, the modeler consists of a selection area on the left and a workspace on the right.
**Figure 11.47** SAP S/4HANA Migration Object Modeler Structure
The modeler has the following functions, which are divided into Activities and Advanced Activities. These functions can be selected in the left-hand selection area:
* The following functions are listed in Activities:
* Edit Source Structures
* Display Target Structures
* Display Structure Mapping
* Edit Field Mapping
* The migration objects provided by SAP can be, if required, adapted to your modified business processes in every release. If an object that you created and modified in an earlier release needs to be adapted after a release change, the system will prompt you to perform one of the following Advanced Activities:
* Prepare Migration Object For Update
* Update Migration Object
In addition, the Migration Object menu item and the functions in the application bar provide the following technical functions:
* Generate Runtime Object
* Display Generated Function Group (You cannot select this function until a new function group has been generated.)
The following sections describe these functions in detail.
### 11.5.1 Edit Source Structures
The interface for transferring a migration object usually contains more structures and fields than SAP Best Practices covers. You can use the Edit Source Structures function to add missing fields to the migration template of an object. First, switch to the change mode by clicking the Display<->Change button in the application bar. Then, select the Edit Source Structures activity, which will take you to the view shown in Figure 11.48.
**Figure 11.48** Edit Source Structures
You can edit the fields of a structure by double-clicking on the field in the structure tree in the central pane of the modeler. By navigating to Settings • Technical Names on/off, you can show or hide the technical names of the fields in the structure tree.
Above the field list, in the right-hand pane of the modeler, you can find the following three functions:
* Add Field
* Insert Field
* Delete Field(s)
In our example, we added a new field, PSTKO (Post office bank current account number), to the source structure of the bank data that we previously used as sample data in Section 11.3. To add a new field, select the Add Field function and enter the desired values for field name, data type, field length, etc., into the new line, as shown in Figure 11.49.
**Figure 11.49** Adding a Field to the Source Structure
Now, click on Save to save your changes. Your source structure now includes the new field.
You can use the Edit Source Structures function to modify the migration template view of any SAP S/4HANA, on-premise, edition. First, select the Display View function in the context menu of the source structure. You can now change the visibility of structures and fields of the already assigned views. The example shown in Figure 11.50 shows the source structure view Bank Master (S_BNKA) of the migration object for the bank master.
**Figure 11.50** Modifying the Migration Template View
To assign a new view, select the view that you want to assign using the Assign View function , as shown in Figure 11.51.
You can change the visibility of structures and fields with the following values:
* Not Visible: The field or structure will not be visible in the migration template. However, hidden structures and fields may cause the data import to be terminated with an error.
* Visible: The field or structure is visible in the migration template and can be populated.
* Required: The structure or field is mandatory and needs to be populated.
**Figure 11.51** Selecting the View to Be Assigned
Then, press (Enter) to activate the Save button in the system function bar. Click on the Save button to save your changes.
### 11.5.2 Display Target Structures
The Display Target Structures function displays all fields and structures of the function module used to transfer the data of the migration object. On the right (as shown in Figure 11.52), you can have the system display the fields of the target structure by double-clicking on the desired structure or field. Alternatively, you can use the Display Structure entry in the context menu.
The root node includes the name of the function module used for the data transfer. As shown in Figure 11.52, we are using the DMC_MIG_BANK function module, which is a wrapper function module that wraps and calls the BAPI_BANK_CREATE function module, as mentioned in Table 11.5.
**Figure 11.52** Display Target Structure
### 11.5.3 Display Structure Mapping
The Display Structure Mapping activity displays the mapping of the source structures (right area of the screen) to the target structures (left area of the screen). You can view the assigned source structures in the left area next to the target structures. After the name of the target structure, separated by <<, the system displays all source structures assigned to this structure. Figure 11.53 shows an example of a bank master migration object (Bank Master).
**Figure 11.53** Display Structure Mapping
### 11.5.4 Edit Field Mapping
In Edit Field Mapping, you can drag and drop so-called customer fields, which you assigned to the source structure previously in Section 11.5.1, to an unassigned field in the target structure on the right. (The unassigned field is marked by a red circle with a white cross .) See Figure 11.54.
**Figure 11.54** Edit Field Mapping
If the field definitions of the customer fields and the target structure differ, the system shows a dialog box indicating this conflict and asks whether you really want to implement this field assignment. A MOVE rule that specifies a 1:1 mapping is defined for the assignment. Thus, the values to be migrated to this new field must be written in the migration template file in the appropriate target format and cannot be converted in the migration cockpit using validation rules. The result of such an assignment is shown in Figure 11.55.
**Figure 11.55** Modeler: Assigned Customer Field
Save your changes by clicking the Save button in the system function bar.
### 11.5.5 Technical Functions
You can use the technical function Generate Runtime Object in the application bar to generate a local function module for the Migration Workbench (MWB) to use in the background for the migration cockpit. This newly generated function module is required after the source structures or fields have been mapped because the fields will not be processed otherwise.
You can use the Display Generated Function Group function to view the entire function group of the newly generated function module in the application bar. The ABAP Editor then displays the function group, as shown in Figure 11.56.
**Figure 11.56** Display Generated Function Group
### 11.5.6 Advanced Activities
You can only perform the Prepare Migration Object for Update step if an update from SAP affects your modified customer migration objects. If you try to start such a migration object using the migration cockpit, the system will display a message indicating that the migration object contains modifications, and you'll have to perform the Prepare Migration Object for Update activity to validate this object before the object can be updated with the new migration object content provided by SAP.
The system will only display this activity if you have changed the field mapping. These changes or modifications will be deleted after you've carried out the Prepare Migration Object for Update activity. You should therefore save all modifications that you want to continue to use.
If you have not modified the field mapping, you can simply carry out the Update Migration Object activity, which copies all changes to the migration content provided by SAP.
###### [»] SAP S/4HANA Migration Object Modeler Help
You can access the SAP S/4HANA migration object modeler help if you choose the Info function in the application bar.
## 11.6 Comparison of Migration Tools
You now have an overview of existing and SAP S/4HANA-specific migration tools. However, the differences among the tools also raise the question of which approach you should follow in your situation.
We cannot give general recommendations on this choice because multiple solutions can also be used in parallel; however, in this section, we'll provide you with an overview of how to choose a tool for your situation.
Table 11.6 compares the different migration tools we introduced in this chapter.
Criterion for Comparison | SAP S/4HANA Migration Cockpit | SAP S/4HANA Migration Object Modeler | Rapid Data Migration Using SAP Data Services
---|---|---|---
Availability | In any SAP S/4HANA system, cloud-based or on-premise | In any SAP S/4HANA, on-premise, system as of Version 1610 | ETL tool to be installed separately; not available for SAP S/4HANA in the public cloud (software as a service, SaaS)
Coverage | Only tool for SAP S/4HANA Cloud (SaaS) with a holistic SAP Best Practices scope; only basic tool with file upload; compared to SAP Data Services, restricted extensibility for on-premise editions | Add-on for the migration cockpit in SAP S/4HANA on-premise, systems for extending fields beyond the SAP Best Practices content | Can only be used for SAP S/4HANA, on-premise; best object coverage and unrestricted extensibility
Advantages | Covers the exact solution scope of SAP Best Practices; easy to use | Extends fields not covered by SAP Best Practices | Direct connection with source systems; data cleansing
Disadvantages | No data extraction; defined migration templates; no data cleansing | Not available for SAP S/4HANA Cloud; structure extension not possible yet | Separate hardware; data cleansing requires additional license
**Table 11.6** Comparison of Migration Tools
You may also know other SAP migration tools because, like SAP Business Suite, SAP S/4HANA is based on ABAP and also contains SAP NetWeaver as a basic component. The Legacy System Migration Workbench (LSMW) is a component of SAP NetWeaver and is a data migration tool for the traditional SAP Business Suite.
Although this tool is still available via Transaction LSMW in your SAP S/4HANA, on-premise, system (but not in SAP S/4HANA Cloud), you should only use LSMW as a supporting tool, if at all, in addition to the migration tools specifically designed for SAP S/4HANA that we described in this chapter. LSMW is listed in the simplification list (see Chapter 10, Section 10.2.2), meaning it should no longer be used. Instead, refer to SAP Note 2287723, which discusses the approaches described in this book as alternatives.
If you still want to use LSMW additionally, you should always carefully check your LSMW projects because, due to modifications and simplifications from SAP S/4HANA, proper implementation of LSMW projects can no longer be ensured.
If your LSMW migration projects test successfully, you can (at your own risk) still use LSMW for migrating to your SAP S/4HANA production system—in addition to the SAP S/4HANA standard migration solutions mentioned throughout this book.
###### [»] Additional Information on SAP S/4HANA and SAP Best Practices
You can find more details on SAP S/4HANA Best Practices, including migration content in the SAP S/4HANA Community and the SAP Best Practices Explorer, at the following links:
* SAP S/4HANA Community:
<http://www.sap.com/community/topic/s4hana.html>
* SAP Best Practices for SAP S/4HANA, on-premise:
<http://rapid.sap.com/bp/BP_OP_ENTPR>
* SAP Best Practices for SAP S/4HANA Professional Services Cloud:
<http://rapid.sap.com/bp/BP_CLD_PROJ_SERV>
* SAP Best Practices for SAP S/4HANA Enterprise Management Cloud:
<http://rapid.sap.com/bp/BP_CLD_ENTPR>
* SAP Best Practices for SAP S/4HANA Finance Cloud:
<http://rapid.sap.com/bp/BP_CLD_FIN>
# 12 Landscape Transformation
In this chapter, we'll describe landscape transformations, which actually refer to several different scenarios that we'll discuss in detail.
This chapter explains the third and last transition scenario, a landscape transformation. This scenario is the only one of the three transition scenarios with several alternative forms: You can perform a system consolidation, transfer an organizational unit, or transfer a specific application area (such as the financial data).
Before we explain the technical details, this chapter first addresses the question why SAP customers choose one landscape transformation scenario over the others. Compared to a system conversion, whereby the entire system is converted, and a new implementation, whereby the customer begins with a completely new system (greenfield approach), a landscape transformation falls between these two scenarios. Depending on your requirements, only certain parts of your existing SAP system are transferred to SAP S/4HANA. How long each system transformation project can take is estimated in advance using the runtime estimate. The actual conversion is carried out during a period of system downtime (usually over a weekend).
All of these scenarios are supported by SAP Landscape Transformation (SAP LT). This software has a large number of quality-approved and globally certified tools for the safe adaptation and conversion of running SAP systems to meet the changing requirements of an enterprise. Appropriate transition scenarios are supported specifically for SAP S/4HANA. SAP LT enables fast and efficient business and IT transformations by providing a standardized set of preconfigured transformation solutions and by providing all the tools to plan, analyze, and carry out the required transformation projects. As a result, all scenarios follow a clearly defined structure and are fully documented in a continuous process journal.
## 12.1 The Three Transformation Scenarios
The first of the three landscape transformation scenarios that SAP LT specifically supports for SAP S/4HANA involves the consolidation of two or more systems into a central SAP S/4HANA system. The principle behind this scenario is shown in Figure 12.1.
**Figure 12.1** Consolidating Multiple Systems in an SAP S/4HANA System
The second supported scenario allows you to transfer a single company code to SAP S/4HANA. In this scenario, SAP LT consistently separates all data of relevance to this company code from one source system and transfers them to SAP S/4HANA, as shown in Figure 12.2.
**Figure 12.2** Migrating a Company Code to SAP S/4HANA
The last landscape transformation scenario allows selected applications to be converted. When moving to SAP S/4HANA, converting applications can mean simply transferring financial data from your old system to a newly implemented SAP S/4HANA Central Finance system (see Figure 12.3).
**Figure 12.3** Migrating Selected Applications to SAP S/4HANA
Technically, SAP LT consists of two add-ons that are installed on the SAP systems involved (the source and target systems) and SAP Solution Manager (as a central system). On the one hand, the add-on contains the collective knowledge and know-how that was available using the SAP Consulting Service System Landscape Optimization (SLO) (best practices, roadmaps) and, on the other hand, the software to analyze and transform your systems.
###### [»] Additional Information on SAP Landscape Transformation
Further information on SAP LT is available from the SAP Help Portal at <http://help.sap.com/viewer/p/SAP_LANDSCAPE_TRANSFORMATION> or in the SAP LT brochure at <http://bit.ly/v1448121>.
## 12.2 Carrying Out a Transformation Project
As we discussed earlier in Chapter 5, each SAP S/4HANA project can be divided into various project phases. These phases also apply to system landscape transformations, and deviations may occur within the various transformation scenarios. The following phases are usually carried out in landscape transformation scenarios:
1. Preanalysis and planning
2. Blueprint document and project team finding
3. Test runs
4. Production conversion
5. Support after go-live
The runtimes of the individual phases can differ significantly and can also depend on the complexity of the individual projects. A rough guide is shown in Figure 12.4. In general, you can assume that, above all, several test runs of the system transition will take up the largest share of the time required for the overall project, followed by detailed preanalysis.
**Figure 12.4** Duration of the Individual Project Phases
The following overview lists typical activities within the individual project phases:
* Preanalysis and planning:
* Analysis of the current situation and design of the target situation with a clear definition of the desired transformation
* Technical analysis of the systems, e.g., delta Customizing, in the case of a system consolidation
* Definition of the required roles in the project and of their responsibilities
* Creation of a business case
* Decision on a realization path
* Provision of a project budget
* If necessary, procurement of professional consultation
* Blueprint and project team
* Concept creation using a blueprint
* Structure of the project team and the initial kick-off
* Provision of the necessary infrastructure, e.g., the test systems
* Planning of the test cycles and test cases
* Installation of the required tools
* Test runs
* Multiple test conversions of the system to be transformed. A distinction can be made between purely technical tests, which are usually carried out at the beginning of a project, and at least one complete run in order to simulate the production conversion.
* Dynamic adjustment of the conversion based on the results from the test runs
* Production conversion
* Preparing the existing system landscape for the conversion to the new systems
* Locking the systems involved for the actual conversion
* The actual production conversion (typically taking place over a weekend operating 24 hours per day)
* Final acceptance of the converted system by the end users
* Support after go-live
* Support from the project team for end users working with the new system landscape after the production conversion
* Integration of SAP Support for the newly introduced SAP S/4HANA standard components
The following sections discuss the activities during the individual phases in more detail.
### 12.2.1 Preanalysis and Planning
The aim of preanalysis is to evaluate the upcoming tasks and to find and discuss possible solutions. In addition to technically driven questions (such as the question of providing the infrastructure for the transformation, for example), preanalysis also includes a cost-benefit analysis. The result of the process should be a clear recommendation for action that provides direction for the subsequent phases of the project.
SAP LT offers numerous options to technically support such preanalysis. The results can be relevant depending on the scenario so you can estimate the cost of the necessary conversions. Only on this basis can a comprehensive business case be prepared and thus the feasibility of a project be examined.
Particularly when new products are introduced to the market, such as SAP S/4HANA, detailed knowledge is essential for successful project completion. System landscape transformation projects in particular are not part of the traditional day-to-day business of IT departments, which is why the expertise of external consultants is often sought. Based on the preanalysis, the requirements for these specialized roles can be defined by the project's participants, and the right experts and consultants can be contracted.
Preparing a project plan is also recommended at this point. The initial milestones can be set so you can better estimate the total duration of the project. Ideally, time planning uses backward scheduling from the go-live date. Particularly for international organizations, only limited maintenance windows are available for a transformation scenario during the course of a calendar year. Based on the project plan, you can determine early on whether the planned schedule is realistic and when you should have an alternative go-live date for possible delays in the project.
### 12.2.2 Blueprint and Project Team
The central document for any project is a blueprint. A blueprint accurately describes the transformation you want to carry out as well as its impact on the system landscape and business processes. Depending on the transformation scenario, a blueprint can also be used as one of the documents of relevance to the auditor. As you can see, this document is quite important, and you should prepare blueprints with great care.
Blueprints should completely document the whole conversion in order to anticipate any effects on the IT landscape. A blueprint can be structured in various ways depending on the scenario. In general, however, the following aspects should be included:
* All modifications and the objects and processes affected
All business objects affected by an implementation must be listed, and you must provide information on the form of implementation you want. (You can read more on this in the following sections, for example, in Section 12.3.)
This list also contains all process changes and technical adjustments, such adjusting number ranges, and as describes rules about how you want to carry out these adjustments.
* Overall project plan
The overall project plan includes all phases of the project as well as the schedule for each step and for the production conversion.
* Impact on the overall landscape
You have to check all effects, not only those that impact the landscape you are transferring, but also any satellite systems that may exist (for example, through existing interfaces), including programs and solutions developed by your customers.
* Test concept
The test concept is also central, along with an overview of all scheduled test cycles including the test cases to be implemented. This applies both to the regular test conversions as well as to the acceptance test after the production conversion.
* Project team
Finally, you'll need an overview of all teams and team members so you can contact the parties responsible for specific topics at any time. This team overview should also include an escalation path for potential issues through all levels of the team hierarchy.
To prepare such a blueprint, a large number of employees from all affected areas of the company must work together closely. As already mentioned, external experts involved in transformation projects on a regular basis have the required project know-how and are often brought in for this purpose. After the blueprint is prepared, the document is accepted by all parties involved for several reasons. First, this buy-in ensures that all parties involved are comprehensively informed of any planned changes and, second, that individual parts of the blueprint do not contain any gaps that could lead to problems at later stages in the project.
During this phase, the infrastructure is also provided, and the tools are installed. The number of required test systems varies from scenario to scenario and depends on the number of affected systems in the IT landscape. As SAP LT is delivered as an SAP add-on, the installation is relatively easy. Additional tools required should also be integrated into the landscape at an early stage, so that they are immediately available on the test systems set up later on, thus reducing the cost of basic activities.
### 12.2.3 Test Runs
In this phase, all transformation tests are carried out. Even if the various test runs have different requirements depending on the progress of the project, their conditions should always correspond as precisely as possible to the conditions of the planned production conversion. These test runs are the only way to identify problems at an early stage and provide reliable estimates for the cut-over. The number of test runs also varies from scenario to scenario. However, at least two complete tests are recommended at minimum. In complex consolidations, four or more test conversions may be necessary.
These tests are primarily about ensuring quality and consistency. The implementation rules are set and validated by the following end-user tests. Depending on the scope of the adjustments, for example, between 1 and 3 weeks per cycle may be scheduled.
The requirements of the individual test runs can differ as follows to cover all factors:
* Technical validation
The first test primarily serves as a technical validation: Are all tools available? Are users and authorizations set up correctly? Do the connections within the network work? Is the performance of the test systems sufficient?
* Testing the transformation
Further tests then serve to test the transformation: Were all implementation rules defined? Can all business processes be executed without restriction? Can all end users find their bearings? It is particularly important for this user group to test all test cases thoroughly.
* General test
The last test run before the cut-over is a general test that simulates the production conversion. Ideally, all steps of the production conversion are also carried out in sequence, even if this test requires 24-hour shifts over several days. You should be aware that test systems are usually set up on hardware with poorer performance than the target system. If hardware that approaches the performance of the production system is not available for a general test, you will need to account for this difference when discussing system downtime.
The actual goal of the many tests is the gradual adaptation and improvement of the transformation. During the tests, you may discover, for example, that conversion tables and rules still need to be fine-tuned. Some changes (for example, changes within the context of Customizing) only show their overall effects when merged for the first time in the tests. Further changes may subsequently be required.
The same applies to the impact of custom developments on the new system. Therefore, we strongly recommend repeatedly providing the test systems with current data from the existing production system in the case of longer test phases.
Be sure to plan the time and effort needed for the tests so that the employees required for the tests are also available at the right time. Changes to implementation rules or found errors often have to be discussed with the user departments, which can be a time-consuming process during the test phase. How time consuming depends on the complexity of the transition scenario and your company's organization.
Similarly, your employees involved in basic administration tasks must be included, so that the test systems are always provided in a timely manner and can be set up again after each test run. Depending on the technology used to deploy your test systems, this process can take several days. Especially when large and/or highly integrated systems are part of the transformation, rather time-consuming tasks must absolutely be taken into account during planning.
### 12.2.4 Production Conversion
Once all the tests, including the general test, have been successfully completed, the next step is to convert the production system. Even if technically carried out over the weekend, the preparation for converting the production system often begins weeks earlier. Generally, all users of an affected system need to be informed of the potential downtime. Even if some employees were involved in the transformation planning, they never represent the entire user group for a system. Even for highly available systems or systems accessed from multiple time zones, overlaps exist, and every affected party must be aware that the transition will occur on the weekend scheduled.
A few days before the cut-over, final preparations are made, for example, last-minute adjustments to the transformation rules and the technical preparation of the production system. At this point, no more changes to the Customizing or to the program or ABAP changes can be made to the system.
The actual conversion on the weekend starts with blocking the system to all users except for users in the project team and the persons involved in maintaining the technical operation. Jobs in the SAP system are now deallocated, background programs are stopped, and interfaces are brought to a standstill. After the system has been isolated, a full backup is created so that, in the event of an emergency, the status before the transformation can be restored.
Next, you can optimize the system so that performance resources are fully available for the transformation. For many databases, you can, for example, deactivate database logging, thus achieving a significant increase in performance. While deactivating database logging does prevent a database recovery, an extra full backup should be prepared before the conversion. After completing the transformation, these settings should be reset for normal operations.
The main tasks at this stage are monitoring and the personnel process. On the one hand, current progress is monitored to continuously estimate the remaining downtime and identify problems at an early stage. On the other hand, a smooth process between the parties involved must be ensured. A clean handover between the project teams and their tasks without any loss of time is essential to meeting the cut-over schedule.
After the transformation has been successfully concluded, the validation and final acceptance test needs to be carried out by the end user. For this test, transactions are started and business processes are simulated in the system, system contents are checked based on lists, and test postings are carried out on the converted system. If no errors are found, the system can be released to all users. You should create a full backup at this point again so you have a starting point that captures the system immediately after the conversion.
### 12.2.5 Support after Go-Live
During this phase, the production system is still monitored closely for a few days after the conversion to uncover any sources of errors and to address these errors immediately if necessary. Furthermore, the development and quality assurance systems can now be converted. Depending on your requirements, transforming the test system can be carried out in parallel to the production system. Alternatively, you can also set up the test system using a copy of the production system. This decision depends on your individual conditions and the transition scenario.
Like the production system, the development system is converted through transformation. The amount of data is normally much lower, which significantly reduces runtime for the transformation. However, particularly for adjustments in Customizing, exact planning is required so that no obsolete settings are transported into the new production system later on.
## 12.3 System Consolidation
Many reasons exist to undertake a system consolidation. In general, these advantages can be summarized under the rubric of reducing IT operating costs (Total Cost of Ownership, TCO) and implementing business objectives on the basis of a corporate strategy. In particular, regarding SAP S/4HANA as the central system of the future, consolidation can bring many advantages.
The following list describes some areas that may benefit from cost reduction through system consolidation:
* Hardware
After a consolidation, a single system imposes lower requirements on the hardware than the combined source systems. Newly certified hardware for SAP HANA, in particular, results in savings.
* Maintenance, patches, and backups
After consolidation, the costs of maintenance activities, implementing patches, and executing regular backups are drastically reduced depending on the number of systems replaced.
* Updates
On the one hand, the costs for projects to update multiple systems are reduced, such as the costs for testing, for example. On the other hand, all end users benefit from the updated version of the central system at the same time.
* Transports
A unified transport landscape simplifies transport logistics and reduces the total number of transports required.
* Custom developments
Custom developments for the new system must only be created and tested once. After testing, your custom developments are immediately available to all users.
* Support
Because all users work with a system with the same release status for all users, support for the users is greatly simplified.
* Reporting
After a consolidation, reports and evaluations can be prepared on the basis of a uniform and central dataset.
* Interfaces
The number of interfaces can be significantly reduced because, instead of distributed systems, a central system is now available. On the one hand, this centralization reduces the maintenance costs for the interfaces and, on the other hand, simplifies the development of new interfaces.
In parallel to the more technical savings, the process and data harmonization that SAP S/4HANA strives to achieve provides the opportunity to standardize, simplify, and therefore accelerate existing business processes. Among other things, harmonization provides benefits in the following areas:
* Users and authorizations
Especially for users who log on to various systems for their work in a distributed system landscape, a central system significantly reduces the time required for administrative activities. Authorizations can also be unified now, thus simplifying monitoring.
* Finance
Various approaches are available for consolidating financial activities. One example is harmonization towards a uniform chart of accounts, which could establish a basis for group-wide reporting.
* Organizational units
In distributed landscapes, some technical identifiers may be used in preference, for example, "Company Code 1000." These identifiers must correspond in the various systems but not to the same business organizational unit. A system consolidation gives you the option of separating legal entities and, in this way, of generating clear reporting.
* Master data
One major advantage of system consolidation is the harmonization of master data. For example, a single representation of a vendor makes clear reporting and controlling possible and thus helps you analyze business relations clearly, in turn resulting in improvements in purchasing conditions.
We've mentioned just some of the potential benefits of a complete system consolidation. However, the individual benefits for customers must be determined in detail.
This section looks at the technical aspects of a system consolidation. Consolidating several systems can be carried out in two different ways: by transferring clients or by merging clients. A client transfer is technically easy to implement and results in the creation of a multiclient system, as shown in Figure 12.5.
In contrast, a client merge also consolidates the individual clients as a single-client system, as shown in Figure 12.6.
**Figure 12.5** Example of a Client Transfer
**Figure 12.6** Example of a Client Merge
From the project perspective, a system consolidation involves three steps:
1. First, you'll have to define the overall objective, meaning you'll define whether a client transfer or a client merge will be carried out. How many systems and clients you want to consolidate is also important.
2. Second, you'll conduct a thorough analysis of all the systems involved to determine the differences between the project requirements in terms of volume and duration.
3. Finally, the actual consolidation is carried out, which consists of several test cycles and is completed with the actual production conversion. During the test phase, the data from the different systems must be harmonized.
To decide between a single-client or a multiclient system, a basic understanding of the client concept within an SAP system is of central importance. Users log in to the system at the client level. One client usually corresponds to one enterprise. Users are isolated within a client and therefore cannot view or change any data from another client. As a result, several enterprises that are logically separated can be technically run within one system.
As a result, a multiclient system is much easier to construct than merging clients. For transferring clients in a multiclient system, only the general settings and Customizing have to be adapted and, if conflicts exist, harmonized. A simple example of such a conflict would be an identical client number used in different systems for different clients.
For a complete merge, on the other hand, all client-dependent data must also be adjusted and, if conflicts exist, harmonized. The merge is easier the more similar the systems and clients to be consolidated are.
However, central areas (for example, various number ranges) have to be adjusted in almost every project. As with our earlier example of client numbers, in this case, the same numbering for organizational units, such as company codes for example, must be harmonized if necessary.
When combining individual systems and clients, other areas are also affected, for example, users and their authorizations.
Because this transformation scenario is complex, a thorough analysis of the systems involved is required to identify conflicts between settings, data, and programs. Table 12.1 provides an overview of the relevant areas you'll need to analyze for a client transfer or a client merge.
Area to Be Analyzed | Client Transfer | Client Merge
---|---|---
ABAP Dictionary (data type and tables) | X | X
Customer-specific programs (such as programs in the Z namespace) | X | X
Modifications (to the SAP Standard) and user exits | X | X
Client-independent Customizing | X | X
Client-dependent Customizing | | X
Application data (master and transaction data) | | X
Number ranges | | X
Users and authorizations | | X
Program variants | | X
Archives (created using Transaction SARA) | | X
**Table 12.1** Analyses Required for Client Transfer and Client Merge
This comparison once again shows the difference in complexity between the two system consolidation options.
Harmonizing these different areas requires various approaches. As shown in Table 12.1, the following areas are relevant for both client transfers and client merges:
* ABAP Dictionary
The ABAP repository must be mentioned as an object to be consolidated, in addition to the SAP standard programs and data types. The ABAP Dictionary contains all structure information for SAP tables. Possible conflicts must also be identified in the ABAP Dictionary beforehand. By using the simplification list, conflicts are identified regarding the difference between a classic SAP ERP system and SAP S/4HANA. These conflicts are technically addressed by the conversion programs, which are also used for system conversions (see Chapter 10). These conversion programs are currently not integrated into SAP LT and must, for example, be carried out separately after consolidation.
* Custom programs
If technical conflicts exist, custom programs must also be harmonized during consolidation. Conflicts may exist both in individual customer namespaces as well as in the traditional Z namespace. A simple example of the need to harmonize would be programs with the same name but with different structures or content. If the source texts of these programs differ, harmonization can be implemented quite simply by renaming one of the two programs. However, renaming is only one option. A detailed analysis of custom developments and related harmonization tasks must be scheduled along with the appropriate effort. In its analysis, SAP LT helps you use the appropriate functions, or you can use internal SAP tools such as custom code analysis via Transaction /SDF/CD_CCA.
* Modifications and user exits
User exits constitute a special case because they are no longer created in current SAP solutions. Where possible, user exits have been replaced by Business Add-Ins (BAdIs). However, user exits continue to be used by many SAP customers and must also be considered before consolidation. The ABAP code of a user exit itself is client-independent. During harmonization, therefore, you must ensure that the extensions are assigned to their correct clients, which also applies for modifications previously made to the SAP standard.
* Client-independent Customizing
Client-independent Customizing consists mainly of technical settings and thus usually does not require much effort to harmonize. A common example of Customizing settings that may need harmonizing is when your company has several factory calendars, with different validity periods in different systems, that need to be consolidated.. To resolve these conflicts, a uniform period of validity must be determined for the calendar. Technically, such an implementation involves little effort.
On the other hand, the following areas are of relevance, particularly if clients are merged into a single-client system. Harmonization needs can be extensive and complex in the following areas:
* Client-dependent Customizing
Compared to harmonizing client-independent Customizing, harmonizing client-dependent Customizing is much more complex and costly. Comparing these Customizing settings already presents a challenge due to their high number. Therefore, an early analysis is essential to estimate the necessary steps. We recommend transferring the delta Customizing from the source system(s) to the target system. The target system should ideally be a copy of the existing development system. Thus, differences can be analyzed without restriction, and harmonization can be implemented.
The effort required for manually processing conflicts also depends on coordinating changes within the company because central Customizing settings are affected, for example:
* Organizational units
* Units of measure
* Currencies
* Document types
* Material types
* Material groups
* Account groups
Mapping rules are a simple method for harmonization, for example, if organizational units have the same name. You can assign new values that are not yet used in the target system to various source values. If a simple renaming is not possible, you'll have to decide how to handle a more complex conversion process.
* Application data and number ranges
Application data concerns the actual data in a system or a client in the form of master and transaction data. Harmonization thus primarily concerns classic master data, such as materials, accounts receivable, and accounts payable. For numbers previously assigned internally within clients, overlaps in the number ranges may exist or numbers were assigned externally that occur in all systems but not for the same master data.
Even in these cases, you can execute conversions. However, each data record would need to be converted individually. With high data volumes, however, this individual approach is impractical. Instead, you could use a prefix or an offset.
###### [»] Prefix and Offset
In the simplest case of prefixing, an entire number range in master data is prefixed by a letter or a letter combination, thus creating a completely new number range.
In an offset, a fixed number value is added to an existing number. As a result, the whole number range is moved, thus retaining its original intervals and conditions.
These three methods, put simply, again involve renaming and adding the entire dataset from the source system to the target system. Particularly for accounts receivable and accounts payable, data quality is often critical for merging the content of data records that are numbered differently between the systems but that are perhaps identical in terms of content. Content-related cleansing can provide considerable added value to the organization, but you should not lose sight of the considerable additional costs for such data cleansing within a system consolidation.
* Users and authorizations
Users and their authorizations are client specific and, depending on the objective, may require a comprehensive or simple harmonization. Often, within the different systems of a company, you may find similarly designed authorization concepts. If role types and authorizations differ significantly, creating new users may make more sense than a complex harmonization. If authorizations need to be adapted, you must ensure that fixed values can be stored within these authorizations that, for example, check the rights for a specific company code. These values must then be adjusted accordingly.
* Program variants
For harmonizing program variants, the variants themselves are not necessarily the problem; rather, the data that was changed in the course of consolidation needs to be harmonized. Thus, the program variant might no longer work properly or may access incorrect values. If, for example, selection fields were preset with values that have changed or wildcards were used that now access a larger dataset, problems may arise. Although you can use analysis tools (for example, in the ABAP Workbench) to examine variants for this purpose, in most cases, manual work will be required if problems are identified.
* Archives
Archived data from your SAP ERP system is still relevant for harmonization because these archives contain data relating to information that may be present in another form after a consolidation. Two options are available for adapting archive data in the course of the harmonization:
* On the one hand, the archives can be uploaded back into the system's database and thus be converted like other data during the consolidation.
* Alternatively, you can convert the archives, which requires the archives are read first. The data is then converted as required for the harmonization and written into a new archive file. Different procedures may be used, depending on the storage system that you use for your archives.
If all necessary changes, as identified according to the analysis based on SAP LT or SAP Standard tools, have been addressed, you can define the transformation rules in SAP LT. You can determine, based on the nature of the conflict between the systems involved, how you want to resolve these conflicts, including all areas, for example, in which master data is received or overwritten, if identical numbers exist in the systems, or which Customizing settings are now the leading settings. Based on these rules, SAP LT transforms the individual data records and transfers them from the source system (or from multiple source systems) to the dedicated target system.
###### [ ! ] SAP Consulting Required
SAP LT supports system consolidation scenarios, but system consolidations cannot be implemented using SAP LT exclusively. Due to the complexity of system consolidation projects, the necessary expert functions are currently only available through SAP Consulting (from SAP or a third-party provider).
## 12.4 Company Code Transfer
The second landscape transformation scenario involves transferring an organizational unit, more precisely a company code, according to SAP S/4HANA. Gradually introducing SAP S/4HANA to your enterprise may well begin with a single business area. Often, individual subsidiaries are mapped in company codes. Therefore, you can, for example, only transfer one subsidiary (for example, Germany) to SAP S/4HANA from a European system in which multiple countries are mapped as one company code.
The simplest approach to implementing a company code migration is the Company Code Deletion function. This standard scenario within SAP LT can be carried out by any IT organization without incurring additional consulting costs. Figure 12.7 shows an overview of the package and its implementation phases.
**Figure 12.7** Overview of the Company Code Deletion Function in SAP LT
After deleting the company code, a system conversion of the newly set-up system is carried out.
SAP LT consistently deletes all relevant data from one or more selected company codes from the system. If all company codes for an associated controlling area are selected, the entire controlling area is deleted. Such a project is usually carried out in two phases and involves several steps. The first phase is known as the deletion, while the second phase is called the counter-deletion. The organizational structure of your enterprise is therefore cleanly separated after both phases.
In the first phase, the following steps are carried out:
1. You'll create a full system copy of the system from which the company code will be deleted.
2. Select the delete function in SAP LT and prepare for this technically, as described further in this section.
3. The deletion is carried out.
4. A test cycle is carried out in which the newly created system is tested after the deletion.
5. Depending on the results of the tests, steps 1 to 4 are repeated in order to make adjustments if necessary.
Finally, the counter-deletion is carried out:
1. You'll prepare the counter-deletion in the production source system from which the company code has been deleted. Because this process takes place in your SAP ERP production system, you must allow for a corresponding downtime and inform your end users.
2. A final system copy is created. The relevant real data is deleted from the copy and from the source system. The result is an additional production system that only contains the selected company code.
3. Now, you'll set up the development and quality assurance systems for the newly established production system.
The whole procedure is usually fully executed in at least two cycles with a current copy of the existing production system. The deletion is executed on this system copy, which has no impact on the existing system landscape. Key findings from this test run include the total runtime of the deletion as well as the identification of potential errors.
The organization derivation in SAP LT is used to determine what data should be deleted for all SAP applications. Technically, the SAP organizational structure is analyzed via the Customizing, and all of the company code-dependent organizational units are identified. Figure 12.8 shows a detailed view of the individual phase steps.
SAP LT creates a worklist from this containing the master data, transaction data, and documents that are to be deleted. These items are then removed from SAP application tables during the actual deletion. Data in Controlling (CO) and Profitability Analysis (CO-PA) can be deleted consistently using this method even if you start with one company code first. Figure 12.9 shows a complete organization with company codes selected for transfer.
**Figure 12.8** Individual Steps in the Company Code Deletion Procedure
**Figure 12.9** Example of an Organization with Selected Company Code
In test cycles, the primary objective is to troubleshoot and determine if too much or too little data was deleted. If some processes are managed across company codes, either situation could be the case. Possible examples include processes that are used both by sales and procurement.
To prepare for company code deletion, 1 week is usually scheduled. However, this timeframe does not account for a subsequent system conversion, only the SAP LT Company Code Deletion function. In this first week of preparation, SAP LT is configured and test cases are prepared. Depending on requirements, these test cases include two areas:
* Simple lists of the dataset prior to the deletion to compare volume
* Separate postings that identify whether all business processes still function fully after the deletion
Because the source system is still used in production, the counter-deletion is usually carried out on a weekend. Copies set up for test purposes usually have no time limit, which is also technically justified because the hardware used for testing is usually cheaper (but has a lower performance). Therefore, test processes simply take longer by comparison. However, the test system must be available exclusively for testing purposes, and no other projects should be run on the test system in parallel. Further, the copy must be complete in order to work on the entire database and not be a significantly reduced system. As a result, the deletions of the complementary company codes can be executed properly. If, for example, company code 1000 is migrated to SAP S/4HANA, only this company code will remain in the new system after the system copy and deletion. All other company codes will be removed using SAP LT, as shown in Figure 12.10.
**Figure 12.10** A New System with an Isolated Company Code
If the new production system has been fully set up, usually simple system copy procedures are carried out to create new development and quality assurance systems. You'll again have a three-tier system landscape but only with the relevant data for the individual company code. What is important here is when and how the system conversion is performed. Depending on your requirements, you can initially set the new system to live in the current release and operate it for a while before you then carry out a system conversion. Due to the high level of standardization of the deletion procedure and the relatively short runtime, you can also combine the two processes into a single project, of course.
When the company code has been copied to the new system, this particular company code is deleted from the previous source system in the second phase. You could also simply lock this company code from postings. However, often reasons exist in favor of deleting company codes: For instance, lower data volumes will result in less strain on the system. Deletion may also provide a clean break from the old system. Figure 12.11 shows the structure of a legacy system after the counter-deletion.
**Figure 12.11** Legacy System after Cleansing via Counter-Deletion
In this second phase, two test cycles are also usually carried out. After the production counter-deletion has been performed over a weekend, the remaining system landscape, such as your test and quality assurance systems, is cleansed. This cleansing is not time-critical and can also be carried out during normal business hours. You can also consider rebuilding your quality assurance systems using a full system copy, similar to the procedure in the case of the new system.
Next, a deletion is usually also carried out because the delete procedure is so simple and because parallel projects may be running in the old system landscape. A further reason for the deletion may be that you are unsure whether the dataset in your nonproduction systems is complete. If all delete procedures are complete, you can begin to convert the system on the newly created system with the isolated company code, thus giving you a separate but fully functional company code on SAP S/4HANA.
## 12.5 Transformation to Central Finance
While Chapter 3, Section 3.2.1, only introduced Central Finance, this section focuses on the technical components and other important aspects of introducing the solution. Introducing Central Finance is a variant of a landscape transformation. Therefore, SAP LT plays a central role as a tool for setting up Central Finance as well. Figure 12.12 shows a more comprehensive overview of this scenario.
To operate Central Finance, you must, in simple terms, carry out two steps:
* Set up the SAP Landscape Transformation (SAP LT) Replication Server
* Set up the Central Finance system
**Figure 12.12** Central Finance: Architecture and System Landscape
The SAP LT Server establishes the connection between the local systems. Because the SAP LT Replication Server works at the database level, you can also integrate non-SAP systems. Using database access, no adaptations are necessary at the application server level. The SAP LT Replication Server itself can either be set up as a separate standalone system or can be installed on one of your source systems or on the Central Finance system.
Where you set up SAP LT Replication Server depends mainly on the utilization of the relevant systems to date and on the expected data throughput. The more complex the landscape, the more likely a separate instance for the SAP LT Replication Server should be set up.
The Central Finance system is operated on the basis of SAP S/4HANA as a central financial system. Data from the connected systems is loaded into Central Finance, and among other things, the master data is harmonized to ensure a uniform view. This harmonization can either be carried out manually or, if SAP Master Data Governance (SAP MDG) is available in the landscape, called from the SAP MDG tool. Using SAP MDG is optional.
You can also install the new Central Finance instance and the necessary SAP LT Replication Server in SAP HANA Enterprise Cloud (SAP HEC), which is a good alternative if you do not want to integrate a new instance of Central Finance into your existing landscape.
### 12.5.1 Implementing SAP S/4HANA Central Finance
In this section, we'll look at the most important steps to implement Central Finance. First, we'll look at the technical settings required to set up the various system connections and also examine the business logic with which you can convert general ledger entries. Converting these entries is an important step towards setting up Central Finance because you'll need to know how to assign these postings to the proper general ledger account and the account assignments (cost center, order, etc.) and how to derive other report dimensions, such as profit center, function area, etc., using these account assignments. These settings and the settings for the initial data load using the SAP LT Replication Server are covered centrally by a Central Finance-specific Implementation Guide (IMG).
The IMG shown in Figure 12.13 comes from a current development system and, therefore, may appear differently depending on the release version you use.
**Figure 12.13** IMG for Central Finance
A major step is configuring the system connections between all of the systems involved. Although these connections are created for an entire system, you can begin with a few selected company codes. You'll thus get a feel for the potential of the new system without having to worry about your entire, complex enterprise landscape.
The first step in implementing Central Finance is to activate the FINS_CFIN (Central Finance) business function. In parallel, you'll also activate two further business functions, FIN_GL_ERR_CORR and FIN_GL_ERR_CORR_SUSP, so you can perform preliminary postings and error corrections later on. These two functions ensure that all general ledger entries that originate from the local systems, including general ledger accounts and account assignments not yet created in the central system, are parked as work items on an error list.
You'll begin the technical definition of the system landscape by creating an RFC (Remote Function Call) connection. Entries in the Universal Journal in Central Finance are technically linked to documents in your local systems. You'll also need the RFC connections to select data from your local systems during the first data migration and to create the master data mappings to Central Finance.
Because these two tasks will probably be carried out by different users (the initial and more technical data migration is often in the hands of a system administrator, whereas an accountant or analyst is responsible for the functional document links), you may want to establish different RFC connections to differentiate between the two tasks according to user type.
You'll also have to define all connected systems as logical systems. The idea behind a logical system is to clearly define every system-client combination within your system landscape; so if we look at a document's header, we can clearly see which combination of system and client was the source of the document.
Finally, you'll assign the logical system to the Central Finance client and the RFC destination of your logical system. To make these assignments, select the RFC Destination for Source System IMG entry and maintain the logical connections, as shown in Figure 12.14.
**Figure 12.14** Configuration of RFC Connections
Preparations must also be made on the local system. Verify that the Data Migration Server (DMIS) add-on (Release 2011_1_700 or higher) is installed on each source and target system (Support Package (SP) 8 is recommended) and that you have implemented SAP Note 2124481 (SAP LT SP08, Correction 3) on the add-on.
If your organization does not yet implement SP 8 or higher, you'll have to implement some code changes in your local systems to ensure that you can prepare the general ledger entries for the transfer to Central Finance.
###### [»] Additional Information and Collective Note
As these systems are continuously being further developed, SAP Collective Note 2148893 provides a good starting point for current information. This Note is updated on a regular basis, so that you are informed if further improvements are added.
As mentioned earlier, the SAP LT Replication Server is a central component of this Central Finance scenario, which connects the various systems. SAP LT Replication Server is basically a server that collects the messages from the local system and sends them to the central system. Setting up the complete SAP LT Replication Server for other scenarios can be a large undertaking.
###### [»] Additional Information on the SAP LT Replication Server
You can find further information on the SAP LT Replication Server in the SAP Help Portal at http://help.sap.com/viewer/p/SAP_LANDSCAPE_TRANSFORMATION. We also recommend SAP Note 2154420 for further information on Central Finance systems.
The SAP LT Replication Server uses tables and an initial load object and a replication object for each table to be transferred. Therefore, automatic triggers are set for the relevant tables in the source systems to transfer documents from the SAP ERP Financial Accounting system (FI). However, you do not have to set up these triggers manually because they are predelivered with the latest version of the SAP LT Replication Server.
However, before the actual data transfer can begin, you must think about your individual organizational units and their master data during the course of the transformation of business processes. The next section starts with organizational units.
###### [»] Additional Information on the Implementation of Central Finance
For a complete description of all steps, both on the technical and the application sides, refer to the documents at <http://help.sap.com/sfin200>.
### 12.5.2 Global Parameters
Global parameters (such as country and company codes) will seem familiar to you, as you already use these in your existing systems. In most cases, you'll carry out a one-to-one transfer of these parameters to Central Finance, and in other cases, you will have to transform them. As these parameters are essentially stable, you can also map their values using SAP MDG. This approach also covers Customizing settings, for example, settings for reminders and payment terms that can be assigned to customers. The following settings are therefore applied to the Central Finance side.
Let's start with the countries that you want to map in Central Finance. In order to maintain countries, select SAP NetWeaver • General Settings • Countries • Define Countries in mySAP Systems in the IMG (see Figure 12.15).
**Figure 12.15** Defining Countries in Central Finance
You can copy these settings from your local systems unless you want to create additional countries in Central Finance for evaluation purposes—if, for example, data has been added from non-SAP sources. Make sure that you are informed of the specific legal requirements for these countries to avoid losing any country-specific information in centralized reporting. Such information should instead be mapped in local reporting.
Next, you'll specify which of your companies should be mapped out in Central Finance. This step is particularly important if business transactions occur between these companies, for example, if a company within your group supplies goods to another.
These business relationships are mapped in Central Finance and must be maintained. However, if you do not create a company that is involved in general transactions, data from the source will not be transferred, and the process will be fully presented.
You can define companies by following the IMG menu path Company Structure • Definition • Financial Accounting • Define Company. You will also need to provide the companies with the appropriate company codes using Company Structure • Map • Financial Accounting • Company Code—Assign Company, as shown in Figure 12.16.
**Figure 12.16** Assigning a Company Code to a Company
Now looking at the company codes, you'll not only accept the type of attributes required by reporting solutions but also the settings that affect how entries are updated in the Universal Journal. You'll have to consider the following settings in Central Finance:
* Chart of Accounts: If you want to use a central chart of accounts, you should enter the chart of accounts in this field. You should ask whether you need also need a local chart of accounts for local reporting purposes and whether these local requirements should report to the central chart of accounts.
* Fiscal Year Variant: The fiscal year variant determines the number of fiscal year periods and the special periods you want to work with. Remember that, if you are consolidating into a single controlling area, you'll also have to settle a fiscal year variant for all entities that will be part of this controlling area. If you have countries with different fiscal year structures, you'll also have to create a separate ledger with the corresponding fiscal year variants for these countries.
These global parameters for the relevant company code can be found by following the IMG menu path Financial Accounting (new) • Basic Settings Financial Accounting (new) • Global Parameters for the Company Code • Check and Add Global Parameters. The example shown in Figure 12.17 illustrates how the chart of accounts INT provides the option of specifying a country chart of accounts and the fiscal year variant K4.
**Figure 12.17** Sample Global Data of a Company Code
Within individual company codes, you can define ledgers. If you are already using the new general ledger, you should be familiar with the ledger concept to separate postings based on different accounting standards, such as IFRS (International Financial Reporting Standards) and US-GAAP (United States Generally Accepted Accounting Principles). In this context, notice that no settings are available to update profit centers, segments, business partners, functional areas, etc. in the general ledger settings. These settings are outdated in Central Finance because the Universal Journal contains all of these fields by default. Figure 12.18 provides an overview of the maintenance of the ledgers.
**Figure 12.18** Overview for Ledger Maintenance
When you define a ledger, you should consider the relevant currencies you use. The local currency for your company code is probably the one you are already using in your local system for this company code. But you should consider introducing a global currency or group currency if you have not already done so.
You can also make some changes to your nonlocal currencies, if you operate internationally. You can set up currencies in ledgers by following the IMG menu path Financial Accounting (new) • Basic Settings Financial Accounting (new) • Ledger • Define Settings for Ledger and Currency Types. By default, a company code currency and a group currency are used for controlling purposes. Figure 12.19 shows some possible currency types.
**Figure 12.19** Overview of Possible Currency Types
Next, you'll define your controlling area. We have deliberately written "controlling area" in the singular because your life will be much easier if you can consolidate all of your data into one controlling area in Central Finance. As with the company code, these are the critical settings:
* Currency (please note that the currency type for the group currency is now part of the settings)
* Chart of accounts (again including accounts and cost elements)
* Fiscal year variant
You must select the cross-company code cost accounting option because your controlling area normally comprises several company codes. To define your controlling area, follow the IMG menu path Company Structure • Definition • Controlling • Maintain Controlling Area. Figure 12.20 shows sample data for maintaining a controlling area.
In addition to these basic financial settings, the controlling area determines which entities you can use for reports in Central Finance. Here you'll define which account assignments are active in your Universal Journal (cost center, order, etc.). The cost center, order management, process-based cost accounting, and cost-effectiveness analysis components are often selected. Profit center accounting is not activated as a separate account assignment because it is covered in the Universal Journal.
**Figure 12.20** Sample Data for Maintaining a Controlling Area
Next, you'll define your operating concern. To use the full potential of the Universal Journal, you'll have to activate account-based profitability analysis. For primary cost and revenues, account-based profitability analysis ensures that all of the sales postings, revenue reductions, and costs of goods sold included in accounting documents can be automatically posted to a combination of CO-PA characteristics, such as product, customer, and region. These settings for maintaining the operating concern and the characteristics are found under the familiar controlling menu items, not under Financial Accounting (New).
Finally, you'll have to map your organizational units. The global parameters for country companies, company codes, etc., introduced previously are usually managed using the value mappings that you created as described earlier in this section. If you are working in the SAP Standard, you normally won't have to adjust these settings for assignment entities, as shown in Figure 12.21. However, you'll have to add entities if you want to map your own fields or fields from an external system in Central Finance. When you've completed these settings, the main organizational structures for Central Finance are available.
**Figure 12.21** Overview of Assignment Entities
The next section looks at how to maintain the master data used in financial documents.
### 12.5.3 Master Data
This section looks at the required master data. In Central Finance, you'll have to differentiate between long-term master data (such as accounts and profit centers for which an established master data governance process is usually available) and dynamic master data (for example, orders and projects that are created on demand). For master data uploaded to or updated in Central Finance at regular intervals, such as customers, suppliers, materials, and accounts, you'll carry out a mapping based on the key fields.
Introducing Central Finance can also trigger a cleansing of your master data. If you already use SAP Master Data Governance (SAP MDG), you've already cleansed your data and are thus at an advantage because Central Finance can read these assignments. Central Finance uses some mapping tables from SAP MDG.
Even if you aren't working with SAP MDG yet, you can prepare the way for later implementation because you can use the master data mapping tables in Central Finance without a separate SAP MDG license.
Alternatively, when preparing your master data, you can also use your data warehouse. Your organization probably harmonized your master data in the data warehouse, and now, you have predefined transformations from when you transferred data to the data warehouse. The entities listed in this section represent the focus of reporting here. You must ensure that all the field content used in reporting is also available in Central Finance as master data, including master data for control procedures, payment terms, etc.
Let's start with creating accounts in the general ledger. This section does not get into the specific functions of the general ledger and does not look at all accounts types in detail. What is essential, however, is that all locally used accounts also exist in Central Finance. If these accounts do not exist, the relevant data records are parked in an error list.
One special consideration is the primary cost elements. In Central Finance, the two master data types—accounts and cost elements—are merged into one. As a result, a separate data record exists—not for the cost element, but for the account only. The following lists the most important types of cost elements (see also Figure 12.22) for which you'll require accounts in Central Finance. We'll also explain how to determine the relevant data for each cost element:
* 01: Primary costs/Cost-Reducing Revenues
Check your balance of accounts and the settings for the controlling area to identify all accounts/cost elements for wages and salaries, depreciation of plant and equipment, material movements, etc.
* 11: Revenues
Look at the balance of accounts again to identify all accounts/cost elements for sales both to external customers as well as to internal business partners.
* 12: Sales Deduction
Compare your balance of accounts to the conditions of sale applied when you issue bills to your customers.
* 22: External Settlement
Determine where you have investment costs that can be billed with plant and equipment in construction or where production orders are billed to the finished goods warehouse.
**Figure 12.22** Relevant Primary Cost Elements for Central Finance
Secondary cost elements are also created as accounts. Experienced SAP users may find it strange to create accounts for secondary cost elements, but let's look at the various types of cost elements you'll need in Central Finance more closely. Start by providing a list of cost elements that you currently use (using Transaction KA23, Cost Elements: Master Data Report). After gaining an understanding of the process in which every cost element is updated, you can then decide whether you want to keep the same granularity of the cost elements for the process in Central Finance or whether you would prefer a different mapping.
Postings for the following types of cost elements (as shown in Figure 12.22) can currently be transferred to Central Finance:
* 21: Internal Settlement
Check the settlement structures in your local system to determine which cost elements are used to send the costs of orders and projects to other recipients in Controlling.
* 41: Overhead Rates
Check the costing sheets in your local system to determine which cost elements are used to send the costs of cost centers to orders and projects in Controlling.
* 42: Assessment
Check the assessment cycles in your local system to determine which cost elements are used to send the costs of cost centers to other cost centers in Controlling.
* 43: Internal Activity Allocation
Prepare a list of activity types and business processes from your local system to determine which cost elements are used to send the costs of cost centers to orders and projects in Controlling.
Furthermore, you'll have to define profit centers and cost centers. Profit centers don't have major requirements, except that in Central Finance the profit center exists with segments before profit center billing can be carried out. The cost center, in turn, is, in addition to an account, the one master data that is almost certainly accepted to Central Finance.
If you want to change to a single controlling area to simplify reporting, identifying which cost centers belong to which company code can be a challenge. Therefore, you should use appropriate and unique numbering conventions and identify whether the same cost center key can exist in multiple systems to avoid conflicts if various local systems are connected. Because the attributes of the cost center also determine how cost centers are allocated to the functional areas, profit centers, and business areas, cost centers should be carefully assessed.
###### [ ! ] Cost Centers Attributes
Pay attention to how cost center attributes are maintained. The profit center or the functional area derived, for example, from the cost center overrides any assignment maintained in the mapping tables (see also Figure 12.21).
The idea of centralizing and harmonizing all of the material masters in their entirety can be a complex undertaking. In Central Finance, however, you are only interested in a smaller subset. All settings that control demand planning, production, procurement, inventory management, etc., can remain in the local systems. The most important elements to consider include the following:
* Naming/numbering conventions
These conventions generally do not cause problems if you use data from the first local system. However, problems can occur in each subsequent system if you have not already cleansed your material masters. Remember to prepare the way for end-to-end inventory reporting if possible and prepare a central materials ledger even if you do not use this function directly in Central Finance.
* Assignment to product hierarchies
Because product hierarchies are one of the most important ways to aggregate families of similar products in CO-PA, investing some time on this topic is worthwhile. Whether you then consciously decide to use "messy" product hierarchies in the local system and use a different structure in Central Finance or indeed harmonize your product hierarchies, this complex question cannot be answered by the finance department alone.
* Assignment to material groups
Concerns regarding product hierarchies apply similarly to material groups. You should also know whether you have material attributes in your material masters that are required for central reporting, such as expenditure categories, for example.
The master data for customers and suppliers can be kept quite minimalistic because you do not initially need any settings that regulate procedures such as payments or exports. Insofar as customers are affected, you are primarily interested in attributes, such as the customer group, that you require for strategic reporting in the profit and loss account as well as in suppliers and in the settings for company-wide reconciliation. If you develop the sequence in which the data is transferred between the systems, you must be careful with data used across all customers and suppliers if a specific business area will not be included in Central Finance.
### 12.5.4 Mapping, Error Handling, and Initial Data Load
Now that you have identified the most important master data for Central Finance, you must consider whether a 1:1 relationship exists between the sender and receiver systems or whether a conversion must be performed. If you change nothing at all, the system will assume a 1:1 relationship, and the postings will be carried out when the corresponding master data is available. Please note that you also need to ensure that the appropriate document types, posting keys, and so on are available in Central Finance because this data is all part of a Universal Journal entry. If you want to override this for one of the entries, you must assign a corresponding action.
For each entity (shown in Figure 12.21), the following mapping options are available in Central Finance (shown in Figure 12.23):
* Keep Data: This setting is the default. Field values of this type are not converted at all, and the units that are transferred from the sender system are retained.
* Mapping Obligatory: The field values for all populated fields must be mapped. If no mapping data is available for the data in the FI documents, an error is issued, which can be corrected by the error correction system (Error Correction and Suspense Accounting, ECS).
* Map if Possible: The system attempts to map all populated fields. If no conversion is maintained, no error is issued. Instead, the original data that was transferred from the sender system is used.
* Clear Data: The sender system will only occasionally transfer a field for which you have no use in Central Finance. If you have fields that you do not want to transfer, you must use this setting to ensure that these fields are deleted or removed from the document.
**Figure 12.23** Mapping Actions
The most common mapping is pair mapping, in which account A from the local system is converted to account B in Central Finance. To prepare the mapping, use the Web Dynpro application MDG_BS_WD_ID_MATCH_SERVICE. Remember also that all new documents you create will go through the normal interfaces in accounting. As a result, all common options for conversions and the implementation of user exits are available.
If you are planning the conversion of your data, you'll need to decide what to do when things go wrong. Errors may concern all incoming documents (for example, if a period in Central Finance has not been opened yet) or specific master data (for example, locked cost centers).
If you have activated the business functions for preliminary posting and error correction, you'll receive a list of the documents that could not be posted and were recorded in the worklist as an error. You can either select a single element and manually correct the master data or adjust the conversion rules and update the list. Note that, at the time of posting, only errors in the FI documents are covered by this function. If, for example, an error occurs in a CO document, because a certain type of activity does not exist in Central Finance, the system will output an error directly in the SAP LT Replication Server.
Consistency is key for the initial load of data to Central Finance. You'll want to ensure that all data from the local system is transferred and cleansed, and during the upload process, you'll want to prevent users from making new postings or scheduling new jobs. You should therefore block postings during the periods when the transfer to posts transactions to prevent accidental updates.
To ensure that the data in your sender system is clean, various reports are available, which you should run before the migration:
* To prepare for transferring your asset postings, close the periodic asset posting using the RAPERB2000 program and then execute the periodic depreciation run using the RAPOST2000 program.
* Make sure that the index tables and transaction numbers in the new general ledger match so that the RFINDEX report can run for all fiscal years. Limit the selection in the local system to the company codes you want to transfer to Central Finance.
* Using the TFC_COMPARE_VZ report or Transaction FAGLF03, make sure that the figures in the new general ledger correspond to those in the subsidiary ledgers.
* If you use the new general ledger in your local system, you must ensure that the numbers in your different ledgers match. Use the RGUCOMP report or Transaction GCAC for the selected company codes.
* Also, make sure that the values in the SAP ERP Materials Management are in line with the figures in the new general ledger by executing the RM07MBST and RM07MMFI reports for the relevant company codes.
* Prepare your balances for all currencies and ledgers. Run the SAPF010 report for your accounts payable and accounts receivable and the SAPFGLBCF report for the SAP General Ledger.
* Prepare an excerpt of your closings (program RFBILA00) that contains the totals per cost center (Transaction S_ALR_87013611), the general ledger account balances for the corresponding company codes (report RFSSLD00), and the document journal (report RFBELJ00).
You are now ready for the initial data transfer. Follow the process in the IMG (see Figure 12.24) and select the logical system from which you want to copy the data.
**Figure 12.24** Selecting the Logical System
You'll also designate corresponding accounts for each company code, which are used during the migration for counter-postings. Once the data transfer is complete, the balances on these accounts should be zero. During the extraction, the data is initially stored in a temporary table in Central Finance. The posting is only simulated.
After reviewing the content, if you are satisfied with the results, use Post Initial Load Data (see Figure 12.25) to confirm, which will trigger the actual posting in Central Finance.
**Figure 12.25** Confirming the Production Data Transfer
Once the actual postings are finished, run the RFINS_CFIN_MATCH_FI_TO_CO report to check the consistency of the CO postings. Furthermore, you can also carry out a final preparatory step for the closings you carried out on the local systems in Central Finance to ensure consistency.
Now, you have completed the initial technical setup of Central Finance. You have transferred all FI-relevant documents and uploaded the initial data to your Central Finance system. The first data transfer is now complete, and you can continue to use your CO documents after you upload process separately.
Of course, completely configuring a Central Finance system or the SAP S/4HANA Finance platform still involves many more steps. Further information on SAP S/4HANA Finance is available, for example, in SAP S/4HANA Finance: An Introduction by Jens Krüger (2nd edition, SAP PRESS, 2016, www.sap-press.com/4122).
# 13 Integrating SAP S/4HANA, On-Premise, into the System Landscape
This chapter explains the integration of SAP S/4HANA systems with SAP Ariba, SAP SuccessFactors, and further existing SAP systems in the landscape.
Like SAP Business Suite, SAP S/4HANA is based on SAP NetWeaver. As a result, integrating SAP S/4HANA into an existing SAP Business Suite system landscape should be feasible without major issues. In this chapter, we'll discuss integrating with the Ariba Network and with SAP SuccessFactors. In the last section, we'll also provide information on integration with existing SAP systems.
## 13.1 Integration with SAP Ariba Solutions
SAP S/4HANA provides native, easy-to-implement direct connections to SAP Ariba solutions. Neither add-ons nor middleware is required.
The following section addresses the main things you should consider when integrating SAP S/4HANA, on-premise, systems with SAP Ariba solutions.
### 13.1.1 Integrated Business Processes with SAP Ariba Solutions and SAP S/4HANA
In Chapter 8, Section 8.1, we discussed procurement and accounting business processes that can benefit from the digitalization and integration of SAP S/4HANA and SAP Ariba solutions as well as how to implement these business processes. In this section, we'll only describe the differences between integrating SAP S/4HANA Cloud versus integrating SAP S/4HANA, on-premise, with SAP Ariba solutions.
Integration with SAP Ariba Solutions | Business Processes and Scope Items | Middleware | Implementation in the System
---|---|---|---
SAP S/4HANA Cloud 1611 |
* 1A0 SAP Ariba Sourcing
* 1L2 Ariba Quote Automation
* J82 Ariba Purchase Order to Invoice Automation
* 19O Ariba Payment and Discount Management
| Middleware not required or supported | SAP Fiori tile for the configuration
SAP S/4HANA 1610 | Native SAP S/4HANA integration:
* 1A0 SAP Ariba Sourcing
* J82 Ariba Purchase Order to Invoice Automation
* 19O Ariba Payment and Discount Management
| No middleware required; SAP Process Orchestration (PO) and SAP Cloud Platform Integration supported | SAP Implementation Guide (IMG)
| Obsolete technologies based on IDoc, BAPI, RFC, and Ariba Cloud Integration (CI): | SAP Process Orchestration (PO) or SAP Cloud Platform Integration required | SAP IMG
|
* SAP Ariba Sourcing
* Ariba Purchase Order to Payment
* Ariba Spot Quote/Quote Automation*
* SAP Ariba Contracting
* SAP Ariba Buying and Invoicing (P2P/P2O)*
* SAP Ariba Supply Chain Collaboration (SCC)*
| |
* Technically released for Ariba Cloud Integration CI-8 on SAP Process Orchestration 7.5 in combination with SAP S/4HANA 1511; technically released for CI-9 with SAP Process Integration (PI) 7.5 and SAP S/4HANA 1605. If technically released, customers can have SAP Ariba certify their implementations. Contact SAP Ariba for further information. SAP does not test these scenarios as standard scenarios with SAP S/4HANA.
**Table 13.1** Comparing the Integration Variants of SAP S/4HANA Cloud 1611 and SAP S/4HANA 1610 with SAP Ariba Solutions
The scope of the supported business processes, the technical implementation scenarios, and the physical implementation in the system all differ (see Table 13.1).
If you compare SAP S/4HANA, on-premise, to SAP S/4HANA Cloud, you'll notice that, in general, the same processes are supported as long as so-called native integration with SAP Ariba is used, which was developed for SAP S/4HANA and is based on cXML.
### 13.1.2 Technical Integration of SAP S/4HANA with SAP Ariba
Depending on the business processes that you selected for integration with SAP Ariba, the implementation can take place with or without middleware: The native integration, which is based on cXML, does not require any middleware. (cXML is the protocol of SAP Ariba, which is supported by SAP S/4HANA in selected scenarios without any add-on or adapters.)
If you still want to use middleware between your SAP S/4HANA, on-premise, system and the SAP Ariba instance in the cloud, you can use this middleware either on-premise (via SAP Process Orchestration, PO) or in the cloud (via SAP Cloud Platform Integration, previously SAP HANA Cloud Integration). If you want to use SAP PO, you'll have to implement the Ariba Cloud Integration adapter (CI-8 or higher) on it. Refer also to SAP Note 1991088.
###### [»] SAP Best Practices
The SAP Best Practices package for integrating SAP S/4HANA with SAP Ariba solutions supports you with step-by-step instructions for both native and indirect integration. For more information, go to <https://rapid.sap.com/bp/RDS_S4_ARI>.
For indirect integration using middleware, the data is only passed in the cXML format. In SAP PO or SAP Cloud Platform Integration, no data transformation takes place.
Older integrations based on IDocs, EDI (Electronic Data Interchange) connections, BAPIs (Business Application Programming Interfaces), or RFC (Remote Function Call) connections are deliberately not documented as an SAP S/4HANA function. For these integrations, you'll always need middleware such as SAP PO or SAP Cloud Platform Integration to transform the protocols from IDoc, EDI, BAPI, or RFC to cXML, and vice versa. Furthermore, Ariba Cloud Integration (CI) must be installed on the middleware, and the corresponding transports to the SAP S/4HANA system must be carried out. For further information, read the "Integrating Ariba Cloud Solutions with SAP" white paper at <http://bit.ly/v1448131>.
The Rapid Deployment Solutions (RDS) and SAP Best Practices that SAP developed for integrating SAP Business Suite with SAP Ariba can be useful for processes that have not yet been released for SAP S/4HANA. Experienced users will recognize some roughly similar settings, for example, from integrating SAP ERP with SAP Ariba Buying or SAP Ariba Supply Chain Collaboration. You can find information on the rapid deployment solutions for these scenarios at <https://rapid.sap.com/bp/RDS_ARIBA_P2P> and <https://rapid.sap.com/bp/RDS_ARI>.
Because SAP S/4HANA is a standalone, newly defined product, despite its numerous similarities with SAP ERP, you'll have to consider their differences. You can find these differences in the simplification list, which you can find at <https://help.sap.com/s4hana>; select your product version, for example, SAP S/4HANA 1610.
You may also want to consider reviewing the compatibility matrix as well as possible release restrictions and SAP Notes, which you can also find at <https://help.sap.com/s4hana>.
###### [»] Additional Information on SAP Best Practices and SAP Activate
In SAP S/4HANA, the common SAP Implementation Guide (IMG) is used. In addition, SAP recommends using the SAP Solution Manager. The SAP Best Practices package for SAP Ariba integration (<https://rapid.sap.com/bp/RDS_S4_ARI>) and the SAP Best Practices package for SAP S/4HANA (<https://rapid.sap.com/bp/BP_OP_ENTPR>) provide information on the settings you'll have to make in the IMG or SAP Solution Manager. Here, navigate to Accelerators • General Documents • Software and Delivery requirements. The SAP Activate implementation method is also used for the integration of SAP S/4HANA.
With regard to the Ariba Network, native integration with SAP S/4HANA is managed in the same way as the integration with SAP S/4HANA Cloud (see Chapter 8, Section 8.1). Thus, the following sections discuss the specific settings in the SAP S/4HANA Implementation Guide. In our example, we'll focus on the native integration of the scope items for requests for quotations (SAP Ariba Sourcing, scope item 1A0), automation of the document flow from purchase order to invoice (Purchase Order to Invoice Automation, scope item J82), and payment and discount management (Ariba Payment and Discount Management, scope item 19O). We'll also address the specific settings for indirect integration with SAP PO or SAP Cloud Platform Integration when they deviate from the direct integration settings.
The general settings cover specifying the infrastructure (for example, a secure connection with a certificate or shared secret), message control, RFC and background RFC connections, and job scheduling as well as the definition and setup of services for inbound cXML messages and consumers for outbound messages.
Depending on the specific application, you'll also have to assign the Ariba Network ID to company codes and set up the output control in two variants—Message Control (MC) or Business Rule Framework plus (BRFplus)—and the SAP Application Interface Framework (AIF).
For indirect integration using SAP Cloud Platform Integration, you'll additionally have to set up encrypted communication and SSL as well as inbound and outbound scenarios. If you use SAP Process Orchestration, you'll have to set up the cXML adapter and configure some communication channels.
You can find all these settings in the SAP Best Practices configuration guides for the various integration scenarios at the following URLs:
* RFx with SAP Ariba Sourcing (1A0): https://rapid.sap.com/bp/#/browse/categories/sap_s%4hana/areas/integration/packageversions/RDS_S4_ARI/ARINET/ALL/XX/3/EN/scopeitemversions/7fd87108f9ae4eed898fed310fc33029
* Ariba Purchase Order to Invoice (J82): https://rapid.sap.com/bp/#/browse/categories/sap_s%4hana/areas/integration/packageversions/RDS_S4_ARI/ARINET/ALL/XX/3/EN/scopeitemversions/6ad5724e605445fe80a295916a98b15d
* Ariba Payment and Discount Management (19O): https://rapid.sap.com/bp/#/browse/categories/sap_s%4hana/areas/integration/packageversions/RDS_S4_ARI/ARINET/ALL/XX/3/EN/scopeitemversions/354a49e66ace4d3d8cbe7e27c45eca91
Currently, SAP Best Practices is restricted to technical integration and the corresponding business processes that are directly supported. Further process optimization and automation are not mapped; however, you should consider optimization and automation in your planning whenever it makes sense.
For example, let's ask what process should be triggered when purchase orders are rejected by suppliers: Is SAP S/4HANA supposed to automatically contact the next supplier? Is a sourcing process supposed to be triggered? Is the rejection supposed to affect the assessment of the corresponding supplier? In SAP S/4HANA, on-premise, Business Add-Ins (BAdIs) are available that allow for further optimization. You can find them in the IMG.
In SAP Ariba, further process optimizations are possible if you set up the configuration under Administration. You can find the corresponding documentation on the SAP Ariba support pages at <https://connect.ariba.com/AC>.
###### [»] Additional Information on Integrating SAP S/4HANA, On-Premise, with SAP Ariba
You can find more information on the integration of SAP S/4HANA and SAP Ariba on the following pages:
* SAP S/4HANA Sourcing and Procurement Flipbook:
<http://bit.ly/v1448135>
* Product documentation for the SAP S/4HANA integration in the SAP Help Portal (see also Chapter 6):
<https://bit.ly/v1448136>
* White paper on the integration of SAP Ariba Cloud solutions with SAP:
<http://bit.ly/v1448131>
* Automation of the business processes from purchase order to invoice:
<http://bit.ly/v1448138>
* SAP S/4HANA Finance and Ariba Discount Professional (video):
<http://bit.ly/2w2KBEh>
* Value of the automation in the SAP Ariba Network for suppliers:
<http://bit.ly/v14481310>
## 13.2 Integration with SAP ERP HCM and SAP SuccessFactors
To run human resources (HR) processes in combination with SAP S/4HANA in your landscape, SAP provides various options. Three main scenarios are distinguished:
* SAP S/4HANA is integrated with an SAP ERP HCM (Human Capital Management) system.
* SAP ERP HCM is operated within the SAP S/4HANA instance.
* SAP S/4HANA is integrated with SAP SuccessFactors Employee Central.
We'll discuss these three scenarios in detail in the following sections.
### 13.2.1 ALE Integration with SAP ERP HCM
The first case does not differ much from operating a traditional SAP ERP system with an integrated SAP ERP HCM system. The process for setting up the integration via an ALE (Application Link Enabling) connection is also the same. You can find detailed information about ALE connections in the "SAP S/4HANA Installation and Administration Guide."
Let's look at the basic steps for configuring this integration. One prerequisite is that users must exist in the two systems (SAP S/4HANA and SAP ERP HCM) that are used for the communication. These users should have the same names in each system and need to be authorized for executing IDoc transfers.
Afterwards, you'll have to activate the SAP ERP HCM system as the system allowed to distribute HR master data across other systems via Transaction SALE. First, navigate to IDoc Interface/Application Link Enabling (ALE) • Modeling and Implementing Business Processes • Configure Predefined ALE Business Processes • Human Resources • Master Data Distribution • Distributed HR Master Data. Next, select the ALE: Original System for Personal Data Enabled system switch and enter "REPPA" into the sm. Abbreviation column (see Figure 13.1).
Now, you'll have to create logical systems for the two systems in Transaction SALE. First, navigate to the Basic settings under IDoc Interface/Application Link Enabling (ALE). Follow the naming convention "system name + CLNT + client number." For example, we assigned the name SYSCLNT100 to the system, as shown in Figure 13.1. Next, you'll assign the logical systems to the relevant clients in both systems.
**Figure 13.1** Activating the SAP ERP HCM System to Distribute Master Data
Now, you can create the RFC connections between the systems by calling Transaction SM59 of the SAP ERP HCM system and SAP S/4HANA system. Use the user that you created in the first step.
Next, create the distribution model using Transaction BD64. Select the message type and define the SAP ERP HCM system as the sending system and the SAP S/4HANA system as the receiving system.
Now, back in Transaction SALE, activate the change pointer for each message type for this message type.
Finally, use Transaction WE21 to maintain the port for IDoc processing in the SAP ERP HCM system and use Transaction WE20 to maintain the partner profile.
Now, you can start the initial distribution of your employee master data. You should create a batch job to distribute changes in master data.
### 13.2.2 Integration of SAP ERP HCM within the SAP S/4HANA Instance
The second integration scenario for SAP ERP HCM requires a special license agreement for SAP S/4HANA that allows customers to use traditional functions from SAP ERP HCM within the SAP S/4HANA instance using SAP S/4HANA Compatibility Packages (see Chapter 3, Section 3.2.1).
In this case, specific integration scenarios with SAP SuccessFactors Talent Management Suite are available, thus allowing hybrid integrations. As a result, your basic personnel administration processes will run in SAP ERP HCM within SAP S/4HANA, but individual business processes use modules from SAP SuccessFactors Talent Management Suite. You can set up this integration using SAP Cloud Platform Integration or SAP Process Orchestration as the middleware.
In addition to transferring employee data, you can integrate the following data with SAP SucessFactors Talent Management Suite (see Figure 13.2):
* Recruitment data
* Onboarding data
* Offboarding data
* Employee data and organizational data
* Compensation data
* Data of variable payment
* Evaluation data
* Qualification data
**Figure 13.2** Scope of the Integration in SAP SuccessFactors Talent Management Suite
This data is used by the following SAP SuccessFactors Talent Management Suite modules:
* Compensation
* Recruiting
* Learning Management System
* Onboarding
* Workforce Analytics
You can carry out this integration using the SAP integration add-on for SAP ERP HCM and SAP SuccessFactors; detailed documentation is available in the SAP Help Portal at <https://help.sap.com/cloud4hr>. Implementing these specific integration scenarios does not include steps specific to SAP S/4HANA. Rather, these scenarios relate to integrating an SAP ERP HCM system with SAP SuccessFactors Talent Management Suite.
Unlike integrating with SAP SuccessFactors Employee Central, which is described later in Section 13.2.3, for this integration, predefined integration content is available for the on-premise middleware, SAP Process Orchestration. However, SAP recommends using SAP Cloud Platform Integration for integrations with SAP S/4HANA, regardless of whether your system is cloud-based or on-premise.
###### [»] Side-by-Side Operation of SAP ERP HCM and SAP SuccessFactors
A specific case for operating SAP ERP HCM within the SAP S/4HANA instance is a side-by-side operation. In this case, SAP ERP HCM and SAP SuccessFactors Employee Central operate as equal systems for personnel administration. Employee data is transferred in both directions between the systems. However, you should define one of the systems as the leading system, so you can analyze all employees.
Technically, implementing this integration is similar to the full integration of SAP S/4HANA and SAP SuccessFactors Employee Central, which we described in Section 13.2.3. You'll only have to use additional information flows (iFlows) in SAP Cloud Platform Integration.
### 13.2.3 Integration with SAP SuccessFactors Employee Central
The third integration scenario in the HR area involves using SAP SuccessFactors Employee Central as the central and single system for HR. As a result, all employees and employee-related data is entered in SAP SuccessFactors Employee Central and transferred to the SAP S/4HANA system from there. In SAP S/4HANA, this data is stored in the existing tables from SAP ERP HCM and is thus available for subsequent business processes.
You perform the integration with SAP Cloud Platform Integration middleware. This middleware is used to integrate cloud application scenarios. You can set up and run these integration scenarios on the SAP Cloud Platform, which is hosted in SAP Cloud. Integration via SAP Cloud Platform Integration is the preferred method for SAP S/4HANA.
###### [»] Additional Information on SAP Cloud Platform Integration
For more information on SAP Cloud Platform Integration, go to <https://help.sap.com/cloudintegration>.
Integration with SAP SuccessFactors Employee Central includes the following components (see Figure 13.3):
* The replication of employee master data from SAP SuccessFactors Employee Central to SAP S/4HANA
* The replication of organizational data from SAP SuccessFactors Employee Central to SAP S/4HANA
* The replication of cost centers from SAP S/4HANA to SAP SuccessFactors Employee Central. In SAP SuccessFactors Employee Central, you'll maintain the current cost centers in the employee data.
**Figure 13.3** Integration with SAP SuccessFactors Employee Central
Because setting up this integration is beyond the scope of this book, we restrict the following description to replicating employee master data as an example. Three systems are involved in this integration: SAP S/4HANA, SAP SuccessFactors Employee Central, and SAP Cloud Platform Integration.
###### [»] Additional Information on the Integration of SAP SuccessFactors Employee Central
You can find the complete documentation of the configuration steps in three guides on the SAP Help Portal at <https://help.sap.com/s4hana>. Select Additional Information • Integration Information.
#### Preparing the Employee Central System
In the first step, you'll define the SAP S/4HANA system as the target system for the employee master data replication in SAP SuccessFactors Employee Central. Go to the Admin Center in SAP SuccessFactors Employee Central and enter "manage data" in the tool search. In the Manage Data application, select the Replication Target System at the top and to the left of Create. In the app, maintain the relevant fields as shown in Figure 13.4. In the External Code field, enter the logical system name of the SAP S/4HANA system.
**Figure 13.4** Creating the Replication Target System
If you use SAP S/4HANA as your payroll system, activate the Payroll Information field in the HR data. Now, you must assign the required authorizations to the technical user that will perform the replication. To authorize the user, use the tool search to find the Manage Authorization Roles tool in the Admin Center to maintain the SFAPI user (see Figure 13.5).
**Figure 13.5** Maintaining Authorization Roles
In the provisioning framework of your SAP SuccessFactors Employee Central system, you now must configure and activate ERP Integration, which must be done by an SAP consultant or certified SAP partners.
If errors occur in the data replication, the system repeats the replication automatically, depending on the error type. For example, if an employee record is locked, the replication of this data record is immediately repeated. You can also trigger the replication of individual data records manually via Data Replication Monitoring where you can also monitor the replication of the employee master data if the integration has been completed.
You can find the data replication monitoring function in the Admin Center in Employee Central under Admin Messages. Double-click on Employee Master Data, as shown in Figure 13.6.
**Figure 13.6** Admin Messages
#### Configuration in SAP S/4HANA
To receive data from SAP SuccessFactors Employee Central, a web service must be activated in SAP S/4HANA called EmployeeMasterDataBundleReplicationRequest_In. This web service is activated in the SOA Manager.
In addition, you'll have to enable the distribution of HR data from other systems by configuring Infotypes in the Implementation Guide (IMG). In the IMG, you can also define which actions are permitted for distributed data, for example, hiring employees or when employees return from leave.
You must also define, in the IMG, how your SAP S/4HANA system should behave when errors occur.
Because SAP SuccessFactors Employee Central and SAP S/4HANA use different terms in organizational management, you'll have to map them accordingly for the integration. You have to maintain these relationships, for example, for cost center values or workspaces in the IMG. Table 13.2 lists various sample codes for the marital status in SAP SuccessFactors Employee Central and SAP S/4HANA. The same applies to many address fields or data.
Code in SAP SuccessFactors Employee Central | Technical Value in SAP S/4HANA
---|---
S = single | 0 = single
M = married | 1 = married
W = widowed | 2 = widowed
D = divorced | 3 = divorced
| 4 = separated
**Table 13.2** Examples of Different Value Codes
#### Configuration in the Middleware
Data is exchanged between SAP S/4HANA and SAP SuccessFactors Employee Central in the following way:
1. The middleware, i.e., SAP Cloud Platform Integration, uses what's called the compound employee API to ask SAP SuccessFactors Employee Central whether modified employee data is available.
2. SAP Cloud Platform Integration then transfers this modified data to SAP S/4HANA, where it can be processed.
3. The data is stored in the relevant tables in SAP S/4HANA.
4. Afterwards, SAP S/4HANA sends a confirmation message to SAP Cloud Platform Integration.
5. An OData interface is used to move the data from SAP Cloud Platform Integration to the data replication monitoring solution in SAP SuccessFactors Employee Central where the status of the data replication is displayed.
The communication between SAP S/4HANA and SAP Cloud Platform Integration is secured by certificates and authorizations and is implemented using the HTTPS protocol. For the communications between SAP Cloud Platform Integration and Employee Central, a technical integration user is required. In SAP Cloud Platform Integration, you can copy the integration packages provided by SAP including the bundled iFlows to your custom workspace and configure and deploy the integration packages there.
###### [»] Accessing Integration Packages
You can find the integration packages for the distribution of employee data and the related configuration guide in the SAP API Business Hub at <https://cloudintegration.hana.ondemand.com>. Narrow the search, for example, with the search string "employee."
To access the SAP API Business Hub, you'll need a user account for the SAP Community (www.sap.com/community).
### 13.2.4 Synchronizing Employee Data with Business Partners
Employee data is required in business partners with the Employee role for the new data model in SAP S/4HANA. For all the integration scenarios we described earlier, the employee data is stored in SAP ERP HCM tables. Changes will need to be synchronized with business partner data, which also allows you to use CDS (Core Data Services) views in SAP S/4HANA.
###### [»] CDS Views
A CDS view is a database view of the ABAP Dictionary. You can access CDS views in read-only mode using Open SQL (ABAP). The system then displays the data in SAP S/4HANA.
SAP provides a report for this synchronization. The technical name of the report is /SHCM/RHSYNC_BUPA_FROM_EMPL.
To enable this report, follow the IMG menu path Integration with Other SAP Components • Integration with SAP SuccessFactors (Employee Central) • Define Reconciliation Accounts for Employees in Role FI Supplier. Verify that reconciliation accounts were defined in the general ledger for enterprises (Suppliers) that originate from the synchronization with employee data (see Figure 13.7). These reconciliation accounts must be available for all relevant company codes.
**Figure 13.7** Creating and Maintaining Reconciliation Accounts for Enterprises Using the "Employee" Role
Another prerequisite for using the synchronization report is that the HRALX PBPON switch in table T77S0 in Transaction OO_CENTRAL_PERSON must be disabled, as shown in Figure 13.8.
**Figure 13.8** Deactivating the HRALX PBPON Switch
Three options are available for triggering the report:
* By creating an employee in the integrated Employee Central system. In this case, the report is triggered by the following BAdI implementations:
* HRPAD00INFTYDB: /SHCM/TRIGGER_BUPA_SYNC
* HRPAD00INFTY: /SHCM/TRIG_BUPA_SYNC
* By processing new employee data from a system that is integrated via ALE (see Section 13.2.1). The report is triggered by a BAdI: HRALE00INBOUND_IDOC: /SHCM/BUPA_SYNC_TRIG.
* The third case is the maintenance of employees in SAP ERP HCM transactions in SAP S/4HANA. In this case, two BAdIs are used:
* HRPAD00INFTYDB: /SHCM/TRIGGER_BUPA_SYNC
* HRPAD00INFTY: /SHCM/TRIG_BUPA_SYNC
###### [ ! ] Scheduling the Synchronization Report on a Daily Basis
Some employee data is time based, and some business partner data is not. Thus, you should set up the system in such a way that the synchronization report runs daily. Daily reports are the only way to ensure that all business partner data is updated and corresponds to the employee data. If synchronization was not successful for any reason, all employee data is again synchronized during the next run.
## 13.3 Integration with Existing SAP Systems
Integrating an SAP S/4HANA system into an existing SAP system landscape is nearly identical to the integration of SAP Business Suite systems. You can continue to use the familiar synchronous and asynchronous interface technologies, such as ALE/EDI business processes (Application Link Enabling/Electronic Data Interchange), and the common integration tools, such as SAP Process Integration (PI) or SAP Process Orchestration (PO). In addition, you can also use the following SAP NetWeaver technologies and frameworks:
* Enterprise Services
These web services provide business processes or business process steps with reference to an Enterprise Service definition.
* SAP Application Interface Framework (SAP AIF)
SAP AIF is a framework for managing the interfaces of various SAP technologies, such as IDocs, web services, Core Interfaces (CIF), queued Remote Function Calls (qRFC), transactional Remote Function Calls (tRFC), files, batch input, etc. Development, monitoring, and troubleshooting via SAP AIF take place in the SAP backend. SAP AIF is as an add-on for SAP NetWeaver 7.0 or higher. You may need a separate license to use the framework.
You can find more information and exceptions using certain interfaces and/or technologies in the simplification list. Before you integrate an SAP S/4HANA, on-premise, system into your existing system landscape, you should refer to the simplification list for your release.
The simplification list includes notes on changes in SAP S/4HANA and other aspects you'll have to consider. You may have to adjust existing SAP standard interfaces and custom interfaces due to the modified data storage and adapted standard function modules.
Particularly when using function modules for posting data, you'll need to ensure that the data can still be used in SAP S/4HANA. Many previously used function modules were enhanced for usage with SAP S/4HANA or replaced by new functions. Chapter 10, Section 10.2.2, describes how to access the simplification list.
###### [»] Additional Links and Help for the Integration
Describing SAP NetWeaver technologies and frameworks, which have been tried and tested for numerous years, would go beyond the scope of this book. You can find more information at the links and in the books listed here. Detailed information is available in the SAP Help Portal at <http://help.sap.com/s4hana>.
1. In the SAP Help Portal, select your release, for example, "SAP S/4HANA 1610."
2. On the next page, select Product Assistance and your language.
In the menu tree under Enterprise Technology, you'll find detailed information on integration scenarios using the following technologies:
* SAP Application Interface Framework (SAP AIF)
* Enterprise Services
* ALE/EDI business processes
The following links in the SAP Community Wiki provide useful tips, presentations, and help for Enterprise Services:
* <https://wiki.scn.sap.com/wiki/display/ESpackages/ES%2BWiki%2BHome>
* <https://wiki.scn.sap.com/wiki/display/ESpackages/Enterprise%2BServices%2BCommunity>
For more information on SAP AIF, go to:
* SAP Help Portal: <http://help.sap.com/aif>
* SAP Community: www.sap.com/aif
* The E-Bite "Serializing Interfaces in SAP AIF" by Michal Krawczyk, Krzysztof Łuka, and Michal Michalski (www.sap-press.com/3943)
The last part of the book looks back at the scenarios we described in the previous chapters. You must determine which scenario is relevant to you and learn the necessary steps for its implementation. You'll need an appropriate strategy, one that depends on your initial situation. The following chapter thus introduces the path to making the right decisions, using examples to provide an overview of the different procedures available as well as their relative advantages and disadvantages.
# Part IV
Assessing the Transformation Scenarios
# 14 Selecting Your Migration Scenario
To successfully migrate to SAP S/4HANA, the strategy you follow is a decisive factor. This chapter provides support for deciding among the individual SAP S/4HANA migration scenarios.
This final chapter summarizes and compares the advantages and disadvantages of the individual scenarios to provide decision-making support. However, we must mention that we can't decide for you which scenario you should use. Every customer situation is specific, and consequently, numerous factors play a role when making the decision. In general, the three doors to SAP S/4HANA are always open for all customers if an SAP ERP system already exists. Therefore, careful planning and analysis of your current situation are essential.
The most critical decision is the decision of whether to implement a new system or to convert your existing system. A landscape transformation is a special case because it can be combined with both scenarios. However, you should choose the most economically sensible scenario for your enterprise, and your decision should be based on technical requirements.
The first section starts with a summary of the different options provided by SAP for migrating to SAP S/4HANA. Then, we'll go into more detail through examples and expectations about possible target landscapes.
## 14.1 Overview of Procedures and Input Helps
Let's start with an overall overview, as shown in Figure 14.1. An essential criterion for deciding among the scenarios is your initial situation. Does your source system run SAP ERP 6.0 (or higher), or do you have a different system?
If your SAP system is not supported or if you are using a non-SAP system, you will have to implement a new system. Depending on the volume and quality of your (master) data to be transferred, in a new implementation, you would use the SAP S/4HANA migration cockpit for standard cases or use SAP Data Services for complex data transfers.
**Figure 14.1** Decision Tree for the Different Migration Scenarios to SAP S/4HANA
Only for source systems with SAP ERP 6.0 or higher are all three migration scenarios possible. However, you should always consider the following criteria when analyzing your initial situation at an early stage:
* What are the results of the prechecks provided by SAP?
* How much would adapting your custom programs cost, according to the recommendations of the custom code analysis?
* Analyze which new SAP S/4HANA functions you want to use. In this context, which makes more sense: adapting or rethinking existing business processes? Also, consider the simplification list.
* Which parts of the existing landscape do you want to migrate to SAP S/4HANA over what period of time?
With this information, you'll perform detailed analyses. In general, we recommend the scenarios at the top of Figure 14.1 if comprehensive adaptation work is necessary. The procedures listed in the bottom area are usually considered if the source system already provides a good basis for the target situation and does not need to be changed considerably. In this case, too, you should also think long term; for example, consider whether the current form of your existing business processes (their configurations and existing specific enhancements) must be kept.
By default, your planning should include a careful evaluation of the migration scenario you selected. You can make the right decision and find the procedure best suited to your needs only if you include all technical information from the prechecks, the custom code analysis, a consideration of the forms of new and existing processes, and other information.
Because the final choice of migration scenario is based on numerous specific factors, SAP provides various support services. We recommend using the Innovation Strategy & Roadmap service to obtain a specific recommendation for your situation. Figure 14.2 provides a rough overview of the services in the different phases of the migration project.
**Figure 14.2** SAP Services for Migrating to SAP S/4HANA
The Roadmap Viewer provided by SAP is a detailed checklist for the concrete planning and implementation of your SAP S/4HANA transformation process. You can find the Roadmap Viewer at <https://go.support.sap.com/roadmapviewer>. Of course, you can also implement your planning without using the SAP services, which we'll discuss next.
## 14.2 Creating Your Own Roadmap
To help you create your own roadmap, in this section, we'll use examples to discuss different initial situations. This section describes the details you'll have to keep in mind and provides recommendations. In this context, we'll start with determining the new target landscape first and then identifying the best way to achieve this goal. Nevertheless, we cannot cover every possible customer situation. So your specific roadmap may differ significantly from the ways we describe for various reasons.
For new customers who have not used SAP products at all, the best way to introduce SAP S/4HANA is as a new implementation. For customers using SAP ERP, the first step is to define or analyze the current target landscape. Depending on how long ago the system landscape was established and how the existing architecture meets today's business and IT requirements, this assessment involves more or less effort. Your first analysis should answer the following questions, for example:
* Which applications can be used to meet future business requirements in the best possible way?
* How many SAP S/4HANA production systems are supposed to be used (for example, regional or global production systems)?
* Does existing architecture need to be retained for other applications, or are certain functions covered by SAP S/4HANA?
This first planning step and the answers to these questions, by themselves, cannot determine whether a new implementation or a system conversion is ideal for you.
However, in a decentralized system landscape, you can now identify whether you'll have to transform your landscape through a system consolidation. In general, migrating to SAP S/4HANA always allows you the opportunity to rethink your landscape strategy.
###### [»] Additional Information on the Production System Strategy
Criteria for defining an optimum production system strategy still apply in SAP S/4HANA. The relevant SAP white paper is available at <http://tinyurl.com/Strategy-Whitepaper>. (Access to the SAP Enterprise Support Academy required.)
Consolidating system landscapes has been an issue for SAP customers for more than ten years. Many customers have already consolidated their SAP ERP systems and harmonized their business processes. You'll have to take into account and evaluate various criteria.
The most important criteria are the business requirements for global process harmonization and for the global management of business processes. These criteria should be the driving factors of the strategy you select. You should analyze whether a global harmonization makes sense or whether adaptations at the regional level or within business areas is feasible. These decisions also have an impact on the technical side. Globally consolidated systems require a single defined system configuration as well as efficient change and troubleshooting processes. Furthermore, a uniform release calendar with test periods and downtimes can be implemented. Another criterion is how risks regarding system performance, scalability, and operation issues are addressed. Figure 14.3 illustrates some considerations to keep in mind when developing your landscape strategy.
**Figure 14.3** Decision Process for a Landscape Strategy
Let's take a traditional SAP ERP system that covers financial and logistics functions as an example. Typically, the result of a system strategy is one of the following configurations:
* A single global production system
This case is common among small regional enterprises or global enterprises that leverage globally harmonized processes and a global supply chain.
* Global production systems per business area
This strategy is ideal for varying or organizationally independent business areas.
* Regional production systems using a global template and uniform master data system
This configuration is often used in large enterprises with regional supply chains, for example, in the consumer goods industry.
The main difference when determining your landscape strategy for SAP S/4HANA compared to traditional SAP ERP systems is that SAP ERP can be found in the transactional system. In most enterprises, dividing the landscape into regional SAP ERP systems based on a global template would not reduce the business value more than a global SAP ERP system. SAP S/4HANA now enables you to perform comprehensive analyses and planning activities within the transactional system.
A global SAP S/4HANA system thus allows for operational reporting and financial planning at a global level in real time. In contrast, a regional SAP S/4HANA configuration would require a separate installation of SAP Business Warehouse (SAP BW). Consequently, the business value added by a global SAP S/4HANA system is higher than that of a global SAP ERP system when compared with the relevant regional architecture. Technically, system performance and scalability are no longer barriers to a global system thanks to the performance and throughput of SAP S/4HANA.
SAP S/4HANA makes global configurations more attractive. Compared to the previous SAP ERP system, SAP S/4HANA does not change the production system strategy of most enterprises that already use a central landscape.
For enterprises that use a decentralized, nonconsolidated, and/or nonharmonized SAP ERP landscape, the following considerations are relevant:
* In the long run, you should benefit from the innovations found in SAP S/4HANA.
* Even in an entirely technical system conversion to SAP S/4HANA, you will have to make some application-specific adaptations to the existing solution.
* Instead of converting all decentralized systems separately, combining the conversion with a landscape consolidation makes sense—provided that a consolidated landscape is suitable.
* Migrating to SAP S/4HANA would create more value and reduce operating costs.
Consequently, for enterprises with decentralized landscapes, migrating to SAP S/4HANA is the ideal starting point to also consolidate their systems.
SAP S/4HANA also enables you to use functions within the system that previously belonged to separate, additional applications. Examples include production planning and detailed workflow planning, which was previously only available in SAP Advanced Planning and Optimization (SAP APO).
However, we must mention that all existing deployment scenarios for SAP ERP are still feasible with SAP S/4HANA. No technical requirements for changing the landscape exist, and you should always implement potential changes with a detailed business case. To help you define a target landscape for components that can be used directly in the SAP S/4HANA system, consider the following:
* Global views as single systems
If several regional SAP S/4HANA systems are part of the planned target landscape, you'll have to set up all applications that require a global view as global single systems. Examples include SAP BW systems or SAP BusinessObjects for global reporting, planning, and consolidation. If required, you can also use SAP APO or SAP Integrated Business Planning (SAP IBP) and/or SAP Transportation Management (SAP TM) for global transport planning, which would be the same as in an SAP ERP-based landscape.
* Mission-critical systems as single systems
All mission-critical systems, such as systems that automate production processes or warehouse management processes, should be defined as single systems. A common example is SAP Extended Warehouse Management (SAP EWM). If you had SAP EWM set up as a single, SAP ERP-independent system in your existing landscape, this setup would probably still be the case after migrating to SAP S/4HANA because SAP EWM plays a critical role for the enterprise.
A separate system offers several advantages, such as independence for software modifications and the reduced risk of collateral effects. However, if SAP EWM system covers rather uncritical processes (more like traditional SAP Warehouse Management in SAP ERP), you should think about codeploying SAP EWM in combination with SAP S/4HANA.
Finally, you should check the added value from the newly integrated processes that are only available when specific functions of SAP S/4HANA are codeployed. You should compare the potential benefits and disadvantages, as well as the costs, of such a migration.
Examples include the ability to use operational reporting with SAP S/4HANA embedded analytics instead of operational reporting with SAP BW or the ability to use detailed production planning integrated in the new material requirements planning (MRP) function within SAP S/4HANA instead of a separate SAP APO system.
Some potential disadvantages you'll have to consider include standardized maintenance and release cycles, common system downtimes, and possibly longer downtimes for smaller functions because the software is updated for all components in parallel.
After defining the new target landscape, you can specify the appropriate migration scenario and the sequence of the actions required. Depending on the target situation, the following questions may arise:
* Is a system conversion the appropriate scenario for your migration to SAP S/4HANA, or should you consider a new implementation?
* What is the appropriate approach for a system conversion if multiple SAP ERP systems need to be consolidated into a few SAP S/4HANA systems?
* How can the necessary steps be sequenced appropriately, and what relationships need to be taken into account?
The following sections use examples from different customer situations to identify the possible answers to these individual questions.
### 14.2.1 Initial Scenario: Single System
In the first scenario, your enterprise has a central single SAP ERP system. Because a system consolidation is out of scope here, you can only choose between a system conversion and a new implementation. The following options are possible:
* Standard: system conversion
Assumption:
* The existing solution mainly meets your existing business requirements.
* Your business requirements do not need a completely new implementation.
Advantage:
* A one-step procedure to SAP S/4HANA without reimplementation is possible.
* New implementation according to the greenfield approach using the model company
Assumption:
* The existing solution is too complex and/or no longer meets your existing business requirements.
* You have business requirements that need a new implementation and a return to the standard (irrespective of SAP S/4HANA).
* New implementation reusing an existing template
Assumption:
* The existing solution still meets your business requirements, but the system contains a large volume of (unused) legacy data.
For many SAP customers, at first glance, the standard method for system conversions seems to be the ideal solution to convert an existing SAP ERP system into an SAP S/4HANA system. The major advantage of this scenario is that your existing configuration and data are kept. This kind of conversion can also be implemented in one step, depending on your initial situation.
For this recommendation, we assume that the solution used so far meets the business requirements and a complete new implementation is not necessary. You can also implement minor changes (such as returning to the standard for customer-specific adaptations in isolated areas, cleansing custom code, and implementing new functions) in system conversions.
If the solution currently used is too complex or no longer meets existing requirements and/or if you generally want to implement a new system (irrespective of SAP S/4HANA), this way is the ideal solution. If your system is 20 years old or older, starting from scratch is likely ideal because requirements have likely changed considerably over time.
In this case, migrating to SAP S/4HANA is ideal for implementing a new system. You can use SAP Best Practices and the preconfigured model company to reduce costs and implementation project duration to a minimum (see Chapter 6). For a new implementation, you'll only transfer your master data and open items from your existing SAP ERP system. Historically completed data is not copied in general. In special cases, you can set up an SAP S/4HANA system from an existing template, which means that the configuration and custom code from the existing SAP ERP system will continue to be used.
Even if this example refers to a customer with a single system, the procedure would be the same if multiple SAP ERP systems existed—if the landscape stays the same on SAP S/4HANA and a consolidation is not required.
For customers who decide to convert their SAP ERP system to SAP S/4HANA, the question arises whether the system is supposed to be converted in one step or in multiple steps. As we discussed in Chapter 10, various ways to perform a conversion are available. Figure 14.4 provides an overview.
In most cases, the one-step procedure for converting from SAP ERP to SAP S/4HANA is technically feasible and makes sense. Nevertheless, customers may ask themselves whether the one-step procedure is generally the simplest way or whether two or even more projects should be planned and implemented, in particular if only migrating to the SAP HANA database is planned as an intermediate step. Table 14.1 summarizes these differences again.
**Figure 14.4** SAP S/4HANA Implementation Paths
Criterion | Option 1 | Option 2
---|---|---
| One-Step Conversion to SAP S/4HANA | First Project: Database Migration to SAP HANA
Second Project: System Conversion to SAP S/4HANA
Time to value | Faster implementation of the SAP S/4HANA target environment (analytics, new financials solution, new MRP run, SAP Fiori, etc.) |
* Faster on the first level with SAP HANA (better performance, SAP HANA Live, etc.)
* More time to implement the SAP S/4HANA target solution
Migration costs | In total, lower costs because you'll implement one large project with one test phase |
* Higher costs due to two separate projects with two separate test phases
* Overlapping tasks can lead to unnecessary costs
Risks and consequences of the migration |
* Higher project complexity
* Potentially longer downtime | * Lower project complexity
* Two potentially long downtimes
* Potentially higher risk due to reduced focus on individual test phases
**Table 14.1** Comparing One-Step and Multiple-Step Procedures
When evaluating the different options, you should always consider and compare the duration of the implementation project, its overall costs, and its risks:
* The one-step procedure provides the major advantage that only one project is required—the fastest way to SAP S/4HANA. In comparison, costs are also lower because the costs of test cycles or for project management are only incurred once.
* For two-step procedures, two projects are necessary; the second project may be delayed due to other priorities (for example, due to additional rollouts or functional projects). Depending on how long the first status is kept (which would be an SAP Business Suite powered by SAP HANA here), unnecessary and redundant costs may be incurred. For example, if SAP HANA Live or SAP Fiori are to be introduced after the first step, additional costs may be incurred for modifications that are necessary at a later stage because many of these functions are included in SAP S/4HANA.
On the other hand, the project complexity of a one-step procedure is higher than of pursuing two subsequent projects. Therefore, the general project risks are also higher. However, you can still minimize these risks with in-depth preliminary analyses and planning processes as well as by scheduling sufficient resources and test cycles. Unfortunately, enterprises often underestimate the test effort required for two separate projects, which would leads also to higher risks. Experience has shown that the project risks for the two approaches are nearly identical.
In the end, your decision should be based on general considerations:
* The balance between identified business requirements with the new options available in SAP S/4HANA, taking into account the schedule for implementing these potential benefits
* System-specific migration risks and options for minimizing risk
* Other dependencies, for example, the estimated duration of the implementation project, how the project fits into the release calendar with other projects, and the availability of required resources
* The current status of the existing system, taking into account the necessary technical requirements
When making these decisions, the question often arises whether an additional intermediate step to SAP S/4HANA Finance makes sense instead of directly migrating to SAP S/4HANA.
In this case, you should consider the duration of the project, its costs, and its risks to decide whether to deploy SAP S/4HANA Finance as an intermediate step. In individual cases, business areas may expect significant benefits provided by the new financials functions in SAP S/4HANA and want to achieve this added value as fast as possible. This intermediate step is particularly relevant if the implementation to SAP S/4HANA suffer from delays due to customer-specific complexity in the logistics area or if the necessary third-party applications are not yet supported.
### 14.2.2 Initial Scenario: Decentralized System Landscape
As we described earlier, migrating to SAP S/4HANA offers a good opportunity for decentralized system landscapes to be consolidated. Several options exist to combine an SAP S/4HANA project with a system consolidation. In general, the following approaches are useful:
* A new implementation, either based on an existing template or using SAP Best Practices, including preconfiguration and subsequent data migration. In this approach, your data will be copied from all your existing SAP ERP systems, which and usually includes master data and open items. Under certain conditions, you can also copy other historical data; however, this data duplication would increase costs and effort.
* A system conversion of your existing SAP ERP system followed by the migration of the data from all your other existing SAP ERP systems. In most cases, you'll convert one of your more central systems, the one with the most appropriate existing configuration or system size. As with the first approach, the data migration only includes master data and open items.
* A complete consolidation of all SAP ERP systems into a central SAP ERP system, where all historical data is kept, as described in Chapter 12. This consolidation can be performed by following a one-client or a multiple-client approach; afterwards, the resulting SAP ERP system is converted to SAP S/4HANA.
The criteria described in the previous sections can help you find the best possible way for this example. How well does the solution you currently use meet existing and future business requirements? Do you have a general requirement for a new implementation of the existing landscape, and does historical data have to be transferred? Answering these questions helps you make the right decision.
The following examples may be used for orientation:
* Consolidation if business requirements remain the same
Your current solution still meets all business requirements in all SAP ERP systems, but you want to consolidate the systems. You can use one of the systems as the starting point for SAP S/4HANA. Further adaptations (such as returning to the standard, code modifications, and activating additional SAP S/4HANA functions) are planned. You can create a solution based on a uniform template and then implement the solution in several systems. Then, you can consolidate these systems into a smaller number of regional systems or into one global system.
* Consolidation based on a leading configuration
Configuring one SAP ERP system is ideal because you can then use the system as a template for all other business areas or regions that are currently mapped in other systems or with other configurations. For example, a solution used in one of the larger regions is ideal for smaller, deviating implementations in satellite regions. In this case, the goal is to consolidate and harmonize all the systems on the basis of the configuration of the leading region.
* General modifications required
An existing solution usually meets the requirements of at least one system, but general modifications are often necessary to stay competitive, regardless of whether you have migrated to SAP S/4HANA. In this case, a new implementation based on a template from at least one existing and largely appropriate system is feasible.
* No SAP system as the basis
The existing solution no longer meets your business requirements, and no SAP ERP system is available to be used as a template or starting point for SAP S/4HANA. In this case, a new system must be implemented, ideally using SAP Best Practices.
For historical data that needs to be transferred, the main issue is data volume. Normally, only master data, as well as transaction data in the form of open items, is transferred for new implementations. If historical data plays a role in your new system landscape for critical reasons, the complexity of the project may increase considerably, thus increasing effort and costs because of additional required data transformations. As a result, you should always discuss this kind of requirement thoroughly and consider alternatives, such as data archiving, first. Depending on your current situation, various options are available (see Figure 14.5).
Depending on your answers, the matrix shown in Figure 14.5 can guide you to the preferred migration scenario. Note that these recommendations are only rough proposals and do not replace general and customer-specific analyses and evaluations. You'll always have to take into account the time to implement (based on the duration of the project) as well as costs, benefits, and risks. Factors that you don't have to consider include the current status of the system, the need for historical data, the number of systems to be consolidated if required, and consequently the differences between the systems involved. The technical feasibility of the selected scenario does not have to be analyzed in detail, in particular in the case of specific data migration requirements.
**Figure 14.5** Decision Matrix for Different Requirements
###### [+] Relevance of System Consolidation When Migrating to SAP S/4HANA
Consolidation activities are not a prerequisite for migrating to SAP S/4HANA and should not be considered necessary if you had not identified a need for these activities before. You can generally expect that a system conversion of a single system or a new implementation of SAP S/4HANA, followed by data migration from the other SAP ERP source systems, is always easier to implement than harmonizing all systems in advance.
SAP S/4HANA provides entirely new deployment options for your system landscape. Functions that previously required separate systems are now available as components of SAP S/4HANA. Customers often ask how these new functions impact migrating to SAP S/4HANA and defining a roadmap, including the relationships among the individual steps included in the migration.
We should mention that there is no technical requirement for modifying an existing landscape. You can convert existing SAP ERP systems to SAP S/4HANA and keep and continue to operate all related systems, such as SAP BW, SAP APO, or SAP Supplier Relationship Management (SAP SRM). If you need additional single systems, you can add them to the landscape, regardless of whether you've migrated to SAP S/4HANA.
In other words, these systems run on both SAP ERP and SAP S/4HANA. For example, you can start by introducing SAP EWM, regardless of other required migration steps. However, if you use one or more of SAP S/4HANA's new codeployment options and want to replace the corresponding function from the existing single systems, you can only start the project during or after migrating your SAP ERP system to SAP S/4HANA.
Numerous examples of these projects are available, such as implementing the Advanced Available-to-Promise (aATP) materials management function in SAP S/4HANA, which replaces the Global Available-to-Promise (GATP) function from SAP APO. Another example is implementing the Self-Service Procurement function in the SAP S/4HANA procurement solution, which covers the same functionality as the corresponding function within SAP Supplier Relationship Management (SAP SRM).
### 14.2.3 Sample Roadmaps
This section provides sample roadmaps for migrating to SAP S/4HANA to better illustrate the topics discussed in previous sections. Even though the situations described in this section may not exactly map to your specific situation for your system landscape, you can still obtain useful information for creating your own roadmap.
#### From a Single System to an SAP S/4HANA Single System
The first example involves a global SAP environment with regional SAP EWM systems. The existing solution consists of the following components:
* A single global SAP ERP system
* A single global SAP APO system used for the GATP function
* A single SAP SRM system for the Self-Service Procurement function
* A single SAP BW system for operational and strategic reporting as well as SAP BusinessObjects Planning and Consolidation for financial planning and consolidation
* The recent introduction of SAP EWM with the aim of creating three regional systems in order to minimize risks
A long-term target landscape with SAP S/4HANA looks as follows:
* A single global SAP S/4HANA system will be introduced. In addition to the functions used in SAP ERP today, the plan is to map the following functions with SAP S/4HANA:
* Real-time reporting with SAP S/4HANA embedded analytics
* Financial planning and consolidation as a part of SAP S/4HANA
* Advanced ATP and Self-Service Procurement
* In addition, a global SAP Integrated Business Planning (SAP IBP) system will operate in the cloud for sales and distribution, planning, and procurement.
* A global SAP BW system will be used for strategic reporting based on historical data.
* Three regional SAP EWM systems will limit the risk of failure.
**Figure 14.6** From a Single SAP ERP System to a Single SAP S/4HANA System
Figure 14.6 illustrates these changes graphically. A value-driven roadmap for migrating to this new target landscape could look as follows:
* You can proceed with the implementation of the SAP EWM systems as planned because no changes are necessary.
* First, SAP IBP in the cloud is used for new functions, such as SAP IBP for Response and Supply, which complements your existing SAP APO implementation. This cloud-based implementation is a new implementation, which you can carry out regardless of whether you're migrating to SAP S/4HANA.
* You can then add the planning function for demand (SAP IBP for Demand) to SAP IBP, which replaces the corresponding function of the SAP APO implementation. This adoption is also independent of migrating from SAP ERP to SAP S/4HANA.
* You can convert the SAP ERP system to an SAP S/4HANA system in one step because the solution currently used still meets most of your business requirements.
* When converting to SAP S/4HANA, and in subsequent projects, new functions will be added to the new system (for example, operational reporting and Advanced ATP), which replace their corresponding functions in SAP BW and SAP APO.
* After converting to SAP S/4HANA, you should migrate your financial planning and consolidation functions from the separate SAP BusinessObjects Planning and Consolidation (BPC) system to the corresponding function embedded in SAP S/4HANA. The previous Self-Service Procurement function is also migrated from the separate SAP SRM system.
Figure 14.7 graphically illustrates the entire roadmap for this example.
**Figure 14.7** Sample Roadmap for Migrating to a Single SAP S/4HANA System with Integrated Systems
#### From an SAP ERP Landscape Distributed across Regions to a Global SAP S/4HANA Landscape
In our second example, we'll start with a system landscape distributed across multiple regions that will be consolidated into a global system landscape. The initial situation of our landscape distributed across multiple regions is the following:
* Three regional SAP ERP systems use a harmonized global template. One SAP ERP system, for the leading region, is much more comprehensive, while two smaller regional satellite systems also exist.
* Three regional SAP BW systems are used for regional operational and strategic reporting.
* A fourth global SAP BW system, including BPC, is used for enterprise-wide reporting as well as for financial planning and consolidation.
The long-term planning for this SAP S/4HANA target landscape could look as follows:
* You introduce a single, global SAP S/4HANA system because day-to-day operations have been globalized. In addition to the SAP ERP functions used so far, the following functions will be added:
* Real-time reporting with SAP S/4HANA embedded analytics
* Replication-free financial planning and consolidation with the BPC function included in SAP S/4HANA
* A global SAP BW system is used for strategic reporting based on historical data.
**Figure 14.8** From a Regional SAP ERP Landscape to a Global SAP S/4HANA Landscape
Figure 14.8 shows the entire landscape before and after the conversion. An appropriate roadmap for this migration to the target landscape could look as follows:
* You convert the largest SAP ERP system of the leading region into an SAP S/4HANA system in one step.
* You then migrate selected data from the regional satellite systems to the new SAP S/4HANA system. This data includes relevant master data and transaction data in the form of open items.
* You add the new real-time reporting function to the new SAP S/4HANA solution. You can add these real-time reporting functions during the system conversion or add them before or after migrating the data from your other regional systems. You can then gradually add further reports to replace the reporting from your regional SAP BW systems.
* From the separate BPC system, you can migrate the financial planning and consolidation function to the corresponding function in SAP S/4HANA. However, all regions must be integrated into the new SAP S/4HANA target landscape before you can move these functions. After integrating all the regions, the financial dataset is complete, which is required for financial planning and consolidation in SAP S/4HANA.
* The global SAP BW system remains unchanged and is populated with data that is relevant for strategic reporting and historical data from regional SAP BW systems. These systems can be removed from the landscape after this process has been completed. This step is largely independent of the actual migration to SAP S/4HANA.
## 14.3 The Most Important Criteria for Your Decision
Based on the examples described in this chapter, let's now summarize the most important criteria for your decision-making. The four figures in this section refer to two questions. Indicators in each figure provide recommendations, irrespective of your answer to the question. Again, these recommendations are only examples and depend on your specific situation.
The first recommendation (see Figure 14.9) refers to your system requirements.
**Figure 14.9** Questions and Evaluations Regarding System Requirements
If your current SAP Business Suite system is a rather old release (lower than SAP ERP 6.0), you'll have to perform multiple steps when migrating to SAP S/4HANA. First, you'll have to switch to a release that allows for a system conversion to SAP S/4HANA from a technical perspective. For old releases, a new implementation is the ideal solution, saving you the time and costs required for switching to a newer release. A new implementation would even be faster.
However, certain add-ons and business functions might not be available on the SAP S/4HANA roadmap for now, such as industry solutions. The nonavailability of these functions or add-ons that have not been released yet could delay the implementation of SAP S/4HANA. However, we cannot make specific recommendations in these cases because this limitation applies to all migration scenarios, from new implementations to system conversions.
The second block of questions shown in Figure 14.10 refers to business processes.
**Figure 14.10** Questions and Evaluations Regarding Business Processes
If the business processes used so far and the configuration of your existing system meet current business requirements, a system conversion is probably the right solution. For system conversions, the present configuration and the existing dataset are both kept. Refer to the simplification list for information on possible changes relevant to SAP S/4HANA.
If you want to adapt your processes, a new implementation is recommended. In this scenario, you can implement business processes via SAP Best Practices and thus determine the best configuration for your system. Application data is transferred to the new system in a data migration process so that the data corresponds to these new processes.
The third area refers to your custom developments (as shown in Figure 14.11).
**Figure 14.11** Questions and Evaluations Regarding Custom Developments
If you wanted to transfer existing code and custom developments (which makes sense if your specific requirements are not yet met by SAP S/4HANA), a system conversion would probably be the better solution. In the case of system conversions, existing custom objects are kept and can be modified, using the custom code migration worklist, for example, to consider changes to data structures in SAP S/4HANA. However, this aspect is not that critical because you can also transfer custom developments in a new implementation. Our experience has shown that these concerns only rarely apply to custom developments.
If you may want to return to the SAP Standard for existing custom developments, you should probably opt for a new implementation first. However, this requirement does not depend on the migration scenario because you can also return to the SAP Standard for custom developments via system conversions. You'll need to analyze the existing code in detail and schedule the steps for the relevant SAP S/4HANA functions.
The last block of questions (see Figure 14.12) refers to the time to value, that is, to the period of time before the relevant value has been achieved.
**Figure 14.12** Questions and Evaluations Regarding Time to Value
How long the migration to SAP S/4HANA takes depends on your individual requirements. Depending on the size and complexity of your existing landscape, a system conversion is often the fastest method if the one-step procedure can be applied. Because your system settings would remain the same, a conversion is usually faster than a new implementation, which may involve a complete redesign of your business processes.
However, SAP Best Practices, in particular the best practices package for SAP S/4HANA, considerably accelerates new implementations. In particular, comprehensive, preconfigured cloud solutions can be available in a few weeks, which is especially interesting if you want to migrate subsidiaries to SAP S/4HANA. With a new implementation, whether the source system is an SAP ERP system or a non-SAP system does not matter because cloud-based systems are always implemented from scratch.
We cannot make general recommendation regarding these risks, which rather depend on the roadmap developed than on the scenario selected. You can select any adaptation speed that meets your current requirements. Whether you transfer a single company code to SAP S/4HANA first or start with SAP S/4HANA Finance is up to you. The only thing that we should mention—as described in this chapter—is that SAP S/4HANA implementations in small steps usually take longer and involve more costs.
## 14.4 Conclusion
This chapter concludes our journey to SAP S/4HANA. Hopefully, we've provided you with useful information to better orient you during the migration process. You are now familiar with the required tools and considerations to determine the best solution for your enterprise. Whether new implementation or system conversion, on-premise or in the cloud, now, you'll make all the right decisions.
Whether you're a member of the migration project team or a decision-maker who must determine the appropriate strategy—we hope that this book has proven to be a good guide answering all your questions and will further support you as a reference book in your migration project. Now, all that remains is for us to wish you success migrating your system to SAP S/4HANA.
# The Authors
Frank Densborn joined SAP in 2004 and is now a product manager for SAP S/4HANA in Palo Alto, CA. His work focuses on data migration for new implementations and migrations to the cloud. He has worked in the Enterprise Information Management (EIM) area and has added Rapid Data Migration solutions to the SAP portfolio. Previously, he developed SAP Best Practices packages for business intelligence as a project lead and was significantly involved in developing data migration solutions with SAP Data Services. He was also responsible for the Legacy System Migration Workbench (LSMW) development and gained real world migration experiences by supporting data migration projects at customers. Frank Densborn studied mathematics, physics, and computer science at the Johannes Gutenberg University in Mainz, Germany.
Frank Finkbohner is the project manager for the development of the predefined cloud data migration content for the SAP S/4HANA Migration Cockpit at SAP. He joined SAP in 1999 and worked at SAP Consulting for 13 years, supporting customers in developing new or enhancing existing ABAP applications. His main focus was to plan and implement data migrations. In several customer projects, he used the whole spectrum of SAP's data migration tools, methods, and programs (for example, the Legacy System Migration Workbench (LSMW), Batch Input, BAPIs, IDocs, Rapid Data Migration). During his work as a project manager for data transfer projects, he developed a specific method for grouping migration projects into work packages (SEAMAP) and has used this method successfully in customer projects. Frank Finkbohner has a degree in computer science from the University of Applied Sciences in Fulda, Germany, and a degree in industrial engineering from the University of Esslingen, Germany.
Dr. Jochen Freudenberg is the head of the Development Landscape Management—Architecture department, dealing with the definition of system landscapes for SAP software development projects. The team also prepares the technical delivery of SAP applications, focusing on SAP ERP Enhancement Packages (EHPs), SAP S/4HANA, SAP Fiori, and enhancements based on SAP Cloud Platform. He holds a doctorate degree in physics and has more than 16 years of SAP experience in the areas of ABAP development, process standards for software development, and release and maintenance strategies for SAP products.
Kim Mathäß is a product manager for SAP S/4HANA data management and for migration to SAP S/4HANA at SAP. He is responsible for the further development of tools and solutions for the transition to SAP S/4HANA. Kim Mathäß conducts lectures and sessions on SAP S/4HANA transition scenarios and migration regularly at national and international conventions. He joined SAP in 2006 and has held various roles and positions. As a senior consultant and business development manager, he has conducted numerous projects at both international enterprises and medium-sized corporations in Europe. His experience ranges from SAP new implementations to the subsequent adjustment of systems and system landscapes. These projects include system consolidations, mergers and acquisitions, and divestitures as well as traditional data migrations from SAP and non-SAP systems.
Frank Wagner is a product expert on migrating to SAP S/4HANA in the context of the SAP S/4HANA product development. Responsible for the simplification list for SAP S/4HANA, he has provided methods and tools to support customers in the transition phase. He has worked within SAP's consulting, support, and development organizations; has supported numerous customers in adopting and using SAP Retail and SAP Apparel and Footwear (SAP AFS); and has worked as an escalation manager in the SAP back office. In the SAP development division, he was a product expert and was responsible for the implementation methodology and business configuration of SAP Business ByDesign. Frank Wagner has a degree in economics from Saarland University, Germany.
#### Contributors to This Book
Andreas Muno is a product manager for SAP S/4HANA Cloud. His work focuses on integration with the SAP business network. He is responsible for developing SAP Best Practices for integrating SAP Ariba solutions with SAP S/4HANA and the SAP Business Suite. Andreas Muno wrote Chapter 8, Section 8.1, and Chapter 13, Section 13.1.
Markus Trapp works in the product management area for SAP S/4HANA Cloud and is responsible for HR integration solutions, in particular for integration with SAP SuccessFactors. He conducts lectures and sessions on SAP S/4HANA integration scenarios and SAP cloud applications regularly at national and international conventions. He studied computer science at the University of Heidelberg, Germany. Markus Trapp wrote Chapter 8, Section 8.2, and Chapter 13, Section 13.2.
# Index
↓ **A** ↓ **B** ↓ **C** ↓ **D** ↓ **E** ↓ **F** ↓ **G** ↓ **H** ↓ **I** ↓ **J** ↓ **K** ↓ **L** ↓ **M** ↓ **N** ↓ **O** ↓ **P** ↓ **Q** ↓ **R** ↓ **S** ↓ **T** ↓ **U** ↓ **V** ↓ **W** ↓ **X**
(F1) help [→ Section 5.1]
.atl [→ Section 11.3]
A ⇑
ABAP Data Dictionary [→ Section 3.4] [→ Section 12.3]
ABAP Dictionary table [→ Section 2.3]
ABAP enhancements [→ Section 3.4]
ABAP Repository [→ Section 12.3]
AcceleratedSAP [→ Section 5.1] [→ Section 11.1] [→ Section 11.1]
Accelerator [→ Section 5.1]
Account, Central Finance [→ Section 12.5]
Accounting [→ Section 1.3] [→ Section 1.3]
parallel [→ Section 1.3]
simplification [→ Section 1.2]
Accounts payable [→ Section 1.3]
Accounts payable data [→ Section 12.3]
Accounts receivable [→ Section 1.3]
Accounts receivable data [→ Section 12.3]
Activate → see [SAP Activate]
Actual data [→ Section 1.3]
Adaptive Server Enterprise [→ Section 11.3]
Add-on [→ Section 4.2]
partner [→ Section 10.2]
SAP [→ Section 10.2]
Admin Center [→ Section 13.2]
Admin guide [→ Section 9.2]
Advanced Available-to-Promise [→ Section 14.2]
Aggregate [→ Section 2.3] [→ Section 2.3]
AIF [→ Section 13.3]
ALE → see [Application Link Enabling]
ALWAYS_OFF [→ Section 10.2]
Amazon Web Services [→ Section 6.1]
Analysis phase [→ Section 12.2]
Analysis, simplification [→ Section 1.2]
Analytical app [→ Section 2.4]
API [→ Section 8.3] [→ Section 3.4]
API, public [→ Section 8.3]
APO [→ Section 1.2] [→ Section 1.2] [→ Section 1.3]
App
analytical [→ Section 2.4]
transactional [→ Section 2.4]
App Finder [→ Section 10.2]
Appliance [→ Section 6.2] [→ Section 6.2]
Application data, harmonization [→ Section 12.3]
Application Interface Framework [→ Section 13.3]
Application Link Enabling [→ Section 13.2] [→ Section 13.3] [→ Section 11.3] [→ Section 11.3]
Application management service [→ Section 3.2]
Application Programming Interface → see [API]
Archive, consolidation [→ Section 12.3]
Archiving [→ Section 4.2] [→ Section 14.2]
Ariba Cloud Integration Adapter [→ Section 13.1]
Ariba Collaborative Sourcing → see [SAP Ariba Sourcing]
Ariba Payment and Discount Management [→ Section 13.1]
Ariba Purchase Order to Invoice [→ Section 13.1]
Ariba spot quote [→ Section 8.1]
ASAP [→ Section 5.1] [→ Section 11.1] [→ Section 11.1]
ASE [→ Section 11.3]
Asset accounting [→ Section 10.2]
Authentication, SAP S/4HANA Cloud [→ Section 7.1]
Authorization, harmonization [→ Section 12.3]
Automation [→ Section 1.1]
Availability check, global [→ Section 1.3]
AWS [→ Section 6.1]
B ⇑
B2B [→ Section 1.3]
Backend system [→ Section 2.4]
Backup [→ Section 12.2]
BAdI, Ariba integration [→ Section 13.1]
BAiO [→ Section 5.1]
Balance of accounts [→ Section 12.5]
Bank master [→ Section 11.3]
BAPI [→ Section 2.5] [→ Section 3.4] [→ Section 11.3] [→ Section 11.3] [→ Section 11.5]
ALE interface [→ Section 11.3]
asynchronous [→ Section 11.3]
BC sets [→ Section 9.2]
Belize [→ Section 10.2]
Best practices → see [SAP Best Practices]
Best Practices Explorer [→ Section 5.1] [→ Section 5.1] [→ Section 11.3]
BI Launchpad [→ Section 11.3]
Bing [→ Section 1.3]
Blueprint [→ Section 12.2]
Blueprint phase [→ Section 11.1]
BPC [→ Section 1.3]
Brownfield [→ Section 3.1] [→ Section 3.3] [→ Section 10.1]
Browser [→ Section 2.4]
Building block [→ Section 5.1] [→ Section 9.2]
Building Block Builder [→ Section 9.2]
Business All-in-One [→ Section 5.1]
Business Application Programming Interface → see [BAPI]
Business case [→ Section 12.2]
Business configuration sets [→ Section 9.2]
Business function [→ Section 10.2]
FIN_GL_ERR_CORR [→ Section 12.5]
FIN_GL_ERR_CORR_SUSP [→ Section 12.5]
FINS_CFIN [→ Section 12.5]
Business impact note [→ Section 10.2]
Business model, change [→ Section 1.1]
Business object [→ Section 11.1] [→ Section 11.1]
custom [→ Section 3.4]
Business partner [→ Section 8.2] [→ Section 13.2]
Business process [→ Section 14.3]
enhancement [→ Section 3.4]
harmonize [→ Section 14.2]
Business process document [→ Section 5.1]
Business suite [→ Section 2.1]
BW [→ Section 14.2]
C ⇑
Campaign execution [→ Section 8.3]
Career Site Builder [→ Section 1.3]
CCLM [→ Section 10.2]
CDS [→ Section 3.4] [→ Section 10.2]
CDS view [→ Section 13.2]
Central Finance [→ Section 3.2] [→ Section 1.3] [→ Section 1.3] [→ Section 12.5]
companies [→ Section 12.5]
data transfer [→ Section 12.5] [→ Section 12.5]
global parameters [→ Section 12.5]
Implementation Guide [→ Section 12.5]
master data [→ Section 12.5]
system connections [→ Section 12.5]
Central hub [→ Section 9.3]
Central Management Console [→ Section 11.3]
Change pointer [→ Section 13.2]
Chart of accounts [→ Section 12.5]
Check data value [→ Section 11.1]
Check list, SAP S/4HANA Cloud [→ Section 7.1]
Check routine, SAP Data Services [→ Section 11.3]
Check variant [→ Section 10.2]
Client [→ Section 6.3]
000 [→ Section 9.2]
concept [→ Section 12.3]
copy [→ Section 9.2]
merge [→ Section 12.3]
profile [→ Section 9.2]
SAP Best Practices [→ Section 9.2]
traditional [→ Section 9.2]
transfer [→ Section 12.3]
Cloud [→ Section 3.1]
deployment model [→ Section 3.1]
edition [→ Section 3.2]
operating model [→ Section 3.1]
security [→ Section 3.1] [→ Section 1.1]
service models [→ Section 3.1]
Cloud Appliance Library [→ Section 6.1]
Cloud computing [→ Section 1.1]
Cloud Connector → see [SAP HANA Cloud Connector]
Cloud Identity [→ Section 7.1]
CMC [→ Section 11.3]
Code Inspector [→ Section 10.2] [→ Section 10.2]
Code pushdown [→ Section 2.3] [→ Section 10.2]
Co-deployment [→ Section 9.1] [→ Section 14.2]
Column-based storage [→ Section 2.3]
Comma Separated Value → see [CSV]
Communication agreement [→ Section 8.2]
Communication scenario [→ Section 8.2]
Communication system [→ Section 8.2]
Communication user [→ Section 8.2]
Company code [→ Section 12.3] [→ Section 12.5]
migration [→ Section 12.4]
transfer [→ Section 12.1] [→ Section 12.4]
Compatibility matrix [→ Section 13.1]
Compatibility packages [→ Section 3.2]
Compound employee API [→ Section 13.2]
Configuration
self-service [→ Section 5.1]
test [→ Section 5.1]
Configuration application [→ Section 7.2]
Configuration item [→ Section 7.2]
Consolidation [→ Section 1.2]
Consolidation, systems [→ Section 12.1]
Contact, SAP Hybris Marketing Cloud [→ Section 8.3]
Content [→ Section 11.3]
Content activation [→ Section 9.2]
Controlling [→ Section 1.3]
Controlling area [→ Section 12.4] [→ Section 12.5]
Conversion [→ Section 12.3] [→ Section 11.3]
Conversion → see [System conversion]
Conversion path [→ Section 10.2]
Conversion scenario → see [Migration scenario]
Conversion table [→ Section 7.3] [→ Section 11.3]
Cookbook [→ Section 9.1]
Core business processes [→ Section 2.1]
Core Data Services → see [CDS]
Core process, business [→ Section 2.1]
Cost accounting [→ Section 12.5]
Cost center [→ Section 12.5]
attributes [→ Section 12.5]
Cost element
primary [→ Section 12.5]
secondary [→ Section 12.5]
Cost/benefit analysis [→ Section 12.2]
Counter-deletion [→ Section 12.4]
Country [→ Section 12.5]
Credit management [→ Section 10.1] [→ Section 10.2]
Credit Risk Analyzer [→ Section 1.3]
Crowdfunding [→ Section 1.1]
Crowdsourcing [→ Section 1.1]
CSV [→ Section 8.3] [→ Section 8.3] [→ Section 7.3]
Custom code check [→ Section 4.2] [→ Section 3.4]
Custom Code Lifecycle Management toolset [→ Section 10.2]
Custom code migration worklist [→ Section 4.2] [→ Section 10.1] [→ Section 10.1] [→ Section 10.2] [→ Section 10.2]
Custom development [→ Section 12.3] [→ Section 10.2]
Custom development, automatic check [→ Section 4.2]
Custom developments [→ Section 14.3] [→ Section 10.2]
Customer field [→ Section 11.5]
Customer master [→ Section 11.3]
Customer Vendor Integration [→ Section 11.3]
Customizing [→ Section 3.4]
client-dependent [→ Section 12.3]
client-independent [→ Section 12.3]
data migration [→ Section 11.3]
SAP S/4HANA Cloud [→ Section 7.2]
transfer [→ Section 12.3]
Cut-over [→ Section 5.2] [→ Section 12.2] [→ Section 10.1] [→ Section 12.2]
CVI [→ Section 11.3]
cXML [→ Section 13.1]
D ⇑
Dashboard, marketing manager [→ Section 1.3]
Data aging [→ Section 4.2]
Data analysis [→ Section 11.1]
Data cleansing [→ Section 11.1] [→ Section 12.3] [→ Section 11.3]
Data comparison [→ Section 11.3]
Data conversion [→ Section 2.3] [→ Section 10.2]
Data flow [→ Section 11.3]
Data footprint [→ Section 4.1] [→ Section 4.2]
Data governance [→ Section 11.3]
Data harmonization [→ Section 12.3]
Data import [→ Section 11.3]
simulation [→ Section 7.3]
Data lineage [→ Section 11.3]
Data management object [→ Section 8.3]
Data migration
content [→ Section 11.3] [→ Section 11.3]
Convert Values [→ Section 7.3]
field mapping [→ Section 11.3]
fixed values [→ Section 7.3]
implementation phase [→ Section 11.1]
monitoring [→ Section 11.3]
performance [→ Section 11.3]
phases [→ Section 11.1]
platform [→ Section 11.3]
Rapid Data Migration [→ Section 11.3]
SAP S/4HANA migration cockpit [→ Section 11.4]
starter system [→ Section 7.1]
template [→ Section 11.3]
validation function [→ Section 11.3]
Data Migration Server [→ Section 12.5]
Data model, simplification [→ Section 2.3]
Data quality [→ Section 12.3]
Data replication [→ Section 4.2]
Data replication monitoring [→ Section 13.2]
Data security [→ Section 3.1]
Data Services → see [SAP Data Services]
Data Services Designer [→ Section 11.3] [→ Section 11.3] [→ Section 11.3]
Data storage, architecture [→ Section 2.3]
Data structure, simplification [→ Section 1.2]
Data validation [→ Section 11.1] [→ Section 11.3]
Data volume, development [→ Section 2.1]
Data, historical [→ Section 14.2]
Database
integration [→ Section 11.3]
migration [→ Section 10.2]
migration, custom developments [→ Section 10.2]
server [→ Section 11.3]
sizing [→ Section 10.2]
traditional [→ Section 2.3]
view [→ Section 2.3]
Database Migration Option [→ Section 4.2] [→ Section 10.2] [→ Section 10.2]
Database Migration Option, Migration Control Center [→ Section 10.2]
DataSift [→ Section 8.3]
Datastore [→ Section 11.3] [→ Section 11.3]
Decommissioning Cockpit [→ Section 10.2] [→ Section 10.2]
Deduplication [→ Section 11.3]
Delta reconciliation [→ Section 11.3]
Deploy phase [→ Section 7.1] [→ Section 7.1] [→ Section 5.2] [→ Section 5.2]
Deployment option → see [Operating model]
Development [→ Section 1.3]
Development system
conversion [→ Section 10.1]
system configuration [→ Section 9.2]
transformation [→ Section 12.2]
Dialog process [→ Section 11.3]
Digital core [→ Section 2.1] [→ Section 1.2] [→ Section 3.2]
Digital farming [→ Section 1.1]
Digital native [→ Section 2.2]
Digital platform [→ Section 1.1]
Digital transformation [→ Section 1.1]
Digitalization [→ Section 1.1]
Discount management [→ Section 8.1]
Discover phase [→ Section 7.1] [→ Section 4.1]
Disruptive transformation [→ Section 1.1]
Distribution model [→ Section 13.2]
DMO → see [Database Migration Option]
Document exchange [→ Section 8.1]
Download Basket [→ Section 9.1]
Downtime [→ Section 10.1] [→ Section 10.2]
Downtime-optimized procedure [→ Section 10.2]
Dual-stack system [→ Section 10.2]
E ⇑
eCATT [→ Section 9.2]
E-learning [→ Section 1.1] [→ Section 1.3]
Electronic Data Interchange [→ Section 13.3]
Embedded analytics [→ Section 2.6]
Emergency patch [→ Section 3.3]
Employee data [→ Section 8.2]
import [→ Section 8.2] [→ Section 7.1]
synchronization [→ Section 13.2]
Employee self-services [→ Section 1.3]
End user, training [→ Section 10.2]
End-to-end process [→ Section 2.1]
End-user extensibility [→ Section 3.4]
Enhancement option [→ Section 3.3]
Enhancement, side-by-side [→ Section 3.4]
Enterprise Services [→ Section 13.3]
Environment, Health, and Safety (EHS) [→ Section 1.3]
EPS [→ Section 8.3]
ERP → see [SAP ERP]
ETL [→ Section 11.3]
Event Stream Processor [→ Section 8.3]
EWM [→ Section 1.3] [→ Section 1.3] [→ Section 10.2]
Execution of Program After Import [→ Section 2.3]
Execution phase [→ Section 10.2]
Explore phase [→ Section 7.1] [→ Section 7.1] [→ Section 5.2] [→ Section 11.1]
Explore phase → see [Explore phase]
Extensibility
business objects [→ Section 3.4]
business processes [→ Section 3.4]
calculation logic [→ Section 3.4]
custom [→ Section 3.4]
fields [→ Section 3.4]
in-app approach [→ Section 3.4] [→ Section 3.4]
key user [→ Section 3.4]
side-by-side approach [→ Section 3.4]
tables [→ Section 3.4]
traditional [→ Section 3.4]
user interfaces [→ Section 3.4]
F ⇑
FaaS [→ Section 9.3]
Facebook [→ Section 8.3]
marketing [→ Section 1.3]
Fact sheet [→ Section 2.4] [→ Section 2.4]
Fan page [→ Section 8.3]
FES [→ Section 9.3]
Field mapping [→ Section 11.1] [→ Section 11.3] [→ Section 11.3] [→ Section 11.5]
Field, custom [→ Section 3.4]
Fieldglass [→ Section 1.3] [→ Section 1.3]
File interface [→ Section 11.3]
Final trial run [→ Section 11.1]
Financial closing [→ Section 3.2] [→ Section 1.3]
Financial planning [→ Section 1.3]
Fiori → see [SAP Fiori]
Fiori as a Service [→ Section 9.3]
Fiori Cloud → see [SAP Fiori Cloud]
Fiori Launchpad → see [SAP Fiori Launchpad]
Fiscal year variant [→ Section 12.5]
Fit gap workshop [→ Section 6.4] [→ Section 5.2] [→ Section 9.2] [→ Section 11.1]
Fit standard analysis [→ Section 6.4]
Fixed value [→ Section 7.3]
Flat file [→ Section 11.3] [→ Section 11.3]
Frontend server [→ Section 2.4]
add-on deployment [→ Section 9.3]
central hub deployment [→ Section 9.3]
deployment options [→ Section 9.3]
installation [→ Section 9.3]
SAP Fiori Cloud [→ Section 9.3]
Fully-Activated Appliance [→ Section 6.2]
Function module [→ Section 11.3] [→ Section 11.5]
Function module, wrapper [→ Section 11.5]
G ⇑
Gateway → see [SAP Gateway]
General test [→ Section 12.2]
Gigya [→ Section 8.3]
Global availability check [→ Section 1.3]
Global Available-to-Promise [→ Section 14.2]
Global system [→ Section 14.2] [→ Section 14.2]
Global variable [→ Section 11.3] [→ Section 11.3] [→ Section 11.3]
Golden record [→ Section 11.3]
Go-live [→ Section 5.2] [→ Section 12.2]
Google [→ Section 1.3]
Google AdWords [→ Section 8.3]
Greenfield [→ Section 3.1] [→ Section 3.3] [→ Section 11.1] [→ Section 10.1]
Guided buying [→ Section 1.3]
Guided configuration [→ Section 5.1] [→ Section 3.2]
Guided process [→ Section 7.3]
H ⇑
Hard disk [→ Section 2.3]
Hardware [→ Section 2.3] [→ Section 3.3] [→ Section 12.3]
requirement [→ Section 9.1]
Harmonization [→ Section 14.2]
HCM [→ Section 13.2]
HEC [→ Section 9.1] [→ Section 3.2]
Help text [→ Section 7.2]
Hotfix [→ Section 3.3]
HR [→ Section 1.3]
HTML5 total [→ Section 3.4]
Human capital [→ Section 1.1]
Human Capital Management [→ Section 13.2]
Human resources [→ Section 1.3]
Hybrid cloud [→ Section 3.1]
Hybrid operating model [→ Section 3.1]
Hybrid scenario [→ Section 3.1]
I ⇑
IaaS → see [Infrastructure as a Service]
Identity provider [→ Section 7.1]
IDoc [→ Section 8.3] [→ Section 3.4] [→ Section 11.3] [→ Section 11.3]
background processing [→ Section 11.3]
basic type [→ Section 11.3]
control record [→ Section 11.3]
enhancement [→ Section 11.3]
HCM connection [→ Section 13.2]
import [→ Section 11.3]
inbound [→ Section 11.3]
message type [→ Section 11.3]
monitoring [→ Section 11.3]
parallel processing [→ Section 11.3]
performance [→ Section 11.3]
status [→ Section 11.3] [→ Section 11.3]
transfer [→ Section 11.3]
type [→ Section 11.3]
IDP [→ Section 7.1]
IFlow [→ Section 8.2] [→ Section 13.2]
Implementation
method [→ Section 5.1]
process-oriented [→ Section 4.1]
technical [→ Section 4.1]
Implementation Guide, Central Finance [→ Section 12.5]
Industry 4.0 [→ Section 1.1]
Information Steward [→ Section 11.3]
Infrastructure as a Service [→ Section 9.1] [→ Section 6.1] [→ Section 3.1] [→ Section 3.2]
Infrastructure service [→ Section 1.1]
Initial situation [→ Section 14.1]
In-memory database [→ Section 2.3]
Innovation Strategy & Roadmap [→ Section 14.1]
Innovation Strategy & Roadmap service [→ Section 14.1]
In-place migration [→ Section 10.2]
Inspection run [→ Section 10.2]
Instagram [→ Section 8.3]
Installation [→ Section 9.1]
Installation guide [→ Section 9.1]
Integration [→ Section 2.5] [→ Section 1.3]
Integration flow [→ Section 8.2] [→ Section 8.2] [→ Section 13.2]
Integration package, SAP SuccessFactors [→ Section 13.2]
Integration, native [→ Section 13.1]
Interaction, SAP Hybris Marketing Cloud [→ Section 8.3]
Interface [→ Section 3.4]
Intermediate Document → see [IDoc]
Internet of Things [→ Section 1.1] [→ Section 1.1] [→ Section 1.2]
Inventory management [→ Section 1.3]
simplification [→ Section 1.2]
Invoice processing [→ Section 1.3]
IoT → see [Internet of Things]
ISO code [→ Section 11.3]
J ⇑
Jam [→ Section 5.2]
Job [→ Section 11.3]
validation [→ Section 11.3]
K ⇑
Key performance indicator [→ Section 1.3] [→ Section 1.3]
Key user [→ Section 7.1]
Key-user extensibility [→ Section 2.4] [→ Section 3.4]
KPI [→ Section 1.3]
L ⇑
Landscape Management Database [→ Section 10.2]
Landscape strategy [→ Section 14.2]
Landscape transformation [→ Section 4.2] [→ Section 4.2] [→ Section 12.1] [→ Section 14.1] [→ Section 14.2]
pre-analysis [→ Section 12.2]
project phases [→ Section 12.2]
scenarios [→ Section 12.1]
system group [→ Section 12.2]
testing [→ Section 12.2]
Launchpad → see [SAP Fiori Launchpad]
Learning Hub → see [SAP Learning Hub]
Ledger [→ Section 12.5]
Legacy System Migration Workbench [→ Section 4.2] [→ Section 4.2] [→ Section 11.6] [→ Section 11.6]
License [→ Section 6.2] [→ Section 3.3]
Lifecycle management [→ Section 5.1]
Live tile [→ Section 2.4]
LMDB [→ Section 10.2]
Load test, productive [→ Section 11.1]
Load, productive [→ Section 11.1]
Local Object Library [→ Section 11.3]
Localization [→ Section 6.3]
Logical system [→ Section 13.2] [→ Section 12.5]
Logical Unit of Work [→ Section 11.3]
Lookup field [→ Section 11.3]
Lookup table [→ Section 11.3]
Loyalty program [→ Section 1.3]
LSMW [→ Section 4.2] [→ Section 4.2] [→ Section 11.6]
LUW [→ Section 11.3]
M ⇑
Maintenance [→ Section 1.1] [→ Section 3.3] [→ Section 12.3]
Maintenance cycle [→ Section 3.3]
Maintenance plan [→ Section 10.2]
Maintenance Planner [→ Section 9.1] [→ Section 4.2] [→ Section 4.2] [→ Section 10.1] [→ Section 10.2]
landscape data [→ Section 10.2]
SAP Fiori [→ Section 10.2]
Managed cloud [→ Section 3.2]
Mandatory field [→ Section 11.3]
Mandatory structure [→ Section 7.3]
Manufacturing cloud [→ Section 3.2]
Manufacturing execution system [→ Section 1.3] [→ Section 1.3]
Mapping
on paper [→ Section 11.3] [→ Section 11.3]
rules [→ Section 12.3]
SAP Data Services Designer [→ Section 11.3]
template [→ Section 11.3]
Market Risk Analyzer [→ Section 1.3]
Marketing calendar [→ Section 1.3]
Marketing Lead Management [→ Section 1.3]
Marketing resource management [→ Section 1.3]
Mass load ID [→ Section 7.3]
Massive Open Online Course [→ Section 1.1] [→ Section 5.1]
Master client [→ Section 6.3] [→ Section 9.2]
Master data [→ Section 11.1]
Central Finance [→ Section 12.5]
cleansing [→ Section 12.5]
employee [→ Section 7.1]
harmonization [→ Section 12.3]
human resources [→ Section 13.2]
Master Data Governance → see [SAP Master Data Governance]
Master system [→ Section 4.2]
Master system → see [Master system]
Material group [→ Section 12.5]
Material master [→ Section 12.5]
Material number field [→ Section 10.2]
Material requirements planning [→ Section 1.3]
MDG [→ Section 12.5] [→ Section 12.5] [→ Section 12.5] [→ Section 12.5]
Memory [→ Section 2.3]
Message type [→ Section 8.1] [→ Section 13.2]
Metadata [→ Section 11.3] [→ Section 11.3]
Methodology [→ Section 5.1]
Microsoft Azure [→ Section 6.1]
Microsoft Excel XML Spreadsheet 2003 [→ Section 7.3] [→ Section 7.3]
Middleware [→ Section 13.1]
Migration [→ Appendix Introduction]
content [→ Section 11.3] [→ Section 11.3]
landscape transformation [→ Section 4.2]
new implementation [→ Section 4.2]
scenarios [→ Section 4.2]
system conversion [→ Section 4.2]
Migration Cockpit → see [SAP S/4HANA Migration Cockpit]
Migration object [→ Section 4.2] [→ Section 7.3] [→ Section 11.1] [→ Section 11.2]
adapt [→ Section 11.5]
copy [→ Section 7.3]
determine [→ Section 11.1]
Migration Object Modeler → see [SAP S/4HANA Migration Object Modeler]
Migration project [→ Section 4.1]
Migration scenario [→ Section 4.2] [→ Section 14.1]
Migration services [→ Section 11.3] [→ Section 11.3]
Migration template [→ Section 7.3] [→ Section 11.4]
add fields [→ Section 11.5]
file extension [→ Section 7.3]
release [→ Section 7.3]
view [→ Section 11.5]
Migration tool [→ Section 7.3]
Migration Workbench [→ Section 7.3] [→ Section 7.3] [→ Section 11.5]
Model company [→ Section 6.1]
clients [→ Section 6.3]
structure [→ Section 6.4]
Modification [→ Section 12.3] [→ Section 10.2]
Modification adjustment [→ Section 9.1]
MOOC [→ Section 1.1] [→ Section 5.1]
Multi-client system [→ Section 12.3]
Multi-core processor [→ Section 2.3]
Multi-system landscape [→ Section 7.1]
MWB → see [Migration Workbench]
N ⇑
Naming convention [→ Section 12.5]
Near-zero downtime [→ Section 4.2]
New implementation [→ Section 4.2] [→ Section 4.2] [→ Section 11.1] [→ Section 14.1] [→ Section 14.2] [→ Section 14.2]
Rapid Data Migration [→ Section 11.3]
SAP S/4HANA Cloud [→ Section 7.1]
SAP S/4HANA migration cockpit [→ Section 11.4]
New installation [→ Section 9.1]
Non-SAP system [→ Section 14.1]
Number range [→ Section 12.3]
O ⇑
OData [→ Section 8.3] [→ Section 8.3] [→ Section 3.4] [→ Section 13.2]
OData service [→ Section 9.3]
ODBC [→ Section 11.3]
Offset [→ Section 12.3]
OLAP [→ Section 2.3]
OLTP [→ Section 2.3]
One-step procedure [→ Section 10.1] [→ Section 10.2] [→ Section 14.2]
One-tier system [→ Section 3.2]
Online Analytical Processing [→ Section 2.3]
Online Transaction Processing [→ Section 2.3]
On-premise [→ Section 3.1]
On-premise edition [→ Section 3.2]
Open Campaign Channel [→ Section 8.3]
Open Data Protocol → see [OData]
Open Database Connectivity [→ Section 11.3]
openSAP [→ Section 5.1]
Operating concern [→ Section 12.5]
Operating model [→ Section 4.1] [→ Section 3.1]
cloud [→ Section 3.1]
hybrid [→ Section 3.1]
on-premise [→ Section 3.1]
Operation [→ Section 3.3]
ORDER BY statement [→ Section 10.2]
Organization derivation [→ Section 12.4]
Organizational unit [→ Section 12.5] [→ Section 12.5]
transfer [→ Section 12.4]
Out of the box [→ Section 8.3]
P ⇑
PaaS [→ Section 3.1] [→ Section 3.1] [→ Section 3.4]
Paid search [→ Section 1.3] [→ Section 1.3]
Paid search campaign [→ Section 1.3]
Parallel accounting [→ Section 1.3]
Payroll [→ Section 1.3] [→ Section 1.3]
Phased rollout [→ Section 7.3] [→ Section 7.3] [→ Section 7.3]
PI → see [SAP Process Integration]
Planned data [→ Section 1.3]
Planning [→ Section 1.3]
Planning phase [→ Section 12.2]
Platform as a Service [→ Section 3.1] [→ Section 3.4]
Platform, digital [→ Section 1.1]
Plausibility check [→ Section 11.3]
PLT [→ Section 11.1]
PoC [→ Section 6.2] [→ Section 6.2] [→ Section 6.2]
Portal [→ Section 2.4]
Post [→ Section 8.3]
PP/DS [→ Section 1.2]
Pre-check [→ Section 4.2] [→ Section 10.1] [→ Section 10.2]
asset accounting [→ Section 10.2]
Pre-check → see [Pre-check]
Predictive analytics [→ Section 1.1]
Prefix [→ Section 12.3]
Prepare phase [→ Section 5.2] [→ Section 11.1]
pre-checks [→ Section 10.2]
Prepare phase → see [Prepare phase]
Pre-Transition Check → see [Pre-check]
Principle of one [→ Section 1.2]
Private cloud [→ Section 9.1] [→ Section 3.1] [→ Section 1.3]
Private managed cloud solution [→ Section 3.2]
Process
standardize [→ Section 12.3]
test [→ Section 5.1]
Process diagram [→ Section 8.1] [→ Section 5.1]
Process Orchestration → see [SAP Process Orchestration]
Procurement [→ Section 1.3]
Product hierarchy [→ Section 12.5]
Product recommendation [→ Section 1.3]
Production [→ Section 1.3]
Production conversion [→ Section 12.2] [→ Section 12.2]
monitoring [→ Section 12.2]
simulation [→ Section 12.2]
Production planning and detailed scheduling [→ Section 1.2]
Production system [→ Section 7.1] [→ Section 9.2]
global [→ Section 14.2]
regional [→ Section 14.2]
strategy [→ Section 14.2]
transformation [→ Section 12.2]
Productive load [→ Section 11.1]
Profiling [→ Section 11.3] [→ Section 11.3]
columns [→ Section 11.3]
relationships [→ Section 11.3]
Profit center [→ Section 12.5]
Profit center accounting [→ Section 12.5]
Profitability analysis, account-based [→ Section 12.5]
Program variant [→ Section 12.3]
Project management [→ Section 3.2]
Project plan [→ Section 12.2]
Project planning [→ Section 4.1]
Project team [→ Section 12.2]
Proof of concept [→ Section 6.2] [→ Section 6.2]
Provisioning framework [→ Section 13.2]
Public API [→ Section 8.3]
Public cloud [→ Section 7.1] [→ Section 9.1] [→ Section 3.1] [→ Section 3.3]
Purchase order [→ Section 8.1]
Purchase requisition [→ Section 8.1]
Purchasing, operative [→ Section 1.3]
Q ⇑
Quality assurance system [→ Section 7.1] [→ Section 9.2]
conversion [→ Section 10.1]
Quick Sizer [→ Section 10.2]
Quote automation [→ Section 8.1]
Quote, spot [→ Section 8.1]
R ⇑
RAM [→ Section 2.3]
Random-Access Memory [→ Section 2.3]
sizing [→ Section 2.3]
Rapid Data Migration [→ Section 11.2] [→ Section 11.3] [→ Section 11.4]
Rapid Data Migration, API [→ Section 11.1]
Rapid Deployment Solution (RDS) [→ Section 5.1] [→ Section 1.3]
Rapid Deployment Solution, package [→ Section 11.3]
RDS → see [Rapid Deployment Solution]
Realize phase [→ Section 7.1] [→ Section 7.1] [→ Section 5.2] [→ Section 11.1]
Regional system [→ Section 14.2] [→ Section 14.2]
Relevance analysis [→ Section 10.2]
Remittance advice [→ Section 8.1]
Remote function call → see [RFC]
Replication server [→ Section 3.2] [→ Section 12.5] [→ Section 12.5]
Reporting [→ Section 1.2]
Repository [→ Section 11.3]
Representational State Transfer (REST) [→ Section 8.3] [→ Section 8.3] [→ Section 3.4]
Request for quotation [→ Section 8.1]
Required field [→ Section 11.3]
Research and development [→ Section 1.3]
RFC [→ Section 8.3] [→ Section 11.3] [→ Section 11.3]
RFC connection [→ Section 12.5]
Roadmap [→ Section 14.2] [→ Section 14.2]
Roadmap Viewer [→ Section 5.2] [→ Section 14.1]
Role [→ Section 7.1] [→ Section 2.4]
key user [→ Section 7.1]
SAP S/4HANA Cloud, starter system [→ Section 7.1]
SAP_BR_ADMINISTRATOR [→ Section 7.1]
SAP_BR_BPC_EXPERT [→ Section 7.1] [→ Section 7.3]
Runtime estimate [→ Section 12.1]
S ⇑
S user [→ Section 10.2]
S/4HANA → see [SAP S/4HANA]
S4CORE total [→ Section 10.2]
S4HANA_READINESS total [→ Section 10.2]
SaaS → see [Software as a Service]
Sales [→ Section 1.3]
Sales order fulfillment [→ Section 1.3]
Sandbox system [→ Section 9.1] [→ Section 6.1] [→ Section 6.2]
SAP Activate [→ Section 5.1] [→ Section 6.1] [→ Section 7.1] [→ Section 11.1]
content [→ Section 5.1]
integration [→ Section 8.1]
methodology [→ Section 5.1]
modules [→ Section 5.1]
phases [→ Section 5.2]
SAP Adaptive Server Enterprise [→ Section 11.3]
SAP Advanced Planning and Optimization [→ Section 1.2] [→ Section 1.3]
SAP API Business Hub [→ Section 8.2] [→ Section 8.3] [→ Section 8.3] [→ Section 8.3]
SAP Application Interface Framework [→ Section 13.3]
SAP Ariba [→ Section 13.1]
interfaces [→ Section 13.1]
message type [→ Section 8.1]
native integration [→ Section 13.1]
rapid deployment solution [→ Section 8.1]
scope items [→ Section 8.1]
subscription [→ Section 8.1]
transaction rule [→ Section 8.1]
SAP Ariba business relationship [→ Section 8.1]
SAP Ariba Collaborative Commerce [→ Section 8.1]
SAP Ariba Collaborative Finance [→ Section 8.1]
SAP Ariba Discount Management [→ Section 8.1]
SAP Ariba Network [→ Section 8.1] [→ Section 1.3] [→ Section 1.3] [→ Section 1.3]
integration [→ Section 13.1]
invite suppliers [→ Section 8.1]
SAP Ariba Solution Integration for SAP Business Suite [→ Section 8.1]
SAP Ariba Sourcing [→ Section 8.1] [→ Section 13.1]
SAP Best Practices [→ Section 6.1] [→ Section 5.1] [→ Section 11.3]
activation [→ Section 9.2]
baseline [→ Section 5.1]
building blocks [→ Section 5.1]
Explorer [→ Section 5.1] [→ Section 11.3]
localization [→ Section 5.1]
migration content [→ Section 7.3]
Rapid Data Migration [→ Section 11.3]
scope items [→ Section 5.1]
system configuration [→ Section 9.2]
SAP Business All-in-One [→ Section 5.1] [→ Section 5.1]
SAP Business Planning and Consolidation [→ Section 1.3]
SAP Business Suite [→ Section 2.1]
SAP Business Suite 4 SAP HANA → see [SAP S/4HANA]
SAP Business Warehouse [→ Section 14.2]
SAP BusinessObjects BI Platform [→ Section 11.3] [→ Section 11.3]
SAP BusinessObjects Planning and Consolidation [→ Section 14.2]
SAP BusinessObjects Web Intelligence [→ Section 11.3] [→ Section 11.3]
reports [→ Section 11.3]
SAP BW [→ Section 14.2]
SAP CAL [→ Section 6.1]
SAP Cash Management [→ Section 1.3]
SAP Cloud Appliance Library [→ Section 6.1] [→ Section 6.1]
SAP Cloud Identity [→ Section 7.1]
SAP Cloud Platform [→ Section 3.1] [→ Section 9.3] [→ Section 3.3] [→ Section 9.3] [→ Section 3.4] [→ Section 13.2]
SAP Cloud Platform integration [→ Section 8.2] [→ Section 8.2] [→ Section 8.3] [→ Section 8.3] [→ Section 8.3] [→ Section 8.3] [→ Section 13.1] [→ Section 13.2]
SAP Cloud Platform OData Provisioning [→ Section 9.3]
SAP Consumer Insight [→ Section 1.2]
SAP Credit Management [→ Section 1.2] [→ Section 1.2] [→ Section 1.3]
SAP Data Services [→ Section 4.2] [→ Section 11.1] [→ Section 11.3]
data flow [→ Section 11.3]
Designer [→ Section 11.3] [→ Section 11.3]
import [→ Section 11.3]
jobs [→ Section 11.3]
license [→ Section 11.3]
profiler [→ Section 11.3]
SAP Download Manager [→ Section 9.1]
SAP Engineering Control Center [→ Section 1.3]
SAP Enterprise Architecture Explorer [→ Section 9.3]
SAP ERP [→ Section 2.1] [→ Section 8.3] [→ Section 8.3] [→ Section 8.3]
SAP ERP 6.0 [→ Section 14.1]
SAP ERP HCM [→ Section 13.2] [→ Section 13.2]
SAP ERP HCM, side-by-side operation [→ Section 13.2]
SAP Event Stream Processor [→ Section 8.3]
SAP Extended Warehouse Management [→ Section 1.3] [→ Section 10.2]
SAP Fieldglass [→ Section 1.3] [→ Section 1.3]
SAP Fiori [→ Section 2.2] [→ Section 2.4] [→ Section 1.2] [→ Section 10.2]
2.0 [→ Section 10.2]
App Finder [→ Section 10.2]
app reference library [→ Section 10.2]
Best Practices [→ Section 5.1]
documentation [→ Section 2.4]
enhancements [→ Section 2.4]
frontend server [→ Section 9.3] [→ Section 9.3]
help [→ Section 2.4]
installation [→ Section 10.2]
library [→ Section 9.3]
operating concept [→ Section 2.4]
relevance analysis [→ Section 10.2]
role [→ Section 2.4]
role concept [→ Section 10.2]
technology [→ Section 2.4]
transition phase [→ Section 10.2]
types of apps [→ Section 2.4]
X-ray [→ Section 2.4]
SAP Fiori Cloud [→ Section 9.3] [→ Section 9.3]
demo [→ Section 9.3]
deployment options [→ Section 9.3]
SAP Fiori Launchpad [→ Section 2.4] [→ Section 9.3] [→ Section 10.2]
group [→ Section 7.1] [→ Section 2.4]
navigation [→ Section 7.1]
provider [→ Section 9.3]
SAP Gateway [→ Section 9.3] [→ Section 3.4]
SAP GUI [→ Section 2.4] [→ Section 9.3] [→ Section 10.2]
SAP HANA [→ Section 2.3]
SAP HANA Cloud Connector [→ Section 9.3] [→ Section 9.3] [→ Section 3.4]
SAP HANA Cloud Platform → see [SAP Cloud Platform]
SAP HANA Enterprise Cloud [→ Section 9.1] [→ Section 3.2]
SAP HANA Enterprise Cloud, Central Finance [→ Section 12.5]
SAP HANA, custom developments [→ Section 10.2]
SAP Hybris Cloud for Customer [→ Section 8.3] [→ Section 8.3] [→ Section 1.3]
SAP Hybris Cloud for Customer 2.0 integration with SAP ERP [→ Section 8.3] [→ Section 8.3]
SAP Hybris Cloud for Service [→ Section 8.3]
SAP Hybris Commerce [→ Section 8.3] [→ Section 1.3]
SAP Hybris Data Hub [→ Section 8.3]
SAP Hybris Loyalty Management [→ Section 8.3]
SAP Hybris Marketing [→ Section 1.3]
SAP Hybris Marketing Cloud [→ Section 3.2] [→ Section 1.3] [→ Section 1.3] [→ Section 1.3]
contacts [→ Section 8.3]
data model [→ Section 8.3]
File Based Data Load [→ Section 8.3]
integration [→ Section 8.3] [→ Section 8.3]
interactions [→ Section 8.3]
SAP Information Steward [→ Section 11.3]
SAP Jam [→ Section 5.2]
SAP Landscape Transformation [→ Section 4.2]
delete company code [→ Section 12.4]
Migration Object Modeler [→ Section 4.2]
SAP Landscape Transformation Replication Server [→ Section 3.2] [→ Section 12.5]
trigger [→ Section 12.5]
SAP Launch [→ Section 5.1]
SAP Learning Hub [→ Section 5.1] [→ Section 5.1]
SAP LT → see [SAP Landscape Transformation]
SAP Manufacturing Execution [→ Section 1.3]
SAP Master Data Governance (MDG) [→ Section 12.5] [→ Section 12.5] [→ Section 12.5]
SAP Note
business impact [→ Section 10.2]
implement [→ Section 9.1]
SAP Portfolio and Project Management [→ Section 1.3]
SAP Process Integration [→ Section 2.5] [→ Section 8.3] [→ Section 13.3]
SAP Process Orchestration [→ Section 2.5] [→ Section 13.1] [→ Section 13.3]
SAP Product Lifecycle Management [→ Section 1.3]
SAP Project System [→ Section 1.3]
SAP Promotion Management for Retail [→ Section 8.3]
SAP Query [→ Section 11.1]
SAP S/4HANA [→ Appendix Introduction] [→ Section 2.1] [→ Section 3.2]
accounting [→ Section 1.3]
admin guide [→ Section 9.2]
architecture [→ Section 2.4]
Asset Management [→ Section 1.3]
business functions [→ Section 1.3]
compatibility packages [→ Section 3.2] [→ Section 1.3]
components [→ Section 1.3]
configuration [→ Section 5.1]
digital transformation [→ Section 1.2]
extensibility [→ Section 3.4]
frontend server [→ Section 9.3]
global system [→ Section 14.2]
guided configuration [→ Section 3.2]
human resources [→ Section 1.3] [→ Section 1.3]
implementation [→ Section 5.1]
installation [→ Section 9.1]
integration with SAP Ariba [→ Section 13.1]
logistics [→ Section 1.3]
migration [→ Appendix Introduction]
on-premise [→ Section 9.1] [→ Section 3.2] [→ Section 13.1]
operating models [→ Section 3.1]
operation [→ Section 3.3]
procurement [→ Section 1.3]
product family [→ Section 3.2]
public cloud [→ Section 3.2]
reference [→ Section 6.1]
regional system [→ Section 14.2]
requirements [→ Section 2.1]
sales and marketing [→ Section 1.3]
sizing [→ Section 9.1]
trial system [→ Section 5.1]
SAP S/4HANA Central Finance → see [Central Finance]
SAP S/4HANA Cloud [→ Section 3.2]
configuration [→ Section 7.1] [→ Section 7.2]
customizing [→ Section 7.2]
data migration [→ Section 7.1] [→ Section 7.1] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 11.1] [→ Section 14.1] [→ Section 11.1] [→ Section 11.1] [→ Section 11.1] [→ Section 11.1] [→ Section 11.2] [→ Section 11.2] [→ Section 11.3] [→ Section 11.3] [→ Section 11.3] [→ Section 11.3] [→ Section 11.4] [→ Section 11.5]
hardware [→ Section 3.3]
human resources [→ Section 8.2]
implementation checklist [→ Section 7.1]
implementation phase [→ Section 7.1]
maintenance cycles [→ Section 3.3]
operation [→ Section 3.3]
production system [→ Section 7.1]
starter system [→ Section 7.1] [→ Section 7.1]
trial system [→ Section 7.1] [→ Section 6.1]
user interface [→ Section 2.4]
SAP S/4HANA Community [→ Section 9.1] [→ Section 11.6]
SAP S/4HANA Cookbook [→ Section 9.1]
SAP S/4HANA Embedded Analytics [→ Section 1.2] [→ Section 2.6]
SAP S/4HANA Enterprise Management [→ Section 3.2]
SAP S/4HANA Enterprise Management Cloud [→ Section 3.2] [→ Section 3.2]
private option [→ Section 3.2]
SAP S/4HANA Finance [→ Section 3.2] [→ Section 14.2]
cloud [→ Section 3.2]
pre-checks [→ Section 10.2]
SAP S/4HANA Fully-Activated Appliance [→ Section 6.1]
SAP S/4HANA Installation Guide [→ Section 9.1]
SAP S/4HANA Manufacturing Cloud [→ Section 3.2]
SAP S/4HANA Marketing Cloud → see [SAP Hybris Marketing Cloud]
SAP S/4HANA Migration Cockpit [→ Section 4.2] [→ Section 7.1] [→ Section 5.1] [→ Section 7.1] [→ Section 3.2] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 7.3] [→ Section 11.1] [→ Section 14.1] [→ Section 11.1] [→ Section 11.1] [→ Section 11.1] [→ Section 11.1] [→ Section 11.2] [→ Section 11.2] [→ Section 11.2] [→ Section 11.3] [→ Section 11.3] [→ Section 11.3] [→ Section 11.3] [→ Section 11.4] [→ Section 11.4] [→ Section 11.5]
SAP S/4HANA Migration Object Modeler [→ Section 4.2] [→ Section 11.1] [→ Section 11.5]
SAP S/4HANA Professional Services Cloud [→ Section 3.2]
SAP Simple Finance → see [SAP S/4HANA Finance]
SAP Solution Manager [→ Section 5.2]
guided configuration [→ Section 5.1]
LMDB [→ Section 10.2]
release 7.2 [→ Section 9.2]
SAP SuccessFactors [→ Section 1.3]
Compensation Management [→ Section 1.3]
employee master data [→ Section 7.1]
integration [→ Section 13.2]
Learning [→ Section 1.3]
Recruiting [→ Section 1.3]
side-by-side operation [→ Section 13.2]
Succession & Development [→ Section 1.3]
Talent Management Suite [→ Section 13.2]
Workforce Analytics [→ Section 1.3]
SAP SuccessFactors Employee Central [→ Section 8.2] [→ Section 1.3] [→ Section 13.2]
Admin Center [→ Section 13.2]
communication scenario [→ Section 8.2]
integration packages [→ Section 13.2]
SAP Supplier Network Collaboration [→ Section 8.1] [→ Section 8.1]
SAP Supply Chain Management [→ Section 8.1] [→ Section 1.3]
SAP Support Portal [→ Section 10.2]
SAP Treasury and Risk Management [→ Section 1.3]
SAP Web Dispatcher [→ Section 2.4] [→ Section 9.3]
SAP Web IDE [→ Section 1.2] [→ Section 2.4] [→ Section 9.3]
SAP_APPL [→ Section 10.2]
SAP_CUST [→ Section 9.2]
SAP_UCUS [→ Section 9.2]
SAPUI5 total [→ Section 3.4]
Satellite system [→ Section 7.1] [→ Section 8.3]
SCM [→ Section 8.1] [→ Section 8.1] [→ Section 1.3]
Scope item [→ Section 8.1] [→ Section 8.1] [→ Section 5.1] [→ Section 9.2]
Search, paid [→ Section 1.3]
Secure File Transfer Protocol [→ Section 8.3] [→ Section 8.3]
Segment [→ Section 11.3]
SELECT statement [→ Section 10.2]
Self-service configuration [→ Section 5.1] [→ Section 1.3]
Sensor data [→ Section 1.1]
Service [→ Section 1.1]
Service model [→ Section 3.1]
Service process, smart [→ Section 1.1]
Set up key user, user [→ Section 7.1]
SFTP [→ Section 8.3]
Shadow instance [→ Section 10.2]
Shared secret [→ Section 8.1]
Simple Finance → see [SAP S/4HANA Finance]
Simple Object Access Protocol [→ Section 3.4]
Simplification [→ Section 2.2] [→ Section 1.2] [→ Section 1.2]
analyses [→ Section 1.2]
data structure [→ Section 1.2]
functionality [→ Section 1.2]
Simplification list [→ Section 2.2] [→ Section 4.2] [→ Section 1.3] [→ Section 10.1] [→ Section 13.1] [→ Section 10.2] [→ Section 13.3]
categories [→ Section 10.2]
items [→ Section 10.2]
Single-client system [→ Section 12.3]
Sizing [→ Section 9.1] [→ Section 4.2] [→ Section 2.3] [→ Section 10.2]
Sizing report [→ Section 10.2]
SL Toolset [→ Section 10.1]
SLD [→ Section 10.2]
SLO [→ Section 12.1]
SLT → see [SAP Landscape Transformation]
Smart product [→ Section 1.1]
Smart services [→ Section 1.1]
SNC [→ Section 8.1]
SOA Manager [→ Section 13.2]
SOAP [→ Section 8.3] [→ Section 3.4]
Soft financial close [→ Section 3.2]
Software as a Service [→ Section 9.1] [→ Section 7.1] [→ Section 3.1] [→ Section 3.3] [→ Section 1.3]
Software component [→ Section 10.2]
Software Download Center [→ Section 9.1]
Software Logistics Toolset [→ Section 10.1]
Software Provisioning Manager [→ Section 9.1]
Software Update Manager [→ Section 9.1] [→ Section 4.2] [→ Section 10.1]
analysis file [→ Section 10.2]
default procedure [→ Section 10.2]
downtime [→ Section 10.2]
downtime optimization [→ Section 10.2]
system conversion [→ Section 10.2] [→ Section 10.2]
Solution Builder [→ Section 5.1] [→ Section 9.2]
Solution Manager → see [SAP Solution Manager]
Solution scope file [→ Section 9.2]
Source structure
display mapping [→ Section 11.5]
edit [→ Section 11.5]
Source system, integration with SAP Data Services [→ Section 11.3]
Sourcing [→ Section 8.1]
strategic [→ Section 1.3]
SPAM [→ Section 9.1]
SPAU adjustment [→ Section 9.1]
Spot quote [→ Section 8.1]
Sprinklr [→ Section 8.3]
SQL [→ Section 10.2] [→ Section 10.2]
SQL Monitor [→ Section 10.2]
SQLScript [→ Section 10.2]
Stack XML [→ Section 10.2] [→ Section 10.2] [→ Section 10.2]
Staging [→ Section 11.4]
Staging area [→ Section 7.3] [→ Section 11.3] [→ Section 11.3]
Standard software [→ Section 6.4]
Standardization [→ Section 12.3]
Starter system [→ Section 7.1]
Subscription [→ Section 6.2]
Subscription model [→ Section 3.3]
SuccessFactors → see [SAP SuccessFactors]
SUM → see [Software Update Manager]
Supplier invoice [→ Section 8.1]
Supplier quick enablement [→ Section 8.1]
Supply Chain Management [→ Section 8.1] [→ Section 8.1] [→ Section 1.3]
Support [→ Section 12.2]
Support Package Manager [→ Section 9.1]
SurveyMonkey [→ Section 8.3]
SWPM [→ Section 9.1]
System
global [→ Section 14.2] [→ Section 14.2]
logical [→ Section 13.2] [→ Section 12.5]
regional [→ Section 14.2] [→ Section 14.2]
transactional [→ Section 14.2]
System consolidation [→ Section 4.2] [→ Section 12.1] [→ Section 14.2] [→ Section 12.3] [→ Section 14.2]
System conversion [→ Section 4.2] [→ Section 4.2] [→ Section 10.1] [→ Section 14.1] [→ Section 14.2] [→ Section 14.2]
after company code deletion [→ Section 12.4]
conversion paths [→ Section 10.2]
downtime [→ Section 10.1]
one-step procedure [→ Section 10.1] [→ Section 10.2]
project phases [→ Section 10.1]
requirements [→ Section 10.1] [→ Section 10.2]
system group [→ Section 10.1]
system landscape [→ Section 10.1]
technical [→ Section 4.2]
System copy [→ Section 12.4]
System group [→ Section 10.1]
System group, landscape transformation [→ Section 12.2]
System landscape [→ Section 10.1] [→ Section 12.4]
data [→ Section 10.2]
decentralized [→ Section 14.2]
deployment options [→ Section 14.2]
simplification [→ Section 1.2]
strategy [→ Section 14.2]
System Landscape Directory [→ Section 10.2]
System Landscape Optimization [→ Section 12.1]
System requirement [→ Section 10.1] [→ Section 14.3]
System switch upgrade procedure [→ Section 10.2]
T ⇑
Table
ACTDOCA [→ Section 1.2]
custom [→ Section 3.4]
MATDOC [→ Section 1.2]
Target architecture [→ Section 3.2]
Target landscape [→ Section 14.2]
TCO [→ Section 4.1] [→ Section 12.3]
Template, global [→ Section 14.2] [→ Section 14.2]
Test [→ Section 5.1]
Test case [→ Section 12.4]
Test concept [→ Section 12.2]
Test run [→ Section 12.2] [→ Section 12.2]
Test script [→ Section 5.1]
Test system [→ Section 7.1]
deployment [→ Section 12.2]
Test variant [→ Section 10.2]
Theming [→ Section 2.4]
Three-system landscape [→ Section 10.1]
Tile, live tile [→ Section 2.4]
Time recording [→ Section 1.3]
Time to value [→ Section 14.3] [→ Section 14.3]
TLS [→ Section 3.2]
Total Cost of Ownership [→ Section 4.1] [→ Section 12.3]
Trade-off [→ Section 4.1]
Training [→ Section 1.3]
Transaction
BD64 [→ Section 13.2]
BD87 [→ Section 11.3]
BDBG [→ Section 11.3] [→ Section 11.3]
FAGLF03 [→ Section 12.5]
GCAC [→ Section 12.5]
KA23 [→ Section 12.5]
LSMW [→ Section 11.6]
LTMC [→ Section 11.4]
LTMOM [→ Section 11.5]
SAINT [→ Section 9.1]
SALE [→ Section 13.2]
SCI [→ Section 10.2] [→ Section 10.2]
SM59 [→ Section 13.2]
SNOTE [→ Section 9.1]
SPAM [→ Section 9.1]
SPAU [→ Section 9.1] [→ Section 10.2]
SPDD [→ Section 10.2]
ST03 [→ Section 10.2]
SYCM [→ Section 10.2]
usage analysis [→ Section 10.2]
WE02 [→ Section 11.3]
WE05 [→ Section 11.3]
WE20 [→ Section 13.2] [→ Section 11.3]
WE21 [→ Section 13.2]
Transaction data [→ Section 11.1] [→ Section 11.1]
Transaction Manager [→ Section 1.3]
Transaction rule [→ Section 8.1]
Transactional app [→ Section 2.4]
Transfer structure [→ Section 7.3]
Transformation → see [Landscape transformation]
Transport Layer Security [→ Section 3.2]
Transport route [→ Section 9.2]
Transport system [→ Section 9.2]
Trial system [→ Section 5.1]
clients [→ Section 6.3]
on-premise [→ Section 6.1]
SAP S/4HANA Cloud [→ Section 7.1] [→ Section 6.1]
transformation [→ Section 12.2]
Troubleshooting [→ Section 11.3]
Twitter [→ Section 8.3] [→ Section 8.3]
Two-step procedure [→ Section 14.2]
Two-system landscape [→ Section 7.1]
Type conversion [→ Section 11.3]
U ⇑
UI → see [User interface]
UI technology [→ Section 3.3]
Unicode [→ Section 10.2]
Universal Journal [→ Section 1.2] [→ Section 3.2] [→ Section 1.3] [→ Section 12.5]
Universal Journal, account assignment [→ Section 12.5]
Update Manager → see [Software Update Manager]
Upgrade [→ Section 2.2] [→ Section 3.3]
Usage analysis [→ Section 10.2]
Usage Procedure Logging (UPL) [→ Section 10.2]
User
authentication [→ Section 7.1]
harmonization [→ Section 12.3]
technical [→ Section 7.1]
User administration, options [→ Section 7.1]
User exit [→ Section 12.3]
User experience [→ Section 1.1] [→ Section 1.1] [→ Section 1.1] [→ Section 1.2] [→ Section 1.2]
User extensibility [→ Section 3.4]
User interface [→ Section 2.2] [→ Section 2.4] [→ Section 3.3]
enhancement [→ Section 3.4]
simplification [→ Section 1.2]
User interface → see [User interface]
User maintenance, SAP S/4HANA Cloud, starter system [→ Section 7.1]
UX [→ Section 1.2]
V ⇑
Validation [→ Section 11.3]
technical [→ Section 12.2]
Validation function [→ Section 11.3]
Validation rules [→ Section 11.1]
Value mapping [→ Section 12.3] [→ Section 11.3]
Value mapping, Central Finance [→ Section 12.5]
Variable, global → see [Global variable]
VDM [→ Section 2.6]
View [→ Section 7.3] [→ Section 7.3]
Virtual data model [→ Section 2.6]
W ⇑
Warehouse management [→ Section 10.2]
Waterfall model [→ Section 5.1]
Web Dispatcher [→ Section 2.4] [→ Section 9.3] [→ Section 9.3]
Web Intelligence → see [SAP BusinessObjects Web Intelligence]
Web servers [→ Section 9.3] [→ Section 11.3]
Work process [→ Section 11.3]
Workload Monitor [→ Section 10.2]
World template [→ Section 6.1]
Wrapper function module [→ Section 11.5]
X ⇑
XPRA [→ Section 2.3]
X-Ray [→ Section 2.4]
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# The Document Archive
The Document Archive contains all figures, tables, and footnotes, if any, for your convenience.
**Figure 1.1** Levels of the Industrial Revolution
**Figure 1.2** Trends of the Digital Transformation
**Figure 1.3** SAP S/4HANA: Shared Industry Solutions
**Figure 1.4** Simplification of the Data Structure
**Figure 1.5** SAP Consumer Insight 365
**Figure 1.6** Central Business Processes in SAP S/4HANA
**Figure 1.7** SAP S/4HANA: Accounting
**Figure 1.8** Analytical Apps in SAP S/4HANA Controlling
**Figure 1.9** Logistics in SAP S/4HANA
**Figure 1.10** Analysis of Order Processing Exceptions in SAP S/4HANA
**Figure 1.11** Human Resources in SAP S/4HANA
**Figure 1.12** Deployment Variants for Human Resources Functions with SAP S/4HANA
**Figure 1.13** Procurement with SAP S/4HANA
**Figure 1.14** SAP Fiori App for the Procurement Overview
**Figure 1.15** Collaboration Processes with Ariba Network
**Figure 1.16** SAP Hybris Marketing Cloud Initial Screen
**Figure 1.17** Standard Scope of SAP Hybris Marketing Cloud
**Figure 2.1** Predicted Growth of the Global IP Data Traffic (Source: Cisco Systems, Inc.)
**Figure 2.2** Predicted Data Volume for Machine-to-Machine Communication (Source: Cisco Systems, Inc.)
**Figure 2.3** Role of the Digital Core in End-to-End Process Chains
**Figure 2.4** Versions of the Traditional SAP Business Suite and the SAP S/4HANA Product Family
**Figure 2.5** Comparison of Row-Based and Column-Based Data Storage
**Figure 2.6** Simplification of the Data Model for Sales Documents (Target Architecture)
**Figure 2.7** Architecture of SAP S/4HANA
**Figure 2.8** Connecting an SAP Fiori Frontend Server to an SAP System Landscape
**Figure 2.9** Example of an SAP Fiori Launchpad
**Figure 2.10** SAP Embedded Analytics: Different User Roles
**Figure 2.11** Overview Page for Critical Sales Orders
**Figure 3.1** Strategic Decisions for Migrating to SAP S/4HANA
**Figure 3.2** Service and Operating Models in the Cloud
**Figure 3.3** Integration in Hybrid Scenarios
**Figure 3.4** The SAP S/4HANA Product Family
**Figure 3.5** Different Business Areas in SAP S/4HANA
**Figure 3.6** SAP S/4HANA Compatibility Packages
**Figure 3.7** SAP S/4HANA Central Finance
**Figure 3.8** SAP S/4HANA Cloud Editions
**Figure 3.9** Enhancement Options in SAP S/4HANA
**Figure 3.10** In-App Extensibility
**Figure 3.11** End-User Enhancements for User Interfaces
**Figure 3.12** Extensibility of Fields
**Figure 3.13** User-Defined Fields and Logic
**Figure 4.1** The Main Parts Migrating to SAP S/4HANA
**Figure 4.2** Parallel Preparation and Implementation of New Functions
**Figure 4.3** The Three Scenarios for the Migration to SAP S/4HANA
**Figure 4.4** New Implementation of SAP S/4HANA
**Figure 4.5** Steps for the Data Transfer to SAP S/4HANA in the Case of a New Implementation
**Figure 4.6** System Conversion to SAP S/4HANA
**Figure 4.7** Functions from SAP ERP Expected Change or Depreciated
**Figure 4.8** Initial Screen of the Prechecks for Preparing the SAP S/4HANA Conversion
**Figure 4.9** Example Results from Prechecks
**Figure 4.10** Different Paths to SAP S/4HANA
**Figure 4.11** Landscape Transformation
**Figure 4.12** Examples of Landscape Transformation Scenarios
**Figure 5.1** Overview of SAP Activate
**Figure 5.2** SAP Activate Modules
**Figure 5.3** Overview of the Various Best Practices of SAP S/4HANA
**Figure 5.4** Example Process Diagram from SAP Best Practices: Procurement Process
**Figure 5.5** SAP S/4HANA Guided Configuration
**Figure 5.6** Solution Scope
**Figure 5.7** Self-Service Configuration
**Figure 5.8** Changing the Threshold Value
**Figure 5.9** An Automated Test
**Figure 5.10** Manage Your Test Processes
**Figure 5.11** Advanced (F1) Help in SAP S/4HANA
**Figure 5.12** SAP Activate Phases and Activities for SAP S/4HANA Cloud Editions
**Figure 5.13** SAP Activate Phases and Activities for SAP S/4HANA, On-Premise
**Figure 5.14** SAP Activate Phases
**Figure 6.1** SAP S/4HANA 1610 Fully-Activated Appliance in the SAP Cloud Appliance Library
**Figure 6.2** SAP S/4HANA Fully-Activated Appliance Concept
**Figure 6.3** SAP S/4HANA Fully-Activated Appliance Components
**Figure 6.4** Enterprise Structure of the Model Company
**Figure 7.1** Welcome Screen for SAP S/4HANA Cloud Trial
**Figure 7.2** Project Phases for Your Journey to SAP S/4HANA Cloud
**Figure 7.3** SAP S/4HANA Cloud Start Screen
**Figure 7.4** Maintaining Employee Master Data
**Figure 7.5** User Maintenance Entry Screen in SAP S/4HANA Cloud
**Figure 7.6** Entry Screen for Role Assignment Maintenance
**Figure 7.7** User Authentication Architecture
**Figure 7.8** Detail Screen for Maintaining User Roles in SAP S/4HANA Cloud
**Figure 7.9** "Manage Your Solution" and the SAP S/4HANA Guided Configuration
**Figure 7.10** Overview of Configuration Apps in the Deploy Phase
**Figure 7.11** Activated Help Texts
**Figure 7.12** Detail Screen of the Configuration App for Customer Classification
**Figure 7.13** Adding a Value to a Configuration Item
**Figure 7.14** Tiles in the "End to End Experience" Group
**Figure 7.15** SAP S/4HANA Migration Cockpit Entry Screen
**Figure 7.16** Creating a Migration Project
**Figure 7.17** Project Overview
**Figure 7.18** Documentation for a Migration Object
**Figure 7.19** Copying a Migration Object
**Figure 7.20** Downloading a Migration Template
**Figure 7.21** Selecting the Migration Template View
**Figure 7.22** Migration Template for the Material Migration Object
**Figure 7.23** Uploading a Migration File
**Figure 7.24** List of Uploaded Migration Files
**Figure 7.25** Opened Migration File
**Figure 7.26** Validate Data: Results List
**Figure 7.27** Overview of Missing Conversions
**Figure 7.28** Dialog for Maintaining Conversions
**Figure 7.29** Maintenance Dialog Box for Fixed Values
**Figure 7.30** Result of the Simulated Data Import
**Figure 7.31** Long Text of an Error Message
**Figure 7.32** Execute Import
**Figure 7.33** Import Results List
**Figure 7.34** Migration Object Finished
**Figure 8.1** Integrating SAP S/4HANA Cloud with SAP Ariba Solutions
**Figure 8.2** Process Flow from Request for Quotation to Purchase Order or Contract with SAP Ariba Sourcing
**Figure 8.3** Process Flow from Purchase Order to Invoice Release with SAP Ariba Commerce Automation
**Figure 8.4** Process Flow from Payment Processing to Discount Management with SAP Ariba Payables, Discounting Capabilities
**Figure 8.5** Terms of Payment in an SAP Fiori Purchase Order Form in SAP S/4HANA Cloud
**Figure 8.6** Start Screen of the Network Configurator in SAP Fiori Launchpad
**Figure 8.7** Communication Arrangement for Scenario SAP_COM_0032 (Ariba Network Integration)
**Figure 8.8** Communication Arrangement for Ariba Network Integration: Details
**Figure 8.9** Creating a System Connection
**Figure 8.10** Group "Business Network—Integration Configuration"
**Figure 8.11** Business Network: Logon Information and End Points
**Figure 8.12** Assigning the Network ID to Company Codes
**Figure 8.13** Assigning Company Codes for Invoice Verification
**Figure 8.14** Assigning Tax Codes for Invoice Verification
**Figure 8.15** Assigning the cXML Item for Deviating Invoicing Parties for Invoice Verification
**Figure 8.16** Inviting Suppliers from SAP S/4HANA Cloud to Ariba Network
**Figure 8.17** Configuring the Business Network: "Control Parameters for Invoice Verification"
**Figure 8.18** Configuring the Business Network: "Assign Tax Categories for Invoice Copies"
**Figure 8.19** Configure Your Solution Business Network: Display Message Types
**Figure 8.20** Activating cXML Message Types
**Figure 8.21** Buyer User Account Entry Screen in Ariba Network
**Figure 8.22** Configuration Overview in Ariba Network
**Figure 8.23** Configuring an End Point ID for SAP Ariba Sourcing
**Figure 8.24** Configuring End Points from Purchase Order to Payment (Scope Items J82 and 19O)
**Figure 8.25** Configuring Transaction Rules in Ariba Network
**Figure 8.26** Test Scripts and Process Diagrams in the SAP Best Practices Explorer
**Figure 8.27** Importing Employee Data from a File
**Figure 8.28** SAP Cloud Platform Integration
**Figure 8.29** Employee Data Transfer Process
**Figure 8.30** Cost Center Transfer from S/4HANA Cloud to SAP SuccessFactors Employee Central
**Figure 8.31** Creating a Communication User
**Figure 8.32** Maintaining a Communication Agreement
**Figure 8.33** Creating the Replication Target System
**Figure 8.34** Middleware for Integration with SAP Hybris Marketing Cloud
**Figure 8.35** SAP Hybris Marketing Cloud Data Model
**Figure 8.36** Available Integration Packages in the SAP API Business Hub
**Figure 8.37** SAP ERP Order and Business Partner Integration
**Figure 8.38** SAP ERP Actual and Committed Spend Integration
**Figure 8.39** Calling the App "Import Data"
**Figure 8.40** Selecting the Data Management Object for the Import
**Figure 8.41** Integration Processes for Importing Data via Files
**Figure 8.42** Integration of External Systems via Files
**Figure 8.43** SAP API Business Hub Documents for File-Based Data Import
**Figure 8.44** Integration of Social Media
**Figure 8.45** Sentiment Engagement of Tweets
**Figure 8.46** Sentiment Engagement of Posts on Facebook Fan Pages
**Figure 8.47** Integration Processes for SAP Hybris Cloud for Customer in the SAP API Business Hub
**Figure 9.1** Maintenance Planner for Migrating to SAP S/4HANA
**Figure 9.2** Maintenance Planner for Installing New SAP S/4HANA Systems or Converting Existing Systems
**Figure 9.3** Downloading the Files via the Maintenance Planner
**Figure 9.4** The Software Provisioning Manager (SWPM)
**Figure 10.1** System Conversion to SAP S/4HANA: Technical Conversion and Adaptation Requirements
**Figure 10.2** Tools Used for the System Conversion
**Figure 10.3** Project Phase Tasks for the System Conversion
**Figure 10.4** System Conversion in a Three-System Landscape
**Figure 10.5** Conversion Cycles in the System Group
**Figure 10.6** SAP S/4HANA Conversion Paths
**Figure 10.7** Simplification List Categories
**Figure 10.8** Simplification Items in the Different Application Areas
**Figure 10.9** System Landscape with Maintenance Planner
**Figure 10.10** Execution of Prechecks
**Figure 10.11** Custom Code Migration Worklist
**Figure 10.12** Importing the Content of the Simplification Database
**Figure 10.13** Code Inspector for Analyzing Custom Developments
**Figure 10.14** Check Variant S4HANA_READINESS
**Figure 10.15** Restricting the Set of Objects
**Figure 10.16** Inspection Run in the Code Inspector
**Figure 10.17** Results List of the Inspection Run
**Figure 10.18** System Conversion Phases in SUM
**Figure 10.19** Specifying the Stack XML file
**Figure 10.20** Shadow Instance Access
**Figure 10.21** SUM Steps during Downtime
**Figure 10.22** End of the SUM Execution Phase
**Figure 10.23** DMO Migration Control Center
**Figure 10.24** Selecting SAP Fiori for Installation in the Maintenance Planner
**Figure 10.25** Relevance Analysis for SAP Fiori Apps
**Figure 10.26** Gradual Migration to New User Interfaces
**Figure 11.1** Data Migration Phases in ASAP Methodology
**Figure 11.2** Data Migration Phases in SAP Activate
**Figure 11.3** Sample Table for Documenting Migration Objects
**Figure 11.4** Architecture of the Rapid Data Migration Solution
**Figure 11.5** SAP Data Services Designer
**Figure 11.6** Project Structure with Job and IDoc Segments
**Figure 11.7** SAP S/4HANA Target System as an Excerpt from the Mapping Template
**Figure 11.8** Integrating a Table via Open Database Connectivity
**Figure 11.9** Integrating Microsoft Excel Spreadsheets
**Figure 11.10** Column Profiling
**Figure 11.11** Column Profiling Result
**Figure 11.12** Relationship Profiling
**Figure 11.13** Relationship Profiling Result
**Figure 11.14** SAP S/4HANA Data Migration Template for Source Data
**Figure 11.15** Selecting the Mapping Step
**Figure 11.16** Integrating the Legacy System
**Figure 11.17** Key Relationship in Multiple Source Structures
**Figure 11.18** Mapping via Drag and Drop
**Figure 11.19** Detailed Field Mapping
**Figure 11.20** Mapping a Constant
**Figure 11.21** Lookup Check Tables in Migration Services
**Figure 11.22** Executing a Job in SAP Data Services
**Figure 11.23** Global Variables for the Job Run
**Figure 11.24** Information Messages during the Job Run in the Log
**Figure 11.25** Job Monitor in the Project Area
**Figure 11.26** Cancelation and Error Messages in the Log
**Figure 11.27** Value Mapping Using Drag and Drop
**Figure 11.28** Assigning Various Legacy Values Manually
**Figure 11.29** Status of Value Mapping in Migration Services
**Figure 11.30** Search Help for Values in Migration Services
**Figure 11.31** Data Flow for Validations in SAP Data Services
**Figure 11.32** Incorrect Data Records after the Test Run
**Figure 11.33** Function Editor in SAP Data Services
**Figure 11.34** Sample Configuration of the DS_SAP Datastore
**Figure 11.35** Global Variables for Sending IDocs
**Figure 11.36** Web Intelligence Reports to Indicate Missing Data Records
**Figure 11.37** BI Launchpad in SAP BusinessObjects BI Platform
**Figure 11.38** Parallel Processing in Report RBDAPP01
**Figure 11.39** Server Group Maintenance in Transaction RZ12
**Figure 11.40** Opening Source Data in the SAP S/4HANA Migration Cockpit
**Figure 11.41** Staging Area in the SAP S/4HANA Migration Cockpit
**Figure 11.42** Editing Data in the SAP S/4HANA Migration Cockpit
**Figure 11.43** Downloading Edited Data in a Migration Template File
**Figure 11.44** Migration Template for the Customer Migration Object
**Figure 11.45** Selecting the Project in the Migration Object Modeler
**Figure 11.46** Selecting the Migration Object
**Figure 11.47** SAP S/4HANA Migration Object Modeler Structure
**Figure 11.48** Edit Source Structures
**Figure 11.49** Adding a Field to the Source Structure
**Figure 11.50** Modifying the Migration Template View
**Figure 11.51** Selecting the View to Be Assigned
**Figure 11.52** Display Target Structure
**Figure 11.53** Display Structure Mapping
**Figure 11.54** Edit Field Mapping
**Figure 11.55** Modeler: Assigned Customer Field
**Figure 11.56** Display Generated Function Group
**Figure 12.1** Consolidating Multiple Systems in an SAP S/4HANA System
**Figure 12.2** Migrating a Company Code to SAP S/4HANA
**Figure 12.3** Migrating Selected Applications to SAP S/4HANA
**Figure 12.4** Duration of the Individual Project Phases
**Figure 12.5** Example of a Client Transfer
**Figure 12.6** Example of a Client Merge
**Figure 12.7** Overview of the Company Code Deletion Function in SAP LT
**Figure 12.8** Individual Steps in the Company Code Deletion Procedure
**Figure 12.9** Example of an Organization with Selected Company Code
**Figure 12.10** A New System with an Isolated Company Code
**Figure 12.11** Legacy System after Cleansing via Counter-Deletion
**Figure 12.12** Central Finance: Architecture and System Landscape
**Figure 12.13** IMG for Central Finance
**Figure 12.14** Configuration of RFC Connections
**Figure 12.15** Defining Countries in Central Finance
**Figure 12.16** Assigning a Company Code to a Company
**Figure 12.17** Sample Global Data of a Company Code
**Figure 12.18** Overview for Ledger Maintenance
**Figure 12.19** Overview of Possible Currency Types
**Figure 12.20** Sample Data for Maintaining a Controlling Area
**Figure 12.21** Overview of Assignment Entities
**Figure 12.22** Relevant Primary Cost Elements for Central Finance
**Figure 12.23** Mapping Actions
**Figure 12.24** Selecting the Logical System
**Figure 12.25** Confirming the Production Data Transfer
**Figure 13.1** Activating the SAP ERP HCM System to Distribute Master Data
**Figure 13.2** Scope of the Integration in SAP SuccessFactors Talent Management Suite
**Figure 13.3** Integration with SAP SuccessFactors Employee Central
**Figure 13.4** Creating the Replication Target System
**Figure 13.5** Maintaining Authorization Roles
**Figure 13.6** Admin Messages
**Figure 13.7** Creating and Maintaining Reconciliation Accounts for Enterprises Using the "Employee" Role
**Figure 13.8** Deactivating the HRALX PBPON Switch
**Figure 14.1** Decision Tree for the Different Migration Scenarios to SAP S/4HANA
**Figure 14.2** SAP Services for Migrating to SAP S/4HANA
**Figure 14.3** Decision Process for a Landscape Strategy
**Figure 14.4** SAP S/4HANA Implementation Paths
**Figure 14.5** Decision Matrix for Different Requirements
**Figure 14.6** From a Single SAP ERP System to a Single SAP S/4HANA System
**Figure 14.7** Sample Roadmap for Migrating to a Single SAP S/4HANA System with Integrated Systems
**Figure 14.8** From a Regional SAP ERP Landscape to a Global SAP S/4HANA Landscape
**Figure 14.9** Questions and Evaluations Regarding System Requirements
**Figure 14.10** Questions and Evaluations Regarding Business Processes
**Figure 14.11** Questions and Evaluations Regarding Custom Developments
**Figure 14.12** Questions and Evaluations Regarding Time to Value
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tomekkorbak/pile-curse-small
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Books3
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8 Essentials You Need Before You Trade In Your Car For A Bike
June 28, 2017
I’ll never forget the feeling of freedom I experienced the first time I rode my bike across town by myself. I was 10 years old and enrolled in tennis lessons that my mom disliked driving me to, living in a town without public transit. I took that first big scary ride over to the tennis club (it was only a 10-minute ride, but most of it on the Trans-Canada Highway) and suddenly, I felt a surge of independence — while my friends were already counting down the years until their driver’s licenses, I had my bike, and it could get me anywhere! I started riding it to my friends’ houses, to swimming lessons, and to school.
Then things happened — I moved to a larger city, got used to city buses and, eventually, learned to drive. I would drive everywhere, even though my city was full of spacious bike trails along beautiful Lake Nipissing. In high school, my bike was stolen, and I didn’t bother getting a new one until I was 21.
When I moved to Toronto, I kept my car for the first couple years. But after starting a job in our congested downtown (where parking cost a minimum of $8/day), I decided that it was time to hop back on my bike. It was rough at first — my ride home was along one of the city’s harshest hills — but almost right away I started seeing the benefits. Not only was I getting to work (and home) faster than I would have on transit, but I was also feeling amazing, seeing more of the city, and doing my own part for the environment.
Biking isn’t for everyone, but more people should feel empowered to do it. It’s not as scary as many make it out to be, and depending on your climate, you can do it far beyond the summer months. I happen to bike 12 months of the year, and will only opt for transit in the case of blizzards or torrential downpours.
I don’t use a lot of fancy bike accessories — I’ve never used a pannier, expensive rain gear, or those weird bike shorts with a padded butt. But there are a few things that will help make biking a lot easier (and safer) if you’re thinking of starting.
1. A helmet. Helmets aren’t required by law everywhere, but they’re just a smart thing to do. You can sustain a serious head injury even at low speeds — spend the money on a helmet (many are in the $20-30 range) and protect your head. Please.
2. Lights. You might not be interested in cycling in January, but when the clocks go back an hour and the sun starts to set at 5 PM, you’ll be happy you have lights. At the very least, a white light on the front and a red light on the back make for a safer ride. I’m safety-obsessed, so I’ve also added wheel lights and an arm band light.
3. A rain poncho. A waterproof jacket will only do so much. A longer rain poncho can protect your butt from splash-up, can usually fit over your bag and can be folded up to fit in most pockets. I bought mine for only $4 at a bookstore, and it’s been there for me through the craziest (and most unexpected) weather changes.
4. A security plan. Not everyone can take their bike into their office, so you should find a way to mitigate theft as much as possible. I lock the frame outside and take my front wheel in with me (people will still steal a bike without a seat, but few would bother trying to make off with a bike missing a wheel). If you can, ask your office for inside storage options, since bikes are a hot ticket item for petty thieves. I’d also invest in a tough-to-cut U-mount lock over a chain; spending more money upfront means you don’t have to spend ten times that to replace the bike down the road.
5. A change of clothes/a post-bike beautification routine. Riding to work every day means three things: Sweat, dirt and helmet hair. I wouldn’t recommend biking to work in clothes you plan to wear that day, or at the very least in the shirt you plan to wear. I always keep my work shirt in my bag and change at the office, and I have a pair of work flats at my desk, as well as generic, go-with-everything pants for emergencies. You should also consider a hair brush, dry shampoo and/or deodorant to spruce up after your ride.
6. A rewards app. If you can find an app in your city that rewards you for biking, get on it! I’ve been using Biko for under two months and have converted every kilometer I bike into points that I’ve used on coffee, takeout, bedding, and even a sweet pair of jeans. Hey, if you’re not going to do it for the environment, at least do it for your wallet.
7. A patch kit. I’ve popped my tire four times on my route. They’re not particularly expensive (about $14 a fix), but when I realized that I could get a patch kit for less than $10 and that my small pump fits easily into my backpack, I made the “investment.” Knowing how to patch a tire can get you out of some tough spots, and many bike shops or outdoor retailers like REI and MEC offer free workshops.
8. A thick skin. I won’t lie: being a cyclist is difficult at times. I’ve been doored three times (none resulting in serious injuries) and even though dooring is a chargeable offense in my city, I’ve been told repeatedly that I’m to blame for my own injuries, even by cops who are supposed to be helping me. Many drivers get frustrated with cyclists, even when we’re following the rules of the road, and some can be downright mean and scary. One driver even followed me through a series of side streets because he became irate when I shook my fist at him (he was illegally parked in a bike lane at rush hour). I’ve also been talked down to by bike mechanics because of my age and gender. None of these experiences ever make me want to give up cycling, but they are things to consider when you get to biking.
Bree Rody-Mantha is a business journalist and dance teacher living in Toronto. In her spare time, she enjoys sport climbing, lifting and running the vegan food blog, Urban Garlic. Follow her on Twitter here.
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tomekkorbak/pile-curse-small
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Pile-CC
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